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UNI-WISSEN

Vera und Ansgar Ni.inning

Translated from the German by Jane Dewhurst

An Introduction to the
Study of English and
American Literature

Klett Lerntraining
3
 Contents
5
Preface

Chapter 1
Literary Studies: Subiect-Matter, Major lssues and Research
Domains 9
&ä Structure ond Approoch of the Present Volume 9
t* ttre Subject-Motter of Literory Studies 11
ãE Criterio for o Definition of Literoture. . . 15
ü$ Interpretotion ond Criterio for Literory Anolysis 20
ffi types ofTextuql Interpretation . . . . 25
ffi fields and Reseqrch Domoins in Literory Studies 27
&l Clossificotions in Literory Studies: Genres qnd Periods 30

Chapter 2 Literary Studies: Theories, Models and Methods. . .' . .' 34

tX tre Use ond Necessity of Literory Theory 34

ffiË Theories, Models qnd Methods: TerminologY , . . . 36
ffi Approoches qnd Methodologies of Literory Studies:
ATypologicol Introduction . . . . 5/
ffi Functions of Theories, Models ond Methods . ' . . . 43

An lntroduction to the Analysis of Poetry. 47

Bibliografische lnformation der Deutschen Nationalbibliothek Chapter 3
Die Deutsche Nationalbibliothek verzeichnet diese Publikation in der ffi ttre Poem qs on Ultro-Complex Textuol Structure:
Deutschen Nationalbibliografie; detaillierte bibliografische Daten sind Fundamentol Feqtures of Lyric Composition 47
im lnternet über http://dnb.dnb.de abrufbar. üå A Communicotion Model for Poetry: Speech Situqtion,
Perspective ond the Lyric Persono 5Z
4. Auflage 2018 Hl fhe Structure of Poetry: Metre ond Rhythm, Feet, Stonzos. 58
fi$ Complex Phonologicol Structures: Rhymes ond
Dieses Werk folgT der reformierten Rechtschreibung und Zeichensetzung. Ausnahmen Other Sound Patterns 6l
bilden Texte, bei denen künstlerische, philologische oder lizenzrechtliche oder andere S! Complex Morphological ond Syntoctic Structures:
Gründe einer Änderung entgegenstehen. Word Repetition ond Poetic Syntox . . . . . 65
&l Comptex Semqntic Structures: Imogery 68
Das werk und seine Teile sind urheberrechtlich geschützt. lede Nutzung in anderen als An lntroduction to the Analysis of Drama 76
Chapter 4
den gesetzlich zugefassenen Fällen bedarf der vorherigen schriftlichen Einwilligung
des Verlages. Hinweis zu S 52a UrhG: Weder das Werk noch seine Teile dürfen ohne
fl ¡ fext Written for Performonce: Fundomentol Features
of Dromqtic Composition 76
eine solche Einwilligung eingescannt und in ein Netzwerk eingestellt werden. Dies gilt
auch für lntranets von Schulen und sonstigen Bildungseinrichtungen.
tå A Communicotion Model for Drqmotic Texts:
Speciol Feotures of Theotre Commúnicotion. . . 79
Fotomechanische Wiedergabe nur mit Genehmigung des Verlages.
Ë3 Semiotics of Theqtre qnd Non-Verbol Theotricol Codes . . 83
El Trqnsmission of Informotion ond Verbol Communicotion 84
@ PONS GmbH, Stöckachstraße 11,70190 Stuttgart 2014. Alle Rechte vorbehalten.
Så Chqrocter qnd Action 9l
wltrw.klett-lerntraining.de &! Representqtion of Ploce ond Temporol Structure 98
Redaktion: Manfred Ott
Umschlaggestaltung: Sabine Kaufmann Chapter 5 An lntroduction to the Analysis of Narrative Texts. . . . 101

Satz: media office gmbh, Kornwestheim Íå The Novel qs q Text Medioted Through Norrotive:
Druck: medienhaus Plump GmbH, Rheinbreitbach BosicFeatures of Norrotive Composition . .' . . . . 101
Printed in Germany
lsBN 978-3-12-939025-2

3
 üß A Communicotion Model for Nqrrotive Texts: lI! On Working Methods ond the Composition of Acodemic
Essoys in Literory Studies . . 184
_ Story-Oriented Versus Discourse-Oriented Norrotology LO4
...t84
Ël Chorocter, Plot and Narrqted World: fã UsetulWebsites.
Cotegories in Story-Oriented Norrotology. . 106 ... 185
Glossary
El Choiocteristics of the Three ,Norrotive Situotions,:
Cotegories of Discourse-Oriented Norrotology I . . . . . . 110
€! ttre Structure of Nqrrotive Tronsmission: Cãiegories of
Discourse-Oriented Norrotology II . . . . 118
K! Representing Consciousness in Norrotive 1.24 Preface
ül Categories fór the Representotion of Time ond Spoce. . t26
Chapter 6 An lntroduction to the Analysis of Media Genres. 131
The main objective of the present volume, which is a translation of an updated and
fã From Literory to Mediq Studies . 13i slightly revised version of our book Grundkurs anglistisch-omerikanistische Líteratur-
tl Literory Studies ond Medio History .1.32 wissenschqft (Stuttgart: Klett 2001 , 42004), is to provide a concise introduction to
äl Inter-Àrt Studies/Intermediolity: Literoture qnd the subject-matter, major issues and research fields in English and American literary
Other Art Forms . 135 studies, and to detail the most important foundations, methods and models rela-
E! Uew Media - New Mediq Genres 141. ting to the analysis and interpretation of literary texts. lt is aimed primarily, but not
ß! Aspects of Rqdio Ploy Anolysis . . . . 142 exðlusively, at students of English and American literary studies. As a familiarity with
&! Aspects of Film ond Television Anolysis 144 the analytical categories and methods used to approach narrative, dramatic and
lyric texts is essential, especially at the beginning of the course of study, particular
Chapter 7 English and American Literary History: Terminology and
áttention is paid to the use of clear conceptual language. We have also focused on
Periodization 152 fundamental and general aspects (such as central technical terms, generic categories
ül Definition ond Use of Literory History. t52 and transferable methods of textual analysis from various genres and media), as such
ãl Problems of Literory Historiography i: Selection, elements enable the student to situate the material covered within broader contexts
Evoluotion, Conon Formotion, qnd the Debqte and therefore provide helpful guidance for those new to the discipline'
on the Conon 155
B When the Cerman version of this book was published, some reviewers and any
Problems of Literory Historiography II: periodizotion
number of colleagues and students indicated that an English version of this introduc-
ond Contextuolisotion L57
E! Literory Historiogrophy: Approoches ond Forms . . . . . tion would be much appreciated. However, rendering a text of this type in English
L60 has naturally not been without its difficulties. Despite the common subject-matter,
ß! Periods in Englisñ oña-¡mèicon Literory History . . . . t62 the discipline of literary studies takes differentforms in English- and German-speaking
fil From EnglishiÀmericqn Literory Studiesio the iulturol
countries, and methods, models and terminology do not always overlap. Where a
Study of Literotures in English 1.67
standard equivalent to a Cerman term was available, this has been employed; where
Bibliography BibliograPhY '173 an equivalent term was not available, efforts have been made to define or paraphrase
fl Introductory ond Reference Works. the Cerman term. When German authorities are cited, the standard or approved
t73 translation has been employed where one exists; otherwise the translator has sup-
ãl Introductions to Literory Theories, Models ond Methods, L74 plied her own translation. Throughout the volume, every effort has been made to
€l Introductions to the Ànolysis of poetry t76 bridge the differences between the disciplinary traditións and create a text that is
!! Introductions to the Anolysis of Dramo L76
accessible to students of English and American literature from all backgrounds.
ßl Introductions to the Anolysis of Nqrrotive Texts. . . . . . . 1.77
Gl Introductions to Inter-Art Studies/Intermediolity, As general and comparative literary studies, like English and American literary stud-
Mediq Studies ond the Anolysis of Medio Genres L79 ies, encompass a wide variety of objects, areas of enquiry and methods, which can-
ül Literory Historiogrophy ond Histories of Literqtures not be covered comprehensively within an introductory volume, we have taken a
in Enqlish . t82 mixture of pluralism and pragmatism as our guide in writing this book. We have
Gl antnãtogies .. . . 183 consciously adopted an approach which uses illustrative examples to afford insights
€! eibtiographies. . . 183 into the practice and 'nature of real, existing English and American studies' (ScHwnrurz
[þ Periodicols on English/Americon Literory Studies. . . . . . . 184 1985:9), and thus serves the needs of students beginning their course of study, but

4 5
 which simultaneously offers a general overview of the disc¡pline in all its factual and
methodological diversity.
This short, introductory volume is obviously not the place for a comprehensive
introduction to the history of literatures in English. More important for the student
who is anxious to derive the greatest possible benefit from the diverse selection of
courses on offer is a general understanding of the basics of literary studies, and of
the spectrum of literary-historical themes. The present volume aims to provide such
a preliminary understanding, along with a basic introduction to the terminology
and content necessary for orientation in English/American literary studies. lnstead of
supplying 'ready-made' interpretations, we therefore aim to provide the reader with
the terminological and methodological tools that will enable him or her to interpret
unfamiliar texts independently.
we are also very grateful to Richard Humphrey, who provided invaluable help and
extremely good advice in the final stages of the revision, resourcefully helping us
across a number of terminological hurdles. Any remaining mistakes or failings are,
of course, entirely our responsibility, not theirs. lf the present volume is successful in
its aim of enabling students to pursue a course in literary studies independently and
successfully, then this is to a large extent thanks to their efforts'
We would also be grateful if readers of the present volume would send their com-
ments, critical or otherwise, to us at ansgar.nuenning@anglistik.uni-giessen.de or
v.nuenning@u rz.uni-heidelberg.de.
Vera ond Ansgar Nünníng
April 2014

However, the volume is not only aimed at new students who wish to cultivate the skill
of interpreting literary texts in a systematic and methodologically informed manner,
and of employing a terminologically precise idiom. lt should also prove helpful to
more advanced students who are preparing for seminars or exams and desire a brief
overview of the fundamental terms and methods of literary studies, as well as more
precise information about the interpretation of lyric, dramatic and narrative texts.
This introduction is not only written for students; it is also the result of many years
of fruitful cooperation wifh students. we would therefore like to thank the numer-
ous students in Brunswick, Gießen and cologne, who have contributed more to
this book, with their active and constructive cooperation in introductory and other
courses in literary studies, than they are probably aware. special thanks are due to our
assistants, who made diverse contributions to the preparation of the present volume,
wibke Bindemann, Hanna Bingel, stefanie Bock, Katharina Engelhardt, Meike Höl-
scher, Nora Redhardt and Katja Zinn read the manuscript with meticulous attention
and carefully checked all quotes and bibliographical references. caby Allrath,
Dorothee Birke, stella Butter, Klaudia seibel, Annegret stegmann and carola surkamp
completed the lay-out and commented constructively on earlier versions of indi-
vidual chapters, as well as contributing invaluably to the composition of the various
figures and the glossary.
our greatest and most heartfelt thanks, however, go to three colleagues to whom we
owe a special debt: to Jane Dewhurst, the eminently competent, skillful and patient
translator of the present volume, as well as to research assistant Dorothee Birke and
Richard Humphrey. First and foremost, we should like to express our sincere gratitude
to ,lane Dewhurst, who did an excellent job in turning heavy-duty teutonic scholarly
prose into readable English, finding any number of elegant solutions for complex
problems. Dorothee Birke not only meticulously checked and proof-read the trans-
lation, she also made a number of very useful suggestions for improvement, which
we have gratefully incorporated. This book has benefited enormously from Jane,s
linguistic resourcefulness and expertise, both as a translator and literary scholar, and
from Dorothee's unparalleled conscientiousness, exemplary competence, and fine
eye for terminological and stylistic details. Both of them not only did a marvellous
iob, they have also been, and are, a great pleasure to work with. Last, but not reast,

6 7
 't
Literary Studies: Subject-Matter,
Major lssues and Research Domains

The two greatest (complementary, but unfortunotely entirely compotible) mistokes thqt
cqn be mqde in o literory studies course ore therefore, first, to deprive the participonts of
their spontaneous enjoyment of literature ond, then, to abondon them, wordless ond
open-mouthed, before this literqture.
HnR¡ro Frucr¡/Rüolcrn Zyv¡t¡R

O Structure and Approach of the Present Volume

At the majority of universities, o degree course in English/Àmeri- lntroducing
con studies begins with introductory courses in literqry studies ond literary
linguistics. The title of the present volume olludes to this proctice, studies
but olso sums up the content ond overoll opprooch of whqt is to
follow: the volume offers on introduction, not to the history of
literoture written in English, but rother to literory studies, to the
ocqdemic study of literoture.
Whqt exoctly, then, is studied in English ond Àmericon literory Subject_
studies? At first glonce, the onswer seems to be self-evident: literory matter of
texts written in the English longuoge. However, on closerexomi- study
notion, this stotement merely begs further questions: Whot ore
literory texts? Which works should be clossified os 'English' Iitero-
ture? Whot is meont by 'the onolysis of literory texts'? Whot, in
qddition to literory texts, is the subject-motter of literqry studies?
This introductory chopter oims first ond foremost to onswer these Objectives
questions qnd to provide students with on introduction to the of this
subject-motter, the centrol issues ond the reseorch domoins of Eng- chapter
lish qnd Àmericqn literory studies. English ond Americon studies
qs well os their reseqrch domoins ore oll bosed on o logic with
which the student should fqmiliarise him- or herself qt the eorliest
possible stoge, to ensure direction ond enjoyment in the chosen
course of study.
In order to qvoid the "tvvo greatest mistakes that can be made in a practice as
Iiterary studies ceurse" mentioned in the introductory quototion, a guide
we will ottempt to set our course to the procticol ospects of the
study of English ond Americqn literoture, ond to offer on initiol
overview of the mojor issues qnd methods of this discipline. The
primary qim of the present volume is to supply students in the
eorly stoges of their studies with some theoreticol, terminologicol
qnd historical cotegories so os not to "Ieave them standing, wordless

tl Structure and Approach of the Present Volume 9

 ond open-mouthed" before the huge diversity of literoture in the
English longuoge, but olso to ovoid depriving them of "their spon-
toneous enjoyment of literature" (Fnrcrt/ZvvNw t99t l2OO7).
Pursuing this'middle woy', with proctice os a guide, involves per-
Two pre-
forming q difficult but necessory boloncing oct. Anyone who does
conditions
for studying not enjoy reading ond does not toke on interest in literqture in
English will hove consideroble difficulty fulfilling the reoding
successfully
requirements; without some terminologicol foundotion, however,
this enjoyment cqnnot be communicoted. Ànyone who wishes to
tolk in o competent, ocodemic monner qbout the literary texts
reod in the course of their studies must of necessity fomiliqrise
him- or herself with some of the foundqtions ond terminology of
literory theory textuol onolysis ond literary history. Once this first
hurdle hqs been cleored, the student will notice thot not only reod-
ing, but qlso communicoting about literory texts ond mostering
the methods ond terminology of literory studies con be o fqscinot-
ing enterprise.
Transferable Of centrol importonce in the onolysis ond interpretation of liter-
skills and ory texts is the ocquisition of q basic knowledge of the terminology
knowledge ond the methodologicol skills. This includes on owqreness of the
fqct thot the onolyticol cotegories ore oll grouped together within
individuql fields (for exomple, metre, techniques of charocteriso-
tion or the presentotion of consciousness) ond within theoreticol
contexts (for exomple, structurolism). A thorough fomiliority with
the theoreticol foundqtions is essentiol, becouse the resulting
knowledge ond skills ore tronsferable. To put it simplisticolly:
o studentwho attends on introductory course on o certoin novelist,
dromqtist or poet will, ot the end of the course, know o good deol
qbout the life ond works of this outhor, but moy still be helpless
when confronted with other quthors ond texts. A student who
ottends o primorily methodologicolly oriented course deoling with
the onolysis of lyric, drqmotic or nqrrative texts, on the other
hond, ocquires the knowledge ond skills which enqble him or her
to tqckle new subjects ond texts independently. In the first cose,
only generol knowledge is increosed; in the second, tronsferoble
skills qre ocquired which increqse the student's obility to study
independently.
Fundamen- For this reoson, the following chopters ore structured with the
tal terms intention of shedding light on the chorocteristics of eoch genre,
and on the methods of textuol onolysis qnd on the vorious interpreta-
methods of tive approoches. The following exqminqtions of the vorious forms
textual of lyric, dromotic ond nqrrqtive texts, as well os diverse medio
analysis genres, ore intended firstly os o detoiled introduction to the fun-
domentol terms ond techniques of textuol onolysis. However, this
volume olso oims to equip students to ûccess independently o
10 ilillitrît Literary Studies: Subiect-Matter, Major lssues and Research Doma¡ns
J
brood spectrum of texts from o voriety of cultures ond periods
within the literqtures of the English longuoge. The glossory ot the
end of the book is intended not only to provide precise definitions
of the most importont terms used here, but olso qs q reference oid
for the reqder.
2f fne Subject-Matter of Literary Studies
Like ony other ocodemic discipline, the areo of literory studies Preliminary
must first give the most precise definition possible of the subject- definition
mqtter or phenomeno with which it is concerned. The voriety of
qttempts thot hqve been mode to define the subject-motte¡ oims
ond interests of literory studies testify to the foct thot this tosk is
considerobly more difficult than it moy seem qt first sight. Notu-
rolly, the study of literoture is concerned with texts thot qre clossed
os 'literory'; however, this merely tronsfers the problem to the
definition of the term 'literoture'. We will see in chopter 1.3. why
it is so difficult to reoch o sotisfoctory definition of this term.
Beginning with the assumption that writing is olwoys q form of L¡terature as
communicqtion, the first tosk must be to goin o preliminory communica_
insight into some of the fundomentql foctors qnd contexts of liter- tion
ory communicotion. The most importont foctors in written com-
municqtion ore generolly the outhor of o work, the text produced
by the outhoq, qnd the qddressee or reoder, to whom the text is
oddressed.
This conception of literoture os communicotion cqn be developed Model of
further with the help of a model from communicotion theory: thot communica-
of the tronsmission of messoges. The voriant of this conception tion
which is probobly most widespreod sees communicotion os o phe-
nomenon thot begins with the speaker oddressing o messoge to
others. This messoge, which refers to some form of context (for
exomple, certqin ospects of the extrolinguistic reality), trqvels
olong some form of chqnnel or moteriql medium to reoch the
qddressee. One precondition for successful communicqtion is that
the speoker (obõ colled oddresser) ond the qddressee sírqre ot leost
to some degree q common code (o system of rules thot enqbles the
interpretotion of linguistic signs). The relqtionship between these
various foctors in the communicqtion process is represented in the
diogrom below (figure 1.1.).
The six functions of longuoge postuloted by RoveN ]eroesoN, Functions of
which ore of relevonce to mony issues in literory studies (ond ore tanguage
oÌso helpful when differentioting between literory ond nonJiter-
ory texts), ore derived from the relotionship between on oct of
linguistic communicotion ond the vorious foctors in the commu-
ff fne Sub¡ect-Matter of Literary Studies 'J.1.
 -
nicqtion process. The oddresser is ossociqted with the emotive or published, reod, discussed ond reviewed. This sphere is described
expressive function of conveying his ottitude towords the obiect. os the 'literory institution' or the 'literory system'. The literory
The conotive function, which is directed towords the oddressee, system con be described schemoticolly os o network of relotions
oims to influence the opinions ond behoviour of the recipient, consisting not only of literary texts, but olso of the people thot
whereas the referentiql function denotes the relotionship of o mes- produce, mediote, reod ond process these texts, including outhors,
soge to the focts, objects or models of reolity to which it olludes' publishers, reoders ond critics.
The phatic ftrnction, on the other hond, is reloted to the channel The sphere of society described os o 'literory system' is in foct o Roles within
of communicotion, thot is to soy, the estoblishment qnd mointe- porticulor communication system which comprises four possible the literary
nqnce of communicotive contqct between the addresser ond the roles: production, mediotion, reception and processing or criti- system
qddressee. The metolinguol function refers to the woy in which
cism. When defining the subject-motter of literory studies we
the linguistic code is themotised or highlighted. The poetic func- should therefore tqke cqre to consider the outhor (os the producer
tion, finolly, is bosed on o reflexive reference mqde within ct mes- of literoture) and the reoder (os the recipient) os well os the literory
sage to its own form or structure. works themselves. In oddition, publishing houses, the book trode,
the medio ond other institutions involved in the mediation of
subiect literoture ond in literory reviews should be token into account.
referentiol Censorship ond chonges demonded by publishers ore only the
addresser------ --
---- message -- addressee most obvious instonces which illustrate the influence of the liter-
emotive, expressive poetic conotive ûry system on literary texts. A glonce qt the shelves in ony book-
shop or qt the literqry section of o newspoper, in which the books
medium of contact ore orronged occording to (ot the very leost) the categories of'fic-
Photic tion' qnd 'non-fiction', should suffice to illustrote the extent to
code which these institutions determine which texts con legitimotely
metalinguol be clossified os literqture.

Figure 1.1 .: Communicotíon model and functions of languoge The following model of literory communicqtion, which is bosed Model of
on f.r.roesoN's communicotion model, offers on illustrotion of the literary com_
subiect-motter of literory studies: munication
Peculiarities Literory modes of writing or of textuql communicotion ore there-
of written fore speciol cqses within general linguistic communication qnd
institutions involved in medium
communica- chorocterised by o number of peculiorities. In contrqst to fqce-to-
e mediation of literature (channel)
tion foce orol communicqtion, written communicotion is usuolly chor-
octerised by o time log between production ond reception. The
text becomes the medium through which the messoge from the I
oddresser reoches the oddressee. The oddressee, therefore, hos no literary
author reader/
opportunity to influence the oddresser directly (for exomple, by text
(addresser) recipient
meûns of body longuoge or fqciol expressions) or to qsk questions (message)
concerning the lotter's intention. The text forms the only link þddressee)
between the qddresser ond qddressee. All attempts ot precise def-
inition ond further differentiqtion within the generol communicq- aesthetically
tion model depend on the medium used in eqch cose. Further- code mediated
more, os we will see in subsequent chopters, eoch form ond genre references to
of literory communicqtion is chorocterised by q number of distin- reality literary reviewing
guishing feqtures.
h istorical/contem pora ry
Literary This communicotion model effectively broodens the scope of liter-
reality (context)
system ory studies beyond the exqminqtion of literory texts qlone to
include the entire social sphere in which literory texts ore written,
Figure 1 .2.: Model of literory communicotion (see Nürururxc/Jucx¡n 1999:49)

t2 f:nñÍf?ìl al Literary Studies: Subject-Matter, Major lssues and Research Domains fl fne Subject-Matter of Literary Studies 13

J
 Constituents This model of literory communicotion offers o simplified represen-
totion of the most importont elements ond ogents involved in the
of the com-
munication communicotion process. An outhor (cddresser) produces o literory
model text (messoge) which is simultoneously the moteriol bosis or
medium (channel) vio which the messoge reoches the recipient or
reoder (addressee). If the oddressee is to understond the text, he
or she must shqre o common longuoge ond similor generic con-
ventions (code) with the oddresser. Literory texts generolly incor-
porote references to the historicol or contemporory reolity (con-
text), but these references ore subject to techniques of qesthetic
mediotion.
Literature as This model of literory communicotion fqcilitates the tqsk of show-
symbolic ing the difference between literoture os o textuol or symbolic sys-
tem ond literoture os q sociol system. Literoture cqn be regorded
and social
system os on ensemble of texts which ore clossified os 'literory' thonks to
their futfilment of certqin criteria (see below). Considered from
such o perspective, Iiteroture is understood os o symbolic system,
which is chorocterised by certain oesthetic feqtures qnd differs
significontly from texts in other sociol systems (for exomple, eco-
nomic, Iegol, ocodemic, ond so on). The opprooches ond methods
of textuol onolysis introduced in the following chapters ûre con-
cerned with the investigotion of literoture os a symbolic system.
However, the extended sociol sphere of the literory institutions con
olso be the subject of investigation, ûs o sociol system which is
composed not merely of literory texts, but qlso of o voriety of
ûgents, roles qnd institutions.
Field of The study of Anglo-American literoture thus encomposses qn
extroordinorily brood field, including not only the interpretotion
study
of literory texts, but olso oll other ospects of literoture os q sym-
bolic ond os o sociql system. It is concerned on the one hqnd with
the development of theories, models qnd methods of textuol onol-
ysis ond with the histories of British, Irish, Americqn ond Cono-
dion literoture, as well os other literotures written in the English
longuoge. On the other hond, it is olso concerned with the biog-
rophies of outhors, the development of the book trode, the mediq
ond censorship os well as with the reception qnd criticism of lit-
erqture. However, o university course will often focus on literory
texts which ore written in English, ond porticulorly on the onoly-
sis ond interpretotion of literory texts. To reoch q more precise
definition of the field of literory studies, then, we must first elobo-
rote o working definition of 'literoture', ond clori$r whot kind of
texts con be clossified os literory.
1.4 f:l!ilürril Literary Studies: Subject-Matter, Major lssues and Research Domains
:j
ffi Criteria for a Definition of Literature
Generotions of literory theorists hove ottempted to onswer the What is
question "What is literature?", which wos osked by |raN-paul Sanrne literature?
olong with countless others; however, it remoins to this day hotly
disputed. And yet the word 'literqture' is known to everyone, ond
occurs in oll monner of educotionql ond everydoy contexts. Acq-
demics pore over secondory literoture, bookshops ore well-stocked
with trqvel ond children's literoture, qnd so on. However, olthough
we moy oll hove on intuitive understqnding of whot is meont by
the term 'literoture', such subjective notions qre obviously of lim-
ited use when ottempting to delimit the scope of on entire disci-
pline. In order to reoch on odequote definition of the subject-mqt-
ter of Ìiterory studies, we need reliqble criterio which enqble us to
differentiote between literory ond non-literory texts. We need not,
however, concern ourselves here with defining the 'essence' of lit-
eroture, nor with reoching definitive conclusions qbout whot lit-
erqture 'is'. Whqt we need is o vioble working definition of the
term.
An exqminotion of definitions in encyclopoedio ond implied def-
Broad vs.
initions in literory histories demonstrotes thqt o fundomentql dis- narfow
tinction con be mqde betvveen broad ond norrow definitions of
definitions
the term (see Gnaers 1981b). 'Literoture' in the broodest sense of literature
encomposses qll written communicotions, i.e., the entire corpus
of written ond printed works. However, even c¡ definition of this
breodth (on which, despite the obvious procticol problems reloting
to its appìicotion, most English literory histories ore bosed)
excludes orol literqtures. À huge number of nqrrower definitions
olso exist, olthough they show q remqrkoble lqck of consensus
concerning the precise noture of 'literoture'. They generolly only
ogree insofor as mony of them limit'literature in the norrow sense,
to poetic ond imoginative texts.
Yet the problem remoins thot, in order reoch o sotisfoctory defini-
Literariness
tion of 'literoture', concrete chorqcteristics qnd criterio thot con
form the bosis of o cotegorisotion qs 'literory' or ,non-literory,
must be identified. A good deol of ink hos been spilt in the ottempt
to define the 'literoriness' of literory texts; however, ogoin, there
is little consensus obout the precise quolities described by this
term.
The question of whqt constitutes the 'literoriness' of o literory work
'Literature'
becomes qll the more difficult when one considers thqt the term
and history
'literoture' hos olways been subject to historicql chonge qnd thqt
it con vory considerably from one cuìturql context to the next. Às
o result, there con be no perenniolly volid onswer to the question
[l Criteria for a Definition of Literature 15

of whot literqture is, 'in essence'. The historicql qnd culturql vari-
obility of the term 'literoture' becomes porticulorly evident when
we consider the historicol tronsition from the orolly medioted lit-
eroture, which is still common in mony qreos of the former British
Empire, to the written word, ond to other, more modern media (for
exomple, cinemqtic odoptotions of novels). As q result of these
chonges in medium we crre constontly being confronted with new
'texts', such qs rodio ploys ond screenploys, which introduce yet
more nuqnces to the term 'literoture'. To ottempt to discuss oll
historicql vorieties of 'literqture' in the course of a short introduc-
tion would, of course, be impossible. Howeve¡ it is importont to
fomiliorise oneself with qt leost the most importont criterio which
hqve been opplied in previous ottempts to distinguish 'literqture'
from other forms of texts.
Normative Scholors of literoture generolly ogree that definitions bqsed on
vs. descrip- porticulor normotive or quolitotive criteria (which differentiote,
tive defini- for exomple, between 'high-brow' ond 'low-brow' literoture) ore
problemotic, not leost because such criteria do not stond up to
tions
objective scrutiny. Normative oesthetic or vqlue-bqsed definitions
of 'literqture' ore therefore usuolly ovoided nowodoys. There is
olso o generol consensus thot ony differentiqtion betvveen literary
ond non-literory texts should follow descriptive (os opposed to
prescriptive) criterio, ond bose itself on certoin textuol qnd con-
textuol factors.
Literature Two centrol criteriq for differentioting between literory (in the nor-
and reality row sense) qnd non-literory texts hqve troditionolly been the spe-
cific woy in which literoture positions itself in relotion to reolity,
ond, in porticulor, the view thqt literoture mqkes no cloim to con-
vey or represent'focts'. In contrqst to 'referentiql'texts, then, liter-
ory texts mqke no pretence of referring directly ond explicitly to
reolity, nor of moking 'fqctuol' stotements qbout this reolity.
Whereqs we, quite reasonobl¡ expect a trqvel guide to give us
reliqble informotion qbout o country or town, we do not have the
some expectotions of o ploy or o novel. Literory texts moy well
incorporote mqny generol or even quite specific references to o
contextuol 'reolity' (for exomple, to generol knowledge or to cer-
toin existing ploces, people ond events), but they generolly exhibit
o more relqxed relotionship to foctuol reolity.
Literory theory has long been concerned with the centrol question
Mimesis vs.
poesis of the relotionship between the imoginotive world evoked by o
literory text, ond reolity. The term 'mimesis' (Greek for 'imito-
tion'), which hqs been o concept centrol to oesthetics since Àntiq-
uity, considers literoture's relotionship to reolity to be grounded in
its imitqtion of the reol world. The modern view, however, is that
literory texts do not merely imitote extroliterory contexts; insteqd,
l !f
t6 a!ñ!lÍl!r L¡telary Studies: Subject-Matter, Major lssues and Research Domains
The term 'poe-
reolity ond literory texts ore in dynamic interploy'
(ireek for'the moking'), on the other hond, emphosizes thot
sis'
iit.rot.rr" creotes inclependent models of reolity with specificolly
literoture
iiturory tools. The question of the relotionship between
thus superseded by the question of how literary texts
ãnd reolity is
iiontfot- the knowledge, the experiences, os well os the volues
ond norms of the period in which they hove their
genesis'
The different clqims mode by literory ond non-literory
texts in Fictionality
terms of the 'truthfulness' of their content or their proximity
to
,reqlity' leqd on to q further importont criterion for the differen-
flqtion between the two: the 'fictionolity' of literory texts' This
term, derived from Lotin (ftom frngere, meoning 'to form, invent,
feign,) refers to the fobricoted or imaginqtive nature of the worlds
prðr"rrt"d in literory texts. The ploces ond chorocters thot feoture
ïn such texts qre therefore described os 'fictionql' ond/or'fictive''
Fictionolity is nowodoys no longer considered to be o feqture of The
the text itsôtf, but rqther o set of sociql conventions or consensuaìly aesthetic
recognised rules concerning how certoin texts should be convention
appiooched. Àgents in the literqry system, therefore, conform to
this so-cqlled 'aesthetic convention', which holds thot literory
texts should be iudged not in terms of 'true' versus 'fqlse' or 'useful'
versus
,useless,, but rqther occording to specific qesthetic criterio.
When octing in qccordonce with this qesthetic convention, indi-
viduols ore prepqred to obondon, or rother to 'suspend', the expec-
totions of fãctuql occurqcy with which they generolly approoch
non-fictionol texts. The English Romontic poet Savuel T¡vl-oR Col-t-
RrDGE described this ottitude of mind, whereby the reoder
allows
him- or herself to be tronsported to an invented world in the full
knowledge thqt the literary text will supply no 'true' informqtion
obout reolity, as a'willing suspension of disbelief''
whether o reqder clossifies o text os fictionql or non-fictionol is Signals for
dependent to o lorge degree on the signols given by the text itself' fictionality
Rother thon being inherently fictionol, o literory text presents
itself os such by girri.tg certoin signols. By 'signols' or 'indicotors'
of fictionolity, we meqn oll those signs which indicote to the reoder
thot the *orid p..r"nted within thl text is fqbricoteá, ond thot it
is to be reod qècording to the rules of the oesthetic convention.
Non-fictionql texts, conversely, incorporote controsting indico-
tors, which cqn be described os'reolity signols'. Signols for fiction-
olity, which cqn occur with vorying degrees of frequency qnd con-
cenirotion qnd frequently allow diverse interpretotions, ore subject
to historicol chonge qnd to a voriety of conventions'
There ore certqin textrrql feotures which ploy on importont role
in signolling fictionolity ond in constituting the different modes
Criteria for a Definition of Literature 17
 of referring to reolity in fictionol ond non-fictionql texts.
Textual These There hove been ony number of other ottempts to distinguish Further
for include porticulqr introductory or concluding formuloe; for exom_
signals
between literory ond nonliterqry texts (see EecreroN 198312008; definitions
fictionality ple, 'Once upon o time' signols o foiry-toÌe. The use of certoin
chopter 1). A fundomentol division con be mode between 'text- and
deictic elements, porticuìorly those whose spotiol, temporol or
personol reference connot definitively be relqted to extro-textuql
intrinsic' definitions, which ottempt to define literoriness on the demarca-
bosis of certqin linguistic or formal chorocteristics of literory texts, tions
reolity, o high degree of ombiguity, ond the inclusion of crllusions
ond 'context-oriented' conceptions of literoture, which drqw on
to other literory texts cqn qll serve os signals for fictionqlity. Fur-
extrinsic factors. The second opprooch includes theories which
ther pointers towords the fictionqlity of o ìiterory work ion be
focus on the production or reception oesthetics of literoture, i'e'
found within the repertoire of representationol techniques which
on the genesis of o work or the specific response it elicits from the
ore considered specificolly,literory,, for exomple, reprèsentotion
reoder. There now follows o résumé of some of the most importont
of consciousness, monologicol speech, ond oiher dévices which
criterio for differentioting between fictionol ond non-fictionol
hove no porollel in non-fictionql texts.
texts, ond the opprooches in which these ore grounded.
A cleqr distinction should be mqde between the textuol signols
Contextual According to text-intrinsic opprooches, which form the bosis of Literature as
and paratex- listed obove, qnd contextuol, os well os porotextuol signols for
stylistic ond formolistic conceptions of literoture, literory texts ore a particular
tual signals fictionolity. Among the contextuol signols ore communicotion
diitinguished by porticuìor linquistic ond stylistic feqtures. Liter- use of lan-
for fictional- situotions (for exomple, theotre visits, poetry reodings) qs well os
ory longuoge, then, is chorocterised by o high degree of deviotion 9uage
signols reloting to the publishing process (certoin publishing
ity fróm everydoy longuoge, o feoture which is qlso referred to os
'deoutomqtisotion' or'defqmiliqrisotion'. According to these
houses, for exomple, ore primorily known for speciolising in ,fic-_
tion', whereos others publish moinly ,non-fiction, books) ãnd the
opprooches, the moin tosk of literory studies is to identify the
externql presentotion of o book. porotextuol signols for fictionql-
typlcol literory techniques in which this defqmiliqrisotion finds
ity, on the other hond, include the title ond subtitle, subdivisions
concrete exPression.
of the text, generic terms such ûs ,novel, or ,comedy' and legol
discloimers ('ony similority to ony person, living or deod, is purãly According to o widespreod view which is bosed on faroeson's com- Poetic
coincidentol'). municotion model (see obove), the literoriness of linguistic expres- functions of
sion is determined by the dominqnce of o porticulqr function of language
Ambiguity À further chqrocteristic feoture of literoture is its ombiguity, also
longuoge, the qforementioned poetic function. This view holds
described os 'polyvolence'. In contrqst to the ideol of thl gieotest
and the thot, in literory texts, longuoge is focused on itself, i. e. on certqin
possible explicitness ond clority, which is applied to non-fictionol
polyvalence formol chorqcteristics of the linguistic building blocks of o text'
texts, literary texts (ond often even short excerpts from such texts)
convention This dominonce of the poetic function is porticulorly evident in
typicolly ollow for vorious interpretotions, thonks to their internol
poems (see chopter 3). It connot be regorded os o wotertight cri-
ombiguities. When polyvolence occurs in literory texts, then, it is
ierion for the clossificotion of literory texts, however, os similor
considered o seol of quolity rother thon o flqw. In contrûst to reod-
techniques con be found in other types of longuoge use, for exom-
ers of timetables, of legol texts or newspapers, who expect stroight_ ple, in odvertising.
forwqrd informotion, within the literoryìystem readãrs approäch
literory texts in occordonce with the 'polyvalence .o.trr"itio.r,; Rother thon focusing on style or longuoge, other opprooches toke L¡terature as
insteod of rejecting polyvolence, they expect literary texts to be the specific properties of literory communicotion qs their storting non-prag-
open to o voriety of interpretations. As q result of the oesthetic point. As o result, literoture is often defined os o nqn-progmotic matic dis-
ond polyvolence conventions, therefore, literory texts ore expected ãir.ou.s", becquse o poem or o trogedy, unlike, for exomple, o course
to qccord the recipient o certoin qmount of freedom to construct user mqnuol, does not serve o specific purpose ond gives no direc-
meoning. Insteod of one porticulor meqning, they offer q greoter tions for oction. This definition does not, however, opply to oll
or lesser number of potentiol meonings, which the reqdeihos to Iiterary texts, becouse some genres or individuql works (for
negotiate' This olso impinges upon the possible interpretotions of instonce, politicol novels or ploys by Gronce BeRN¡no SHaw) ore
o text, which ore usuolly mqnifold ond olwoys determined by the intended to serve o certoin purpose.
anolyticol cotegories opplied ond their underlying theoréticql In controst to approaches which ûttempt to tie literoriness to cer-
boses.
toin textuol feotures, other ottempts to define the term ossume
thqt literqriness is bosed primorily on the ottitude of the individuol

18 Ínñn'iìt ol Literary Studies: Subiect-Matter, Major lssues and Research Domains

[f Criteria for a Definition of Literature 1'9

l
 7_
Literariness reoder towords o text. As become opporent in the discussions of
as based on the oesthetic and polyvalence conventions, there ore certoin
an attitude sociolly recognised rules concerning how literory texts ore gener-
towards olly opprooched. There is, of course, nothing thot prevents us from
texts reoding o novel or o ploy os if they were non-fiction, ond to drqw
specific informotion from them. If we did thot, however, we would
not be octing in conformity with the oesthetic ond polyvalence
conventions, which govern communicotion within our society on
the subject of literoture.
Whilst text-intrinsic opproaches proceed from the assumption
Literature
and the aes- thot literory texts con be 'obiectively' shown to hove certoin oes-
thetics of thetic quolities, definitions of literqture which ore bosed on pro-
production duction oesthetics focus on the creqtion or genesis ofthe text. They
and recep- toke the bosic view that o work is clqssed os 'literoture, becouse it
tion is the product of a specificolly poetic imoginotion or poetic inspi-
rotion. Definitions based on the oesthetics of reception, on the
other hand, hold thot literory texts differ from others in the spe-
cificolly 'qesthetic' effect thot they hove.
Literary Everything thqt hqs been soid up to now obout criterio for o defi-
studies in nition of literoture, ond o good deal of the moteriol in the forth-
general vs. coming chapters, is not only opplicoble to the study of English/
English/ Americon literoture. Other areos of literory studies, including
American comporotive literory studies, ore olso concerned with these bosic
literary questions. However, olthough English/Àmericon literqry studies
studies shore many generol concerns and methods with literqry studies
in generol, they focus primorily on literature written in the English
longuoge ond published in certain geogrophicol regions.
English liter- Whot do we meon when we soy 'English literqture,? Controry to
the commonly held view thot the expression refers to o particular
ature vs.
'nqtionol literoture', thqt is to soy, the literoture of Englond, Greot
literature(s)
Britoin or the British Isles, we should be cqreful to mqke o primory
in English
distinction between 'English' Iiteroture, and the huge voriety of
literotures written in the English longuoge. English ond Americon
studies ore concerned not only with English qnd Americqn litero-
ture, but olso with oll other literqtures written in the English lan-
guoge, for exomple, Conodian, South African ond Austroliqn
literoture.
4 lnterpretation and Criteria for Literary Analysis
Questions Exploining the working proctices ond criterio of literory studies is
of ¡nterpre- no less importont thon demorcoting their subject-motter. precisely
tation Lrecquse 'interpretotion' often appeors to be q rqther vogue ond
nebulous term (os mony of those who studied Germon or English
20 alrGllrr
I
Literary Studies: Subject-Matter, Major lssues and Research Domains
ot school con testify), it is importont to clorify which termino-
iì.,i.ot ond methodologicol criterio should be tulfilled by on onql-
.,.í. of o literory text. This roises certqin questions: Whot do we
tm"anUy
o literory onolysis or interpretqtion? Whot ore the oims
i""¿ li.nitotions) of such qn interpretotion? Whqt criterio should
interpretotion fulfil if it is to hove ony ocqdemic merit?
ì'ii "rory
betvveen the subiect- Literature
It is importont, firstly, to clorify the difference
nt.rory studies, ond the ocodemic discourse surrounding vs. academic
Åott"*f oll those fqc- discourse
ifris suU¡ect-motter. The subject-motter encompc¡sses
reoders and so on, which
iãit r".i-t os the literory texts, outhors,
were previously identified c¡s concerns of literory studies. The oco-
ä"miå ¿it.orrrie includes the theories, methods ond terms
by
a.orN of which literory studies onolyse ond clossiff this subiect.
On the level of the subject-motter, then, we find literory texts
*hi.h ot. chqrqcterised - os exploined obove - by their polyvo-
Ience. The scholors ond students who onolyse ond
interpret these
texts, however, toke heed of the conventions which govern com-
municotion within the qcodemic system'
A corresponding distinction is mode betlveen literory languoge, Literary lan-
or the longuoge of the subject-matter of literary studies, ond
ocq- guage vs.
demic or Jcholorly metqlonguoge. The longuoge of the subject- metalan-
motter is the ortisiicolly crofted longuoge of the literory text. The guage
term 'metolqnguqge', on the other hond, refers to every utteronce
thot focuses on thecode, i. e. the longuage itself. In contrast to the
ombivqlent longuoge of literoture, the metqlonguoge of literary-
studies is a speciolist longuoge, which must sotisfy the criterio of
crcodemic diicourse (for exomple, clority, use of well-defined ter-
minology, comprehensibility)' Those who recommend thqt litero-
qs possible ore
ture speáohsts ihould write in os 'literory' monner
literory text with ocodemic dis-
.otrf*it g the longuoge of the
course oñd metolqnguqge. It would be os logicol to recommend
thot on ornithologist give up studying birds qnd leorn to fly him-
self.
Às interpretotion frequently hos the reputotion of being
qn ortis- Literary
tic discipline which qt schooÌ only the teocher succee4s in master- reviews vs.
ing, or which involves purely subiective judgements ond tostes, it literary
máy be helpful to drow q distinction between the type of literory interpreta-
onálysis frequently found in the orts section of newspopers, ond tion
the stnolorty onoiysis ond interpretqtion of texts corried out by
those studying litemture ot university. À review in o notionol daily
ne*spopei oi in the Times Literary Supplement informs us obout
new publicotions ond ossesses their quolity, without moking ony
clqims of verifiobility or denying the subiectivity of its iudgements'
In controst to the metolqnguoge of literory studies, such reviews
often opprooch the style of literory longuoge. It would, therefore,
@ lnterpretation and Criteria for Literary Analysis 2L
 be erroneous to confuse newspoper or televised reviews of literq-
ture with literary interpretotion, ond to expect the some stondords
of entertoinment from one's lecturers thqi one expects from liter-
ary critics octive in the populor press. Insteod, we should be owore
that such populor forms of criticism ond ocodemic literory inter_
pretotion ore different sociol institutions, pursuing entirely differ-
ent objectives.
Vqrious terms, the most common being ,onolysis,, ,interpretotion,
Analysis - irnportont insights of hermeneutics. Put simply, this meqns thqt
lnterpre- ond 'reoding', o-re employed to describe the process of exomining
tation - literory texts. The expression ,textuol anolysis, refers to the sysl
temqtic exominqtion of o text in terms of its individuol compo_
Reading
nents. Anolysis hqs less to do with reloying the meoning of o tèxt
thon with describing its formal and themotic chqrocterislics in the
most precise woy possible, thot is to soy, with describing the modes
of representotion which ore used to generote meoning. Textuol
interpretotion, on the other hond, focuses primorily on exploring
the potentiol meonings of q text ond formuloting hypotheses con"-
cerning how it should be understood. The precise onolysis of q text
is o prerequisite for its successful interpretotion. Modern criticol
opprooches frequently ottock the notion of ,interpretotion, qnd
reploce this term with 'reodings', by which they stiess thqt there
is no single meoning qnd correct interpretotion of o literory text,
but rqther o voriety of possible woys of deriving o meonirrg f.om
or qttributing o meoning to 0 text.
Factors that The complexity of this process of textuol interpretotion becomes
influence cleqr when we exomine the numerous foctors thot influence our
the under- understonding and interpretqtion of a text (see Gnares 19g1o:
standing 21ff). À4ost importont for o simple understonding ore the text
and inter- itself, the longuoge skills qnd generol world view of ihe reoder; the
pretation of linguistic-meoning of the text qnd the concrete meoning thot is
qttributed to it, ond, finolly, the context. In the cose of ãn
a text inter_
pretotion, however, vorious other fqctors con be influential, most
importontly, the text written by the interpreter, without which the
primory text would not be occessible to others, and the longuoge
of the individuol interpreter.
Hermeneu- Literory studies hos reocted to the complexity of the process of
tics understanding ond interpreting texts by developing
þorticulor
methods of interpreting literory texts. The term ,Ìiermeneutics, is
generolly used to refer to the process of interpreting ond exploin_
ing texts. An interpretotive understonding is reoched, on the one
h9n{, by meons of a grommoticol qnd rhetoricql exominotion,
which con uncover the linguistic meoning of o text; on the other
hond, it involves identifying ony figurotive significonce beneqth
the literol level of meqning. The interpretotive methods of herme-
neutics qnd other opprooches (see chopter 2) are, in o mqnner of
22 AñrñÌr L¡terary Studies: Subiect-Matter, Major lssues and Research Domains
I
J
who wishes their
speoking¡ rules thot must be observed by onyone
interpretotion to hove scholarly merit.
Given the numerous fqctors thqt influence our understonding
of Hermeneu-
ã text, it should come qs no surprise thot our comprehension of tic circle
ports of the text ond thot of the text os o whole ore mutuolly
,ingl"
de/enãent. The view thot we reoch on understqnding of o text by
måving within the so-cqlled hermeneutic circle is one of the most
we^must opproach the whole vio its potts ond the ports vio the
whole (HaNs-Geonc Glo,tven). The hermeneutic circle, however,
opplies not only to the relationship of interdependence between
thé single elements qnd the whole of the text; it also refers to the
interdependence of linguistic understonding ond foctuol knowl-
edge (see Vocr 2001.: 60) os well os of the informotion conveyed
by the text ond the interpreter's previous knowledge: "We constilute
our frrst assumptions about the whole from our own world view; we then
analyse the parts, draw conclusions from the parts for a more concise
understanding of the whole, and on the basis of this understanding,
begin again to constitute the parts." (Peren RusrenHolz, in: Anuolo/
DereRrNc I99 6 I 2O1l 124)
In oddition to the oforementioned fqctors thot influence our Additional
understonding ond interpretotion of o text, there qre additionql factors that
foctors thqt con influence the interpretotion of literory texts (see influence
Gn¡ees 1981o: 24ff.). These include the outhor, os well os his lon- the interpre-
guoge ond world view; those who qre involved in medioting the tation of
iext ond its meonings; the political, socio-economic ond cultural texts
context; references to other texts ond genres; the contemporory and
Ioter reception of the text qnd its interpretotive trodition. Admit-
tedly, these fqctors can only influence on interpretotion insofqr os
the individuql interpreter is owore of them qnd con thus bring them
to beqr on the process of interpreting the text. Literory interpreto-
tions qre therefore subiect to numerous historicol voriobles, to an
even greoter extent thon other forms of textuol understonding.
The model of literory communicotion which oppeors obove Sequence of
presents the three fqctors quthor ì text -+ reqder iryaccordance factors influ-
with the logic of the genesis of the text ond of literory production. encing tex-
However, we should note thot the processes of reoding and inter- tual inter-
preting o text ore bosed on o different chronology. Insteod ofthe pretat¡on
outhor, who con ploy o port in the process of interpretotion only
insofor as the interpreter knows onything qbout him ond opplies
this knowledge in the course of his interpretotion, it is the text thot
represents the point of deporture. Drowing on his linguistic ond
foctuol knowledge, the interpreter ossigns o particular meoning
to the text which is then recorded in his written interpretotion.
This sequence con be represented os follows:
@ lnterpretation and Criteria for Literary Analysis 23
 intèrprêter's
l¡steneri
text linouistic
--) reader/
--+ ,"j'räìur --+ meanlns
-+
intelpfeter
knowledge
Figure 1.3.: Foctors influencing textuol interpretot¡on
(see Cnaers 1 981 a: 31 )
The sheer voriety of factors thqt cqn influence the understonding
lmportance
ond interpretotion of literory texts is indicotive of the difficulty of
of other
moking relioble stotements concerning the meoning of o literory
disciplines
text. These foctors qlso mqke us more qwore of literory studies'
perenniol relionce on other disciplines: linguistics (porticulorly
historicql linguistics ond sociolinguistics) is central to determining
the meoning of a text; conclusions concerning the context, world
view ond reception of o work con generolly only be reoched with
prior knowledge of culturql qnd intellectuol history, philosophy
ond sociology; references to other texts, genres and medio ore only
intelligible to those well-versed in textuol onalysis os well os genre,
literory qnd ort history.
Criteria for This begs the question of which criterio on interpretqtion hos to
the interpre- fulfil in order to be clûssed os 'scholorly'. Firstly, ony interpretotion
tation of of o literory text "is required to reflect on the factors that have influ-
literary texts enced the interpretation, and to inform us about these factors" (Gmam
1.981o: 25). Those who compose scholorly interpretotions should
therefore not only moke explicit their premises, objectives ond
methodologicol presuppositions, but also be oble to give qn occu-
rqte qccount of the fqctors which hqve contributed to the compo-
sition of their interpretotion. Like oll other qreos of literory studies,
textuol interpretations should be meqsured ogoinst the yordsticks
that qre opplied to pieces of ocodemic scholorship in generol.
Among the most importont criterio for assessing the ocodemic
merit of on interpretotion, which ore olso opplied to the work
produced by students in the course of their literory studies, ore the
following (see Gnaees 1.98t12005:30ff.; Luowrc L994: 247ff .):
I precision, comprehensibility ond communicobility
I terminologicol clority
I logicol coherence ond systemotic opplicotion of onolyticol cot-
egories
I methodologicol clarity
I coherence of orgument ond conclusions
I consistency ond plousibility
I reference to ond criticql considerqtion ofprevious reseqrch
I documentotion of oll the sources qnd secondory literoture con-
sulted
I relevqnce, contribution to scholorship
24 a!ñ'ìã':t
'l.t Literary Studies: Sub¡ect-Matter, Major lssues and Research Domains
J
I concision ond revenue on efforts invested
w{tten
I intersubjectivity, or intelligibility ond verifiobility
inte¡
preÞtlon
The use of well-defined scholorly terms
qnd methods is q fundq- Termino-
mentol requirement, if interpretotions ore to meet these criterio. logical
Iust like every other brqnch of scholorship, literary studies hos its language
own stûndordised terminology, which enqbles us to discuss liter-
ory subiect-matter in o precise, sophisticoted ond economicol woy.
The categories qnd methods of literory studies represent o cleor
ond systematic meons of attoining plousible, coherent ond inter-
subjective results. If the interpretotion of o text, or indeed ony
other kind of scholorly composition bosed on literqture (including,
for exomple, o biogrophy of on outhor, q reconstruction of the
originol reception of o work or on investigotion of chonges in the
oesthetic criterio used by literory reviews) is to hove scholorly
merit, then it must fulfil the criteriq listed qbove.
f,f Types of Textual lnterpretation
The primory concern of onyone onolysing or interpreting literory lnterpreta-
texts, then, is to employ well-defined categories ond methods in t¡on as a
order to produce a precise ond comprehensible occount of the rational dis-
content, os well qs of the linguistic, formol, ond structurql chqr- course
qcteristics of literary texts, ond to interpret these choracteristics about tex-
ond their possible effects. It follows from this thqt the goal of tual charac-
interpretotion is not to investigote 'the' meoning of o text, ond teristics
certoinly not to determine the intention of the quthor. Insteod,
interpretotion con be described qs o rotionql discourse on the-
motic ond structurol textuql chorocteristics, os well os on the rela-
tionship between these chorqcteristics ond their potential
meoning(s). In proctice, the goal should be o synthesis between
the methodicol onolysis of textuql processes ond interpretotive
understonding.
It is olso importont to note thqt there is no such thing os 'the' Textual
interpretotion of o text, but rather vorious different types of inter- interpreta-
pretotion (see Srnuer L993:91), focusing on vorious ospects ofthe tion: theme
text. Among such ospects are the style, the theme qnd the structure vs. form
of o literary work. An initiql distinction con be mode between
themotic ond formql (thot is, structurol) interpretotions of texts,
the first of which focus primorily on the content, or the 'whot' of
o literory work (for exomple mqteriol ond motifs), whereqs the
Iotter focus on formol techniques, or the 'how' of its composi-
tion.
f,l fypes of Textual lnterpretation 25
 Y
Function However, the tosk of interpreting o literory work is not confined structural stylistic psychological inter-
to o description of its themotic ond formol chorocteristics; it is olso interpretation interpretation pretation
concerned with the function of these chqrocteristics. The term
'function'is one of the most frequently used terms in literory stud- goal identification of the identification of the explanation of (one
ies, ond con refer to o wide ronge of phenomeno, depending on structuring principle stylistic principle aspect of) the text
the individuol opprooch ond context. 'Function'generally meûns according to the
'the task, role, copocity or effect of o port or on element within o specific mental con-
lorger whole'. It is used more specificolly when opplied to the six dition of the author
functions of longuoge which were exploined eorlier (see chopter argumen- 'proof' of the structur- 'proof' of the stylistic 'interpretation' or
L.2., figure 1..1.). Moreover, it is helpful to distinguish between on tation ing principle principle psychological expla-
'internol function' (the function of elements or modes of represen- nation of the genesis
totion within o text) ond ûn 'external function' (the relotionship of the text
between texts ond outside foctors). Controry to the common erro-
imPlicit literary work = closed, literary work = unitary literary work = crea-
neous use of the term, it con be equoted neither with the intention
of o reql historicql outhor, nor with the octuol effect of a text on theory of structured whole, whole (organism); tion of an author
líterature autonomous autonomous; character- and therefore not
its reqders.
ised by stylistic harmony autonomous
Semantici- Since form-oriented interpretive opprooches olso tqke into account
the function(s) oftextuol chorqcteristics, they serve to investigote Table Ll .: Types of textuol interpretotion
sation of
the so-called'semonticisqtion of literory forms': they proceed from (see Axer SeRre, in: EtcHtn/W¡vnNN 19961201 0: 180)
literary
forms the premise thot literory modes of representotion ond literory
It is not the text itself thqt determines the type or gool of ûn inter- Objectives
structures function os independent cûrriers of meoning, which con
pretqtion, but rother the individuql interpreter ond his or her spe- of the inter-
ploy o centrol port in the qllocotion of meqning by the recipient.
The concept of the semonticisotion of literory forms, which goes
cific ongle of enquiry. The types of interpretotion listed obove preter
represent different woys of interacting with Ìiteroture, ond serve
bqck to Russion Formolism qnd the Progue School, investigates
diverse interests: " Structural, stylistic, psychological interpretations, to
the semontic function of ortistic techniques. It is concerned less
name but a few, are ways of interacting with literature, or behavioural
with the externol composition of literory works thqn with the way
modes, which were created on the basis of specific interests and were
in which poetic techniques of representqtion cqn contribute to the
not, so to speak, drawn from or dictated by the text. No text forces the
process of constructing meoning. The onalysis of formol processes
scholer ofliterature to adopt a structural or psychological interpretative
of representqtion con yield useful insights into the potentiol approach; the text cannot determine the interest or the goals of the
meoning(s) of o literory work.
scholar of literature." (Srnute t993: 94) It follows, therefore, thot
Types of The brood spectrum oftypes oftextuol interpretotion extends for onyone emborking on on interpretotion of o text must first choose
textual beyond o bosic differentiotion between themotic qnd formql o fruitful ongle of enquiry ond cloriSz their gool, methods, ond
interpreta- opprooches, however. In the finol onolysis, there ore os mqny the theoreticol ossumptions implicit in oll of these.
tion different types oftextuol interpretotion as there ore theories ond
methods in literory studies (see chopter 2). Eoch of these vorious
opprooches tqkes different fqctors into occount during the inter- Gl Fields and Research Domains in Literary Studies
pretotive process (for example, the outhor, the world view qnd
ideqls dominont qt the time of q work's genesis, the culturql con- As wos mode cleor in the course of the discussion concerning the Fields of
text, ond so on). In oddition, the vqrious types oftextuol interpre- subiect-motter of literory studies, the fields in English ond Ameri- study
totion differ in their ongles of enquiry ond their gools, os well crs con literory studies ore not by ony meons only concerned with the
the kind of orgumentûtion ond the theories of literoture they interpretotion of the mojor works written in the English longuoge.
imply. Some of the mostwidespreod types of textuol interpretotion The onolysis ond interpretqtion of literary texts do, in proctice,
and their most importqnt chorocteristics qre represented sche- comprise o lorge port of literory studies; however, the discipline is
moticolly in the diogrom below (see Srnuee 1993). qlso concerned with other subject oreos, fields of enquiry ond
methods. Àmong the reloted fields of study is the investigotion of

26 {?t!ñìtìñ'it . Literary Studies: Subiect-Matter, Major lssues and Research Domains f,f fields and Research Domains in Literary Studies 27

l
 oll the other ospects of the literory system (for exomple, the pro-
duction, mediotion, reception ond processing of literoture) which
qre included in the model of literary communiccrtion presented
above (see chopter 1.2., figure 1.2.). In oddition, literary studies
ore concerned with o number of fundomentol questions, which
go for beyond the onolysis of individuol texts. A further importont
qrea of enquiry is thot of historicql chonge within the literory
system ond in literory forms of expression.
A preliminory distinction con therefore be mode between system-
Systematic
vs. historical otic ond historicol oreos of enquiry. The former of these focuses
areas of on fundomentol ond timeless ûspects, whereos the lotter is con-
enquiry cerned with the historicol development of the objects under inves-
tigotion, whether they be literory texts or phenomeno within the
Iiterory system. However, in the context of literory studies, these
tvvo oreos qre very closely reloted, os the mojority of systemotic
questions con only be qnswered odequotely if due considerotion
is given to historicql fqctors.
Central Literory studies cqn be schemoticqlly divided into three reseqrch
concerns domoins, eoch of which focuses on a different oreo of enquiry ond
of literary uses different methods; they ore literory theory, textuol onalysis
studies or interpretotion, ond literory history. These areqs do not by any
meqns occount for the discipline in its entirety; insteod, they com-
prise the centrql oreqs for o student of literqture. For from being
homogeneous, these reseorch domoins con themselves be divided
into further sub-cotegories.
In generol, literory theory focuses on the systemotic oreqs of liter-
Literary
ory studies. These include certoin fundomentol questions (for
theory
example, the definition of literoture ond theories of interpreto-
tion) os well os categories which enoble us to order the objects of
enquiry in q methodicql ond structured mcrnner (for exomple
genre theory). Literory theory olso includes literory oesthetics (the
bronch of philosophy deoling with beouty ond toste), poetics (the
description of literory ort) ond genre theory. It comprises a brood
spectrum of competing opprooches, models qnd methods, which
will be systemotised in the second chopter.
A second centrol areo comprises the onolysis ond interpretotion
Textual
of literary texts, which were discussed to some extent obove.
analysis and
Thonks to the wide voriety of literory genres ond medio, this oreo
interpreta-
tion includes o lorge number of onolytical cotegories ond methods
specific to these genres and medio, the most importont of which
will be discussed in chopters 3 to 6.
Literary The third reseqrch domoin of literory studies is literory history,
history which focuses on historicol oreos of enquiry into the development
of literqtures written in English. Like the disciplines of English ond
28 lllilìrñìl 'l Literary Studies: Subject-Matter, Major lssues and Research Domains
l
Arnericon studies, the brood field of literory history con be divided
qnd Americon literoture.
into (ot leost) two moior oreos: English
These fiMo centrql oreqs hqve been ioined over the post decodes
histories of a number of New English Literotures (see chop-
by the
ßr 7).
In addition to these centrol oreos, Iiterory studies olso includes o Further
number of other importont fields, such os textuol criticism ond fields of
scholorly editing. These reseorch domoins focus on ossessing the study:
reliability of textuol editions; this is on extremely importont ele- textual criti-
ment of the study of older texts. They qre qlso responsible for cism and
supplying us with onnotqted (or criticol) editions of major works, scholarly
which include detqiled criticql commentories on the text (for editing
exomple, informqtion on the genesis ond tronsmission of the text,
o selection of textuql vorionts, documentotion of the reception
history ond interpretotive explonotions).
Literory theory, textuql onolysis ond interpretotion, ond literory Relationship
history ore not discrete ond seporote oreos ofenquiry; they ore in between the
foct very closely reloted. Literory theory occupies o centrol position research
in this relotionship, os every textuol interpretotion ond liter<rry domains
history is bosed on porticular theoreticol preferences, even ifthey
ore not ocknowledged. None of these three reseorch domoins
should be omitted, however, os the student who concentrotes on
Ìiterory theory, models ond methods moy lose sight of the text
itself ond of literory history, thus neglecting the core of the disci-
pline; while o student who only focuses on the texts without giving
due considerqtion to theory, models ond methods, risks founder-
ing "wordless and open-mouthed" before the literoture ond inter-
preting it in o purely subjective ond impressionistic monner.
Every effort should be mode to develop o mind-mop of eoch of Mind-maps
these three reseorch domoins as soon os possible, os this 'mop' of subject
will enoble the student to nqvigqte his or her woy for more effec- areas
tively through the moze of subject ûreos, opprooches, ongles of
enquiry and literory histories. Such on overview is necessary in
order to be oble to moke on informed choice from the wide ronge
of courses on offer ond to fit these courses into some kind of over-
orching fromework. It con qlso aid students in overcoming their
initiol (ond, unfortunotely, often iustified) impression of hoving
very little firm ground beneqth their feet. The models presented
in the following chopters are meqnt to serve os such'mops'in thqt
they ore to help students orientote themselves in this initiql phose,
to enoble them to fit the subject oreos ond topics covered in their
Iiteroture closses into o lorger disciplinory fromework, ond to
qssist them in deciding how to broqden their knowledge ond skill
bose in a systemotic mqnner.
@ fietds and Research Domains in Literary Studies 29
 ffi Classifications in Literary Studies: Genres and Periods An Overview of Literary Genres

Classifica- One of the gools of literory studies, as of other ocqdemic disci- literary texts
tions plines, is to describe, clossi$z ond interpret the objects of enquiry
os precisely os possible. Therefore, o voriety of literory terms hqve dramatic
lYri< narrative
been coined, which serve to order ond structure the discipline. texts

/t
texts texts
These enoble us to clossify the multitude of texts, ond thus to
eprc
impose some order onto the, ot first sight, chootic qnd diverse ode
proliferotion of literory works. As a glonce in ony literory history I

sonnet novel
short story ì'"n"0'
novella comedy
will confirm, there is lorge voriety of criterio for the differentiotion
fable
ond cotegorisotion of texts; some of the most common ond most
importont of these criteriq ore listed in the toble below. cr¡me novel
bildungs-
language literature in the Cerman, English, Romance, etc. roman

languages
nation Cerman, English, Scottish, American, lrish, French
national Iiteratures
categories of aesthetic high-brow and low-brow literature, popular literature,
evaluation pulp fiction
sociological categories children's, women's, working class literature
historical categories classical, medieval, contemporary literature
media-related categories oral, written, audiovisual literature
relation to reality realistic and mimetic (from 'mimesis' meaning 'imita-
tion') versus fantasy (anti-mimetic) literature
conventionality of mode of traditional versus innovative or experimental literature
representat¡on
Table 1 .2.: Criteria for the clossificotion of texts
Genres and One of the most importont, ond the most helpful, cotegories in
text types literory studies is thot of the literory genre¡ or the 'text type', in
the cose of non-fictionol texts. However, olthough in theory there
is o system of distinct genres ond types, the different kinds of texts
octuolly form o continuum, with permeoble boundories between
the vorious cotegories. The following tree diogrqm suggests o
typology of the most importont literory genres.
historical
novel
Figure 1 .4.: Typology of literory genres (see NÜ¡¡t¡lNc/Jucren 1999: 66)
The term 'genre' is derived from the biologicol term genus, ond Generic
refers to o group of literory works thot shore significont choroc- features
teristics in terms of content, form ond/or function. Such 'generic
feqtures' or'generic conventions' do not only serve qs o clqssificq-
tory system for literory works, they ore olso importont signposts
for outhors ond recipients. Genres ere "constructs based on socio-
cultural, Iiterary and social consensus" (Vossravl 1992: 256), which
monifest themselves in the form of groups of texts.
Vorious criterio ore employed in order to clossify qnd differentiqte Criteria for
betvyeen genres, including externql form (for exomple, length; generic clas-
verse or prose composition) ond medium (book; stoge, rodio or film sification
production; see chopter 6). Ànother widespreod, but more prob-
lemqtic form of generic clqssificotion is bosed on themotic criterio.
Content-bqsed genre typologies ore useful insofor os they con give
o preliminory themotic ond contextuol view of o group of texts.
However, such content-bosed clossificotions qre qlso problemotic
in thot they risk devoting so much ottention to sifting through o
potentiolly Ìimitless voriety of themes thot they neglecf the repre-
sentqtion techniques qnd the specific literory quolities of the texts
under considerqtion. Those typologies thot ore bosed on stylistic
ond textuol ospects, by controst, focus primorily on the formol chor-
octeristics, ond therefore the specific literory quolities, of q text.
Models of the genre system such os the typology of literory genres Genre
sketched obove should not blind us to the fqct thot single genres, system and
ond, indeed, the entire genre system, ore subject to historicol o"nr"
chonge. Genres qre not otemporol 'noturol forms of literoture' ãhung*

30 fll?ñ'tñîì Literary Studies: Sub¡ect-Matter, Major lssues and Research Domains !l Classifications in Literary Studies: Genres and Periods 31

l
 (|ouaNru Wolrcaruc voN Gorrur), but rother historicolly condi-
Y
qbove olso influence the struc-
tioned modes of communicotion ond forms of convention. This is The orgonisotionol cotegories listed Structure of
illustroted by the cose of the novel, todoy the most common genre, i,,re of the present volume, which is concerned primorily with the the present
which rose to prominence in the 18th century, olthough it wos most importont genres. The second chopter offers on introductory volume
preceded by vorious forms of norrotive prose. ,.,verview of the noture ond opplicqtion of the most importont
tneories, models and methods of literary studies in the form of o
Genres and The brood spectrum of genres within the literotures of the English woology. The four subsequent chopters ore introductions to the
text types longuoge noturolly extends for beyond the typology sketched ãnotysis of the three main genres (poetr¡ dromo ond norrative)
beyond the obove, which includes only the three moin genres (lyric, dromotic os well os to
the onolysis of medio genres. The finql chapter com-
three'main qnd nqrrotive texts). We could odd, for exomple, the genre of the Drises on explonotion of the most importont terms, problems ond
genres' essoy, which is porticulorly volued ond widespread in the Ànglo- iorms in literory historiogrophy, ond on overview of the mojor
Americqn sphere. There is olso o voriety of genres locoted ot the periods of English ond Americon literory history.
intersection of fictionol ond non-fictionol writing, in which Eng-
lish ond Americqn studies hqve been toking increosing interest in
the recent post. These include sermons ond other religious writ-
ings, pedogcgicol trocts, morol weeklies qnd mogozines, histori-
ogrophy, trovelogues, Ietters, diories ond memoirs, fictionol ond
non-fictionql biogrophies ond outobiogrophies, street balìods,
pomphlets ond vorious forms of populor literoture ond populor
culture (for exomple, reolity TV, docu-dromo, cyberpunk).
Modes of In qddition to the genre system, text types con olso be clqssified
writing by reference to the mode in which they ore written. 'Modes of writ-
ing'is o brood ond often imprecisely used term, which hos qt leost
two moin meonings: it cqn be used in o more precise sense to refer
To "ahistorical constants such as the natative, dramatic and satirical"
(Htrvrnren 1,973: 27), ond olso more loosely os on umbrello term to
designote vorious different textuol structures such os metophor,
rhetorical figures, norrotive form ond so on (see chopters 3 to 5),
os o virtuol synonym for 'modes of literory representotion'. The
former norrow use of the term ollows us to moke o clear distinction
between 'mode of writing' ond terms such os 'genre'or'subgenre',
the "concrete historícal realisation of these general modes, such as
satirical verse, novel, epic and so on" (Hrvnren 1.973: 27). Kl¡us W.
Hevpr¿R olso mokes o distinction between 'primory modes of writ-
ing', which " canbe used only in particular speech situations (for exom-
ple, narrative in a report, dramatic in a performative context), whereas
secondary modes of writing (the comícol, the satirical, and so on) can
occur in various types of speech situations" (fbid; 225).

Periods A further importont orgonisotionol c<rtegory in literory studies, in

oddition to thot of the genre, is the concept of the 'period'. Period-
izotion enobles us to subdivide the history of literoture into o
chronology of'oges' or phoses. The term 'period' refers to o spoce
of time or phose of vorioble length, in which literory works shqr-
ing porticulor ideologicol, themotic, formol or stylistic feotures
(olso known os the 'period style') originote.

32 Gt!7Gtîtìr .l Literary Studies: Subject-Matter, Major lssues and Research Domains

[l Classifications in Literary Studies: Genres and Periods 33
I

-t
 .tÞ
¡

"çf
literory theorists, succinctly summorised the ogendos thot fre-
,Æ* Literary Studies: Theories, Models and quently lie behind hostility to theory in the quote thot heods this
chopter: rejection of theory is indeed often merely hostility towords
ßfÎllFfffil Methods the theories of other people, ond frequently meons thqt one hos
forgotten, or is rrt leqst insufficiently owore of, one's own theo-
people's theo.ríes qnd an oblivion reticql presuPPositions.
Hostility to theory usually means on opposition to other
qnd ollow
of onei own. one purpose of this book is to tift that repression
ïi:-ítfl:iî:l The opposition between o theory-oriented qnd o'direct'or'undis- Conscious
torted' opprooch to literory texts, much touted by the 'qnti-theo- and explicit
rists', therefore reveols itself to be o folse one. Whqt is ot issue is use of
not whether or not scholars of literoture use porticulor theories, theory
models ond methods, but rother, how conscious they qre of their
n The Use and Necessity of Literary Theory theoreticql ond methodologicol premises, ond how explicitly they
present the categories they use: "The question must be put whether
A preliminory ocquointonce with the most importont
opp-rooches
The theory precondition for goin- the model is merely a set of the scholar's assumptions, that is, relatively
ori¿ irrrr", in iiteráry theory is on importqnt
boom unconscious. Or does it consist ofa set ofconsciously chosen categories,
i"ã ã" i"tight intó the värious fieids qnd reseqrch domqins of
is not eosily collected in a scheme which allows reflection, criticism, and thus devel-
en"gfisn qnd"Americon studies. Such on ocquointance
however, ond the following typology of literory theories' opment? " (BouHenu t99O: 37)
obtqined,
progressive trend
models ond methods is intended os ã guiae. The In oddition, todoy's students of literory ond culturol studies must, Necessity of
been in evi-
towqrds theorisotion in literory studies, which hqs for vorious reûsons, fomiliorise themselves with theoreticql theory
in o multitude of competing
dence since the 1960s, hos resulted opprooches qnd terminology as o motter of necessity. A glonce at
qlso offects English crnd Àmeri-
;;;;;".h"t ond methods, which
ond models is a
q lecture list of q Germon, British or Àmericon university should
cän studies. Whether this increose in opprooches suffice to convince onyone thqt this oreo is of ever greoter impor-
question' ond
positive or o negative developmentis ocontentious tonce in English qnd Americon studies syllobi. Moreover, o steod-
åpi"io"t .ongu"frorn insistence in the undenioble usefulness ond ily increosing proportion of secondory literoture is only occessible
i-tiairj""t"Uitity of theory, through o sober evqluotion of the to those with q basic knowledge of recent literory ond culturql
ãarroïtog", ond disqdvontqges, to qn open, ond even militont' theory. A fomiliority with theory qnd aworeness of methodology
hostility to theorY. are therefore necessory for independent qcodemic study, porti-
it is ¡tot culorly in view of the fqct thqt most scholorly books and esscrys
Attitudes However inclined we moy be towords the finol position'
ond methods is con only be evqluoted with the help of these tools. In oddition,
towards o páttl."totty helpful stoîce. To dismiss theories
Iike the proverbiol ostrich' The students con exploit the merits of their preferred theories ond onq-
theory to hide orr"', h"oà in the sond,
qction is thot the threot lyticol cotegories in their written coursework, by testing the vori-
well-known disodvantoge of this course of
meráy becouse one-hides from it' Understqnd- ous opprooches ond selecting those models ond methods thqt ore
does not disoppeor
theory moy be' most suited to their topic, to the texts they ore discussing, ond to
able though pñobio and scepticism with regord to
ore likely to their argument.
there qre ã number of reosons why such ottitudes
prove counterproductive to the success of one's studies' The question os to why it is useful ond importont toJomiliorise Usefulness
qnolysis ond obser- oneself with certoin fundqmentql theories, models qnd methods
Omni- It is now generolly occepted that every form-of of theory
iheory of some kind' For those of us con- in the eorly stoges of one's university cqreer is not hqrd to onswer.
votion hãs its bqsis in
presence of literory The moin orgument is thot these concepts ore indispensoble qno-
cerned with literoture, this implies thot literory studies'
theory ond even l¡icol tools, which enoble the student to formulote the premises
historiogrophy, textuol interpietotion of every kind'-
qll ond orguments of their literory onolyses, to describe textuol phe-
bqsed on
tt oru oiptåoches which clqim to be 'theory free" ore
ond interpre- nomeno in on oppropriotely differentioted monner, ond to render
o ,t,rrnü"ì of theoreticol ossumptions' If on onolysis their onolyticol opprooches trqnsporent ond their interpretotive
in the first
totion of o literory text is to fufil the criterio listed qnd
plausibility coher- conclusions comprehensible. A fomiliority with theoreticol boses
.fråpt"t (for exomple, intersubiectivity, qnd methods is importont, then, becouse their trqnsferobility en-
th"r, it must acknowledge its theoreticol foundotions' T¿RRv
"rr.å¡, (1983/2O08: viii), oie of the most prominent English
eecreioN

34 G¡[!@t - ) Literary Studies: Theories, Models and Methods

tl the Use and Necessity of Literary Theory 35

1
 7
obles the student to ûccess literory texts without help from the
Iecturer. A course of study which is oriented towords theory ond
method is therefore neither qn end in itself, nor o meons of scoring
owoy the young literqture enthusiost. It is rother on importont
prerequisite for ocquiring trqnsferqble skills ond progressing inde-
pendently to more odvqnced opprooches.
tl Theories, Models and Methods: Terminology
Although the terms 'theories', 'models' ond 'methods' ore fre-
Theories
quently used synonymously in literory studies, they con octuolly
be cleorly differentioted. The term 'theory' refers to explicit,
detailed, organised ond consistent systems of cotegories, which
ore used to investigote, describe ond exploin the subject-mqtter of
the respective field. Theories ore expected to give o full occount of
their terminology ond structure, qnd to be unified, systemotic ond
intersubjective. Within the discipline of literory studies, many
theories hqve been developed that deql with porticulor ospects of
Iiteroture (for exomple, the production ond reception of literory
works, the relotionship between literqture ond its context, the sys-
tem of literory genres); however, literory studies hove olso odopted
theories from many other disciplines in the humonities.
Models Models ore formol or graphic representotions of o theory or o
component port of o theory. Despite the loose woy in which the
term is frequently used, models con be identified by o number of
specific chorocteristics. Models ore olwoys representotions of
something; they ore concerned only with the limited number of
chorocteristics thotore regqrded os relevont forthe oreo of enquiry.
The structure of the model is therefore determined by the ospects
thot ore selected. In literory studies os in other disciplines, models
represent o meons of reducing complexity, as they ottempt to pro-
vide qn overoll, schemotic representotion of complex subject-mot-
ter. Àmong the models thqt have been influentiol in literory stud-
ies qre the communicotion model presented in chopter 1 (see
Figure 1..2.), diogrommotic representotions of literory genres (see
Figure 1.4.), ond Fn¡Nz K. St¡trzer's typologicol circle of norrqtive
situqtions (1,97912OO8), which will be introduced in chopter 5.
Methods The term 'method', which in Greek meons opproximotely'the way
towords something', refers to well-defined, plonned ond therefore
olso verifioble procedures for deoling with something. It refers to
the meons by which one reoches o particulor goal. Methods ore
composed of o systemotic sequence of rules, principles ond ono-
lyticol stoges, which follow o porticulor ongle of enquiry or point
of deporture in pursuit of o particulor predetermined gool. Differ-
36 fÎñ'irn -) Literary Studies: Theories, Models and Methods
1
ent methods con yield different results. focHeN Vocr (2001: 209)
qÍves o concise occount of the woy in which they differ from eoch
óther: "From a systemqtic point ofvíew, one'method'of interpretation
díffers from another in that it designates certain aspects of the text as
ifiportant and integrates them ínto an argument, and simultaneously
ignores or disregards other aspects (which are perhaps privileged by
anolher, comPetíng method). "
A number of other terms qre qlso used to refer to the theoreticql
ond methodologicol foundqtions of on onolysis, For exomple, the
'Approach-
es','proce-
terms 'opprooches', 'directions' or 'frqmes of reference/onolysis' dures'and
qre often employed insteod of 'theories', while methods ore fre- similar terms
quently being referred to os'procedures','interpretative/anolyti-
col processes'or (ogoin) 'opprooches'. The term'opprooch'is qlso
often used to designote the bqsic theoreticol ossumptions ond
methods preferred by scholors who 'opprooch' literqture in a woy
thot is distinct from those odopted by other groups of scholqrs.
However, the immediqte priority for the student is generolly to
ottoin some kind of overview of the plethoro of opprooches, ongles
of enquiry ond methods of literory studies, regordless of the terms
in which they are couched. The following section oims to provide
qn overview.
iust such
f,l Approaches and Methodologies of Literary Studies:
A Typological lntroduct¡on
As we sqw in the explonotion of the vorious types of textuol inter- Methodolo-
pretotion in the first chopter, literory studies comprise o lorge gical plural-
number of different theories ond methods. This 'methodologicol ism
plurolism' moy ot first seem dounting, but it hos its odvontoges,
too, for mony of the approoches summqrised below con qlso be
applied to other mediq genres (see chopter 6). In order to do justice
to these diverse ongles of enquiry ond objectives, o lorge qrsenql
of different theories ond methods must be opplied. The method-
ologicol plurolism thot currently exists in literory studies is, then,
to o lorge extent o consequence of the plurolity of objects ond
gools of study.
In whot follows we will present o typology (i. e. on overview sub- Use of a
divided into different types) of the mqin theoreticol opprooches in typological
order to ossist students in finding their woy through this bewilder- iitroduction
ing methodologicol plurolity (the word'approoch'is here used in
the sense of 'bqsic theoreticol ossumption', see obove). This typol-
ogy oims to provide guidonce in clossifying the vorious theoreticql
currents. Also, it highlights the diversity of ways in which one cqn
opprooch o literory text, ond the vorious ospects oftexts thot ore
[l Approaches and Methodologies of Literary Studies: A Typological lntroduct¡on 37
 privileged by specific opprooches. In the following short introduc-
tion of the most importont types of opprooches qnd methods we Historlcal reality as context
oim, firstly, to exomine which ospects of the broqd field of literory o Sociological and Marxist approaches
studies provide the focus of eoch qpproc¡ch, ond, secondly, to iden- a Feminist approaches
tify ond exploin some of the most importqnt chorocteristics of the O New Historicism
vorious opprooches ond methods. o Cultural Materiâlism

Communica- The various theoreticol opproc¡ches in literory studies cqn be Text-oriented

roughly divided into groups (occording to the respective objects of Author-or¡ented Reader-oriented
tion model approaches approaches approaches
as a frame enquiry). A frome of reference for such o systemotizotion of the
of reference plethoro of opprooches cqn be found in chopter L in the form of . B¡ographical aPProaches o Text-intrins¡c o Reception Aesthet¡cs
a Psychoanalytical approaches a H¡story of Reception and
the model of literory communicotion (see chopter 1.2.). The vori- approaches a Fo¡malist/Structuralist Effects of Works
ous groups of different opprooches eqch concentrote on one ele- a Stud¡es of a text's genesis approaches o Empirical Reception Studies
and its Place within an a Poststructuralism/ a
ment of this model, or they consider the vorious elements to be author's oeuvre
Reader-Response Crit¡cism
reloted to one qnother in porticulor woys. Deconstruct¡on a Cogn¡tive Narratology

Text- between text- qnd context-oriented

À preliminory distinction
oriented vs, opprooches con be mqde on the bqsis of whether on opprooch
context- focuses on the literory work itself or on its relotionship to the
oriented vorious contexts in which it is situqted. Following on from this
approaches distinction, vorious types of context-relqted opprooches con be
identified occording to the different kinds of contextuol relotion-
ship (outhor - text, text - historicol reolity, text - other texts or
text - reoder). Moreover, both quthor- and reoder-oriented
opprooches con be primorily psychologicol, primorily sociologicol
or primorily historicol in orientotion. The following diagrom
illustrotes which ospects of the chqin quthor - text - reqder - his-
toricql reolity ore of prime concern to the vqrious opprooches ond
methods.
a Cender Studies
Other texts as context
o Postcolonial Criticism
a Sources and lnfluence Studies o Empirical Literary
a Studies in lntertextuality and lntermedial¡ty
Theory
Figure 2.1.: Theoretical opprooches ond methods in literory studies
(see Nütu.ttttc/lucKER I 999: 6O)
Iext-oriented opprooches qre concerned primorily with motters Text-
reloted to the onolysis of themotic, formol or linguistic chorqcter- oriented
istics of literory texts. Due to their focus on the text itself, some of approaches
these methods ore qlso described os 'text-intrinsic' or 'intrinsic'
qpprooches (the German lerm' w erkimmanente I nte rpret ation' lnav -
ing become well estqblished in Germon studies). For o long time,
New Criticism wos the most influentiql text-oriented opprooch in
the Ànglo-Americon sphere; however, text-oriented opprooches
qlso include textuol criticism, stylistic interpretotions ond qll
opprooches concerned with the content of o work. Among the
Iotter ore, for exomple, certoin currents in feminist lite¡ory theory
such cts imoges-of-women criticism, which subjects literory repre-
sentotions of women to criticol exominotion.
Formqlist ond structurolist opprooches, which cqn be counted Structuralist
omong the 'structurol interpretations' presented in chopter 1..5., approaches
should olso be clossified as predominontly text-oriented. Such
opprooches deliberotely disregord contextuol ospects qnd concen-
trote on providing c¡n exoct description of the structurql feqtures
of literory texts, for exc¡mple, the plot structure of dromotic ond
nqrrotive texts (see chapters 4 ond 5). Structurqlist opprooches ore

38 tt'lt.vttit ,-¿ Literary Studies: Theories, Models and Methods [l Approaches and Methodologíes of Literary Studies: A Typological lntroduction 39
 Y
therefore less interested in the meoning of literary texts thon in
techniques of representotion or in processes of constituting meqn-
ing.
Post- Further exomples of primarily text-oriented opprooches con olso
be found omong the more recent currents in French literory theory,
structuralist
approaches generolly subsumed beneoth the heodings 'poststructurqlism' ond
'deconstruction', which hove hqd o losting influence on literory
studies, especiolly in the United Stotes. However, such theories
differ fundomentolly from other text-oriented opprooches. Text-
intrinsic ond structurolist opproaches emphosise the ombiguity
of literoture, but they olso ossume eoch literory text to be unitory
qnd to form o closed structure. Deconstructionist opprooches, by
controst, which toke the concept of différance/différence, coined by
flceues Dennroa, as their wotchword, ore concerned neither with
finding 'the' meoning of o text, nor with onalysing its structure.
Insteod, such opprooches oim to formulqte qn exoct description
of the text's internol differences, discontinuities ond controdic-
tions, thus negoting the ideo of o unitary meqning.
Author- In complete controst to text-oriented opprooches, outhor- or pro-
oriented or duction-oriented opproaches focus on the production or the gen-
production- esis of the literory work. Typicol exomples of this ottitude towqrds
oriented Iiteroture, which is nowodoys regorded qs rqther possé, can be
approaches found in biogrophicol opprooches, which investigote the possible
influence thot the biogrophy of the quthor could hove hqd on q
porticulor work, or treot literory texts os biogrophicol sources.
Psychoonalyticol opprooches ottempt to oscertoin the role thot
certoin childhood experiences qnd the psyche of the outhor play
in o porticulor work, or to drow conclusions from o literary text
obout the unconscious of the outhor. Rhetoricql studies (the study
of oration) ond studies which focus on the genesis, production ond
revision of o text, or which onolyse the text within the context of
qn quthor's æuvre, ore qlso outhor- or production-oriented.
Reader- Unlike some of the now rother ontiquqted outhor-oriented
oriented or opprooches, methods of studying the relqtionship between text
reception- ond reqder have only been in existence since the 1970s. Recep-
oriented tion-oriented opprooches shift the focus owoy from pure textuol
approaches onolysis towords the reception or processing of o literory work by
the reode¡ ond con be separoted into tvvo sub-cotegories. The first
is concerned with the text qnd its potentiol meanings or effects,
ond with the woys in which these could hypotheticolly be reolised
by the reoder. This sub-cotegory includes reception oesthetics ond
reoder-response criticism, both of which qre concerned with the
potentiol of meoning inherent in the literory work. The second
sub-cotegory is concerned with the octuol recipient ond reception
40 *:¿ Literary Studies: Theories, Models and Methods
Drocess qnd includes empiricol reception studies, which qre con-
äerned with the octuql impoct of texts on reol-life, contemporûry
reoders. Situated between the two sub-cotegories ore reception his-
tory ond the history of oesthetic effects, which investigote the hori-
zon of expectotions of the originol (reoding) public ond the his-
toricql reception of o literory work.
Like reception studies, opprooches which focus on the relotionship Studies in
between o specific literory work ond other texts ond media hove ¡ntertextu-
been booming for some yeors now. These opprooches, which ore ality and
known os'studies in intertextuolity and intermediolity', hod sev- intermedi-
erol precursors, including source qnd influence studies, os well os ality
studies of the history of specific themes, motifs or moteriols, which
look in porticulor of the sources ond literory models for q text, ond
the text's odoptotion of these sources. However, in contrqst to these
older opprooches, theories of intertextuolity ore not merely con-
cerned with themqtic ond formol similorities between individuol
literûry texts. Insteod, they oim to corry out o systemotic investigo-
tion of the relotionships between literory texts qnd genres. Theo-
ries of intermediolity (see chopter 6.3.), on the other hond, exom-
ine the interqction between different forms of art, for example,
film odoptotions of novels, or references in literory works to other
ort-forms or mediq. Given the enormous growth in importonce of
oudiovisuol moss medio ond the increosing tendency towords
combining vqrious genres and medio, this represents on interest-
ing new oreo of reseorch thot offers students o voriety of prospects
in terms of both success in their studies qnd in their professional
cûreer.
In controst to the methods discussed previously, context-oriented Context-
opprooches focus on relationships between literory texts ond their oriented
historicol context. Now thot the dominonce of structurolist ond approaches
other text-bosed or intrinsic opprooches hos receded somewhot, it
is ogoin deemed occeptoble to investigate the relation of literory
texts to extrotextual reolity. Às o glance in mony of the older
histories of English qnd Americon literqture will demonstrûte, tro-
ditionol historicol crpprooches generolly took the historicol ond
politicol context of o literary work into considerotio¡. A typicol
example is the recourse to the so-colled 'Elizqbethon world pic-
ture', which is still influentiol in mony onolyses of Wlru¡v Ss¡rc-
spEÀRE's works. Morxist ond sociologicol opprooches to literoture,
which proceed from the ossumption thot literqture mirrors sociol
reolity, focus on the oxis 'text - historicol reolity'. Some feminist
opprooches which exomine the relotionship between literoture
qnd the historicol situation of women also ottach o greot deol of
importonce to issues of context.
!l Approaches and Methodologies of Literary Studies: A Typological lntroduction 41
 New Histori- Since the beginning of the 1980s, the influence of historicising
cism and tendencies has been growing, porticulorly in Anglo-Americqn lit-
Cultural erory studies. In North Americo, the so-colled New Historicism hqs
Materialism ployed on importont port in broodening literory studies into e
ih"ory-.onr.ious discipline thot olso pays due ottention to cul-
turol history. New Historicism is bosed on considerations reloting
to the historicity of texts ond the textuality of history, ond orguei
thot informotion concerning 'contexts' con only be qccessed viq
texts themselves. It is primorily interested in the interqction
between literory texts ond the stqndord of knowledge or culturql
discourses (i. e. the sociolly occepted discursive conventions) which
prevoiled ot the time of their genesis. The opprooch known os
Culturol Moteriolism, which originoted in Greot Britoin, olso dif-
fers from text-intrinsic interpretotions by toking the literory
text,s
relqtior to reolity into considerotion; howev"r,-it plo.", o g.eoter
focus thon New Historicism on the politicor ond ideãrogicol
ãimen-
sion ond on the anolysis of power relotions.
Comprehen- This necessorily simplified typology does not, however, cover the
sive theories entire spectrum of currents in contemporory riteroture. There qre
olso q number of opprooches which connót be ossigned to ony
one oreo within the diogrom. They incrude o voriety olinnovqtivl
ond comprehensive theoreticol currents which exomine the entire
domoin of the -literory system. Among these opprooches ore, for
exomple, gender studies, postcoloniol criticism ond Empiiicol
Theory of Literoture, the latter of which purports to repläce oll
other,hermeneutic opprooches to riterqtr.è *itrr a new e'mpiricoi
porodigm. Whilst these opprooches differ in mony respecti, they
also hove o number of similorities: They oll fovour o brood defini_
tion of literoture (see chopter 1.3.) ond open up new oreos of
investigotion. Moreover, they oll oim to extãnd ,tioditionol, liter_
ory studies to include interdiscipìinc¡ry cÌpproqches, ond, in por_
ticulor, to integrote opprooches from culturol ond medio stuãies
within the discipline of English studies.
Theoretical In qddition to the theoreticql currents discussed obove, which toke
imports literoture qs their direct subiect-motte¡, there ore olso severol influ-
from other entiql theoreticol opprooches thot were developed in other disci_
disciplines plines ond hove (often ecrecticolry) been impõrted into riterory
studies. Among the most significont comprehe.rsive theoreticá
imports qre JÀ,ceues LecAN,s psychoonolyiis, MrcHer Fouc¡uLT,s
historicol discourse onorysis, plenae Bounomu's theory of sociql
milieus, JacquesDeRRrDe,s deconstruction ond philosophy of lon_
guoge ond N*las LuHveruN's systems theory. AJ these nomes
indi-
cote, contemporory literory theory is not only increosingly inter_
disciplinory qnd intermediql in opp.oo.h; the speãtrum of
opprooches hos olso obsorbed many internqtionol influences.
42 räiltïl?t -) L¡terary Studies: Theories, Models and Methods
rhp vûrious opproaches do not only differ in respect of their indi- Methodo-
,itåuol fo.ut. They olso employ different methods ond onolyticol logical
.rn..dur"t. In the cqse of text-oriented interpretotions, New Crit- differences
f.t.m ond deconstruction, for exomple, 'close reoding'of the indi-
,i¿uol literory text is the fovoured method. This involves on
detoiled, thorough ond intensive reoding qnd text-cen-
"*trem"ty
üed lnterpretqtion, which ossumes the outonomy of the work of
nrt, disregords the context ond concentrotes on the linguistic
pecu-
formol chorocteristics ond nuonces of meoning within
iiorities,
lhe wort under considerotion. This is still the dominont method
qnd opprooches
of onolysís in Greot Britoin. New Historicism
which fovour intertextuol methods of onolysis, on the other hond,
ore very populor in the United Stotes ond focus on comporisons
between severol texts, New Historicism preferring to investigote
qnd non-literory texts with the oid
the diologue between literory
of discourse onolysis. Other qreos such os literory sociology,
empiricol reception studies ond empiricol literory studies, the lqt-
ter of which investigotes literqture os o sociol system, employ
methods borrowed from empiricql sociql reseorch.
ø Functions of Theories, Models and Methods
Although the preceding typology cannot serve to provide o com- Typology as
prehensive understonding of the porticulorities of the vorious a guide
ãpprooches, it should suffice os o preliminory guide to the bewil-
dering orroy of literory theories, models qnd methods. Such o
guide should prevent students from losing heort immediotely
when confronted with o multitude of methods qnd technicol terms
in on introductory course, qnd will hopefully demonstrote thot
Ìiterory theory is occessible, even to the beginner.
Insteod of being intimidqted by the plurolity of opprooches, stu- Basic
dents should therefore obtoin o preliminary overview of these knowledge
opprooches as quickly os possible. The numerous encyclopoedio
of literory ond culturol theory ore o good source of informotion
on the specific approoches, theoreticians ond bosic terminology
deqlt with in university courses. With the help of this bqsic knowl-
edge, you will be in o for better position to follow the methodo-
Iogicol procedures discussed in secondory literqture ond seminors,
ond to understond whot questions ore being qsked ond how they
con best be onswered.
There is, of course, no mogic formulo for deoling with the confus-
ing multitude of opprooches, models qnd methods in literory
theory. However, it is odvisoble to find o reosonable compromise
between uncriticql identificqtion with porticulor opproaches ond
Methods 43
@ Functions of Theories, Models and
7 on excessive, needless feor of oll theory. The student who uncriti-
Y comporûtive functions: they supply yordsticks for comporotive
Attitude
colly adopts o porticulor theory for the simple reoson thot it hqs
towards
methodo- been used by the lecturer runs the risk of becoming on uncriticql
logical disciple, who, ot worst, con merely pqrrot terminology. The stu-
pluralism dent who rejects theories ond models from the outset, however,
forgoes the opporbunity of leorning obout diverse new woys of
thinking ond interpretotive procedures and, odditionolly, restricts
him- or herself to reoding literoture perpetuolly through the dis-
torting lens of everydoy ossumptions ond personal prejudices.
Open- Insteqd of inclining to one of the extremes described obove, it is
minded and odvisqble to odopt q simultoneously open-minded qnd criticol
critical atti- ottitude, to compore the diverse opprooches qnd to make inde-
tude pendent judgements concerning their odvqntoges and disodvqn-
toges. This is on importont precondition if students ore to be oble
to select the most oppropriote opprooch for each individuol sub-
ject ond ongle of enquiry. Às the usefulness of o theoreticol system,
q model or q methodologicol opprooch con only be determined
by opplicotion, every individuol student must decide which theo-
reticql opprooch ond procedure to opply in eqch individuol situ-
otion. The yardstick for ossessing the volue of on opprooch is
whether or not it yields new insights qnd contributes significontly
to the study of literqture.
The uses The uses qnd qdvontoges of theories, models qnd methods is best
and func- illustroted by mec¡ns of o brief summory of their diverse functions.
tions of Models serve primorily to provide q visuol illustrotion of complex
theories, moteriol, qnd can therefore be useful guides when teoching lit-
models and eroture; it is for this reoson thot so mony hove been included in
methods this introduction to literory studies. Theoreticol opprooches, meth-
ods qnd cleorly defined onal¡icol cotegories olso perform
I explonotory or cognitive functions: they con be used to formu-
lote the premises of literory investigotions, define bosic termi-
nology ond exploin the objectives of the investigotion;
I heuristic functions: they enoble us to develop precise oreqs of
enquirywithin textuol anolysis, ond to formulote cleorhypoth-
eses concerning the potentiol of meoning of o literory work;
I descriptive functions: they enoble us to identifr qnd describe
textuol phenomeno in o precise woy;
I communicqtive functions: they are crn importont prerequisite
for the coherence ond comprehensibility of textuol interpreto-
tions;
I typologicol functions: they enoble o systemotic clossificqtion of
texts ond their respective chorocteristics;
I literory-historicol functions: they enoble us to position texts
within brooder historicol contexts;
44 ñ!ñt¡11ì -¿ Literary Studies: Theories, Models and Methods
I
studies;
I didoctic functions: they focilitate leorning ond teoching proce-
dures ond enoble the trqnsferrol of onolyticol procedures;
t mnemotechnic functions: they focilitqte the process of memo-
rising comPlex moteriol;
¡ opplicotion-oriented functions: they function os onolyticol oids
in textuql interPretotions.
This brief outline of literqry opprooches and their functions leods Textual anal-
on to the question of how students of English should opprooch ysis: from
literory works in proctice. The numerous modes of anolysing and theory to
interpreting literory texts ore qs diverse os the theoreticol practice
opprooches, models ond methods in literory studies outlined
ûbove. Eoch one ofthese opprooches con in theory be applied to
every poem, drqmq ond novel in the English longuage. However,
the selection of one porticulor opproach generolly involves focus-
ing on specific ospects of the text, ond neglecting or entirely dis-
regarding other asPects.
The choice of opproach ond onolyticol or interpretotive procedure Criteria for
will generolly depend on the oreq of enquiry, the objective ond choosing an
the topic or subject-motter of the individuol investigation. To offer approach
on exomple: a student who is writing qn esscty entitled 'Forms ond
functions of plot structure in the spy novel' would probobly not
be well odvised to odopt on approach from psychoonolysis or
reception oesthetics, os his or her topic colls for q text-centred
opprooch. For o student who is investigoting o themotic topic ot
the intersection of literory ond culturol history (for example 'The
sociol position of women in Victorion literoture'), however, o the-
oreticol frqmework or opprooch thot considers the relotionship
between the text ond historicql reolity or the text ond other texts,
os well os the orguments of feminist literory theory, would be more
oppropriate.
The genre ond period to which the text belongs ore olso qn impor- Genre-
tont considerotion when choosing on opprooch. The following specific ap-
four chopters will provide on introduction to the vqrious genre- proaches
specific opproaches ond onolyticol cotegories. Rotheí thon offer- and ana-
ing 'reody-mode' interpretations, these chopters oim to supply lyt¡cal cat-
students with terminologicol ond methodologicol qids, which wilì egories
enqble them to undertoke independent analyses of unfqmilior
texts. We will therefore be providing explanotory introductions to
vorious centrol terms qnd methods ond illustroting their uses by
meûns of some examples from the onolysis of lyric, drqmqtic ond
norrûtive texts.
@ tunctions of Theories, Models and Methods 45
 Further An exhaustive survey of the multitude of theoreticol cunents
reading would fqr exceed the scope of this introduction. We therefore
odvise those who wish to leorn more obout individuql qpprooches,
methods ond concepts to consult the introductions listed in the
oppendix of this work, as well os the Metzler Lexikon Literatur- und
Grundbegritre (!99812Ot3). This
Kulturtheorie: Ansötze - Personen -
encyclopaedio, interdisciplinory in approoch, offers o compûct
survey ofthe diverse opprooches in literory ond cultural studies,
in qddition to exploining importont terminology ond introducing
those quthors who hqve contributed significontly to the theoreti-
col debote. For those who prefer to consult Enqlish reference works,
we should like to recommend the Encyclopedia of Contemporary
Literary Theory (1993), edited by InrNe Mex¡Ryr, ond tlte Dictionary
of Cultural andCriticalTheory (199612010), edited by MrcHeu- PevNe.
Às oll the entries in the Metzler Lexikon Literatur- und Kulturtheorie
give suggestions for further reoding moteriql which provides infor-
motion on specific approoches ond the work of individuol theo-
reticions, we hove restricted the reoding lists in the oppendix of
the present volume to generol introductions to literory theory. The
works by ]oruarHalr CuLLeR, TeRRy E¡cmtoN, RAMRN SuorN, Peren
WrooowsoN ond Hueenr Z¡pr ín porticulor offer strong footholds
for those new to the discipline.
46 lll!ñlìlìl'llìl ,
'¿ Literary Studies: Theories, Models and Methods
a
An lntroduction to the Analysis
of Poetry
The HíPPoPotømus
Behold the h i PPoPota mu s !
We taugh at how he looks to us,
And yet in moments donk and grim
lwonder how we look to him.
peace, Pelce, thou híPPoPotamus!
We really look all right to us
As you no doubt delight the eYe
Of other hiPPoPotomi.
(Ocorru Nasu)
ül fne Poem as an Ultra-Complex Textual Structure:
Fundamental Features of Lyric Composition
"Everyone knows what a [...] poem is; no-one knows what a [. . '] poem How to
is", quips Orro KNöRRIcr (1992: xii) in the introduction to on ency- recognize
clopoedio of lyric forms. This striking, poradoxicol observotion a poem
succinctly summorises the foct thot, on the one hond, everyone when you
hos on intuitive underst<rnding of whot o poem is, but, on the see one ..
other hand, no-one is confident obout giving qn exoct definition
of o poem. Most people would instontly clossify the poem by the
unconventionol Americon poet OcoeN Nesu (1902-1971) cited
obove qs o (short, humorous) poem, despite its very unpoetic
theme. It exemplifies some of the bosic chqracteristics of the genre:
relotive brevity, tendency towqrds o very selective ond limited
treotment of the chosen theme (think of qll the other things he
could hove soid obout a hippopotomus!), the sublective perspec-
tive of the speoker (olso sometimes cqlled the 'lyric persona'), os
well os the rhyme scheme (rhyming couplets), on (olmost) regulor
metre, the division into stonzos, the lack of ony plot, the repeoted
use of exclqmotions and other deviotÍons from everydoy longuoge
- olthough this poem (like Nesu's poems in generol) is, for the
most part, written in a register close to everydoy speech. All these
elements imbue poems with qn enhonced level of ortistry, some-
thing thot is olso sqid to be chorqcteristic of poetry in generol.
The objective of this chopter is to give an introductory overview Aims and
of some of the fundomentqls of the theory of poetry, or lyric content of
texts ond to present some of the most importont cotegories for the this chapter
onolysis of poems. Firstly, the most importont generic feotures of
poetry will be summqrised. Following this introduction to the fun-
ff fne Poem as an Ultra-Complex Textual Structure 47
 Y
domentol feotures of lyric composition ond the presentotion of o
communicotion model for lyric texts, the most importont oreos
ond problems in the onolysis of poetry will be presented system-
oticolly ond exploined by reference to select exqmples.
The The question of whot constitutes the 'essence' of poetry hos not qs
'essence'of yet been onswered sotisfoctorily, ond it probobly never will be.
poetry There ore mqny reosons for this. Firstly, poetry - like mony other
Iiterory genres - is chqrqcterised by o high degree of diversity.
Secondly, both poems themselves qnd our conception of poetry
qnd its chqrqcteristics ore subject to historicol chonge. Thirdly, in
oddition to the individuol genres, the entire system of genres ond
mediq is continuolly chonging ond being trqnsformed.
Normative There hove been mony ottempts, howeve! to determine ond iden-
theories of tify the 'essence' of poetry or lyric texts once qnd for oll. Mony of
poetry these ottempts simply define poetry occording to one single chor-
octeristic, thereby universolising o single 'type' or monifestotion.
The resulting, frequently rother grcrndiloquent, definitions find
theirwoy, not only into school syllabi, but qlso into encyclopoedio
of literory terminology, os is demonstroted by the folìowing entry
under 'Lyrik' from the widely used Scchwörterbuch der Literatur:
"Lyric (Greek lyra = lyre), the most subiective of the three basic forms
¡ + genres) of literature, an unmediated expression of processes within
the poet's innermost soul, which are created by emotional interaction
with the outside world ('+ experience), and, in the process of being put
into words, are elevated from the individual to the universal and sym-
bolic, and are accessible to the recipient by means of an empathic
response." (Wtrrunr 1955: 328)
Descriptive Rother thon formuloting such normotive definitions of poetry, we
criteria wiìl toke the more constructive opprooch of listing some criteria
thqt con be used to differentiote between poetry ond other literory
genres. In whot follows, then, o list of the most importont chqrqc-
teristics will be composed, which, olthough not opplicoble to every
poem, should ollow us to develop q more concrete notion of the
chorocteristics of poetry. The following brief overview owes o good
deol to Ev.q, Müncn-ZETTELMANN's (2000) sophisticoted qnd bol-
onced 'multi-component model', which qssembles o number of
criteria for definition ond systemotises them in the form of a com-
prehensive onolyticol orsenql.
Brevity, À typicol chorqcteristic of the molority of poems (the 'epic poem'
is the exception thot proves the rule) is the tendency toword relo-
density and
tive brevity. This is generolly occomponied by a reduction qnd
reduction of
the topic compression of the sublect-motter represented in the poem. Spo-
tiol qnd temporol relqtions ore qlso typicolly compressed in lyric
48 t+.'tilìEÍff -l An lntroduction to the Analysis of Poetry
')
texts, which frequently ploce the subiectivity of the speoker in the
foreground.
Most definitions of poetry ogree on the importonce of the cqtegory Subjectivity
of sutrjectivity for a generic clossificotion. Subiectivity is expressed,
not only in the ottitude ond perspective of the lyric persono, but
olso in the individuol mode of linguistic expression ond the theme
of the poem, which is often centred on individuol experience. A
typicol instqnce exemplifying o high degree of subjectivity is the
poem "London" (1794) by the eorly Romontic poet WIL¡-l¡v Blaxr
0757-t827). The frequent repetition of the personol pronoun'l',
which punctuotes the entire text, is estoblished in the first stonzû,
ond the constont intrusion of the perspective of the speoker into
the portroyol of the city epitomises the pronounced subjectivism
thot is so chorocteristic of Romontic poetry:
I wander through each chqrtered street
Near where the chartered Thqmes does flow,
And mark in every face I meet
Mqrks of weakness, merks of woe. [...1
The etymology (the study of the origins ond originol meoning of Musicality
words) of the word 'lyric' gives some indicotion of certqin qddi- and lyricism
tionol chorocteristics of lyric texts. The Greek word 'lyric' refers to
o lyre, o stringed instrument; ond the term'lyric'wos originolly
used to refer to those songs thqt were sung to the occompaniment
of the lyre. Thonks to this connection between poetry ond music,
musicolity remoins one of the mqin chorocteristics of poetry, ond
is the origin of o voriety of other feqtures thot ore specific to the
genre: "Metre, rhythm, frequent recurrence of structures, compactness,
succinctness of formulation, (relative) brevity." (Lnr 1992: 86)
We hove structurolist opprooches to the theory of poetry to thonk Structuralist
for the insight thot poems are not the unmedioted expression theory of
of feeÌings ond moods; they consist in the first instonce of words poetry
ond ore distinguished by o porticulor form of longuoge use. Struc-
turolist opproaches also propogoted the view thot vorious cote-
gories from linguistics (for exomple, from phonology, semontics
and progmotics) con be usefully employed when- onolysing
poems.
The distinction between the parodigmotic (Greek paródeigma: Paradig-
exomple, exemplor, model) ond syntogmotic (Greek syntagma: matic and
thqt which has been put together) oxes, which forms the bosis of
syntagrnatic
the structurqlist theory of longuoge, is porticulorly importont for
relations
the theory ond onolysis of poetry (ond other literory texts). Accord-
ing to RovaN ]aroasow, the term 'porodigmotic'refers to the relo-
tionship between linguistic elements thot cqn be substituted one
for qnother in one specific slot within o sentence, thqnks to their
fl fne Poem as an Ultra-Complex Textua¡ Structure 49
 similority. The selection of linguistic elements on the bosis of por-
odigmotic relotions is therefore concerned primorily with the
Y-
similority or equivolence between the respective elements. Syntog-
motic rules, by controst, govern relotions of contiguity ond pos-
sible combinotions of elements within o sentence or a text. Pqrq-
digmatic ond syntogmotic relotions do not only exist on the level
of individuol words; they con be opplied to diverse qspects of
poetry from phonologicol and rhythmicol repetitions through
metricol ond grommoticol structures to lines of verse ond metq-
phoricol content.
Poetic Às wos discussed in the first chapter, Iiterory texts cqn be distin-
function guished from othertypes of textby the predominqnce of the'poetic
function of longuoge', o term which refers to the fqct thot the
recipient's ottention is drawn towqrds the linguistic composition
of the text (see chopter 1.3.). Toking the distinction between the
porodigmotic ond syntogmotic oxes exploined obove os a bosis,
faroasoN (1960: 358) wos oble to give o concise definition of the
poetic functien: "The poetic function projects the principle of equiva-
Ience from the qxis of selection info [sic] the axis of combination.,,
According to faroosoN, poetic structures result from the imposition
of the principle of equivolence, which octuolly governs porodig-
motic relotions, onto the combinqtion of elements on the syntog-
motic oxis; the resulting repetitions or recurrences on vorious
Iinguistic levels creote relqtions between textuol elements. In q
non-qesthetic text, for exomple, the principle of equivolence
governs the selection of words like 'freeze', 'moke cold' or 'chill',
oll of which ore roughly similor on the porodigmotic qxis ond
could be token ot rûndom in o sentence like 'she is chilÌed by the
wind', or 'she is mode cold by the wind'. Eucan At.raN poe, however,
projects the principle of equivolence onto the qxis of combinotion
in his poem "Annobel Lee": "the wind came out.../Chilling and
killing my Annabel Lee". Here, the principle of phonologicol equiv-
qlence determines the selection of 'chilling'. Às o consequence,
the linguistic structure of the text is foregrounded, ond the recipi-
ent is prompted to seorch for connections between the contiguous
elements. The relotionship between the porodigmotic oxis of
selection ond the syntogmotic oxis of combinotion, ond the pro-
jection of the principle of equivolence onto the syntogmotic oxis,
ore represented in the following model (see Luowrc lgBIl2OOS
re).
50 ffi -J An lntroduction to the Analysis of poetry
-)
projection of the
a principle of
equivalence onto
syntagmatic relations
syntagmatic axis
(combination of
elements into a
paradigm = equivalent elements syntagma)
figure 3.1 .: Relotion between the paradigmatic and the syntagmatic oxes
A consequence of the employment of porollelism ond equivolence lncreased
os constitutive processes governing the combinotion of elements aesthetic
on the syntogmatic oxis is the tendency towords increosecl arti- self-referen
ficiolity ond self-referentiolity or self-reflexivity often found in tiality
poetry. The referentiol function of longuoge, which points towqrds
the extrotextuol context or reoliry is reduced to o minimum or
even suspended. Simultaneously, the recurrence of linguistically
equivolent elements in lyric texts hqs the effect of foregrounding
the text itself ond its language.
According to structurqlist theories of poetry, poems ore 'texts with Levels of
on ultra-complex structure' (see LtNr 198L; 1992), distinguished structural
from other literory ond nonliterory genres by their high degree complexity
of linguistic equivolence ond porollelism. The centrol feotures of
poetry con therefore be described os aspects of this high degree of
structurol complexity, which monifests itself on o voriety of lin-
guistic levels:
f on the level of sound, metre ond rhythm, as well os on thot of
relotions between sounds (phonologicol level), for exomple by
meqns of rhyme qnd other sound patterns,
I on the level of individuol words ond their formotion (morpho-
Iogicol level) in the form of the repetition of words,
F on the level of sentences (syntactic level) in the form of the
porollel orrongement of sentences or sentence components,
I on the level of meoning (semontic level) in the form of figuro-
tive longuoge.
Other ospects of the structurol complexity specific to poetry ore Lines, metric
reloted to its externql form. Lines os well os metric ond stûnzoic and stanzaic
structure, for exomple, ore fundûmentol forms of lyric composi- structure
tion. Theoreticol opprooches to poetry which focus on formql cri-
teriq consider lines to be o feoture peculior to poems: "In fact, the
only watertight distinction betvveen poetry and most non-poetic dis-
courses is that poetry is set out on the page in lines, whereas prose runs
tl fne Poem as an Ultra-Complex Textual Structure 51
 right to the far edge." (FunNlss/B.crH 1996: 12) The term 'metre' refers
to the scheme of stressed ond unstressed syllobles thqt forms the
Y
soeoker is, secondly, to whom his or her remorks ore oddressed,
n'nd, thirdly, where
qnd when both speoker ond oddressee ore
bosic structure of o poem. The metre does not merely emphosise ,ituot.d. An onolysis of the personol ond possessive pronouns qnd
certoin ports of o line, the resulting equivolences olso enhonce the 1þeir referentiol function con be fruitful in onswering these ques-
structurql complexity of the text. tions'
Rhyme
In oddition to the subjectivity typicol of the genre ond the qfore- When onqlysing the speech situotion in o poem, o distinction Author
scheme and
mentioned formol criterio, rhyme scheme ond specific sound must be mode betlveen the reol outhor and the speoker or voice. vs.'lyric
phono- structures represent further feotures of lyric composition. These qre The poet does not generolly express him- or herself directly in o persona'
logical naturolly olso ospects of the greot structurql complexity of poetry: Doem; insteûd he or she delegotes stqtements ond feelin$s to
structures the rhyme scheme estoblishes connections between lines and ih. fi.tiu" speoker in the text. The term generolly opplied to
between individuql words, ûnd other sound structures creote fur- this mouthpiece is'lyric persono' (it could olso be described os the
ther phonologicol equivolences. ,lyficI'). This persono cqn be presented to o grec¡ter or lesser degree
All of the qforementioned generic chûrocteristics contribute to the qs o subiective personaìity, but connot be equoted with the his-
Deviation
impression of increased ortificiolity or of deviotion from everydoy toricol outhor.
from every-
day lan- longuoge which is chqrocteristic of poetry. In the cose of the mojor- Àn anologous distinction must be mode on the side of the oddressee Reader
guage and ity of poems, this impression of a deviotion from the norm is between the reol reoding public ond the fictive qddressee nomed vs. 'lyric
increased enhonced by o tendency towords structurol, phonological, mor- or implied in the poem. Even if the reoder is ot first inclined to thou'
artificiality phologicol ond syntactic complexity. In the remaining sections identify him- or herself with the 'lyric thou', it soon becomes
of this chopter, we will exc¡mine exomples of ihe vqrious figures opporent that this would be os erroneous cts on equotion of the
or modes of expression thot con be employed on each of these outhor with the lyric persono. In both coses, c¡ distinction must be
levels. mode between the historicql individuols reoding ond writing liter-
To recopitulote, then, the most importont generic feotures of ory texts, ond the fictive chorocters thqt speok ond are oddressed
Generic
poetry ore (see MüLLER-ZETTELMANN 2OOO:- 64-156): in these texts, for the lyric persono ond its complement on the side
features of
of the oddressee qre merely literory devices or textuol strotegies.
poetry ä o tendency towords relotive brevity,
t q tendency A systematic qrrqngement of oll these ospects con serve qs q bqsis A commu-
towards compression, condensotion ond reduction
of the represented sub ject-motter, for o communicqtion model opplicoble to poems. The communi- nication
fl o tendency towords increosed subjectivity, cotion relqtions thot chorocterise this genre cqn be represented model for
il o tendency towords musicolity ond proximity to songs, grophicolly qs follows: poetry
t o tendency towords structurql ond phonologicol complexity,
X o tendency towords morphologicol oncl syntoctic complexity, extratextual lsvsl = production and reception
ü q tendency towords deviotion from everydoy longuoge ond
increosed ortificiolity, intratextual level = literary text/poem
t o tendency towords increosed oesthetic self-referentiolity. real
real
(historical) fictive speaker: ) sublect-matter I fictive addressee:
reader
author lyric persona of speech 'lyric thou'
â A Communication Model for Poetry: Speech Situation, (lyric'l')
Perspective and the Lyric Persona

Speech An onolysis of the communicqtion or speech situotion of o poem Figure 3.2.: A communícotíon model for poetry
situation is often o good storting point for interpretotion. The speech situ-
otion is one of the fundomentql structuring principles of literory
texts; its constituent elements ore the qddresser qnd oddressee of
o poem ond their respective spotioi ond temporol situotions. In
the cose of a poem, the centrol issues ore, firstly, who the textuol

52 úmnñn -l An lntroduction to the Analysis of Poetry fl A Communication Model for Poetry: Speech Situation, Perspect¡ve and the Lyric Persona 53
 Pragmatic
figures
Rhetoricql figures thot refer to the context ond the communicotion
or speech situqtion qre clqssed os 'progmotic figures'. They include,
for exomple, the opostrophe (not the punctuotion mork, but o rhe-
toricol figure whereby the oudience, o person or o thing ore directly
addressed os if present), ond the rhetoricql question (o question
that does not require qn qnswer, or whose qnswer is obvious).
The generic feoture of subjectivity, when exomined more closely,
Ëxplicit vs.
con help us to describe the speech situation in specific poems more
implicit
subjectivity precisely. In different poemsr there cqn be consideroble vqriotion
in the extent to which the 'lyric persono' moteriolises qs the
speûker. A fundomental distinction is mqde betlveen implicit ond
explicit subjectivity (see Mûnen 199511998), bosed on identifiable
textuol chqrocteristics, crnd on "a scale measuring the presence of
on 'I' [. . .], which can range from a subjective colouring of the utterances
through to the construction of a concrete character, whose sociql envi-
ronment and inner life are clearly defined" (MuIIII-ZETTELMANN 2000:
110). The two poles on this scole ore, on the one hûnd, the'hidden'
or covert speqker who borely oppeqrs in the poem, ond, on the
other hqnd, the mqnifestr overt, clearly perceptible ond more or
Iess individuqlised lyric persono.
Explicit The term 'explicit subjectivity' describes this cleorly perceptible
subjectivity ond present lyric persono, who refers to him- or herself in the first
person singular, oppears rs o communicoting individuql qnd
gives expression to his or her innermost thoughts, feelings ond
impressions. Such poems qre remorkqble for their high degree of
self-expression; omong the numerous exomples ore Wluev
SHaKESpEeRE's sonnets, mony poems by the metophysicol poets,
ond o good deol of Romqntic poetry such qs the poem by Brarr
("London") discussed previously. A sub-genre of poetry which is
chorqcterised by o porticulorly high degree of explicit subjectivity
is the dromotic monologue, in which o speoker, who is generolly
highly individuolised, describes qn occurrence from his or her own
subjective perspective. A typicol exomple is RoseR,r BRor¡¡NrNG's
dromotic monologue "My Lost Duchess" (1842), in which o his-
toricolly specified chorocter addresses o particulor qudience in o
cleorly defined situqtion:
Thot's my last Duchess pointed on the wal|
Looking qs if she were qlive. I coll
Thot piece a wonder, now: [. ..).
Examples The following opening lines of three poems demonstrote the vqri-
of explicit ety of possible uses of explicit subjectivity to express, for exomple,
subjectivity privote spirituol experiences ("The Collor"), erotic encounters
("The Cononizotion"), or experiences of noture (os in Wrruev
WoRoswoRru's well-known poem):
54 C@[@} -l An lntroduction to the Analysis of Poetry
)
Y
I struck the boord ond cried, "No more;
twitt qbroad!
WhatT shqll I ever sigh ond pine? f...1."
(CEoRcE HtRarnt, "The Collar")
fur Cod's sake hold your tonguq ond let me love,
Or chide mY PolsY, or mY gout,
DoNNE, "The Canonization")
6oHN
Iwandered lonely os q cloud
That floats on high o'er vqles ond hills,
When oll ot once I saw o crowd,
¡ host, of golden doffodils;
lWrLrnv WoRDswoRtH, "l wandered lonely as a cloud")
Implicit subjectivity, by contrast, occurs in those poems in which lmplicit
the textuol speoker oppeors not os on individualised lyric persono, subiectivity
but rother con be discerned merely in the choice ond subjective
colorotion of the content, qs well qs in the form of linguistic expres-
sion employed. Implicit subjectivity is in occordqnce with the ideol
of impersonolity thot chqracterises the oesthetics, novels ond
poetry of modernism. An interesting exomple of implicit subjec-
tivity is Ezn¡ PouNo's fqmous metro poem, which qlso exemplifies
mony of the troits of the Anglo-Àmerican imagist movement, o
school of poetry in the 1910s, which strove for the greatest possible
concision ond o suggestive use of imoges. As this poem consists of
only two lines, is con be quoted in fulI:
ln o Stotion of the Metro
The apporition of these foces in the crowd;
Petals on o wet, block bough.
Even though the title itself indicqtes thot the text refers to on Subjectivity
unspecified metro stqtion in Poris, this poem does not offer qn in Ezra
'obiective' description of reolity, nor does it exhibit complete Pound's
impersonolity. Insteod, the linguistic expression of o momentory metro poem
impression, the infusion of the perceived scene with q subjective
perspective, ond, finolly, the imoge selected by the poet (whot sort
of person ossociotes foces in q crowd with petols on ówet, block
bough?), oll imply " some kind of consciousness, even if it does not
express itself directly in the poem" (MüILER 199511998:98).
Like the lyric persono, the oddressee or'lyric thou'cqn olso oppeor Degree of
more or less explicitly in o poem. The more frequent the occur- explicitness
rence of forms of oddress ond personol pronouns referring to the of the ,lyric
second person singulor, the more contours the 'lyric thou' acquires 1¡rou,
os interlocutor. Some poems, which ore oddressed entirely to o
porticulûr individuol, naturolly ploce greot emphosis on the
tl A Communication Model for Poetry: Speech Situation, Perspect¡ve and the Lyric Persona 55
 oddressee, who therefore oppeors os
well-known exomple is Sgerespe¡RE's
on 'explicit lyric thou'. À
"Sonnet 18": "ShaII I compare
thee to a summer's day? / Thou art more lovely and more temperote."
A further exomple of on explicit 'lyric thou' occurs in SIecrRteo
S¡ssooN's (1,886-1967) sonnet "Glory of Women", whose subiect-
mqtter is typicol of much of the poetry of the First World Wqr:
You love us when we're heroes, home on leove,
Or wounded in s mentionoble ploce.
You worship decorotions; you believe
Thot chivolry redeems the war's disgroce,
You moke us shells. You listen with delight,
By toles of dirt qnd danger fondly thrilled.
You crown our d¡stont qrdours while we fight,
And mourn our laurelled memories when we're killed.
You con't believe thqt Britísh troops 'retire'
When hell's lqst horror breaks them, ond they run,
Trampling the terrible corpses - blind with blood.
O Germon mother dreoming by the fire,
While you ore knitting socks to send your son
His face is trodden deeper in the mud.
Speech The first line, ond every olternote line in the first ten, begin with
situation in the second person singulor personal pronoun 'you'. It is not entirely
"Glory of cleor ot first who exoctly is being qddressed. However, the poem
Women" contoins o voriety of signals, which give hints os to the identities
qnd qttitudes of the speaker qnd his oddressee. The plurol in the
title qnd vorious stotements by the speoker indicote that the poem
hos o collective rother thqn on individuol oddressee. We cqn infer
thotthe oddressee of this disillusioned occusation is an unspecified
group of women, o hypothesis thot is strengthened by the controst
estoblished between the speoker qnd the oddressees, which is
occentuated formolly by the opposition between 'you' ond 'we'.
The frequent repetition of the pronoun'you' (it occurs seven times)
qlso enhonces the presence ofthe addressees. A significont chonge
in the speech situqtion occurs in line 1.2, however, when the
speoker suddenly oddresses a single, more closely identified indi-
viduol. Whilst it cqn be inferred from the context in the first eleven
lines thot the speaker is oddressing British women (this is particu-
Iorly explicit in the line " You can't believe that British troops'retire"'),
in the lost three lines the speoker oddresses q Germqn mother.
Changes of As this exomple illustrotes, the speech situotion in o poem is by
speech situ- no meqns constont, but cqn change in the course of the text.
ation and À typical exomple of such o shift of speech situotion ond perspec-
perspective tive occurs in Snvr¿ SMrrH's (L9O2-1,97L) frequently cited poem
"Not Woving but Drowning", whose title now hos proverbiol
weight in English. By meons of q series of abrupt chonges in per-
56 Gl!ñnn -, An lntroduction to the Analysis of Poetry
'.)
Y
soective, the poem creotes o striking imoge of humon isolqtion
oid misuna"rstanding. The drowning person's cries for help ore
woving, but the (deod)
¡nisunderstood by those present os cheerful
persono hos the lost word - which would noturolly be impos-
lyrÍc
riUl. itt reolitY:
Nobody heord him, the deod mon,
But still he laY mooning:
I wos much further out thon you thought
And not waving but drowning.
poor choP, he olwoYs loved lorking
And now he's desd
ft must have been too cold for him his heart gove woy
TheY said'
Oh, no no no, it was too cold olwoYs
(Stillthe deqd ane IaY mooníng)
lwqs much too for out all mY life
And not woving but drowníng.
Taking the speech situotion os our point of deporture, we con dif- Content-
ferentiote when describing the chorocteristics of poetry "between level
the levels of the enounced and enunciation" (Mürlen-ZeTTELMANN (enounced)
2000: 139). The level of the enounced, or the level of content, and textu-
encomposses oll entities, such qs people, spoces, obiects, moods, alisation
thoughts, feelings, experiences, ond so on, thot ore represented or (enuncia-
contqined in q text - in other words, it refers to the 'whot' of the tion)
poem. The level of enunciotion, or textuolisation, on the other
hond, refers to oll elements relqted to the linguistic ond formql
composition, ond the infusion of the poem with vorious perspec-
tives, i. e. to the 'how' of the poem.
A question thot is closely reloted to the speech situotion ond this Distance
distinction between the levels of the enounced ond enunciqtion is between
thqt of the spotio-temporol distqnce thot exists between the represented
thoughts, feelings ond experiences of the lyric persona os repre- elements
sented in o poem, ond the oct of turning this subiect-motter into and linguis-
longuoge. The greoter the distqnce, the stronger the _impression tic realisa-
thot the represented sub ject-mqtter is being medioted by o speoker: tion
"An unmediated poem presents experience and the expression of this
experience in language as simultaneous occurences; a mediated poem,
on the other hand, can be recognised by the temporal, but qlso the
spatial, emotional and evaluative distance between the speaker and the
facts presented in his discourse. " (MülreR-Zernlv¡NN 2000: 140) This
distinction between unmedioted qnd mediqted poems should not,
however, be seen os o binory 'either/or' opposition; insteod they
form two poles of o groded scqle which ollows for numerous inter-
mediqte stoges.
þ A Co-.rnication Model for Poetry: Speech Situat¡on, Perspective and the Lyric Persona 57
 g The Structure of Poetry: Metre and Rhythm, Feet,
Stanzas
Metre and In oddition to the speech situqtion ond subiectivity, the metricol
metrical pûttern, consisting of stressed ond unstressed syllobles, represents
pattern o further formol principle of orgonisotion thot is fundqmentol to
poetry, but not to the other moin literqry genres (with the excep-
tion of o smoll number of verse norrotives qnd verse dramos).
Feet When describing the metre of a poem, we use o specific inventory
of terminology, some of which dotes bqck to Antiquity. Àny
description of the metric structure of o poem will generolly begin
with the smollest unit of verse: the foot. The sequence of on
unstressed sylloble followed by a stressed one, which is generally
represented os follows -/, is described os on iomb, whereqs the
opposite sequence of o stressed syllable followed by on unstressed
(/), is colled o trochee. In oddition to these two most common
types of foot, the following olso occur frequently in English poems:
the dactyl (/*), the onopoest (*/), qnd, rqther less frequently, the
spondee (ll) qnd the omphibrach G/ì.
Number of As well os identi$ring the type of foot, on onolysis of the metricol
feet pottern of o poem must stote the number of stressed syllobles (or
'beots') thot occur in o line of verse. Agoin, specific terminology
exists; o line with four stressed syllobles, for example, is known os
o 'four-beot line' or 'tetrometer'. Both the type of foot qnd the
number of stressed syllobles must be determined in order to
describe or clossify the form or genre of o poem; the L4-line tradi-
tionol sonnet form, for exomple, generolly consists of iombs with
five stresses per line, the metre commonly known qs the iombic
pentometer. Also common in English poetry ore the trimeter with
three stresses ond the hexqmeter with six. The following lines of
verse serve to illustrote these different kinds of metricql forms:
Trimeter The kíng I síts in Dúmlferline tówn (ballad)
Tetrameter Behóld I the híplpopóltomúsl (OcorN Nnsu)
Pentameter My mísltress éyesl ore nólthing líke lthe sún (Wrrunv Suerrsernne)
Hexameter Ánd, os I I tíve, you wilt I sée my helxómeters I hópping belfóre you.
(Snvurl Tnyron Corrnroce, "Hexameters")
Toble 3.1 .: Exomples of the most importont metricol forms
Rhythm The rhythm of o poem is not determined solely by its metre; the
length of the syllobles, the repetition of phonologicol qnd syntoc-
tic elements ond, not leost, the meoning of individuol words or
58 finññ?'l -l An lntroduction to the Analysis of poetry
)
sentences con olso influence the rhythm. It is therefore importont
thot we olso toke the word, clouse qnd sentence structures of o
poem into considerotion, in oddition to the metric orgonisotion.
ihe rhythm of o poem is determined by the interplay between its
metricol structure qnd the linguistic reolisqtion of the individuql
lines.
There is often q degree of tension between the line structure of o Enjambment
poem ond its syntox. When sentences, or syntoctic units, extend
beyond the end of o line, this incongruence between sentence
structure ond line structure is known os'enjombment' (or'run-on
line'). If, on the other hond, the end of q line of verse corresponds
to q breok in the syntax (which usuolly coincides with the end of
q unit of meoning) this is known qs on 'end-stopped line'. Enjomb-
ment is porticulorly noticeable if the subsequent line of verse con-
toins sentence components thqt qre necessory in order to complete
the meoning of the preceding line. The following excerpts from
M,qRnN Avrs' poem "Point of View", in which the run-on lines
support the view thot everything is dependent on the perspective
of the observer, ore illustrotive of the potentiol of enjombment to
surprise ond unsettle the reqder:
Point of View
Policemen look suspicious to normql
Murderers. To the mqture poedophile
A child's incurious glance ís o leer
Of intimqte salocity; in more
Or less the same wqy, líve people remqín
As good as deqd to qctive necrophiles.
t...1
Anyone who hqs ever wqlked ínto
A lamp-post knows thqt all speeds above nought
Miles per hour qre really pretty fast, thanks.
t...1
lf you don't feel a little mad sometimes
Then I think you must be out of your mind.
No one knows what to do. Cliches qre true.
Everything depends on your point of view.
A breok in metre which divides up a line of verse into ports is Caesura and
known in the study of metre qs o 'cqesuro'. The best known exom- alexandrine
ple of o metricol pattern thot incorporqtes o coesuro is the so-
colled 'olexqndrine', which consists of on iombic hexometer with
q coesuro qfter the third stress, or the sixth sylloble. The most
fomous instqnce of the olexondrine in English poetryis in the finoì
line of verse of the Spenserian stonzo, nomed qfter EovuNo SpeNseR
(1,552?-7599), in which on olexondrine follows eight lines of verse
written in iqmbic pentometers, with the rhyme scheme obqbbcbcc
[f The Structure of Poetry: Metre and Rhythm, Feet, Stanzas 59
 (for more informotion on rhyme scheme, see chopter 3.4.). Coe-
suros ûre often not merely o breok in the metric structure of q
poem, but qlso serve to emphosise themqtic oppositions ond
breoks in thought sequences by meons of the tension they intro-
duce into the line structure. An illustrotive exomple occurs in the
sonnet "Glory of Women" by Sassool (quoted above). The fifth
line of this sonnet is divided by the end of q sentence, which brings
the metre to on abrupt hqlt. This metric division corresponds to
the content of the sonnet, which is concerned with luxtoposing
the women's olleged romontic alorificotion of the wor with their
supposed role in ensuring its continuotion, ond pitting both
ogoinst the re<rl horror of the trenches.
You móke I us shélls. ll You lî1sten wíth I delíght,
By tóles I of dírt and I dónger I fóndly I thrílled.
Any onolysis of the structure of o poem will generolly olso include
External
on exominqtion of its externol structure ond division into compo-
structure:
stanzaic nent ports. The oppeoronce ofthe poem on the poge often gives
some indicqtion of this structure. This is porticulorly the cose if
form
the lines ofverse ore orgonised into stonzqs occording to certoin
structurol principles. Poetry thot hos no such stonzoic structure,
however, ond is composed of lines which follow one onother in
unbroken sequence, is described os 'stichic'.
Heroic We generolly clossify forms of stonzo on the bosis of how mony
couplets lines of verse they comprise. Poired lines of verse (i.e. rhyming
poirs) ore known os 'couplets'. The cotegory of 'heroic couplets'
refers in English-longuage poetry to rhyming couples composed
in iombic pentometers, o metricol form which is known for its,
often epigrommatic, concision. The following excerpt from Alex-
¡NorR Pope's (1,688-1744) didoctic poem An Essay on Criticism
(171,1,11,71,3) is chqrqcteristic of this type of verse. Here the neo-
clqssicql writer stotes thqt the tosk of the poet is to give expression
to generol thoughts qnd to the universol ond immutqble lows of
nqture:
wít I is nálture tó adlvóntage I drett i
True
What óft I was thoúght, I but né'er I so wéll I exprg;1þ. $ne 297f .).
Other forms Stonzos consisting of three or four lines of verse ore known os
of stanza 'tercets' ond 'quotroins'. Mony sonnets ûre composed of two ter-
cets, which ore ioined to form o sestet, ond two quotroins fused
into qn octove. An English vqriotion on the sonnet form, invented
by HeNnv Howano, EeRl or SuRRey (1,5L7-1,547), ond known os the
'English' or 'Shokespec¡reon sonnet', consists of iombic pentome-
ters divided into three quotroins (in olternote rhyme) ond q con-
cluding heroic couplet, often a pithy, epigrommotic statement of
the poemt centrql messcrge.
60 Altf.ll'!Íì -l An lntroduction to the Analysis of Poetry
-)
fhe internol structure of o poem con be onolysed using formol os lnternal
Í{ell ûs themqtic criterio. À breok con be mqrked by o shift in the structure
communicotion context or the speech situation; o chonge of
theme or of spotiol and temporol reference, os well os formol or
stylistic vqriqtions (for exomple, vocobulory qnd sentence struc-
ture) con be indicotive of the internol orgonisotion. In oddition,
the structure of o poem is determined to o degree by its rhyme
scheme, which con olso mqrk units of meoning.
I Complex Phonological Structures: Rhymes and
Other Sound Patterns
The rhyme scheme often serves os storting point for on onolysis Rhyme and
of the structure of o poem. 'Rhyme' is generolly token to refer to rhyme
the consononce of words from the lost stressed vowel; more exoct scheme
definitions ore bosed on the position of rhymes in q line of verse,
the number of rhyming syllobles, the degree of consononce ond
the woy in which the rhyming syllobles ore divided into words. In
the most norrow sense, rhyme refers to o rhyme occurring ot the
end of the line of verse (end-rhyme), with o consonqnce between
oll phonemes following the lost stressed vowel (full/perfect/true/
exoct rhyme), ond with oll rhyming syllobles occurring within the
sqme word. However, by opplying certoin criteria, we cqn differ-
entiqte between vqrious types of rhyme. These criterio ond types
ore presented systemoticolly in the toble below.
Clossifìcation occordÍng to positíon ìn line
End-rhyme: rhyme between stressed final vowels in lines of verse
Tyger! Tyger! burning bright
ln the forests of the night, (Wtrunv BrAKr, "The Tyger")
lnternal rhyme: special case; full rhyme between two or more words within the
same line of verse
And a clollgy ond o chotter from within 1...1.
(T. S. Euor, "The Waste Land")
my sister, O f tge'! swg¿! swallow. (SwtNeunue, "ltyluí")
Sister,
Clossification occordíng ta number of syllobles
Masculine/Monosyllabic rhyme: consonance as from the vowel of the stressed final
syllable
As you no doubt delight the eye
Of other híppopotom!. (OcoeN NnsH, "The Hippopotamus")
!l Complex Phonological Structures: Rhymes and Other Sound Patterns 61.
 Feminine/Disyllabic rhyme: consonance as from the vowel of the stressed penulti-
mate syllable
1...1 but when I reached / Thot tenderest stroin of oll the d!11y,
My foltering voice [...] I Disturbed her soul with plly!
(Savurl T¡yron Corrnrocr, "Love")
Triple rhyme: consonance from the vowel of the stressed third syllable before the end
as
Descending rather quickly the decljyjly | 1...1 I
'Midst other indicotions of festþjly (Lono Bvnor,r, Don Juon)
Classìfication occctrding to pur¡ty of rhyme
Full/Perfect/True/Exact rhyme: exact consonance of phonemes in the rhyming
syllables
Congruence between more sounds thon ín the preceding definítions of rhyme
Rich rhyme/rime riche: consonance between the consonants preceding the final
stressed vowels, as well as between the vowels themselves. Usually involves hom-
Historical rhyme: rhyme words that used to be, but are no longer, consonant,
owing to changes in pronunciation
We die ond rise the same, ond prpvg
Mysterious by this lgyp. (louN Dottrur, "The Canonization")
Classífícatíon occordìng to divísion of rhyming syllables
Mosaic rhyme: division of one of the rhyme words into more than one word
Oh, do not ask, 'What is it?'
Let us go and moke our vi;j!. (T. S. ELror, "The Love Song of I. Alfred Prufrock")
Broken rhyme/Split rhyme: rhyme created by dividing a word at the line break
(see chapter 3.3., 'enjambment')
1...1 on on oge old onvil wince ond sþg
Then lull, then leove off. Fury had shrieked 'No l¡rtg-
ering! (Craeno Merurev Hoerus, "No Worst, There ls None")
Toble 3.2.: TYPes of rhYmes

ophonic (= identical in sound, but different in meaning) words

That crozed thot bold and lovely Knight, I t...1 I The schemotic representotion of the sequence of end-rhymes Rhyme
Nor rested day ond night, (Snvuer Tnvron Cor¡nrocr, "Love") within q stc¡nzo or q poem is described os its 'rhyme scheme'. The schemes
ldentical rhyme: goes one step beyond rich rhyme: rhyme formed by the repetition rhyme scheme is conventionolly represented by o sequence of
of the same word lower cqse letters, with identicol letters used for rhyming lines of
But I soid, "l've o pretty rose-tree', I 1...1 / verse. Rhyme schemes qre¡ of course, not restricted to the ofore-
Then lwent to my pretty rose-tree, (Wrrunv Br-err, "My Pretty Rose Tree") mentioned couplet, in which the finql words of two consecutive
lines of verse rhyme. The most common rhyme schemes, ond the
Congruence between fewer sounds thon in the preceding definìtions of rhyme
terms used to refer to them, qre represented in the toble below:
Near/lmperfect/Slant/Approximate/OfflHalf rhyme
Defínitíon Rhyme scheme
(a) End assonance /Vowel rhyme: congruence between vowel sounds only
The apporition of these foces in the crowd Rhyming couplets aa bb cc
Petols on o wet, black bgygh. (Ezna Pour.ro, "ln a Station of the Metro") Alternate rhyme abab cdcd
(b) Consonance at the end of two lines: congruence between consonants only Embracing rhyme/envelope rhyme abba cddc
Futile - the Winds -
Chain rhyme/interlocking rhyme aba bcb cdc
To o Heort in po1! -
Done with the Composs - Tail rhyme aab ccb
Done with the Chot!! (Evrrv Drcuusorrr, "Wild Nights - Wild Nights!")
Toble 3.3.: Rhyme schemes
(c) Pararhyme: special case of consonance; initial and final consonants are repeated,
but the vowel is varied
An onolysis of the rhyme scheme con yield o voriety of insights lnterpreta-
Couroge wos mine, ond I hod mystery
into poetry. The interpretqtive volue consists firstly in the fqct thqt tive value
Wisdom was mine, and I mastery. (Wrrrneo OwrN, "strange Meeting") the rhyme scheme subdivides o poem. While end-rhymes link
EyelSight rhyme: use of homographs (wr¡tten in the same way, but different in pro- lines of verse, cr new rhyme frequently morks the beginning of o
nunciation) as rhyme words new unit of meoning. Rhymes olso creote a link between the rhym-
Mony t¡mes mon lives and dþ; ing words by meons of repetition on the phonologicol level. This
Between his two eternitþS (W. B. Yrars, "Under Ben Bulben") sometimes serves to heighten controsts which reqch to the core of
o poem, such os the qlternqte rhymes 'delight/thrilled' (referring
to British women) ond 'fightikilled' (referring to the soldiers) in

62 fÍtiçff -l An lntroduction to the Analysis of poerry @ Complex Phonological Structures: Rhymes and Other Sound Patterns 63

Sncrnreo S¡ssoor,¡'s "The Glory of Women". By creoting such intrq-
textuol porollels, rhymes olso highlight the coherence of the text.
The representotion of the rhyme scheme os o series of lower cqse
letters enobles us to give o schemotib representotion of sound pot-
terns ond thus to goin on overview of the structure of o poem.
Even poems thot ore composed entirely of stichic verse con hqve
q structure, which con generolly be discerned by examining their
rhyme scheme.
In oddition to the vorious types of rhyme and rhyme schemes,
Other sound
poems cqn include other internql sound pqtterns, which contrib-
patterns
ute to their phonologicol complexity. Internol links cqn be estob-
lished not only by meons of end-rhyme ond other types of rhyme,
but olso by meons of repetition ond occumulotion, of sounds or
phonemes ond groups of phonemes. The most important phe-
nomeno ore exploined below:
Alliteration: succession of words with the same initial sound or succession of
accented syllables with the same consonant or consonantal group
Nothing is so beautiful as spring - / When yeeds, in wþeels, shoot long and lovely
ond lush (Crnnno MeNr¡v HoeuNs, "Spring")
And live olone in the bee-loud glade (W. B. Yenrs, "The Lake lsle of lnnisfree")
Consonance: congruence of consonants short of alliteration; repetit¡on of a sequence
of two or more consonants, but with a change in the intervening vowel
(see table 3.2., pararhyme)
Goþþets of blubber spill to wind and weother
(Roernr LowELL, "The Quaker Craveyard in Nantucket")
Assonance: congruence between vowel sounds only
Bllnd eyes could blaze líke meteors and be gay
(DvmN THovns, "Do Not Co Centle into That Cood Night")
Onomatopoeia: use of words to imitate sounds
Only the stuttering rifles' ropid rattle / Can patter out their hosty orisons.
(Wrrrneo OwrN, "Anthem for a Doomed Youth")
Toble 3.4.: Phonologicol rhetorical figures
Functions Rhyme ond other sound potterns cqn hove o wide ronge of diverse
of sound functions. Three of the most importont ore the structuring or
patterns orgonisotionol function, the function of enhoncing the content of
the poem by imitoting ospects of externol reolity (for exomple,
sounds, objects) ond of internol processes (for exomple, percep-
tions qnd feelings), generolly referred to os 'mimetic/evocotive
function', qs well os generol oesthetic functions. Às in the cose of
the onolysis of the morphologicol, syntoctic ond semontic levels,
the centrql question when onolysing these ospects is whot contri-
bution they moke to the poem's potentiol of meoning.
64 GEE! -) An lntroduction to the Analysis of Poetry
,)
I
m Complex Morphological and Syntactic Structures:
Word Repetition and Poetic Syntax
In oddition to themotic, structurol ond metricql choracteristics, Rhetorical
vorious rhetoricol figures con olso contribute to the form qnd the figures
effects of o poem. Rhetoricol figures occur plentifully in poems;
however, they ore olso common in the drqmqtic ond norrotive
genres os well os in non-fictionql texts. As in the study of metricol
phenomeno, on inventory of terms doting bock to Antiquity con
be employed when onolysing rhetoricol figures. These terms con
be cotegorised occording to the dimension of longuage to which
they refer. In oddition to the 'phonologicol figures' introduced
obove, which ore employed on the level of sounds, there ore
olso
6 'morphologicol figures', i.e., rhetoricol figures which work on
the level of words ond word formqtion,
ß 'syntoctic figures', or rhetoricql figures thqt qre employed on
the level ofsentence structure (syntox),
ffi 'semqntic figures', or rhetoricql figures involving the meonings
of words or expressions, ond
ffi 'pragmotic figures', or rhetoricol figures involving longuoge
use.
Like the speech situotion, the metric ond stonzqic structure ond Creating
the sound pqtterns, oll rhetoricql figures contribute considerobly coherence
to the coherence of o poem. Às poems generolly hove little in the
woy of choracters or plot, they rely for their coherence on other
feotures. Coherence is produced by certoin elements in the content
of the text, for exomple the circumstqnces of the speoker qnd/or
the oddressee, os well os oll the themotic ond formol elements thqt
recur throughout the poem ond link the vqrious units of meoning
together.
As wqs mentioned eorlier, repetitions ond recurrences do not only Word
occur on the phonologicol level. Anologous complex structures repetition
con be found on other linguistic levels of mony poe¡ns; these
include the repetition of morphemes, words, groups of words, sen-
tence components and entire sentences. Such structures qre
described os 'morphoìogicol figures', ond ore presented in brief in
the tqble below.
$l Complex Morphological and Syntact¡c Structures: Word Repetition and Poetic Syntax 65
 Fíg u re s i nvolvi n g repetìt¡on rnon. The following toble offers on overview of syntactic rhetoricol
figures ond the terms opplied to them (see Luowtc t98Ll2OO5:
Exoct word repetítíon
11sff.).
Anaphora: repetition of a word or group of words at the beginning of successive
clauses or lines of verse porallelism between clauses or entire sentences
So long as men con breothe or eyes can seel parallelism: succession of clauses or sentences of the same structure
and this gives life to thee.
So lonq lives this, Hoppy my studies, when by these opproved!
(Wtrrtnv SHnresernne, "Sonnet 1 8") Hoppier their outhor, when by these beloved!
Epiphora: repetition of a word or group of words at the end of successive clauses or (Arrxanorn PopE, "An Epistle to Dr. Arbuthnot")
lines cf verse Chiasmus: reversal of structures in successive clauses
The yellow fog that rubs its bøck upgnJþ9_wlndow:pgr1_gt With wealth yeAItlqtq, y9r/,r.min.d.with orts, improve
The yellow smoke thot rubs its muzzle on the window-panes, (.lour'r DoNNe, "The Canonization")
(T.5. Euor, "The Love Song of J. Alfred Prufrock")
Connection of sentences and sentence components
Epanalepsis: repetition of words in close succession ('immediate repetition') or after
other intervening words Asyndeton: succession of words or phrases without conjoining words
All whom woç deorth, oge, agues, tyronnies,
Peace, peace, thou hippopotomusl (Ocorn N¡su, "The Hippopotamus")
Despoi¡ low, chance hath sloin [...] (oHr.r DoNNr, "Holy Sonnet Vll")
I celebrate mvself , ond s¡ng myself (Wan WHttvnu, "Song of Myself")
Polysyndeton: succession of words or phrases linked by conjoining words
Anadiplosis: repetition of end of the preceding clause/line of verse at the beginning
After the sul?sets and the dooryords ond the sprinkled streets,
of the next
(T. S. E.uor, "The Love Song of l. Alfred Prufrock")
And gentle wishes long subdued,
Subdued ond cherished /ongl (Snvurr T¡vron Corrntoce, "Love") Deviotion from normal word order
RepetÍtion involving vot¡ot¡on of repeated elements lnversion: reversal of normal word order
Here rests his heod upon the lap of eorth
Polyptoton: repetition of a word in different inflected forms
(THovtas Cuv, "Elegy, Written in a Country Churchyard")
Thus voinly thinking thqt she thinks me young
(Wrrunv SHnrrsrennr, "Sonnet 1 38") Hysteron proteron: reversal of the logical succession of events
I die! I foint! I foil! (Pzncv BvssHr SueLLev, "The lndian Serenade")
Figura etymologica: repetition of a root in different forms
I hod [...] / Lít some liqhter light of freer freedom Figures involvìng omissìon
(Oscnn Wrroe, "Flower of Love")
Ellipsis: omission of sentence components
Synonymy: repetition by the replacement of one word with another of the same Authorsorepartiol totheirwit,'tistrue,/ButorenotCrlficslpartial] totheir judg-
meaning ment too? (ArexnNorn Poer, "An Essay on Criticism")
For thee I wotch, whilst thau dost wake elsewhere
Aposiopesis: abrupt cessation before the end of an utterance
(Wtrrtnv SunrrsernRe, "Sonnet 61 ") His dvinq words - but when I reoched
Toble 3.5.: Morphological rhetorical figures That tenderest strain of oll the ditty,
My foltering voice ond pousing horp
Disturbed her soul wíth pity! (Snvut Tnvron CoreRrocr, "Love")
Deviation Rhetoricol figures thot ore reloted to sentence structure (syntox),
of poetic ore subsumed under the heoding 'syntoctic figures'. A typicol Zeugma: application of one verb to more than one object in different senses
syntax exc¡mple is porollelism, i. e. the successive use of porollel clouse or Here thou, great Anno! whom three realms obey,
sentence structures. Linguisticolly oriented conceptions of poetry Dost sometimes counsel tqke - ond sometimes Tea.
regord such syntoctic equivolences qnd other notoble feotures of (Arrxnuoen Popr, "The Rape of the Lock")
tl
poetic syntox qs'deviqtions' from 'normol syntûx'. In oddition to I
Toble 3.6.: Syntoctic rhetoricol figures ;l
porollelism, particulor forms of conjunction, deviotions from the
normql word order ond figures involving omission qre olso com-

66 t¡ltlrrrìr -l-) An lntroduction to the Analysis of Poetry f,l Complex Morphological and Syntactic Structures: Word Repet¡tion and Poetic Syntax 67
 Functions of Às wos the cose with the sound potterns, on onolysis of the funcr
morphologi- tions performed by repetitions qnd figures involving words on¿
cal and syn- sentences is more importont thon their mere systemotizotion qnd
tactic figures clossificotion. These word repetitions ond syntoctic structures co¡
ocquire o semontic function by meons of their interoction with
the content of o poem, ond con therefore generote o surplus of
meoning within the poem. The moin function of syntoctic figures
ís "to establish relations of correspondence and opposition" (LuDWtG
I98Il2OO5: 135). Like phonologicol equivolences, such grom-
moticol figures ore frequently employed to lend formql emphosis
to certoin elements of o poem's content. Alternotively, they cqn
be set in conflict with semantic elements, cts sources of tension or
dissononce.
Form as "Verbal parallelísm resembles free verbal repetition in that it is physi-
expression cally sensible - i. e. audible to the listener, and visible to the reader. This
of content meons that the parallelism sets up a special relation between expression
and content: the outer form of the message not only expresses undeþ-
ing meaning but imitates its structure. l. ..1 [v]erbal parallelism says the
same thing tyvice over: the expression hammers home the content."
(LmcH 1969: 85)
Gl Complex Semantic Structures: lmagery
Imogery is olso centrql to the onolysis of poetry, ond, thonks to
lmagery as
the omnipresence of metophors ond other linguistic imoges (or
a figurative
rhetoricol tropes), it is moreover on importont onolyticol tool for
mode of
vorious other genres ond medio such os film. The term 'imogery'
expression
subsumes oll the rhetoricol figures exploined below, including
metophor, metonymy, synecdoche ond synoesthesio. All ore figu-
rqtive forms of expression ond complex semontic structures. In
literory texts, these semontic figures ore expressed in words,
whereas in films they take the form of visuol imoges.
Structure of The term 'metophor' refers to 'word pictures'thot qre used to con-
metaphor vey o figurotive meoning. The octuol referent is not named directly;
instead it is reploced or porophrosed using words from onother
field of reference. Metophors ore often described qs shortened
or covert comporisons, because, in controst to the direct compori-
son or simile, the comporotive porticles 'like' or 'os' ore not used:
"Simile is an overt, and metaphor o covert comparison." (Leecu 1969:
1s6)
Terms used Metophor involves the removal of a word from its originol semon-
in the analy- tic field ond projection of this word onto an element from onother
sis of meta- semontic field. The originol semontic field, from which the meto-
phor phorical term, or 'vehicle', is token, is described as the 'source
68 Ífi|ü¡riì An lntroduct¡on to the Analysis of Poetry
)
domoin' or'donor field', whereos the qctuql referent, or'tenor', is
situoted in the 'torget domqin' or 'recipient field'. Vehicle qnd
tenor must be linked by some similority of content or structure (o
so-colled 'tertium comparationís), which connects the two ideos to
form o metophor. Metophors ore figures of similority, becouse they
operote by meons of comporison ond substitution, replocing one
element with onother.
The metophoricol process involves some kind of tronsfer of chor- Transfer of
octeristics, becouse centrol semontic chqrqcteristics of the vehicle characteris-
(olso known qs its 'sqlient feotures') ore projected onto the tenor. tics
The so-colled 'substitution theory' is bosed on the view thot, by
meqns of a metophor, one element is substituted for onother ond
thqt in the course of this substitution q connection is estqblished
between the semontic charqcteristics of the vehicle qnd those of
the tenor. Moreover, the tenor is re-presented or restructured by
the metoPhor.
Like the term 'picture/imoge field' ('Eildfeld'), coined by Hanaro Semantic
WËlNRrcH, the expression 'semqntic field' cqn be used to describe fields and
the woy in which metophors ore orgonised into overorching struc- image fields
tures, ond the specific relotionship thot connects the different ele-
ments of on imoge. By toking these different fields of meoning
into occount, we cqn give a more exoct occount of the semqntic
structures of the metqphoricol process. The theory of semqntic
fields enqbles us to demonstrqte that o metophor does not merely
link two isolqted linguistic phenomeno; it olso connects the lin-
guistic ond conceptuql fields in which the vehicle ond the tenor
hove their origins. If q beloved's eyes qre cqlled 'diomonds', for
instonce, the feqtures 'sparkling', 'precious' qnd 'bequtiful' ore
trqnsferred onto the torget domoin, whereos the feoture 'hord'
(which qccounts for the fqct thot diomonds ore used for drilling)
usuolly is not. Metophors therefore operote os o sort of 'double
filter' (Dnn'a.ln Pen), in thot they only admit those chqrocteristics
from the source ond the torget domoin thot ore of relevonce for
the specific context.
The 'interoction theory' is bosed on the ossumption thot metq- Metaphors
phors connect two different fields of meoning, which leods to o as interac-
reciprocol interchonge between the two semantic fields. In con- tion bet-
trost to the substitution theory, then, the interaction theory ween
ossumes thot metophors creqte q link betvveen two superordinote semantic
semontic fields. The interqction theory olso emphosises thot the fields
metophoricol process does not merely comprise o tronsfer of chqr-
octeristics from q vehicle to o tenor, or from one word to onother
one from o different semontic field; <rs the nome suggests, the
interqction theory orgues thot on interchonge tokes plqce betvveen
the two semontic fields thot ore thus connected. The vqrious com-
@ Complex Semantic Structures: lmagery 69
 ponents of semontic field of the source domoin impose o porticu-
Ior structure onto the torget domain of the metophor.
The metophor of the British Empire os o fomily, which wos wide-
Example:
spreod in English poetry of the 19th century qnd in non-fictionol
Empire
text types, provides o good exomple of the foct thot metophors
metaphor
shed new semqntic light on both the tenor ond the vehicle. The
metophor of the motherlond not only creotes o link between
coloniol power qnd the motriorch; the two fields of fomily ond
coloniolism ore olso ossocioted with eqch other by meons of
this imoge. Within this semqntic field, the colonies qre conven-
tionolly given the role of the children, ond q relotionship of polit-
icol hegemony ond economicql exploitotion is presented os o
personol relotionship. The metaphor of the motherlqnd therefore
structures, interprets qnd evqluqtes the tenor - i. e., the relqtion-
ship between q coloniql power qnd its dependent colonies - in q
new ond ideologically looded woy. This metophor of the family,
which wos qlso common in the politicql discourse of the Àmericqn
Wor of Independence, vividly illustrqtes the fqct thqt such images
ore not merely decorotive, but thqt they con be used to reinterpret
historicol ond politicol circumstqnces in a propogondistic woy.
Functions of As con be seen from the exomple discussed obove, the anolysis of
metaphors semontic fields ond the function of metophors cqn extend its remit
beyond literqture to include socio-culturql considerqtions. Metq-
phors ond other forms of imogery, then, do not merely perform
the function of opening up new possibilities of meaning thqt cqn-
not be conveyed by fixed expressions. Metophors also perform o
voriety of other functions os conceptuol models ond instruments
for creoting meoning. The metophor of o fomily to represent the
British Empire, for exomple, offers new perspectives becouse the
imoge of the fomily restructures ond reinterprets the Empire. The
moin creotive ochievements of this metophor, then, ore on the
one hond structurol, becquse it is oble to impose some of its inter-
nal logic ond denotations onto the relotionship between Englond
ond its colonies (in this cose, the parent/child relotionship with its
concomitqnt rights and duties of both ports). Additionolly, how-
ever, the connotqtive power of the imoges supplies porticulor cri-
terio for the perception ond interpretotion of historicol ond polit-
icol circumstonces. Such interpretotive schemoto do not merely
hove o cognitive function; they olso hove normotive, emotionol
ond ideologicol implicotions¡ c¡s they represent o relotionship of
politicol dominonce qs c¡n orgc¡nic, offectionote relotionship,
which connot be dissolved ond which imposes the duties of groti-
tude qnd obedience on the coloniol 'children'.
70 A!ñÛ¡n -l An lntroduction to the Analysis of Poetry
-)
A precise semontic onolysis of the denotqtions ond connototions Denotation
of a metophor is indispensqble in order to qrrive ot q competent and <onno-
interpretotion of its structure ond effect. 'Denotqtion' refers to the tation
literql qnd bqsic meonings of o word, whereas 'connototion'
describes oll the qdditionol ond peripherol meonings thqt can be
inferred from the word's ossociotions. These qdditionol meonings
ore by no meûns subjective or orbitrory; however, the qssociotions
thot ore qwoken by the vehicle ond linked implicitly to the tenor
connot alwoys be cleorly or completely identified. It is this phe-
nomenon thqt is primorily responsible for the much-discussed
ombiguity of literary texts.
Any anolysis of o metaphor must begin with on identificotion of Analysis of
the source ond torget domains. Following this, those denotqtions metaphors
ond connototions of the vehicle which ore projected onto the tenor
by the metophor must be examined. Only after investigoting the
usuql meoning (the semqntic chorocteristics) of the vehicle ore we
oble to evoluote the potentiol effects or the functions of the indi-
viduol metophor. In doing this, we must qlso toke into occount
the semûntic fields from which the metophor is token.
Mony metophors ore highly complex, consisting of severol portiol Complex
images, oll of which ore organised into superordinote structures. metaphors
Insteod of merely replocing one word with onother, such imoges
link together two different semantic fields. An illustrotive exomple
of such o complex metophor is the formulation "When hell's last
horror breaks them", used by SrecpRreu S¡ssooN in the poem "Glory
of Women" to represent British soldiers' desertion in order to
escope certoin deoth in battle. The noun'hell'ond oll its ossoci-
oted torments ore tronsferred onto the semontic field of wor, in
order to odequotely express the horror to which the soldiers ore
exposed. This complex metophor is porticulorly effective becouse
the ossociqtions of the word'hell'cqn vqry occording to historicol
ond culturql context. Eoch individuol will hqve his or her own
imoge of hell and will therefore develop qn individuql conception
of the experiences of the soldiers. The structure of a metaphor is
represented schemqtically in the model below:
@ Complex Semantic Structures: lmagery 7l

source domain/ target domain/
donor field recipient field
Ihuman vehicle tenor
relationshipsl
salient features
family Iparental dominance, British
dependence and Empire
immaturity of the
childrenl
tertium comparotionis
lthe individual elements are linked
together in a particular manner]
Figure j.3.: Structure of metophor
Metonymy The term 'metonymy' refers to the replocement of one word with
und onother to which it is ontologicolly, logicolly or cousolly con-
Synecdoche nected. Whereos in the cose of metophor, o connection between
formerly disparote elements is forged by meons of longuoge, in
the cqse of metonymy, the two phenomeno ore olreody ossocioted
by physical or thematic contiguity. Synecdoche represents o por-
ticulqr form of metonymy, in which one term is reploced by o
nqrrower one, or o port is used to represent o whole Qtars pro toto),
or vice verso (fofum pro parte). Whereos metophor involves the
tronsferrol of semontic components from one field into another,
in the cose of synecdoche the designoted entity is replaced by o
norrower or brooder term from the some semontic field. Meton-
ymy ond synecdoche ore therefore 'figures of contiguity'.
Synaesthesia The term 'synoesthesio' refers one or several words thot combine
perceptions or sensqtions thot qre produced by different sensory
orgqns. Synaesthesio is q rhetoricol figure thot operotes on the
semqntic level. It involves the fusion of severol sensory impres-
sions within one linguistic expression, or the ossociotion of one
sensory impression with onother sensory orgon. Two complex
exomples of synoesthesio con be found in WIlu¡v BLexe's poem
"London": in the line "The mind-forgedmanacles I hear", anabstract
element is presented os o polpoble object which cqn be heord. A
porticulorly notoble exqmple of Br-are's use of metonymy and syn-
oesthesio in orderto criticise society can be found in the lines "And
the hapless soldier's sigh/Runs in blood down palace walls". Here on
ocoustic quality, a sigh, is presented qs qn octuol substonce thot
cqn be seen to run down poloce wolls, which themselves serve os
72 !@@f} -l An lntroduction to the Analysis of Poetry
-)
o metonymy designating the monorchy ond its power. Since
instcnces of synoesthesio do not mûke sense if token literolly, they
encourage the reoder to infer meonings ond cousol relqtion-
Ipolitics] shiPs.
When severql images ore tûken from the some semc¡ntic field, the lsotopy
resulting interpretotive scheme which governs the text is referred
to os 'isotopy' (from the Greek iso-topos, meoning 'the some ploce
or level'). The isotopy of o text often consists of semonticolly oppo-
site or of porollel elements. In Eovuxu SpENSET's (1552-1599) "Son-
net 15" from the "Amoretti" cycle, whose highly stylized descrip-
tion ofthe eyes, lips, teeth, foreheod, hoir ond honds ofthe beloved
drows on the inventory of troditional tropes used in the Elizq-
bethon sonnet to describe beouty, vqrious comporisons occur thqt
originote from q common source domqin: thot of precious gems,
jewellery ond other voluoble obiects. The recurrent use of imoges
from this semontic domoin or isotopy serves to present the beouty
of the lody os the opotheosis of nature's qchievements:
Ye tradeful merchonts, that with weary toil
Do seek most precious things to moke your gain,
And both the Indiqs of their treosures spoil,
Whot needeth you to seek so fqr in vqin?
For lo! my love doth in herself contqin
AII this world's ríches that may for be found,
lf sapphires, Io! her eyes be sopphires ploin;
lf rubies, lo! her lips be rubies sound;
lf pearls, her teeth be peorls both pure ond round;
lf ivory, her forehead ivory ween;
lf gold, her locks are finest gold on ground;
If silver, her foir hands ore silver sheen.
But thqt which foirest is, but few behold:
Her mínd, odorned with virtues manifold.
In qddition to the categories of imogery discussed obove, numer- Other
ous other semontic figures exist. These include euphemism (refer- semantic
ence to something by meons of o milder, more positive expres- figures
sion), pleonosm (superfluous stringing together of words with the
some meqning), oxymoron (combinotion of two logieolly or the-
matically controdictory words) ond personificqtion (presentotion
of on qbstroct or concrete entity os if it were qlive or humon).
Definitions ond exomples of the most important semontic figures
ore given in the toble below.
@ Complex Semant¡c Structures: lmagery 73
 Tropes
lrony: meaning the opposite of what is said
FÍgures of similority Two vqst ond trunkless legs of stone / Stond in the desert.1...1 / nnA on the pedestol
these words appeor: / 'My name is Ozymandios, King of Kings: / Look on my works, ye
Simile: one thing is likened to another by means of a comparative particle
mighty, ond despoir!' / Nothing beside remoins. (Prncv BYSsre SHeLLtv, "Ozymandias")
My love is like o red, red rose (RoerRr BuRNs, "A Red Red Rose,,)
Metaphor: the characteristics of a particular vehicle are transferred to a tenor without Litotes: reference to an element or quality by negating its opposite
Words ot once true ønd kind,
being mediated by a comparative particle (see figure 3.3.)
Or not untrue ond not unkind. (PHtite Lnnrtru, "Talking in Bed")
The apporitíon of these faces in the crowd:
petols on o weL block bough. (Eznn Pour'ro, "ln a Station of the Metro,,) Other semant¡c rhetoricol fìgures
Synaesthesia: vehicle and tenor allude to different sensory perceptions Oxymoron: trenchant combination of two apparently contradictory terms
And the hopless soldier's sigh O heqvy liqhtness! serious vonitv!
Runs ín blood down poloce wol/s. (Wrtrnv Br,rre, "London,,) (Wrlr-tnu SunrrsRrnRr, Romeo and luliet)
Personification: a concrete or abstract element is presented as if it were alive or Paradox: an apparently contradictory statement which, on closer inspection, is found
human to be true
Foir Science frowned not on hís humble birth, We die ond rise the same (loHN DoNNe, "The Canonization") ù
And Melancholy morked him for her own. ò'r
Antithesis: luxtaposition of two logically opposed elements iÈ'
(THoMAs Gnal "Elegy, Written in a Country Churchyard,,)
Resolved to win, he meditates the woy, / By force to ravish, or bv froud betray; o
Figures of contiguÍty (ArrxnNorn Pope, "The Rape of the Lock")
a.J

Metonymy: replacement of one term with another to which it is ontologically, Hendiadys (from Greek for 'one by means of two'): an idea that would usually be ex-
logically or causally connected pressed by a single noun phrase is represented by two words joined by a coniunction
When I consider how my light [= vision] is spent, From rest and sleep [...]. (loHN DoNne, "Holy Sonnet X") o
E
(orlx Mtrolr, "Sonnet XlX") a.)
V)
Paronomasia/pun: a play on words using two identical or similar sounding words
Synecdoche: replacement of a part with a whole or vice versa with different and perhaps contradictory meanings \
Foir stood the wind for Fronce, Therefore I lie with her, ond she with me, / And in our foults by lies we flattered be'
-iù
When we our soils [= ships] odvonce, (Wrrunu Suerrsrranr, "Sonnet 88") a
F
(MrcHnru DnawoN, "The Battle of Agincourt")

Antonomasia: replacement of a generic term with a proper name/ or of a proper A very good synopsis of the fundqmentols, problems ond cotego- Further
name with an epithet ries of the onolysis of poems cqn be found in H¡,Ns-WERNcR Luowlc's reading on
A Doniel come to judgement [...] Arb eít sbuch Ly rikanaly s e ( 1 98 U 2005). First-rqte introductions ore the analysis
O wise young judge, how I do honour thee! olso provided by CHntsropH BoDE's Einllthrung in die Lyrikanalyse of poetry
(Wrrrrnv SHnreseeaRE, The Merchont of Venice) (200i) ond ToM FuRNISS' qnd MIcHeet- B¡rH's Reading Poetry: An
Other Tropes Introduction (1996). Eva MûIIcn-ZETTELMANN's Lyrik und Metalyrik
(2000) is recommended to those who wish to inform themselves
Periphrasis/circumlocution: description of an element by making reference to its obout the vorious opprooches in lyric theory. A systematic over-
characteristics view of the diverse rhetoricol figures is given in HcINR¡cH F. PLlrr's
the bleating kind [= sheep] (lerats Tnovso¡t, "The Seasons: Winter',) Systematische Rhetorik(2OO0), ond a good introduction to the bewil-
Euphemism: reference to something by means of a milder, more positive term dering plethoro of onolyticol terms con be found in the termino-
You con't believe thot Brítish troops 'tg!te' (Srccrarco SnssooN, ,,Clory of Women,,) Iogicol dictionary Terminologie der Literaturwissenschaft . Ein H and-
buch fiir das Anglistikstudium (1998) by Ruoolr Becx, Hlrotcaro
Hyperbole: use of (excessive) exaggeration
Kuesnn ond MARrN KuESTER, o revised edition of which is due to
An hundred years should go to proise
oppeor soon. PEnn HÜHN's excellent two-volume Geschichte der eng-
Thíne eyes [...j. (ANonrw Manvet, "To His Coy Mistress,,)
Iischen Lyrik (1995) gives a very good overview of the history of
English poetry providing o lorge number of exemplory onolyses.

74 Ínñtìfîì -l An tntroduction to the Analysis of poetry

-) @ Complex Semantic Structures: lmagery 75
 Æ
*ffi"
CHAPTER An lntroduction to the Analysis of Drama
Suit the qctíon to the word, the word to the oction, with this speciol observonce, tho¡
you o'erstep not the modesty of nature, For onything so o'erdone is from the purpose of
playing, whose end, both qt the first end now, wqs qnd is to hold qs 'twere the mirror up
to nature. Wlrunv SHAKrslEAnr, Hamlet, lll, ü, 17-22.
B n Text Written for Performance: Fundamental Features
of Dramatic Composition
Relationship When, in the possoge quoted obove, Homlet odvises the octors
between performing the ploy within o ploy in Hamlet to coordinqte word
text and ond action, longuoge ond gesture, he highlights the close relotion-
performance ship between the written text of o drqmo ond its performonce
in the theatre. Homlet's comment thqt the first ond ultimote gool
of octing is "to hold 1...1 the mirror up to neture" is odmittedly his-
toricolly determined ond bosed on o porticulor conception of lit-
erqture os imitotion of nature; however, his reference to the inter-
ploy between word qnd gesture olludes to o centrol ospect of the
theory of dromo qnd identifies two importont components of
dromq.
Aims and The mqin gool of this chopter is to identify the fundomentql feq-
content of tures of the composition of dromo, to give o preliminory overview
this chapter of some of the fundomentqls of the onolysis of drqmo ond to
introduce the most importont cotegories ond trqnsferoble meth-
ods of dromq onolysis. Beginning with the tension between drqmo
and theotre, we will exomine some constitutive feotures of dro-
mqtic texts. Following this, o communication model for dromo
will be developed thot olso tqkes into occount the specificities of
the theatricol context. À short introduction will then be given to
the bqsics of o semiotics of theotre, which hos increosed owqreness
of the port ployed by non-verbol theotricql codes. The remqinder
of the chopter will be devoted to c¡ summory of the most importqnt
terms ond models used to describe the vorious elements qnd struc-
tures of dromqtic texts.
The dra_ Drqmqtic texts differ from other literory genres in their commu-
matic text as nicotion situotion. It is important to remember thot, in controst
to on essay or o poem, q dromotic text is not primorily written to
script and
the play be reod, but rother os o script for o theotre performonce. Dromos
ore therefore texts thqt ore written to be performed as ploys, ond
this performance requires not only c script, but olso the entire
Z0 @ An lntroduction to the Analysis of Drama
, ¡
-J
opporotus of theotre production, which often includes consider-
oble resources in terms of personnel ond orgonisotion.
It is true thot dramotic texts ore generolly written by on outhor ond Collective
reod by individuol recipients; however, when o ploy is performed, nature of
the communicotion situotion is entirely different. Severol indi- production
viduols (for exomple, director, dromqtic odvisor, set-designers ond and recep-
octors/octresses) are involved in the production of o ploy; perform- tion
onces ore usuolly ottended by lorge oudiences. This phenomenon
is referred to as "[t]he collective nature of production and reception"
(Pnsren 1988: 11). The few dromos thot ore produced primorily os
reoding materiol do not chonge the foct thot wotching, ond not
reoding, is the most oppropriote mode of reception for dromo.
The process of preporing o dromo for performonce represents o Theatre per-
form of literqry odoptotion, in thot it involves substituting onother formances
medium for the literory text (see chopter 6.3.). While dromqtic as multime-
texts only exist in written form, theotre performonces use non- dial forms of
verbol os well qs verbql modes of communicotion: the theotricql presentation
reolisotion of q dromotic text involves on ocoustic (voices, noises,
music) qnd on opticol dimension (set, presentotion of the choroc-
ters, gesture, fociol expression), os well os occosionolly engoging
other modes of sensory perception. We con describe o theotre per-
formonce qs q "multimedial form of presentation" (PrrsnR 1988: 6),
becouse the performance of o play drqws on o wide repertoire of
verbql ond non-verbol signs ond codes, os well ûs on û voriety of
modes of perception or communiccrtion chonnels.
Dromo ond theqtre qre therefore closely reloted; the dromotic text lnteraction
functions os the script on which a performonce is bosed. Given between
thot text ond performqnce qre volued equolly qs ortistic works, it drama and
is perhops most oppropriote to regard the dramqtic lexl "as a text theatre
to be performed, as a literary artefact conceived with a view to its per-
formance" (Hörurt 1,991: 1,1). This qvoids oscribing greater volue
to either text or performonce, ond insteod does justice to both qs
distinct modes or medio of ortistic expression.
As mony feo,tures of o dromotic work con be voried in perform- Variations in
once ond the octors generolly have consideroble scope for indi- performance
vidual interpretotion, every performonce should be regorded os
and produc-
on independent 'theqtricql work of qrt'. À comparison of the vor- tion
ious performonces of any individuql drqmq illustrqtes this capoc-
ity for voriotion, which qffects in porticular the presentqtion of
chorocters, gesture and setting, whereqs the outlines of the oction
qnd the temporol structure of o dromq tend to be prescribed by
the text. Theotre performonce differs in vorious woys from dromo
os written text, the most obvious difference being thot the perform-
once is o tronsient event thot con never be exoctly reproduced.
ff n text Wr¡tten for Performance: Fundamental Features of Dramatic Composition 77
 Theatre Although theûtre studies and English qnd Americqn literory stud-
studies vs. ies qre both concerned with the brood field of droma crnd theotre,
English their obfectives ond methods differ considerobly. Since theotre
literary studies become estoblished os on independent discipline, the fol-
studies lowing distinction between the t"wo disciplines hos become widely
occepted: theotre studies focuses primorily on the'thentricol work,
or the 'theqtricol text', i. e. on the vqrious ospects of the perform-
once ond production of plays in o theatre. It is therefore primorily
concerned with the onolysis of octuol performonces on the bosis
of o semiotics of theqtre (see chopter 4.3.). English and American
Iiterory studies, on the other hond, ore concerned primority with
the onolysis ond interpretotion of dromos os printed texts, qnd
thus focus porticulorly on the written sources of theotre perform-
onces, on the generic chorocteristics of drqmûtic texts, ond on the
interpretotion ond themotic os well os formol chqracteristics of
individuol dromqs.
Performance Since the 1.98Os, however, interpretotive approoches thot ore con-
criticism cerned primorily with performonce ond known as 'performonce
criticism' hove goined in currency within English literory studies.
Performonce criticism encomposses a voriety of opprooches,
which focus primorily on the 'implied production' alreody inher-
ent within o dromatic text, or on the onalysis of octuol perform-
onces. Thus dromq is onolysed with o view to its production poten-
tiol. ÀNonees HöFELE (1991: 18f.) describes t}rre "impliedperformance
l. ..1 as the ensemble of ínstructions that a drama offers for íts produc-
tion: the pointer that is written into the dramatic text towards the 'text'
that is to be produced - the text of the performance - but not towards
the performance itself".
Stage forms The choracter of eqch theotre production is determined to o lorge
degree by the individuol stoge form, which qlso influences the
oudience's experience of the production, the distonce between
octors ond audience qnd the octing style. In Ancient Greece, ploys
were performed in omphitheotres, closer in terms of size to todoy,s
footbqll stodiums thon to our modern ploy-houses. The oudience
sqt in o semicircle oround the stoge, ond the lack of stoge set ond
the distonce from the oudience mqde o reolistic performonce
impossible. Theqtre in Shakespeoreqn times, by contrast, wûs
chorqcterised by close contqct between the octors qnd the qudi-
ence, with the oudience packed closely on vorious levels oround
three sides of the stoge. The stage ond the seoting were 'lit' by
nqturol doylight, ond the set wqs minimol, thus encourqging the
qudience to use their imoginotion to embellish whot they sow.
Certoinly, the physicol feotures of Shokespeoreon theqtre were not
conducive to o reolistic imitotion of reoliÇ. Todoy's most common
stoge form with its box-like structure, lighting, curtoins qnd other
78 f:t!tttt!'!t An lntroduction to the Analysis of Drama
/ t
props is for more suited to the creqtion of qesthetic illusion. The
ãctors con oct os if on invisible 'fourth woll' seporoted events on
stoge from the qudience. However, the experimentotion with stoge
forms thot is common in todoy's theotre, qnd thot frequently horks
bock to old models, is indicotive of dissqtisfoction with this con-
vention.
tl n Communication Model for Dramatic Texts:
Special Features of Theatre Communication
As we sow in our exqminotion of the dromotic genre, the com- Communica-
municqtion situotion of o drqmotic text is fundqmentolly differ- tion struc-
ent from thot of o lyric text. Admittedl¡ in the cqse of both genres ture of lyric
o distinction con be mode between externol communicqtion and dra-
involving the historical quthor qnd recipient, ond communicqtion matic texts
within the text. However, in oddition to the collective nature of
the production ond reception of theotre perfortnonce (ond qlso of
film), there ore significont differences between the internol com-
municotion situqtions of drqmatic ond lyric texts.
A communicotion model for drqmo enqbles us to represent in A commu-
grophic form some of the moin differences betvveen dromqtic texts nication
ond other literory genres. This communicotion model highlights model for
three moin communicotive peculiorities of dromqtic texts: firstly, drarnatic
on on internol level, dromos comprise severql speokers ond texts
oddressees in the form of the vqrious chorocters' Secondly, these
chorqcters con move between the roles of oddresser ond addressee
qs often os they like, os indicqted in the diogrom by the orrows
pointing in both directions. This leods on to the finol mojor pecu-
Iiority of dromqtic commrtnicotion, which is thot diologue is the
most importont medium for the trqnsmission of informotion. We
should note, however, thqt o number of lyric texts olso incorporote
dialogues, ond thot various forms of monologicol speech occur
frequently in drqmos.
extratextual level of communication
dramatic text:
intratextual level of communication addressee:
addresser:
real reader
historlcal
author character as
addresser t) character as
addressee
or audience
Figure 4.1 .: A communicqtion model for dramatic texts
fl A Communication Model for Dramatic Texts: Special Features of Theatre Communication 79
 Communi- This model olso demonstrotes thot, in the mojority of dromos, In the cqse of the oct of reoding o drqmo, the outhor functions os
cation internql communicqtion tokes ploce on only one textuol level, ths the oddresser, the dramqtic text qs the messoge, qnd the reqder qs
situation in level of the chqracters. In narrotive texts, by controst, the events the oddressee. In the cose of o theotre performonce, however, the
dramatic which toke ploce on the level of the chorocters ore medioted by o entire theotre opporotus, consisting of the collection of individuqls
and narra- norrotor (see chopter 5.2.). The lock of o medioting level of com- involved in its production, ossumes the role of the qddresser, the
tive texts municotion is generolly considered to be one of the most importont performonce constitutes the messoge, and the oudience ossumes
differences between dromqtic ond norrotive texts ond is referred to the role of the qddressee, which is qlso collective. These two com-
as "the absolute nature of dramatic texts" (Pusren 1988: 4). municqtion processes ore, however, closely linked ond influence
In oddition to these molor differences between dromotic qnd nor- eoch other mutuolly (in the figure obove this reciprocol influence
Communi-
rotive texts, we should qlso toke into occount the communicqtion is indicoted by the orrows between 'dromotic text' qnd 'perform-
cation situa-
situation of the theqtre performqnce. The situqtions thot frqme 0nce').
tion in drama
and in the the oct of reoding o drqmqtic text on the one hond, ond the theq- Even more thon the oct of reoding o dromo, o theotre performonce Levels of
theatre tre performance on the other, qre presented schemqticolly in the is o highly complex process of communicqtion, in the course of meaning
model below. which meoning is constituted simultoneously on o number of lev- formation
els: "a dramatic level (interactíon betvveen the characters on stage), a
theqtrical level (communication betvveen the cast and the audience)
and the level of everyday life (social communication qbout the produc-
tion and its relation to everyday norms)" (Meultn 1,992:71).
Even the internql structure of dromotic texts onticipotes perform- Primary text
once. Dromc¡tic texts comprise, firstly, o level of verbol communi- and
d ramatic cotion thot is composed of the chorocters' remqrks, or the dio- secondary
author text reader ( logue. However, they generolly olso contoin more or less detoiled text
.ô. informotion on how the text is to be performed, usuolly printed
in itolics. Whilst the chqrqcters' remorks constitute the 'primory
text', which during the performonce is to be spoken oloud by the
verbal verbal octors, the stoge directions ore port ofthe 'secondory text'. These
encoding decoding directions moinly concern the stoge set qs well os the chqrqcters'
gestures qnd fociol expressions, oll of which con be prescribed to
o greoter or lesser degree by the ploywright, but ore ultimotely
reolised in eoch individuql performonce. The secondory text
includes oll constituent parts of q dromotic text thot ore not port
of the diologue. In oddition to the stoge directions these include,
for exomple, the demqrcation of octs ond scenes, informotion os
to which chorocter is speoking, ond vorious other elements such
\7 os the title of the ploy, dedicotions, prefoces qnd the líst of drama-
theatre audience tis personae (chorocters) ot the beginning.
apparatus
Despite the qforementioned 'qbsolute noture of dromotic texts', Narration
there qre qlso numerous instqnces thqt controdict the widely-held and the
a view thot dromo does not feoture o communicotion level of nor- narrator in
encoding decoding rûtive tronsmission or a norrotor. Mony dromos, especiolly from drama
the 20th century, but qlso from eorlier periods in the history of the
genre, contoin nqrrqtive elements, porticulorly ot the beginning;
in mony ploys o superordinote norrqtive frome to the qction is
Figure4.2.: Communication models for dramø and theatre performance constructed. Exomples of this technique can be found in plays
(see Prarz-Wnuav 1978: 41) such qs TsoRNloN WILDcR's Our Town (1938) qnd Prren SHerreR's

80 ã!ñllñl An lntroduction to the Analysis of Drama A Communication Model for Dramatic Texts: Special Features of Theatre Communication 81
tt, I
'-J
fl
 -! a
hugely successful Amadeus (1,979). These ploys ore illustrotive of
certoin structural chorocteristics ond communicotion techniques
which, thqnks to their proximity to vorious chorqcteristics of nor-
rotive (or epic) texts, qre described os 'epic'. The choracter of the
Stoge Monoger in Our Town and Sqlieri in Amadeus both oppeor
in the drqmqs os medioting, norroting instonces, with the result
thot the communicotion structure of these dromqs is shifted closer
to thqt of norrqtive texts (see chopter 5).
lntroduction The distinction between the introduction of epic elements by chor-
qcters 'inside the oction' and by chorocters 'outside the oction' (see
of epic ele-
ments by PusreR 'J.988: 74ff.), is bqsed on whether or not the narroting
characters instonce is involved in the oction of the drqmo. SH¡rrtR's Àmcdeus
is on exomple of q dromo in which o chqrocter 'inside the qction'
ossumes the role of o norrotor. In controst to whot one might
crssume from the title, this ploy does not tell the story of Mozqrt's
life ond ochievements; insteod it offers o retrospective outline of
the decisive episodes in Solieri's intrigues ogainst his detested rivol,
presented in q succession of scenes qnd from Solieri's perspective.
Sqlieri functions as o kind of first-person norrotot who not only
recounts, comments on ond evoluqtes the centrol episodes of
his own life, which is overshodowed by his rivolry with Mozort;
he olso introduces himself ond qddresses his qudience directly,
in the hope of winning its understonding. The role of the nqrrqtor
in WlLorR's Our Town, by controst, is occupied by o chorocter'out-
side the oction', who is not involved on the communicotion level
ofthe chorocters, insteod presiding over events os o kind ofdirec-
tor.
Further epic Besides the introduction of o norrator, there ore further epic ele-
ments to be found in dromo. We cqn distinguish between verbql
elements
forms, for exomple stoge directions involving commentory os well
os projections ond bqnners, ond non-verbol forms of epic ele-
ments, the most importont of which is the destruction of the the-
qtricol illusion ond exposure of its mechonisms, for exomple when
q chorocter steps out ofhis or her role. The techniques pioneered
by Brnrorr BnecHr in his 'epic theotre' often serve os q meons of
producing the so-cqlled 'olienotion effect'. In controst to this, the
inclusion of nqrrqtive within droma - for exomple internql nor-
roting instonces or messenger speeches - often merely functions
c¡s o meqns of giving informotion; it therefore enhqnces rother
thon destroys the aesthetic iìlusion.
82 ttilttllllt An Introduction to the Analysis of Drama
,,/ I
-,J
Ë! Semiotics of Theatre and Non-Verbal Theatrical Codes
Às the moin focus in English literory studies is generolly ploced Analysis of
on the onolysis of dromq qs q written text, those qspects which dramatic
ore primorily or exclusively concerned with performonce qre fre- texts
quently neglected. The moin emphosis is usuolly ploced on the
qnolysis of textuql chorocteristics, which is sometimes supple-
mented by wotching the ploy performed in the theotre or on video.
It is, of course, not possible to do justice to oll ospects of perform-
once onolysis in the course of one short introduction; however, we
hope to illustrote the oforementioned point thot theatre commu-
nicotion differs considerobìy from the experience of reoding o
dromotic text, in terms of the medium ond sign system qs well crs
in terms of the reception process.
The study of the signs ond codes of theotre communicqtion is premises of
known qs 'semiotics of theotre'. This qreo of enquiry tokes occount semiotics of
of the complexity of the vorious verbql ond non-verbol sign sys- theatre
tems of the theotre, which are olso described qs 'theqtre codes'.
New theories of dromo ond semiotics of theotre proceed from the
premise thot the spoken text is only one of the many dimensions
or sign systems thot contribute to o performonce, ond thot the
non-verbql codes ore olso of greot importûnce for communicqtion
within theqtricql performonces.
When devising o system for theqtricql codes, we first must deter- Systemat¡za-
mine whether the sign is verbol or non-verbol. If it is non-verbol, tion of ver-
we hove to find out whether it is relqted to the octors, the stoge or bal and non-
other ospects of the dromotic production. Further fundomentql verbal
distinctions can be made between ocoustic and opticol or visuql
theatre
signs, ond between 'durotive' theotre codes thot remoin constont codes
over on extended period of time (such os the stoge set) ond 'non-
durotive', temporory codes (for exomple, gestures ond fociql
expressions). The following diagrom, which is bosed on work by
the Polish theotre semioticiqn T¡orusz Kowz.r.N, provides o sche-
motic ond systemotic overview of the most importont theotre
codes (see PnsreR 1988:8; AsroN/SevoNn 1991: 105).
[t Semiotics of Theatre and Non-Verbal Theatrical Codes 83
 and to occlimotise it to the otmosphere of the ploy. The exposition,
Typology of theatre codes by controst, has the function of informing the reqder or qudience
qbout the history preceding the oction ond of introducing them
to the time ond ploce of the oction, qnd the chorocters ('referentiol
actor stage
function', providing informqtion). The dromotic introduction ond
exposition con occur simultoneously in the opening or the first
acousti€ acoust¡c oct of the ploy; however, there ore some fqmous exomples of the
two occurring in succession in SHex¿spt¡RE's dromos, for exomple,
--' the witches' prelude ín Macbeth (1605/06) ond the shipwreck ot
\ì,","un.", loudspeaker music
(nd) the beginning of The Tempest (1610/11).
\ (nd) (nd)
voice-quality noise Although in clqssicol ond neo-clqssicol dromo the exposition gen- 'lsolated'vs.
(d) (nd) erally tokes ploce in the first act, this is by no meqns the only 'integrated'
pitch visual possibility. There ore two bosic vorieties of exposition, which we exposition
(nd) will refer to qs 'initiol' ond 'integroted' exposition. The former
stage-set refers to the inclusion of oll expository informotion in on isoloted
vocal
individual visual (d)
characteristics -'/ pqssoge ot the beginning of the text, seporate from the oction
(d) appearance (d) body props placards proper. In the cose of the second, however, the expository informo-
language (nd)
(nd) (nd) tion is distributed in smoll quontities throughout the text, woven
lighting into the qction (see Prtsrtn 1988: 87f.). In clqssicol dromo, the
facial
(nd) prologue, o mainstoy of epic theotre, is the most common form of
stature costume expression exposition. However, in modern dromos the prehistory of the
physiognomy make-up
\),.,," oction is generolly communicoted in the form of on expository
movement d = durative monologue (or soliloquy) or in the diologue betlveen the chorqc-
nd = nondurative
ters.
An extreme voriety of integroted exposition occurs in onolyticol Analytical
Figure 4.3.: Typology of theotre codes ond sign systems dromo, in which the exposition continues throughout the entire drama
action or text. In onolyticol dromos (ond similorly in onolyticol
narrotives), the qction consists primorily in the groduol disclosure
El Transmission of lnformation and Verbal Communication of the post events that hqve led to the initiql situotion.
The vqrious forms of monologue ond diologue represent further Dialogue
Transmission As this typology of theotre codes illustrotes, informotion con be fundqmentol cotegories ond oreos of enquiry in the anolysis of and
of informa- tronsmitted in dromotic texts by meons of both verbol ond non- dromo, ond ore therefore bosic subject-motterin university courses monologue
tion verbol codes ond chonnels. In qddition to propelling the oction on literory studies. We should beqr in mind, however, that these
forword, verbol communicotion between the chorocters olso con- cotegories qre ortificiol constructs, conventions specific to the
veys important informotion concerning the chqrocters themselves, theotre, which ore subject to historicol chonge. Diologue ond
os well os time, ploce ond oll other ospects of the fictionol world monologue ore importont methods of tronsmitting informotion
thot are presented. in mony dromos, ond con perform diverse functions. Other meth-
In both dromotic qnd nqrrqtive texts, the term 'exposition'refers ods of conveying informotion thot occur in drqmo ore, for exqm-
Ëxposition
to the trqnsmission of introductory informotion necessory for on ple, the messenger speech qnd the so-called 'teichoscopy' (whereby
vs. dramatic
understonding of the initiol dromotic events. 'Exposition' ond chqracters observe qnd simultoneously report events that are hop-
introduction
'dromqtic introduction' differ (see Prrsnn 1988: 86ff.) in thot they pening off-stoge).
perform different functions: the introduction serves primorily to The term 'diologue' refers to o succession of remorks qnd counter- Dialogue
estoblish q communicotion chonnel between the stage qnd the remorks (or'utteronces') between two or more chqrocters ('duo-
oudience ('photic function'), to owoken the interest of the oudience logue'ond'polylogue'; see PnsrtR 1988: 141). In o diologue, the

g4 filtiñr,ì An lntroduction to the Analysis of Drama @ Transmission of lnformation and Verbal Communication 85
/ I
 -l a
chorocters exchonge thoughts or opinions, discuss o topic or plot
on intrigue. Diologue is often referred to qs the bqsic structure of
dromo, qs it is q centrql constituent of the mojority of dromos, ond
the progression of the oction relies primorily on the choracters'
contributions in diologue. Àlthough diologue is o centrol element
of dramo, it is by no meqns restricted to this genre; diologue is
qlso qn importont constituent of films ond rodio ploys, ond is
frequently employed in norrotive genres such os novels, short sto-
ries, foiry-toles ond bollods.
The cotegories used in the onolysis of diologue ore therefore oppli-
Categories
coble to o number of genres ond mediq. When anolysing dio-
for the
analysis of logue, it is importont to consider the length of individuol utter-
qnces¡ the distribution of contributions omong the chorocters, cs
dialogue
well os the frequency with which the role of the speoker chonges.
The temporol relotions between the vorious utteronces con olso
yield importqnt clues for interpretotion: in oddition to the more
common model of lineor succession of individuol utteronces in
diologue, interruption (which could be described os o portiol
simultaneity of utterqnces) is olso common, qnd con function os
o sign of mqlfunctioning communicotion. Considerotion must
qlso be given to the 'syntogmotics', or the logicol coherence, of the
diologue; here, the three most importont ospects for onolysis ore
the structure of the logicol interrelotion between the individual
ports of an utterance, the relationship of on utteronce to previous
ones by the sqme chorocter, ond to preceding remqrks by other
chqrqcters (see PrtsreR 1988: chopter 4.6.4.).
Although diologues frequently oppeor to be very 'true to life', we
Functions of
should be qwqre when onolysing them thot they ore in fqct liter-
dialogue
ory constructs thqt hove been conventionalised to vorying degrees
ond perform specific roles within the ploy. Whilst reol converso-
tions in everydoy life primorily fulfil communicqtive qnd sociol
needs, dromotic diologues cqn serve quite different purposes. Dio-
Iogues set the oction of q dromo in motion ond ensure its progres-
sion. They ore olso centrol to chorocterisotion, ond serve qs q
medium for conflict, for the clorificotion of opinions, ond for
expounding centrol themes. It should be token into occount, how-
ever, thot the functions of diologue ore subject to historicol
chonge.
W¡t The 'qrtificiqlity' of diologue is porticularly evident in English
comedies of the Restorqtion period (1660-cq.1700). From this
period onwords, intellectuol, qrtificiql conversqtion cqme to be
regorded os one of the typicol feotures of the so-cqlled 'comedy of
monners'. This conversotionol style, known os'wit', is exemplified
by ploys such os Wnlrev WvcHeRLev's The CountryWife (1675) and
Wnuav CoNcRev¡'s The Way of the World (1700), qs well qs the
¡r!ñìtt+t
86
/t. I An lntroduction to the Analysis of Drama
-J
comedies composed in the 1890s by Osc¡RWrr-oe (1854-1900). The
diologue is not merely humorous; it comprises a verbol duel of q
highly subtle, intellectuol noture. The choracters who qre described
os 'wits' moke frequent use of certoin rhetoricol figures; the rep-
etition of unusuol similes ond metophors is porticulorly common.
Wit olso often uses the rhetoricol figure of poradox, linking
together terms thot seemingly hove nothing to do with one
onother, ond moy even be mutually controdictory.
We speok of a 'soliloquy'when o chqrqcter is olone on stoge while Monologue
speoking, or is regordless ofony heorers. The device is often used and
for the divulgence of innermost feelings. À 'monologue' is when soliloquy
o chorqcter speoks olone, but in the explicit presence of others.
The two terms thus correspond to the Germqn Selbstgespräch ond
Monolog respectively. (lt is importont to note, however, thot in
English usoge 'soliloquy' ond 'monologue' qre often used inter-
chongeobly - see Oxford English Dictionary.) The informotion con-
veyed in monologues ond soliloquies is often chorocterised by o
high degree of subjectivity. Monologues and soliloquies do not,
therefore, offer qn 'objective' view of o situotion; insteod they bear
the mork of the individuol speoker's chorqcteristics ond perspec-
tive. Such speeches con ronge in length from severql lines to q
comprehensive commentory. Note thot o 'drqmqtic monologue'
is not o port of o dromo but o poem (notobly perfected by Robert
Browning, see chopter 3.2.) or other non-dromqtic composition in
the form of o soliloquy.
Monologicol speech is specific to the dromo; there is no reql porol- Monological
lel in everydoy communicotion. Às monologicol speech is bqsed speech as
on the convention of o chqracter thinking oloud on stoge, it rep- a dramatic
resents o specificolly drqmqtic form of representing consciousness. convention
Monologues ond soliloquies, therefore, are only plousible in the
context of the outhor's ond the audience's shqred occeptonce of
this convention. Reolistic dromes, which oim to creote the illusion
thqt the events could genuinely occur os they are being presented,
tend to qvoid monologicol speech becquse of its obvious ortificiol-
ity. In oddition to informing the oudience qbout q chqrocter's
thoughts, feelings ond plons, monologicol speech cqn qlso serve qs
q link between vqrious appeqronces of chorocters ond os o tronsi
tion between scenes, os well qs connecfing episodes of the dromotic
oction by norroting events thqt qre not presented on the stoge.
The diologue ond the soliloquy naturolly differ first ond foremost Differences
in the number of chqrocters present on stoge; the solitory oppeor- between
qnce of the soliloquist stonds in contrqst to the vqriqble number
dialogical
of chorqcters porticipoting in o diologue. A difference thot qlso and monolo-
opplies to monologues lies in the identity of the main qddressee: r gical speech
whereas dialogues ore qddressed to on interlocutor on stoge, mon-
@ Transmission of lnformation and Verbal Gommunication 87
 ologues ond soliloquies ore directed towords the speokers ther¡-
selves or the oudience, rather thqn other chorocters in the per-
formonce. Monologicol utteronces qlso differ from diologues in
that they qre often more limited in terms of theme, but greoter in
terms of length, thon diologicol utteronces.
Despite these differences, there ore some instonces of overlops
Monological
between diologicol ond monologicol speech. 'Monological ten-
tendencies
dencies' in dialogue occur when there is o consideroble discrep-
in dialogue,
onry between the length ond frequency of the contributions, with
dialogical
the result thot one chqrqcter becomes dominont. When there is
tendencies
consideroble consensus between two portners in o diologue, this
in mono-
is olso seen os o monologicol tendency. On the other hond, mon-
logue and
ologues ond soliloquies qre sqid to contqin 'diologicol tendencies,
soliloquy
when the speoker oddresses qn qbsent figure or object (see Pplsnn
1988: 1,29ff .). A fomous exomple of such qn oddress is Mqcbeth's
dogger soliloquy.
lntroductory The following soliloquy, oddressed to the qudience by the pro-
soliloquy in togonist ot the beginning of Richqrd III (1592193), one of SHart-
Ríchard lll SIEARE's most importont history plays, is illustrotive of some of the
peculiorities of monological speech ond the functions it con per-
form. As this speech occurs ot the beginning of the ploy, it is
described os on 'introductory soliloquy'. In controst to the solilo-
quies feotured in SH¡.x¡spmne's tragedies, Richord's soliloquy shows
none of the mentol confusion qnd incoherence chorocteristic of
Homlet's or Mocbeth's conflict-ridden consciousness. Insteod, the
thoughts ond plons of the protogonist, Richord, Duke of Glouces-
tet qre presented in on ordered, logical sequence.
Now ls the winter of our discontent
Mode gloríous summer by this sun of York;
And qll the clouds thqt loured upon our house
ln the deep bosom of the oceqn buried.
Now ore our brows bound with victorious wreoths'
Our bruised orms hung up for monuments;
Our stern olarums changed to merry meetings,
Our dreqdful marches to delíghtful measurel
Crim-visoged wor hath smoothed his wrinkled front;
And now, insteod of mounting borbed steeds
To fright the souls of fearful adversories,
He copers nimbly in o lady's chomber
To the lqscivious pleosing of q lute.
But l, that om not shoped for sportive tricks,
Nor msde to court on omorous looking-gloss;
l, that om rudely stamped, ond wont love's mojesty
To strut before o wonton ombling nymph;
l, thot om curtoiled of this foir proportion,
88 @,'l An lntroduction to the Analysis of Drama
-,t
Cheoted of feqture by díssembling Nature,
Deformed, unfinished, sent before my tíme
lnto thís breothing world, scorce half mode up,
And that so lamely and unfoshionoble
Thot dogs bqrk ot me os I holt bY them;
Why, l, in this weqk piping time of peace,
Have no delight to pass owoy the time,
LJnless to spy my shodow in the sun
And descant on m¡ne own deformitY:
And therefore, since I connot prove o lover,
To entertqin these fqir well-spoken days,
I om determined to prove a villqin
And hote the idle pleosures of these doys.
Plots hqve I laid, inductions dangerous,
By drunken prophecies, Iibels ond dreoms,
To set my brother Clorence ond the king
ln deodly hote the one agaínst the other:
And if King Edwqrd be as true ond iust
As I qm subtle, folse ond treacherous,
Thís doy should Clqrence closely be mewed up,
About o prophecy, which soys that C
Of Edwqrd's heirs the murderer shall be.
Dive, thoughts, down to my soul: here Clqrence comes.
(Richord Ill, l, i, 1 -30)
Mony of the functions exemplified by this introductory soliloquy Functions of
from Richard III could not be performed to the some extent by monologues
diologue. The following summory lists some of the most importont and solilo-
functions of monologicol utteronces: quies
I fqmiliorizing the qudience with the otmosphere of the plqy;
description ofthe scenery or surroundings,
t providing expository informotion obout preceding events ond
the initiql situotion, os well qs introducing the oction, choroc-
ters, spotiol ond temporol context,
I commenting on previous events from the perspective of the
speaker,
t introducing the protogonist ond his or her self-charocterisq-
tion,
I giving expression to the speoker's innermost thoughts ond feel-
ings, describing internol processes ond conflicts,
I disclosing the speoker's plons, intentions ond decision pro-
cesses,
I introducing the oudience to the person<rlity of the hero/villoin
(meons of eliciting sympothy/dislike),
I orousing expectotions with regord to future developments (gen-
eroting suspense).
@ Transmission of lnformation and Verbal Communication 89
 -!
Aside The 'qside' represents a further mode of speech specific to the
drqmq. This convention olso exemplifies the ortificiolity of mqnv
methods of tronsmitting information in dromq. As in the cqse of
monologicol speech, the oside is frequently oddressed not to
qnother chorocter on the stoge, but to the reqder or the audience
in the theotre. Mrrlrneo PnsreR (1988: 137-140) differentioteg
between three different types of aside:
I the 'monologicol oside', in which o chqrocter voices o thought,
which is not expressed qnywhere else, in such o woy thot only
the oudience understonds (usuolly indicoted by the stoge direð_
tion'Aside');
tr the 'diologicol oside', in which, unnoticed by other chorocters
on the stoge, o group of initioted chorocters conduct o con-
spiratoriol conversation in whispers (usuolly indicoted by the
stoge direction 'Aside to X');
I the 'oside ad spectatores', in which o chorocter qddresses o com-
ment directly to the oudience (usuolly indicqted by the stoge
direction'Àddressing the oudience').
Transmitting Monologues, soliloquies ond osides represent a particulorly inter-
information esting meons of transmitting informotion in drqmo, os theymoke
to the it possible to import informotion to the oudience (or reoder) olone.
audience Consequently, the aside provides the oudience with on odvontoge
alone over the other chorqcters, from whom the informotion is withheld.
Monologicol osides and osides ad spectatores therefore enqble the
outhor to control the distribution of informotion to the odvontoge
ofthe oudience ond disadvontoge ofthe other chqrqcters.
The vorious forms of diqlogicol ond monologicol speech ore there-
Discrepant
fore importont in determining to whqt extent the vqrious chorqc-
awareness
ters ond the reoder or oudience ore informed obout the dromotic
events qnd the plans of the chorqcters. If the oudience is ploced
of qn odvontoge or disodvontoge in comporison with the chorqc-
ters, the situotion is described qs'discrepont qworeness'. 'Congru-
ent qwareness'occurs when chqrqcters ond oudience ore provided
with identicol informotion. Even within the internal communico-
tion system, however, the levels of oworeness of the vorious chor-
octers con vory considerobly, with discrepont levels of oworeness
frequently leoding to misunderstondings or communicotion dif-
ficulties between the chorocters.
Discrepont owqreness is qlso o precondition for dromatic irony
Dramatic
rrony (which is not to be confused with verbol irony, where the speoker
soys the opposite of whqt he or she meons). Drqmotic irony is
bosed on o discreponcy between the internql qnd the externol
communicqtion systems, or between the level of qwqreness of the
chorocters ond thot of the qudience. For dromotic irony to occur,
90 útltGÍItit An lntroduction to the Analysis of Drama
/ I
--t
a
the oudience or reoder must be privy to informqtion thot is not
ovoiloble to the chorocter concerned. This superior level of knowl-
edge gronts the qudience or reoder on insight into the chorocter's
errors of judgement, which imbues his or her remorks with on
unconscious or unintentionol additionol meoning. In controst to
intentionolty ironic remorks, in the cose of dromatic irony the
speoker him- or herself is the butt of the irony. Drqmotic irony con
be comic or trogic, depending on the individuol situotion.
E| Character and Action
In oddition to time ûnd ploce, chqrqcter ond oction ore the most Const¡tuents
elementory constituents of dromotic qnd norrotive texts¡ qs well of dramatic
os of films. Close exominotion of the portroyol of chorocter ond and narra-
of the presented or norroted story is therefore centrol to the qnql- tive texts
ysis of dromos, nqrrotive texts and films. There ore consequently
numerous parollels between the anolysis of dromotic qnd nqrrq-
tive texts, with regord to chqrqcter qnd oction qs well qs with
regord to the presentotion of time qnd ploce. However, the two
genres olso hqve individuol specific chqrocteristics. The following
section will begin with generol informotion on the terms 'oction'
ond 'chorocter'before going on to discuss the presentotion of chor-
octers ond action in dromqtic texts. Although chorocters qnd
oction in norrqtive genres (for exomple novels qnd short stories)
ore subject to nqrrotive mediqtion (see chopter 5), mony of the ì
categories introduced below qre qlso relevqnt ond useful for on
I
onolysis of both nqrrotive texts ond norrotive genres in other I
ij
mediq (see chopter 6).
ir
In literory texts ond films, the term 'oction' in its widest sense Action
rl
implies o chonge or perpetuotion of o situotion brought obout by
the chorocters. Four fqctors influence the behoviour of the chqr-
octers, ond therefore the development of the oction: obilities,
needs, motivotion ond intention. The intentions of the chorocters
ore c¡mong the most importont motors of the oction, <rlthough in
trogedy especiolly, the intentions of the individuûl chqrqcters are
often frustrqted by externql powers. In comedy, the conclusion is
generolly brought obout by chonce occurrences ond the misfiring
of the opponent's plons, rother thon by the success of the pro-
togonist's plons.
With specific reference to dromotic action, Volren Klorz mokes a Units and
distinction between open ond closed forms. The lotter refers to on composition
entirely self-contoined story, which is brought to q definite conclu- of the action
sion. Units of oction qre composed of scenes qnd octs. The clossicol
form of the trcrgedy corresponds to the ideql of o lorgely closed
f,t Character and Action 91,
 form consisting of five octs: L introduction, IL development of the
conflict, III. climox ond beginning of the protogonist's trogic
descent, IV. moment of deloy ond V. cotostrophe (or dénoue-
ment).
Dramatic The onthropomorphic figures presented to the oudience in literory
characters: texts qnd films ore described qs 'chorocters'. This term indicqtes
concept and thot the figure is fictive ond not to be confused with o reol person.
status Whereos chqracters in o dromotic text ore constituted only by
their words ond actions, in dromotic performonce ond film the
physicol presence ond body longuoge of the octor contribute to
the chqrqcterisotion. It is therefore importont to differentiqte
between the (reol) qctor ond the (fictive) role thot he or she ploys
on stoge.
Styles of sta- It is possible to distinguish between vorious styles of stoging chor-
ging charac- octers, depending on the degree of stylisotion, or the extent to
ters which they oim to preserve the illusion of performonce. 'Neoclqs-
sicol' styles qre chorocterised by their qdherence to rules ond con-
ventions, qnd their emphosis on the ploy's dignity ond solemnity,
'Nqturqlistic' styles, on the other hqnd, qim to encouroge the
oudience to empothise with the chqrqcters. BRecHt's 'epic theotre'
fomously strove to retoin the distonce between octors ond oudience
with o ronge of 'olienoting' techniques. À similor ronge of styles
of stoging chqrqcters con olso be found in films, where the period
or genre to which the film belongs ploys on importont role. We
should be coreful to differentiote, however, between the demonds
of the theqtre, where gestures ond faciql expressions hove to be
more strongly emphosised because of the distonce between octors
ond qudience, ond those of film, where it is possible to record
details such os fociol expressions qnd nuonces ofbody longuoge
in close-ups.
Theories of There ore vorious different opprooches to chorocterisotion within
'character' literory studies, bqsed on diverse understondings of whot consti-
tutes o choracter. In the mojority of interpretations, chqrocters ore
treoted os reol, existing individuols, with the mojor emphosis
being ploced on the psychologies of the chqrocters ond their relo-
tionships to one onother; this is bqsed on o reolistic or mimetic
understqnding of literory chqrocters which ctssumes thot they ore
'true to life' ond 'imitote' reol people. Structurolist theories of
drqmq qnd norrotive, on the other hand, stress the functionql
roles performed by chorocters. They consider chorocters qs qgents
or functions of the plot rother thon os'psychologicol entities', ond
therefore refer to them qs 'octonts'. In his onalysis of the Russion
foiry-tole, Vr-eolvlR Pnopp identified o number of plot functions,
which he linked to the roles of porticulor actqnts or plot ogents
(for exomple, hero, helper, donor or villoin). Both approoches ore
e2*ll An lntroduction to the Analysis of Drama
ultimotely one-sided, however, os choracter ond plot ore necessor-
ily interdependent.
Eversince ARISToTLc, dromo hos been defined os'imitotion of oction'.
lnterdepen-
The drqmotic oction orises from the diologue between the chqroc- dence of
ters, which sets ond keeps the oction in motion. There is o correlq- character
tion between chqrocter ond oction: on the one hond, the chorqcters and action
oct on the bosis of their necessorily limited perspectives; on the
other hond, the oction qffects the perspective ofo chorocter, becouse
the knowledge, obilities ond needs, os well qs the motivqtion qnd
intentions of q chqrqcter can be chonged by every oction.
The expression'dramatis personee'is used to refer to oll of the liter- Dromatís
ory chorocters who oppeor in o ploy. The first oct of q dromo is personae
usuolly preceded by o list of tllre drqmatis personae. Depending on
their importonce in the ploy, o distinction is generolly mode
between the moin chorocters ond the minor chorocters olthough
the boundory between the two is permeoble.
An importont meons of structurin g the dramatis personae consists Correspon-
in the simiiorities ond differences between the chorocters. These dences and
semontic equivolences ond oppositions qre referred to os 'corre- contrasts
spondences ond controsts' (see PrrsreR 1988: 163). The peculiorities
of individuol chorocters ore highlighted by their difference from
other figures. For exomple, the positive quolities of o heroine or
hero ore for more evident if he or she is juxtoposed with o villoin
thon with onother positive chorqcter.
The structure of the dramatis personae in ploys, norrotives ond Character
films con be simplified by meons of o grophic presentotion of their constella-
relotionships to eoch other, known os the 'chorocter constellotion'. tions
This expression is used to describe the dynomic structure of the
dramatis personae in o dromo, novel or film. It does not merely
refer to the troits of the vorious chorocters; it also encompqsses
the chorocters ond their relotionships throughout the text. The
sources of impending conflict, ond, therefore, of the drqmqtic
oction, cqn often be located in the constellqtions between the chor-
octers ond the irreconcilability of their motives. Certoin genres
such os the comedy of monners ore chqrqcterised by-fairly con-
ventionolised choracter constellotions; mony trogedies ore bosed
on o cleor opposition between the protogonist ond the ontogonist.
Within the wide voriety of dromotic ond norrotive genres, the
chqrqcter constellotions disploy o high degree of historicol ond
culturol voriobility.
The most importont criterion for the onolysis of scenes is the Character
entronce or exit of one or several chqrocters. This qlters the number configura-
of chorqcters present on the stoge, described os the 'configurotion' tion
of chorocters. By exomining the structure of the chorocter con-
ff Character and Action 93
 figurotion, we cqn oscertoin how importont o single chorocter is
within the ploy, os the number of configurotions in which o chqr-
octer porticipqtes is on index of his or her stotus ond of the relq-
tionship between the chorocters.
The expression 'Figurenperspektive', which wos coined by Prrsren
Character
(1977: 9O), offers o ronge of further possible opplicotions of the
perspective
term 'perspective'when onolysing chorocters in dromotic (ond
narrotive) texts. 'Chqrocter perspective' con be used to describe
the individuol, more or less restricted view of reolity of every chor-
octer, as determined by three mojor foctors: firstly, the chorocter,s
level of knowledge; secondly, the chorocter's psychologiccrl dispo-
sition; ond thirdly, the choracter's ideologicol persuosions. The
Ievel of knowledge ond the psychologicol disposition determine
the spectrum of chorocteristics ond the personolity of o chqrocter.
As the vqgue term 'ideologicol persuosions' is problemotic, not
leqst becouse of the diverse connototions of the term 'ideology', it
con be reploced by the more precise concept of 'volues ond norms,.
These terms are onolyticolly more useful, os the chorqcter's volues
ond norms generolly oppeor explicitly in the text ond qre there-
fore eosier to identify thon his or her 'ideologicol persuosions'. The
expression 'chorocter perspective' therefore encomposses qll those
feotures that constitute q chqrocter ond his or her subjective model
of reolity or view of the fictionol world.
Perspective In the theory of dromo, the term 'Perspektivenstruktur'or'perspec-
structure tive structure' hos been coined by theorists of dromo (see PusnR
I974 and 1988) in order to describe the entirety of chorocter per-
spectives qnd their relotionship to eoch other. The expression hos
olso proved useful in the onalysis of nqrrqtive texts (see chopter
5.3.). As the perspective structure of o text is bqsed on the selection
ond combinotion of chorocter perspectives, two ospects ore to be
tqken into considerotion: the porodigmotic dimension, consisting
of the selection of chorocter perspectives, ond the syntogmatic
dimension, which refers to the combinotion of perspectives. Both
ore relevont for our evoluotion of chorocters; in the context of
18th-century sentimentol dromo, which feotures o host of neorly
ideol chqrqcters, even those with minor flows oppeor to be for
worse then they would, for instonce, in one of the rother rynicol
Restorotion comedies or in the ploys of OscaR WILDE. The perspec-
tive structure in sentimentql comedies is therefore much more
homogenous thon thot of Wnoe 's comedies of monners or GEoRGE
BeRuaRo SHrw's ploys.
Closed vs. The diverse cotegories used to anolyse the relationship between
open the chqrocter perspectives con be subsumed beneoth o brood,
perspective overoll distinction between dromos (ond olso novels ond films)
structure with closed ond open perspective structures (see Pnsren L988:
94 fll!ñìlll!ì
/l An lntroduction to the Analysis of Drama
65ff.). In the cose of o closed perspective structure, the diverse
chqrocter perspectives ultimotely converge on one point, convey-
ing the impression of o unitoryview of the world. An open perspec-
tive structure, by controst, occurs when q dromo presents no such
convergence point ond the individuol chorûcter perspectives c¡re
divergent.
When considering the chorocter conception, we should firstly Character
oscertoin whether chorocters remoin unchonged throughout the conception
dromo, or whether they develop ('stotic' versus 'dynomic choroc-
ters'). We should olso consider whether o chorocter is o one-dimen-
sionol 'type'chorocterised by o small, internolly consistent collec-
tion of feotures, or q multidimensionol chorocter presented as on
individuol with o lorge number of chorocteristics. There is o broqd
spectrum of possible kinds of chorocterisotion, comprising various
degrees of individuqlisation. The two extremes of this spectrum
ore the 'personificotion', o figure who embodies or personifies q
single chorocteristic, ond the 'individuol', who hos so mony dif-
ferent feotures thqt he or she seems to hove os complex o chqrqc-
ter os q reql humqn being. A lorge voriety of choracters exists
between these two extremes.
The terms'individuol' ond'type' ore used to differentiote between lndividual
two vqrieties of literory chorqcters. 'Type' is used to refer to q chqr- and type
octer who hqs few specific humon choracteristics ond individuql
feotures, or who is choracterised, for exomple, os o representotive
of o sociql class. We con differentiote betvveen vorious types: the
psychologicol type embodies o porticulor mode of humqn behov-
iour (for exompie, the grouch or the skinflint), whereos the socioi
type is bosed on o porticulor profession or sociol closs (for exom-
ple, the courtier, city-dweller or peosont). There is olso o wide
voriety of ethnic, regionol and nqtionql stereotypes, os well os
gender stereotypes. A cornplex literory chorocter, by controst, is
supplied with o lorge number of chorocteristics. The mqin empho-
sis is ploced on the uniqueness ond personol individuality of such
chorocters; they ore presented os multi-focetted qnd chqrqcterised
by o lorge number of personol troits, ond ore therefore thought to
resemble genuine humon beings.
This distinction between type ond chqrqcter corresponds closely Flat
to E. M. FonslrR's differentiotion between 'flot' qnd 'round', or one- characters
dimensionol qnd multi-dimensionol, chqrqcters. In genres such vs. round
qs the novel or the trogedy, the individuqlised chorocters tend to
characters
be in the mojority; the comedy qnd other genres such os satire,
romc¡nce, qnd certqin film genres such os the western, by controst,
tend towords character types. A genre in which the chorqcters beqr
o conspicuously close resemblonce to types is the English Restorq-
tion comedy, which usuqlly includes such figures qs the qristo-
þ Character and Action 95
 crotic libertine, the loscivious, hypocriticol ond puritonicol bour-
geois, the dim-witted country bumpkin ond the mon-eoting elderly
womon omong its dramatis personae.
In the course of literory history, we see o progressive tendency
Historical
summary towqrds greoter individuolisotion of chqrqcters. Th.e exempla of the
literoture of Lote Antiquity qnd of medievol morolity ploys gener-
olly embody on obstroct concept, cr vice or o virtue, qnd therefore
function os personificotions. The chqrqcter types in the comedies
of the Renoissc¡nce ond of the 17th to the 20th centuries, by con-
trost, comprise o limited selection of psychologicol or sociologicol
chorocteristics, rother thon representing one single concept. In the
Iqte 1 7th ond eorly 18th centuries, the representotion ofchorqcters
os types is even elevoted to the stotus of q normqtive rule by neo-
clossicql poetics. With its demonds for'oppropriote' chorocteriso-
tion, described qs'decorum', the neo-clossicql school enshrines the
cotegorisotion of the humon being occording to age, gender, sociol
stotus ond notionolity, which first oppeored in ÀRrsrolL¿'s rhetoric
ond in Honace's poetics. This neoclossicql chorocter typology hqs
follen increosingly into disuse since the Romontic period (co.
1780-1830), however, ond hos been reploced by individuolising
ond psychologising chorocterisotion techniques, which stress the
complexity and diversity of humon identity.
mentory', or they con chorocterise others; in both cûses we should Figural tech-
beor in mind, however, thot the comments ore distorted by the niques of
individuol chorqcter's perspective ond moy therefore be unrelio- characterisa-
ble. The dramatis personae olso chqrocterise themselves implicitly tion
by meons of their behoviour, octions ond monners of speoking
throughout the ploy. We should odopt the bosic premise thot every
explicit chorocterisotion of others is olso on implicit self-chqroc-
terisotion, os the comments mode by o chorocter obout others olso
enqble us to drow conclusions concerning his or her own volues,
norms qnd personolity troits.
Among the most common techniques of outhoriql chorocterisq- Authorial
tion ore descriptions in the stage directions, ond the use of telling techniques
nomes thot import implicit informotion. The similqrities ond dif- of charac-
ferences, or the qforementioned 'correspondences ond controsts' terisation
between the chorqcters, olso contribute to chorocterisotion. The
following diogrom provides qn overview of the most importont
techniques of chorocterisqtion.
Techniques of charocterísotion
figural outhorial

Techniques In oddition to constellotion, configurotion ond conception, chor- expl¡cit ìmplìcít explicit ¡mplic¡t
description ¡n correspondence
of charac- octerisotion, or the conveyonce of informotion concerning o chor- the secondary and contrast
terisation octet is centrol to the onolysis of dromq (ond olso of norrqtive text
implic¡tly
texts ond films). Chorqcterisation is concerned with the question telling character¡sing
of how chorocters ore supplied with chorocteristics or semontic self-commentdry commentory non-verbol verbal
names names
feotures. In dromo there is q brood spectrum of chqrqcterisotion by others
voice-quality
techniques, which con be systemotised with the oid of specific physiognomy and
verbal behaviour
facial expression
criterio (see Pnsren 1988: 183ff.). Firstly, <r distinction is mode stature and gesture idiolect/sociolect/
between 'figurol' ond 'outhoriol techniques of chorocterisotion', masks and costume d¡alect/ register
properties stylistic texture
occording to whether it is the outhor or the charqcters themselves
locale
who convey the relevont informotion. In the cqse of 'figurol chor- behaviour
octerisotion', the informotion is supplied primorily by the speech,
gestures ond octions of the chorocters, whereos chqrocter informo- soliloquy dialogue soliloquy diologue

tion is supplied by 'outhoriql' meons if it derives from the structure

of the entire ploy. A further criterion is bosed on the explicitness
of the chorocter informqtion: in the cqse of explicit chqrocteriso- before alter in proesentío tn
first appearance
tion, the feotures ond troits of q chorocter ore stoted outright,
whereqs implicit techniques of chqrqcterisotion present the troits before after
ond behqviour of o chorocter ond ollow the recipient to drow his first appearance
or her own conclusions.
Fígure 4.4.: Techniques of charocterisotlon (Prtsrtn 19BB: 185)
Figurol forms of chqrqcterisqtion include qll those techniques in
which the chorocters themselves supply the informotion. Choroc-
ters con chorocterise themselves by meons of 'explicit self-com-

96 f¡r''ltlll An lntroduction to the Analysis of Drama fl Character and Action 97

I
J

Gt Representation of Place and Temporal Structure
Unity of For o long time, it wos ossumed on the bcrsis of Anrsrorn's poetics
time and thot drqmqs should observe the unity of time ond ploce, despite
place the foct thot Anlsrorn's text octuolly only prescribes the unity of
oction. Neoclossicql theorists insisted thqt these two unities were
necessqry to enqble the oudience to follow the play odequotely in
its imoginotion, ond in order for the theotricol illusion to succeed.
After oll, the orgument ron, there is no chonge in the reol spoce
during the performonce, ond the reol time is qlso q continuum.
Àlthough the unities of time, ploce ond oction were generolly
grouped together os one requirement, they in qctuol foct represent
three seporate rules, which cqn be broken in different woys.
Closed vs. In proctice, dromo ond drqmqturgy devioted from these clqssicol
oPen norms considerobly in the course of literory history. SH¡rcspeARE's
temporal dromas, for exomple, hove on open temporol ond spotiol struc-
and spatial ture: the setting chonges frequently, ond the time is not restricted
structure to one doy, as followers of Ànrsrorlt believed it should be. When
SHerespteRe wos recognised os q greot ploywright in the 18th cen-
tury, the predominont proctice of writing ploys chonged: increos-
ingly, dromas were given on open temporol and spotiol structure,
ond o closed structure wûs no longer regorded as the sine qua non
of dromotic composition.
Stage, fust os we differentiote between octor qnd role, we should olso be
theatre and coreful to distinguish between the stoge (or theotre) ond the fic-
fictional tional or imaginary spoce in which the drqmqtic events tqke
space ploce. The fictionol spoce is generolly only portiolly represented
on stoge; chorqcters often refer to other fictionql places, in which
they cloim to hove been in the period between their oppeoronces
on stoge. There is o spectrum of possibilities for the representotion
ofthe fictionol spoce on stoge, ronging from o reolistic represento-
tion, in which o lorge number of props qre used to creote the illu-
sion of the fictionol locotion, through a neutrol representotion,
with only o few opticol signols giving plostic form to the locotion,
to on onti-i[usionist, symbolist representotion, in which the props
do not serve to creqte the illusion of o reqlistic fictionol locqtion
at qll.
Techniques The representotion of ploce in theqtre performonces is ochieved
of represen- primorily by meons of the set (curtains, props, lighting, etc.). The
tation of director is generolly ot liberty to decide to whot degree the stoge
place directions concerning the set ore observed. There ore other meons
of representing ploce, however, most significontly the device
known os'word-scenery', which ottempts to engoge the imogino-
tion of the qudience. Word-scenery con be employed to describe
98 *,ll An lntroduction to the Analysis of Drama
'-'J:
the locotion of the qction, or to refer to porticulor props or imog-
inory figures (for exomple, ghosts or similor opporitions), none of
which ore visible on stoge. In contrqst to the set, then, word-
scenery is not on 'objective' meqns of representing ploce; rother,
it is filtered through the perspective of the individuol chorocter
who describes his surroundings. Moreove¡ word-scenery con con-
vey informotion thqt could not be represented in concrete form
on the stoge.
The structure ond presentotion of the spotiol context ore impor- Categories
tqnt considerotions when onolysing this ûspect of dromo, os they of represen-
ore indicqtive of how ploce is 'semonticized', in other words, how tation of
spoce becomes o beorer of meoning in its own right. The preferred place
hqunts of o porticulor chorocter, for exomple, qnd the frequency
with which he or she crosses boundaries between locotions, con
yield importont informotion, os cqn the 'relotionships within o
single locole', the 'relotionships between the stage ond off-stoge',
'the relotionships between o number of different locqles' qnd the
relotionship between the 'fictionql locole [and the] reol spotiol
context' (see Prrsnn 1,988: 257 ff.).
Vqrious cotegories developed by theorists of nqrrotive to describe Fictional
temporol structures ore olso used in the onalysis of drqmq qnd time and
film. They include chronologicol qnd achronic representotion, actual per-
floshforwords ond floshbocks, pouses and ellipses (see chopter formance
5.7.). A further distinction is mqde in the drqmqtic genres between time
octuol performance time qnd fictionol time. Actuql performonce
time denotes the length of qn individuol film or o theotre perform-
once; fictional time refers to the durotion sponned by the stoged
events, with q further distinction being mode between the period
of time that is presented on stoge ond the period obout which the
audience is informed in the course of o performonce (including,
for exomple, the events summorised in the exposition or in the
course of resolving mysterious plot elements). Periods of time qre
olso frequently omitted from the fictionol time structure between
scenes, octs or film sequences.
Fufther informqtion on oll ospects of the onolysis of dromo, illus- Further read-
trqted with numerous exomples, con be found in MeNríeo PnsleR's ing on the
introductory work Das Drama. Theorie und Analyse (1,97712OOO), analysis of
which is qlso ovqiloble in on English tronslotion (The Theory and drama
Analysis of Drama, 1988), ond which develops o comprehensive
repertoire for the systemotic onolysis of dromqtic texts. This stond-
qrd textbook on dromo is indispensoble for o thorough exomino-
tion of the genre. Although none of the English introductions to
the onolysis of dromq ore nearly os comprehensive os Prtst¿R's
seminol book, Et-aINe Asror{ qnd GroRce S.cvoxe's Theatre as Sign
System. A Semiotics of Text and Performance (199t) con be recom-
@ Representation of Place and Temporal Structure 99
 ffi
,1

t*,
mended. An excellent survey of the differences between the con_ {s*# j
J
I An lntroduction to the Analysis
ventions of the reolistic, expressionistic, epic ond obsurd drqmq
con be found in Paur Go¿rscH's Bauformen des modernen englischen
und amerikanischen Dramas (197711992). AIso strongly recom_
(ffIlff,| of Narrative Texts
mended is the Shakespeare-Handbuch. Die Zeit - Der Mensch - þqg
Werk - Die Nachwelt (197212009), on excellent reference wor( That cannibol, the novel, which has devoured so many forms of ort, will by then have
edited by INe ScH¡.eeRr, which offers comprehensive qnswers to devoured even more. We shall be forced to invent new names for the different books which
(oìmost) oll questions concerning SH¡,xespreR¡,s works qnd their masquerode under this one heoding.
culturol ond historicql context. More informotion on further reqd- VrRcrrurn WooLF, "The Narow Bridge of Art"

ing on the onalysis of dromo ond history of the English ond Àmer_
icon dramo con be found in the fourth section of the bibliogrophy
qt the end of the present volume. n The Novel as a Text Mediated Through Narrative:
Basic Features of Narrative Composition

In her essoy "The Nqrrow Bridge of Art", VlnclNIa Wool¡ describes Mutability
the novel metophoricolly os o 'connibol', which hos 'devoured' and sub-
mony forms of qrt in the course of its history, ond will doubtless genres of
integrqte still more. This imoge effectively illustrqtes the remork- the novel
oble mutqbility of this genre, which hos enf oyed huge populority
since the 18th century. Thanks to the diversity of the genre, the
novel is extremely difficult to define. It encomposses vorious sub-
genres classified according to subject-motter, such os compus¡ spy,
odventure, war, ortist, sociql ond women's novel. Subgenres clos-
sified occording to formol chorocteristics. These include the neo-
picoresque novel, the bildungsroman, the detective ond crime
novel, the thriller, ond historicql qnd science-fiction novels.
The short story is chorocterised by o similor mutobility, with such Diversity
o voriety of diverse monifestqtions thot HaNs B¿NoeR once occu- and generic
rately described it os "the chameleon omong literary genres". How- features of
ever, there ore o number of feqtures thqt ore generolly regorded the short
qs chorocteristic of the short story. They include the formol prin- story
ciple of norrotive economy, careful selection, reduction ond com-
pression in the presentotion of chorocters qnd the spotiol ond
temporol frome, concentrotion on the depiction of individuql
events, episodes, scenes or situotions, ond o tendency towords sty-
listic brevity ond ollusive prose.
Given the diversity qnd mutobility of norrotive genres, one of the The ques-
most difficult tosks foced by literory studies is thqt of identifying t¡on of
the most essentiol elements ond structurol troits of nqrrqtion. Of narrativ¡ty
centrol importonce, therefore, is the question of nqrrqtivity, thot
is, those chqrocteristics thot distinguish the nqrrqtive text from
other genres. These moinly derive from the fqct thot norrotives tell
o story; qnd since this is olso true of other genres, mony of the
cotegories thot will be discussed in whot follows olso apply to
films, comics ond other nqrrative genres.

too*/l An lntroduction to the Analysis of Drama

fl The Novel as a Text Mediated Through Narrative: Basic Features of Narrative Composition 101

--r
 Content and
This chopter oims to give on introductory overview of some of the
bosics of the theory of norrotive, ond to present some of the most
aims of this
chapter importont cotegories, models qnd methods in the onolysis of nqr_
rotive texts. We will first summorise the most importont generic
feotures of nqrrotive ond present o communicotion model for nqr_
rotive texts. The subsequent sections will comprise on introduction
to the centrol considerqtions in the onolysis of norrotive texts
(chorocter, plot, norrotive tronsmission, modes of presenting con-
sciousness qnd the representotion of time ond spoce).
The foundotions of the onolysis of nqrrative ore supplied by the
Narrative
findings, cotegories and models of the theory of norrotive, or nor-
theory or
narratology rotology. This oreq of literory studies focuses on the complex struc-
tures thot constitute the nqrrotion of q story. Norrotive theory,
which is rooted in structurqlism, ottempts to give o precise, sys-
tematic ond rotional occount of textuol structures, ond, to this
end, hos developed o cleorly defined terminology, os well os
descriptive models and cotegories of onolysis. The descriptive
models of nqrrqtive theory ore more thon a mere conceptuol oid;
they provide us with the 'tools'for giving o precise, systemotic ond
intersubjective occount of the composite elements ond structures
of nqrrqtive texts qnd ore thus the foundqtion for the interpretû-
tion of nqrrotive texts.
Story vs. Any onolysis of the structure of nqrrotive texts ond films must
discourse begin by differentioting between the vorious levels of communicq-
tion within the text. Various terms qre used to refer to these levels;
some opprooches ore bqsed on o primory opposition between
fabula and sjuzhet or 'story' qnd 'discourse', o binory distinction
thot goes back to Russion Formolism qnd Structurqlism. Whereos
the term 'story' refers to the chronologicol sequence of norrqted
events, 'discourse' refers to the shoping of this moteriql by the
norrqtor. This distinction is encapsuloted in the bosic questions:
(1) Whot is norrqted? (2) How is o story communicoted norrotively
(or cinemoticolly), i. e. medioted through nqrrqtive? This distinc-
tion between story ond discourse tokes occount of the foct thot the
some story cqn be norrated in entirely different woys, depending
on the events selected for representqtion ond emphosis, the lin-
guistic form, ond the choice of norrotive perspective as well os of
specific kinds of plots ond other norrotive techniques.
Constituents The distinction between story ond discourse provides o fromework
of narrative for the onolysis of the vqrious constituents of norrotive texts. The
texts story con be further divided into'events'ond'existents'; the lotter
term comprises the chqrocters ond the setting (see CHervaN 1.928:
19). The onolysis of the discourse level begins with the questions
of who is norroting, qnd from whose perspective the fictionql
world is presented.
102 irltr¡nl F An lntroduction to the Analysis of Narrative Texts
The elements of form qnd content thot chorocterise norrotive texts Story-
ond distinguish them from other genres ore grouped together oriented
under the term 'norrotivity'. Definitions of nqrrotivity vory, how- definition of
ever, occording to whether the level of the content (the story) or narrativity
the level of the nqrrqtion (discourse) is token os o point of depor-
ture. Structurolist norrotive theory ossumes thqt nqrrqtive texts
(in contrqst to descriptive, discursive qnd other types of texts) ore
chorqcterised by o chronologicolly orgonised sequence of events,
in which on event brings about q chonge in the situotion. This
meons thqt narrqtive texts differ from lyric ond other non-norro-
tive genres in thot they hove o plot.
Approoches which focus on the level of discourse or norrotion, on Þiscourse-
the other hond, consider the most essentiol generic feoture of the oriented
norrotive text to be its 'mediocy' (see Sr¡uzel 1984:4ff .). Nqrrative definitions
trqnsmission is therefore regorded os o constitutive chqrqcteristic . of narra-
of narrotivity. According to these opprooches, the fqct that whqt- tivity;
ever hoppens is being recounted (in controst, for instonce, to pan- mediacy
tomime or o ploy, which olso tell o story) is the defining choroc-
teristic of norrotive texts. For this qnd other reasons, the
exominotion of the norrotive perspective or 'point of view' is o
centrol element of the onolysis of narrative texts,
A third opprooch orgues thqt the specifity of nqrrotive texts lies Experien-
in o feoture thot primorily concerns their content: the obility of tiality
norrotive texts to give expression to humqn experiences by meons
of theirnorrotive structure. MoutraFluuenrux (1996: L2), forexom-
ple, defines norrotivity as "experientiality", as the "quasi-mimetic
evocation of 'real-life experience"'. This definition drows ottention
to the foct thot stories are olwoys occounts of experiences, ond
rqises the question of the relotion of norrotivity to generol consid-
erqtions reloting to the perception ond representotion of reolity.
Rqther thon toking ony one of these definitions qs qbsolute, it €ollection of
seems more sensible to ossume, os we did in the cqse of poetry ond features
dromo, thot norrotive texts ore chqrqcterised by o collection of
feqtures. À norrative text must not necessorily monifest oll three
of the oforementioned features; insteod one or the other feoture
con predominote in certqin genres, periods or individúql texts. In
the case of the qdventure novel, for exomple, the plot is of central
importonce; novels with o complex norrqtive structure, on the
other hond, focus ottention on the nqrrotive trqnsmission or medi-
ocy; ond in the psychologicol novels typicol for the Modernist
movement, the element of experientiolity predominotes.
!l ftre Novel as a Text Mediated Through Narrative: Basic Features of Narrative Composítion 1O3
 Ð e Communication Model for Narrative Texts: oddresses o reoder, or'norrûtee', who is olso fictive. In oddition to
these tvvo introtextuoì, fictionol levels of communicqtion, o fur-
Story-Oriented Versus Discourse-Oriented Narratology ther, extrotextuol level of empiricol communicotion con be iden-
tified, which includes the reol outhor os addresser ond the reol
Structure of
Communicotion models provide a frome of reference for the onql_ reoder os oddressee. With the oid of these three levels of commu-
communi- ysis of norrqtive texts, os they encomposs oll elements, whether nicotion, we cqn distinguish between the norrator ond the his-
cation in the introtextuol or the extrotextuol sphere, involved in the toricol outhor, os well qs betvveen the fictive oddressee ond the reql
communicotion of o fictionql text. The vorious models suggested reoder of q nqrrotive text.
by theorists, which identiff up to five levels of communicotion,
give o simplified overview of the communication structure of nqr_ This model olso illustrates whot is meqnt by 'embedded' levels of Embedded
rotive texts by representing oll instonces ofoddresser ond oddressee communicotion. This term refers to o sequence of possages in levels of
on the vorious intrqtextuql ond extrotextuql levels of communico_ which one nqrrotive is inserted into onothe4, superordinote nor- communi-
tion. Such models orronge the communicotion levels qnd vorious rotive. Three bosic criterio ore used to identify on embedded nor- cation
contextuol functions into a hierorchy, os well qs providing repre- rotive. Firstly, there should be q trqnsition from q level of nqrrqtion
sentotions of the "internal structure of the communication process,, to the norrotive embedded within it. Secondly, the inserted norro-
(I(aHnuaNN et aI. t977: 38). The following representotion offers q tive should be subordinote to the other norrotive level, so thot the
model for the communicotion structure of norrotive texts. two levels con neither be considered equcrl, nor plqced in o reverse
hierorchy. Thirdly, the superordinqte ond embedded nqrrotives
should be homogeneous to the extent thot they both belong to the
extratextual level of communication
sqme crtegory, in the cose of the novel, the cotegory of fictionol
norrotive. The communicotion model for norrotive texts therefore
narrative text provides on effective overview of the hierorchicol qnd functionol
intratextual level of communication l: relotions between the vorious norrqtive levels. The relotionship
level of narrative transmission between the extrodiegetic level of norrotive tronsmission ond the
diegetic level of the chqrqcters con be likened to o subject-object
real fictive intratextual level of ictive real
f relotionship, os the chorocters in the fictionql world ore the object
author na rrator communication ll:
) level of the characters ) reader reader of the nqrrator, the superordinote subject who recounts the events
and the story
ond comments on them. Àmong the most common types of
embedded norrqtive ore frqme toles ond interpoloted toles, i.e.
character character
norrotives thot qre inserted on the level of the story ond involve
as chorocters ossuming the role of norrqtor for severql possoges.
addresser {) as
addressee The diverse opprooches to the study of nqrrotive cqn be cotego- Story-orien-
rised occording to the levels ond constituent ports of norrcrtive ted vs,
texts thot they toke qs their focus; in other words, occording discourse-
Figure 5.'l .: A communicotion model for norrat¡ve texts to whether they ore more concerned with the content of the ncrr- oriented
rotive, or with the woy in which the content is medioted by the narratology
This communicotion model for norrotive texts is compotible with nqrrotive. Story-oriented narratologicol opproaches ore concerned
Levels and
the binory distinction between the content level (story) qnd the with the structure of the norroted tole, or with the question of whqt
instances
Ievel of norrotive tronsmission (discourse). The communicotion the nqrrotive text depicts. Àpprooches ore clossified qs discourse-
within the
level of the fictionql story, on which the speoker qnd oddressee oriented, however, when they focus on how the level of nqrrotive
communica-
con exchonge roles, consists - in dromotic ond norrotive texts os tronsmission, the structure of the plot or the temporql structure
tion model
well os in film - of the diologue between the chqrocters. In contrqst ore foshioned in norrotive texts.
to dromo (see chopter 4), however, the speech situation of the
chqrocters in norrotive texts is embedded in the communicotion
level of nqrrotive tronsmission. On this level, o fictive nqrrotor

104 @sfif}
\7
An lntroduct¡on to the Analysis of Narrative Texts
,'
I A Communication Model for Narrative Texts 1O5

J
 -Y
m Character, Plot and Narrated World:
Categories in Story-Oriented Narratology
Const¡tuents The norroted world is composed of temporol ond spotiol struc-
of the narra- tures, together with the vorious objects which 'exist' within it ond,
ted world Iost but not least, the chorocters. Story-oriented norrotology hos
developed vorious cotegories in order to onolyse these constitu-
ents. The most fundomentol ospects of the onolysis of the norroted
story relote to the presentqtion ofthe chorocters, plot ond spotiol
frome. When onolysing the presentotion of chorqcters within o
norrotive text or film, we cûn drow on o brood voriety of cotegories
estoblished by the theory of drqmq (see chopter 4). A very effective
woy to begin on anolysis of the constituents of a story is to sum-
morise the content of o norrotive text, toking the chorocter con-
stellotion ond the relqtions of controst ond correspondence (see
chopter 4.5.), os well os the division of the story into plot segments
ond sequences qs the moin points of deporture.
'How Although chorocters in norrotive texts ore octually only composed
sentences of textuol elements, in the course of the reception process they
become frequently come to resemble reql humon beings. Reception-ori-
characters ented ond cognitive opprooches have concerned themselves with
(and the question of how people, or qt leost the impression of people,
narrated cqn be constructed by meons of words ond sentences on q pqge.
worlds)' Such impressions, which qre port or the result of the process of
creoting oesthetic illusions, ore generoted not merely by the infor-
mqtion contqined in the text, but olso by the presuppositions ond
generol knowledge of the recipient. The recipient's implicit per-
sonolity theories play o porticulorly importont port in this process
(see Gneees 1978; ScHNetoen 2O00).
Characteri- Mony of the concepts tqken from dramq theory require consider-
sation oble modificotion when they ore opplied to norrqtive texts, os the
odditionol level of norrotive tronsmission has to be token into
occount. Whereqs the terms used to describe chorqcter constello-
tions ond conceptions (see chopter 4.5.) con be employed without
difficulty in the onolysis of norrotive texts, mony of the techniques
used to onolyse chorocterisation require some quolificotion. The
terms used to describe explicit ond implicit self-commentory ond
commentory by other chorûcters in drqmo must be supplemented
with cotegories thot qllow for further chorocterisation by the nor-
rotor, who frequently contributes diverse kinds of informqtion,
commentories qnd evoluotions to the chorqcterisotion, os well os
steering the emotionol response of the reoder towords the vorious
chorocters during the reception process.
106 t¡lllÉIff F An lntroduction to the Analysis of Narrative Texts
when exomining the techniques of chorocterisotion used in o
norrotive text, our primory considerotion must be from which Narrative
textuol speoker the informotion concerning o chorocter origi- techniques
notes. It is importont to differentiote here bètween chorocterisã- of charac-
tion by the nqrrotor or by onother chorocter. Further distinctions terisation
must be mode between self-chorocterisotion ond chorocterisotion
by others, qnd between explicit ond implicit chorocterisotion, thot
is, whether o feoture is directly specified or must be inferred indi-
rectly from q chorocter's behqviour. In oddition, we must consider
the reliobility of the vorious instonces of explicit self-chorocteriso-
tion or chorqcterisotion by others. we should beor in mind here
thot every explicit stotement qbout onother choracter is olso qn
implicit (often subconscious) instqnce of self-chorocterisotion, os
the iudgements mode by o speoker obout onother chorocter orso
enoble us to drow conclusions qbout the speoker's own ottitudes
ond volues. we should qlso toke coreful note of whether charocters
express themselves directly (i.e., in direct speech), whether the
streom of consciousness of o certqin chorocter is presented, ond
whether we ore given informotion qbout the oppeqrqnce ond bio_
grophicol bockground of q chorocter.
The trqditionol enterprise of onolysing literory choracters con be
Character
mode more precise by employing the concept of ,chorocter per_
perspective
spective'explained in the previous chopter. This term refers to the
and narrator
spectrum of chorocteristics ond qttitudes of o porticulor chorocter,
perspective
ond is composed of three elements: the knowledge of the chorocter,
his or her psychological disposition ond his or her volues ond
norms. By onology, we con also consider the ,perspective' of the
norrotor, os the reoder is gronted insights into the psychologicol
disposition qs well os the vqlues ond norms of the nqriqting ðhor_
octer by meons of personol stotements ond ottitudes (see ciopter
5.5.). In controst to the terms ,norrqtive perspective, or ,poini of
view', which ore often used interchongeobly with ,nqrrqtive situ_
otion', the concept of the 'norrqtor perspective, does not refer to
the norrotive tronsmission, but rother to the impressions formed
by the recipient concerning the personolity of thé nqrrotor on the
bosis of the informotion contained in the text. The norrotor per_
spective is elucidoted primorily through the volues ond noims
odopted by the norrotor within the text.
The 'perspective structure of o norrqtive text, is composed of the
Perspective
vorious individuql perspectives within q text qnd their relotion to
one qnother. In contrqst to the perspective structure of dromatic
structure of
narrative
texts (see chopter 4.5.), which consists in the vorious relotionships
texts
of controst orrd correspondence between qll the chorqcter perspeì-
tives, in the cose of narrotive texts perspective structùr" älro
encomposses the relqtionship between the norms ond volue sys_
f,l character, Plot and Narrated world: categories in story-oriented Narratology
lo7
 l
tems of the vorious chorocters ond the perspective of the norrotor.
The perspective structure is therefore fundoment<rl to the onolysis
of such centrol phenomena os the text's underlying norm ond
volue system ond the woy in which the emotionql response of the
reoder is steered. The perspective structure is determined by the
selection of individuol perspectives presented in o text, the quon-
titative consiclerqtion of their number ond the qualitotive consid-
erqtion of their vqriety (for exomple, the breqdth of the sociol and
culturql spectrum covered by the chqrocter perspectives), os well
os the structure of the ensemble of perspectives (see NûNNnrc/NüN-
NrNc 2000).
Story vs. Thqnks to the interdependence of chqrqcters ond oction, as
plot exploined in chopter 4, chorocters qlso function os ogents of the
action. Vorious terms ore used to describe the superordinote oction,
composed of the content of the text qs q whole. E. M. FonsrtR wqs
the first to moke the distinction between story ond plot, which is
now common currency. According to this distinction, the term
'story' is generolly used to refer to the chronologicol sequence of
events, without consideration of cqusql relqtions. A story is trons-
formed into o plot, however, when the vorious events ore olso
Iinked cousolly ond logicolly to one qnother. To cite on illustrqtive
exomple used by Fonsrtn (1,927 1L981:. 93f .): "A plot is also a narra-
tive of events [ike the story], fhe emphasis falling on causality. 'The
king died and then the queen died', is a story. 'The king died, and then
the queen died of grief', is a plot." This two-sentence plot comprises
tvvo events, the second of which is cousolly dependent on the first.
The plot sequence cqn be divided into segments of vorying sizes.
Event
The smollest plot unit is known os on 'event', defined in structur-
olist narrative qnd drqmo theory as "the smallest unit ín the com-
position of the sjuzhet, which cannot be divided any ñtrther" (Lorvau
1972: 33O). Events propel the oction onword ond bring obout
chonges in the situotion of the chorocters. In his semiotic opprooch,
]unr¡ LorvaN (1972: 332) defines on event qs "the displacement of a
character across the boundary of a semantic freld". As con be seen
from FonsrR's exomple, however, unintentionol chonges of situ-
otion ore olso clossed qs events. Yet olthough occurrences such qs
the gothering of clouds cqn be clqssed os events, o sequence of
such occurrences qlone does not constitute o norrative text. Nqr-
rotives olwoys contqin ogents (chorocters, or sometimes qnthro-
pomorphised, personified figures such os tolking onimols), who
hqve o choice between diverse courses of qction.
Kernels vs. In order to clossify events occording to their importonce within
the plot, Ror-eNp Benrnrs (L966: 9f.) distinguished between 'ker-
satellites
nels' or'cordinol functions' on the one hond ond 'cotolysts' or
'sotellites' on the other. 'Kernels' or 'cordinol functions' (also
i08 EE@ ,r
\ An lntroduction to the Analysis of Narrative Texts
)
known os 'nuclei') ploy a constitutive, propeling rore within
the
plot, ond open norrotive options. The terms'cotoryst, or,soteiriiel
refer to those events thot merely embellish the centrot pt"t,"qrrãr."
ond whose omission would not disrupt the logicol sequence-of the
norrotive. Events con follow one qnother in o 'choin,, thot is,
directly on o single norrotive level, or cqn be 'embedded', similor
to on interpoloted tqle or o story within o frome norrotive. The
concept of the event, olthough eosily opplicoble to mony reolist
works, becomes problematic when we ottempt to ûpply it to diverse
works of modernism, which privilege mentol 'events' by focusing
on the chorocters' streom of consciousness (for exomple, in Vln-
GIur¡ WooLF's novels), qnd to mony postmodernist works, which
focus on the constructed noture of events.
It is qlso importont to consider whether vqrious plot sequences ore Plot
bqsed on the some deep structures. Porticulorly well known in this structures
field is Vl¡ottvrR PRopp's systemqtic investigotion of the plot struc- and deep
tures of Russion foiry-toles. PRopr demonstrqted that these foiry- structures
tqles shore o common plot structure consisting of 31 invqrioble
elements or'functions'. The individuql functions, which ore enti-
tled, for example, 'The hero leqves the house', 'He is subjected to
o test', 'The hero ond his opponent begin to fight', ond so on, do
not oppear in oll foiry-toles; yet those thot do occur qlwoys oppeor
in the some sequence. Às con be observed in, for exomple, Jomes
Bond novels ond films, populor literoture ond films frequently
follow such schemqto, with only slight voriqtions.
As there are frequently consideroble similorities between the plots Plot
of vorious texts, ottempts hove been mode to develop plot typolo- typologies
gies. An eorly ottempt cotegorised plots occording to types of
oction, thot is, according to the relotionship between 'externql'
ond'internol' oction, distinguishing between the'novel of oction'
ond 'novel of chorocter'. This scheme wqs later broodened to
include the 'plot of thought'. There ore now cr greot number of
terms used to describe plots, some of the best known being 'court-
ship plot', 'seduction plot', 'initiotion plot'ond'quest'. Àmong the
more specific designotions ore the generotion plot ond the com-
ing-out-plot or mother-dqughter plot (see GunNseRc 2000).
À further primary consideration in the onolysis of norrotive texts Single
is the question of how the plot sequence is divided into stronds of and
norrotive. In norrotive texts qnd films we differentiote between multiple
single-strond crnd multi-strond plots. The criteriq for such o dif- plots
ferentiation include the extent to which chorqcters qre divided
into seporote groups, chonges in the chorqcter constellotion, the
juxtcposition of different spotiol ond temporol levels, chonges of
scene qnd the coherence ond independence of the vqrious identi-
fioble plot sequences (see NIscHtr 198L).
[t Character, Plot and Narrated World: Categories ín Story-Oriented Narratology 1O9
 Y
Beginning Of porticulor importonce to the onolysis of the oction of norrotive
and exposi- texts ore the form of the beginning, the structure of the exposition
tion of ond the manner in which the norrqtive is brought to o close. With
novels regord to the numerous wqys of structuring the beginning of nor-
rotive texts, q fundomentol distinction is mode between the
detoiled development of the plot with plenty of introductory ond
ontecedent informotion, typicolly commencing with the bifih of
the protogonist (cb ovo beginning), qnd the lounch of the nqrrotive
somewhere in the middle of the ûction (inmedias res), os well os
the onolyticol structure of beginning with the end of the story ond
groduolly reveoling the conditions of its beginning (in ultimas res).
The exposition includes the informqtion concerning time, ploce,
chorqciers ond prehistory which is necessory for qn understond-
ing of the plot. Despite the porticulorities resulting from the fqct
thãt nqrroiive texts feoture a level of nqrrotive tronsmission, the
bqsic forms of exposition ond giving informotion ot the beginning
of o novel correspond to those used in dromo. In the novel (os in
dromq ond film) we cqn therefore differentiote between 'isoloted'
ond 'integrated' exposition (see chopter 4.4.).
Ëndings ,\s in the cqse of dromotic texts, the primory considerqtion relot-
ing to the techniques for concluding norrotive texts is whether the
enãitrg is'closed', with otl problems solved ond the plot concluded
in o logicol monner, or whether it is'open', with the conflict unre-
solved ond the fote of the chorocters left open. Àn 'expected end-
ing' occurs when 'poetic justice', or o fair ollocotion of reword ond
punishment, is brought to beor upon the chorocters. When the
ènding results from the unexpected intervention of an externol
ogency, which hos not been involved in the plot up to this point,
it is referred to os o 'deus ex machina ending'.
A Characteristics of the Three 'Narrative Situations':
Categories of Discourse-Or¡ented Narratology I
Terms for In the following section of the chopter we will discuss the structure
describing of nqrrotive trqnsmission, or the discourse' We will therefore be
narrative deoling with diverse aspects of discourse-oriented norrotology. The
transmission question of how on event is medioted in norrotive has probobly
been discussed more exhoustively thon ony other element reloting
to the onolysis of nqrrotive texts. The structure of norrotive trons-
mission is described os the 'norrotive situotion' of o text. The
exominotion of the norrotive situqtion is one of the centrol ele-
ments in the onalysis of o norrotive text, not leqst becquse the
norrqtive tronsmission is one of the constitutive generic features
of norrotive texts. The term 'norrotive situqtion', sometimes olso
1i0 (@[[!} ,F An lntroduction to the Analysis of Narrative Texts
\
)
referred to os 'point of view', is omong the most fundomentol
cotegories employed in the onolysis of norrotive texts. All qre used
to describe the woy in which chorocters, events, plot elements or
internal, psychologicol processes ore presented in norrqtive
texts.
FneNz K. Sr¡NzEL's (197912OO8) typologicol circle feoturing ,three
Stanzel's
typicol norrotive situotions', which describes the vorious possi_
model of
bilities of structuring the mediocy of norrotive, hos proven itJ qno-
three typical
lyticol merit in this oreo. The typology is bosed on the three ele-
narrative
ments 'mode', 'person' ond 'perspective', which con be divided
situations
further into the oppositions'norrotor/reflector','first person/third
person' qnd'internol perspective/externol perspective,. In eqch of
the three nqrrotive situotions, one of the poles of the binory oppo-
sition ossocioted with it is dominqnt. The quthoriql norrotive
situqtion is chorocterised by the dominonce of the externol per-
spective; the cruciql feoture for the first-person norrotive situqtion
is on 'identity of the reolms of existence of the norrqtor ond of the
rest of the chorocters', ond the figurol norrotive situation is mqrked
by the dominonce of the reflector mode.
In order to determine which norrotive situqtion is present in o Criteria for
nqrrotive text, we must first investigote the identity ond explicit-
identifying
ness of the norrotor. A further importont question is from whose
the
point of view the norroted world is presented. With regord to the
narrative
identity of the norroto¡ a significont qspect is whether or not he
situation
or she is involved in the oction on the sqme level os the other
choracters. In order to qnswer this question, it is importont to
determine whether the nqrrqted world is presented from the exter-
nol perspective of the nqrrotor, or from the internol perspective of
one of the chorocters involved in the oction.
A norrotor is o first-person nqrrûtor if he or she is involved in the
First-person
norroted story. In the first-person norrotive situotion, events ore
narrative
reloyed by o 'norrating I', who tokes port in the oction in the
situation
fictionol world os o chqrocter or'experiencing I'. The norroting
ond experiencing I ore the some person¡ but they ore often sepo-
roted by temporol, ond sometimes olso morol, distance, os the
n<¡rrotor hos gone through o process of reflection qnd moturotion
in the meqntime. The first-person nqrrotive situotion differs from
the outhoriol ond figurol nqrrotive situotions in thqt the first-per-
son norrqtor is involved in the fictionol events os a protogonist
(l-os-protogonist) or o peripherol chqracter (l-os-witness). Some of
the typicol chorocteristics of the first-person norrotive situotion
con be found ot the beginning of CHanres DlcKENs, The personal
Hístory of David Copperfield (1849-50), a bildungsroman in which
the eponymous hero is explicit qbout the foct thqt he is telling his
own story:
@ Characteristics of the Three 'Narrative Situations' l.1 L
 Example of Whether I shall turn out to be the hero of my own life, or whether that
the first- station will be held by anybody else, these poges must show. To begín
person my life with the beginning of my life, I record that I was born (as I have
narrative been informed and believe) on a Friday, at tvvelve o'clock at night. h
situation was remarked that the clock began to strike, and I began to cry, simul-
taneously.
Limitations The fqct thqt the first-person norrotor is port of the some world os
of the first- the chorqcters gives rise to o further chorocteristic of the first-per-
person nar- son norrotive situotion: only the internol processes, thoughts and
rator feelings of the norroting ond experiencing I con be reloted. First-
person norrotors hove no insight into the consciousness of the
other chorocters; they con only surmise whot the thoughts ond
feelings of others moy be. First-person narrotors ore qlso restricted
by the borriers of humqn cognition ond physicol limitqtions in
further woys: those first-person norrqtors who present themselves
os eye witnesses ond vouch for the fictional qccurocy of their
occount must be present of the scene of the events thot they relote.
When they ore not present, they ore reliqnt on informotion from
other chorocters. Thus, aìthough first-person nqrrqtors qre not
restricted to recounting only those events thqt they hove witnessed
personolly, they ore usuolly required to offer o legitimising explo-
nqtion for qccounts of fictionol events thot they did not personolly
witness. This meons thqtthe source of informotion mustbe nomed,
ond o plousible explonotion given for the norrotor's knowledge
of the norroted events. A retrospective first-person norrotor cqn
generolly review the entire post events leoding up to the present
of the norroting I, but unlike the 'omniscient' outhoriol norrotor
he or she is not qble to look into the future.
Authorial In contrqst to first-person norrotors, outhoriol norrotors, Ìike the
narrative chorocteristicolly covert norrotors in figurol norrative situotions,
qre situated outside the world of the chqracters. In the quthoriol
situation
nqrrative situotion, the externql perspective generolly dominqtes.
Àuthoriql norrotors oppeor os concrete, tongible speokers ond
present themselves os fictive individuols by meons of personol
interjections, comments ond morol judgements on the events. Fur-
ther typicol feotures of the outhoriol norrotive situotion include
oddresses to the reoder, floshforwqrds, generolisotions qnd themq-
tisotion of the act of nqrrotion ('Erzählvorgang'). A good exomple
for this type of norrotive situqtion cqn be found qt the beginning
of the third chopter of Book L of HpNny FrEtorNc's novel Ihe History
of Tom lones. A Foundling Q7a9):
Ëxample of I have told my reader, ín the preceding chapter, that Mr. Allworthy
the authorial inherited a large fortune; that he had a good heart, and no family.
narrative Hence, doubtless, it will be concluded by many that he líved like an
situation honest man, owed no one a shilling, took nothing but what was his own,
112 t¡il|?ltlìl An lntroduction to the Analysis of Narrative Texts
\F
)
kept a good house, entertained his neighbours with a hearty welcome
at his table, and was charitable to the poor, i. e., to those who had rather
beg than work, by giving them the offals from it; that he died immensely
rich and buíIt an hospital.
And true it is that he did many of these things; but had he done noth-
íng more I should have Ieft him to have recorded his own merit on some
fair freestone over the door of that hospital. Matters of a much more
extraordinary kind are to be the subject ofthis history, or I should grossly
mísspend my time in writing so voluminous a work; and you, my saga-
cíous friend, might with equal profrt and pleasure travel through some
pages which certain droll authors have been facetiously pleased to call
The History of Englond.
A further difference between the outhoriol ond the first-person Privileges of
nqrrqtor is thot the quthoriol norrotor is generolly occredited with the authorial
omniscience ond omnipresence. These two, somewhot misleod- narrator
ing, terms cover q lorge collection of privileges, which frequently
chorocterise the quthoriql norrotor, qnd which con be defined os
follows:
ffi the psychologicol privilege
of insight into the internol processes
of oll chqrqcters qnd familiority with their thoughts ond
feelings;
ffi the spotiol privilege of invisible qnd fictive omnipresence,
which includes presence in oÌl ploces where chorqcters ore
olone, os well os presence in severql locqtions simultone-
ously;
ffi the temporol privilege of being oble to survey the entire course
of norrotive events in the post, present ond future.
Two dominont feqtures ore chorocteristic of figurol norrqtion. Figural
Firstly, in contrqst to first-person ond outhoriol norrotors, in fig- narrative
ural nqrrqtive situotions the norrqtor generolly recedes so for into situation
the bockground thqt the trqces of nqrrotive transmission ore
borely noticeoble. Secondly, the nqrrqted world is presented from
the perspective of q chqrqcter who is involved in the oction, o
'reflector', who functions os o medium or centre of orientation,
whose perceptions ond internol processes ploy o ce¡trol role in
determining whot is norroted. In the figurol norrotive situotion,
the representotion of subjective impressions ond internol processes
tokes the ploce of accounts of events or oction. The figurol norro-
tive situotion therefore gives the reoder the impression of hoving
o direct insight into the sensory impressions qnd consciousness of
the perceiving, thinking or feeling chorocter. Whereqs qn qutho-
riol norrotive situotion feotures events presented from the exter-
nol perspective of the superordinote norrotor, then, in the figurol
norrotive situotion the internol perspective predominotes. The
term 'figurol' refers not to the norrqtor, who is situoted 'obove' or
@ Characteristics of the Three 'Narrative Situations' 1 1.3
 'outside' the world of the chqrqcters, but to the reflector or 'centre
ofconsciousness', i. e. the choracter from whose sensory or internql
perspective the events qre presented. The beginning of Vrncr¡¡l¿
Wootr's novel Mrs. Dalloway (1925) , in which the reoder is plunged
directly without ony authoriol exposition into the experientiol
perspective of the protogonist, is o typicoì exomple of o figurol
nqrrative situqtion.
Mrs. Dalloway said she would buy the flowers herself. For Lucy had her
Example of
figural nar- work cut out for her. The doors would be taken off their hinges; Rumpel-
rative situa- mayer3 menwere coming. And then, thought Clarissa Dalloway, what
tion a morning - fresh as if issued to children on a beach.
What a lark! What a plunge! For so it had always seemed to her when,
with a little squeak of the hinges, which she could hear now, she had
burst open the French windows and plunged at Bourton into the open
air. How fresh, how calm, stiller than this of course, the air was in the
early morning; Iike the flap of awave; the kíss of awave; chill and sharp
and yet (for a girl of eighteen as she then was) solemn, feeling as she
did, standing there at the openwindow, that something awfuIwas about
to happen 1...1.
Storytelling The figurol nqrrqtive situqtion conveys on entirely different
frame vs. impression from thot creqted by the first-person qnd the quthoriql
norrotive situotions. The lotter two narrotive techniques shqre the
viewing
frame importont similority thot, in both coses, the reoder is given the
impression of being told o story by o cleorly identifioble speoker.
As the oct ond process of norroting ore foregrounded, the resulting
cognitive schemo is described os the 'storytelling frome', and typ-
icolly creotes the illusion of the presence ond proximity of on
individuolised norrotor who is telling q story ond oddressing o
listener. The reflector mode of the figurol nqrrotive situotion, in
controst, gives the reoder the impression of following the events
through the eyes or experientioÌ perspective ofone ofthe choroc-
ters. Rother thqn creoting the illusion of on individuqlised norrq-
tor, therefore, the text conveys the impression of immediqte occess
to the perceptions ond internol processes of o chorocter. These
cognitive fromes of seeing, perceiving or experiencing ore described
as "viewing frames" (FruoenNrr 1996: 345) or c¡s o " script of experi-
encing" (FruornNx 1,993:449). They represent the true hqllmqrk of
the reflector mode thqt is so chorocteristic of the figurol nqrrqtive
situqtion: " [R]eflectoral narration 1...] structures narration around the
sc ript of exp eriencin g or viewin g, rath er than tellin g ev ent s. " (ibid.).
The two excerpts cited below - from the beginning of f .D. S¡LlNceR's
hugely popular bestseller The Catcher in the Rye (1951) ond from
ANrre BnoorNER's novel Hotel du Lac (L984) - should serve to illus-
trote the difference betvyeen the storytelling frome ond the viewing
frqme:
1i4 @[@}
\,i
; nn lntroduction to the Analysis of Narrative Texts
J
If you really want to hear about it, the frrst thing you'll probably want Example of
þ know is where I was born, andwhat my lousy childhoodwas like 1...1 storytelling
and all that David Copperfield kind of crap, but I don't feel like going frame
into it.
Slightly more alert by now, she looked round the room, but there was
Example of
little to see; the grey men were still absorbed in their conversation; tvvo viewing
young couples, from the town, obviously, having a night out, had been frame
placed near the windows, overlooking the invisíble garden.
Diverse hybrid forms exist, porticulorlybetween the outhoriol ond Hybrid
figurol norrqtive situqtions, whereqs exomples of combinotions forms
of the first-person qnd the outhoriol norrqtive situotions qre much
rorer. The vqrious intermediqte stages between the quthorial ond
the figurol narrative situotions can be clossified according to the
extent to which the nqrrqtor ûppeqrs qs speaker, qs well os occord-
ing to whether the externol or internql perspective dominqtes in
the presentotion of the chorocters. Mûny novels begin with on
outhoriql exposition, but then in the course of the nqrrotive the
norrotor recedes groduolly into the bockground to be reploced by
one (or severol) reflector(s). Àn exomple of a first-person nqrrotor
with outhoriql feotures cqn be found in the form of the tolkotive
hero of L¡.uReuce SteRNe's unique novel Ihe Life and Opinions of
Tristram Shandy, Gentleman (17 59-67).
Nqrrotive techniques ore not otemporol, ideol types. They ore his- Historical
torically determined ond, like the choice of norrotive theme, ore develop-
subject to historical chonge. This is porticulorly evident when we ment of the
exomine the historicol development of the norrotive situotions narrative
outlined obove. The novels ond norrotive texts composed from the situation
16th through to the 19th century predominontly feoture first-per-
son and outhoriol norrotive situotions. Two models bosed on these
tlvo norrotive techniques remoined influentiql into the 20th cen-
tury: firstly, the model of the fictionol outobiogrophy, bosed on
the first-person norrative situotion, the most fqmous eorly exom-
ple of which is D¡.urel Dtpo¡'s novel Robinson Crusoe (171,9); and
secondly, the model of the outhoriol norrotive situqtion intro-
duced in Englond in the mid-l8th century by Herunv FreLorNc,
which recurred in countless English ond Americon iovels of the
18th ond 19th centuries. With the exception of certoin important
forerunners such os the novels of faNe ÀusteN, which were pub-
lished in the eorly 19th century, the figurol nqrrqtive situotion
developed out of the outhoriql nqrrotion ot the end of the 19th
century. The techniques of first-person ond outhoriol norrotion,
which predominoted in the Victorion novel, ond which correspond
to the trqditionol 'telling' mode, were reploced in modernism by
impersonol ond scenic methods of representotion (the 'showing'
mode). The development of new modes for representing conscious-
@ Characteristics of the Three'Narrative Situations' 115
 Y
ness wûs sporked by scepticism concerning the ideo of the 'omnis-
cient' norrotor, os well os by the growth of interest in psychology
(see chopter 5.6.).
Investig<rtion ol the nqrrotive situûtion con yield interesting
Narrative
insights into the representotion of reolity in norrotive literoture.
situation
and Norrotive techniques evolve from sociol ond philosophicol
perception ossumptions ond serve to give expression to porticulor perceptions
of reality of reolity, which ore themselves subiect to historicol chonge. A
brief glonce ot certoin tendencies in the historicol development of
the typicol kinds of norrqtive situotion should serve to illustrote
this. Numerous 18th-century novels feoture o first-person nqrrotor
who guorontees the supposed outhenticity of the norration, os he
or she is reporting from personol experience. The omnipresence
ond omniscience chorocteristic of the outhoriol norrotor, who
stonds oport from the oction, suggest o belief in on ordered uni-
verse ond in the possibility of exploining ond evoìuoting human
behoviour by reference to generolly opplicoble criterio. The figurol
norrative situqtion chqrocteristic of mony modern novels, how-
ever, in which the norroted world is presented from the perspective
of o reflector who is involved in the events of the norrotive, ccrn
be considered the literory expression of on oltered experience of
reolity (see chopter 5.6.). In oddition to identifying ond describing
techniques of representotion, we should therefore olso consider
the vqrious functions performed by these techniques ond the per-
ception of reolity to which they beor witness within o p<rrticulor
literory work.
There qre noturolly many more possible woys of turning o story
Repertoire
of other into o nqrrotive text thon the 'three typicol norrotive situqtions,.
narrative In whot follows, û short description will be given of the most
forms importont omong the broqd repertoire of olternqtive norrotive
models.
Second- In oddition to norrotives in the first qnd third person, which ore
person chorocteristic of the figurol ond outhoriol nqrrotive situotions,
narration some texts are olso narroted in the second person. These ore
described os 'second-person norrqtives'. "The model of second-per-
son narration has now been generally accepted as the use ofthe second-
person pronoun throughout the text to address a character who is
involved in the events ofthe narrative. This technique has far-reaching
consequences for the character's relationship with fhe histoire and the
narrating persono, and therefore enables a subtly disorienting address
to the reader that fosters his or her involvement in the plot.,, (Wresr-
Ku-rNe R 1999: 12) Exomples of this technique include such diverse
works os Eor.rt O'BRreu's rites of possoge novel A pagan place (197O)
ond SuuerRe Gupt¡'s novel lhe Glassblower's Breath (L993).
116 @¡f[fl 'F An lntroduction to the Analysis of Narrative Texts
\'
_/
Novels thot for the greoter port ovoid norrotive trqnsmission ond Dialogue
consist olmost entirely of conversqtions between the chorocters novels
repoÍed in direct speech ore referred to os 'diologue novels'. The
novels of Iw CovproN-BuRNErr (1884-1969), who, thonks to her
unconventionol norrotive style, is often credited with the 'inven-
tion' of the diologue novel, ore chqrocterised by o relotive scorcity
of qction ond by styÌised diologues between the chqrocters, which
constitute the greoter pqrt of the text. The norrotor's contributions
ore restricted to qttributing comments to speokers ond giving
informotion on the spotiol ond temporol context ond on the chqr-
octers'body longuoge.
The influence of film is cleorly mqnifest in the comero-eye tech- Camera-eye
nique developed by CHnrsrops¡R Isue Rwooo (1 9O4-1986) ond EnNmt technique
H¿vtt ¡cwey (1899-L961). This technique, which is exploined by the
first-person norrotor ot the beginning of IsHenwooD's novel Good-
bye to Berlin (1,939), conveys the impression that the norrotor func-
tions ûs o possive observer: "I em e camera with its shutter open,
quite passive, recordíng, not thinking. Recordíng the man shaving at
the window opposite and the women in the kímono washing her hair.
Some day, aII thís wiII have to be developed, carefüIy printed, fixed."
Despite the olleged outhenticity ond proximity to reolity of the
cqmera, the choice of sujet, comero setting ond the subjective
interpretotions offered on the events of the nqrrqtive demonstrote
thqt the comero-eye technique is by no meons o neutrql or even
'objective' representotion of reolity, ond thot the ideq thqt such o
representotion con be offered by norrotive texts or even by film is
qn illusion (see chopter 6.6.).
As the exomple of the comero-eye technique demonstrotes, the New media,
new mediq hove considerobly influenced the development of new new narra-
norrotive forms. A prime exomple is the experimentol novel U/yer- tive forms
ton (1992) by Aoav THoRpË, which not only crosses generic bound-
ories, but olso troces historicql chonges in systems of recording
experience by switching between different forms of norrotion,
which ore modelled on different mediq. Eoch chopter of this novel
represents q mode of experiencing ond recording reality which is
specific to q different historicol period, with the lost chøpter toking
the form of the post production script of o documentory film. By
meons of intermediql references¡ such novels provide o fictionol
demonstrotion of the effect of technicol medio, such os photogro-
ph¡ typewriters, rodio ond film, ond their specific modes of storing
ond processing doto, on the perception qnd norrotive presentotion
of reolity.
[l Characteristics of the Three'Narrative Situations' 117

El The Structure of Narrative Transmission:
Categories of Discourse-Or¡ented Narratology ll
Cenette's One of the most important contributions to discourse-oriented
structuralist norrotology in terms of terminology ond systemotizotion is GÉn¡no
taxonomy GeNerrc's (1980) structurqlist toxonomy, which hos since been fur-
ther developed by other theoreticians. GeNerre reploces troditionql
terminologicol poirs such os the first-person norrotor/third-person
narrotorwith o systemotic Arid of onalyticol cotegories. Some time
must be invested in order to be oble to recognise ond employ these
terms, which were coined by Grruerre himself, but they provide
cleorly defined, differentiated ond comprehensive models for
describing the most importont ospects of norrotive texts.
Narration A solution to the terminologicol ond methodologicol problems
vs. focali- orising from the imprecise terms 'norrotive situotion' ond 'point
zation of view' wos supplied by GeNtrre in the form of his distinction
between'norrotion' ond'focqlizotion'. In moking this distinction,
GrNerrc proceeded from the reqlisotion thqt no typology bosed on
the cotegory of the point of view con provide o precise onolysis of
the nqrrative trqnsmission of q text, os it will be unoble to dif-
ferentiqte between the norrotor ond those observers fiom whose
perspective the fictionol world is represented.
'who In order to identify the norrqtive situotion ond the point of view
speaks?'and of o norrotive text, we must onswer q number of questions. Firstly,
'Who sees?' 'Who speoks?', or'Who norrotes?'; secondly, 'Who sees?', or'From
whose perspective is the fictionql world presented?'. Whilst the
question 'Who speoks?' refers to the speoker who functions within
the text os the norroting subject, 'Who sees?'refers to the question
of the perspective from which the fictionol events ore presented
(see Grruerm 1980: 186). The verb 'see'should not be understood
in o purely literol sense, however, os it here refers to oll sensory pro-
cesses, qs well os the processes of thinking, feeling ond remember-
ing. More recent studies of nqrrotive texts therefore differentiote
between those ospects reloted to the norrotion of o text, ond those
reloted to the focolizqtion or refroction of the nqrrqted world
through the perspective ofthe observing or experiencing subject.
Narrator vs. This terminologicol differentiotion tokes into occount the fqct thot
focalizer the norrotor ond focolizer perform different functions: norroting
ond perceiving or experiencing. The nqrrotor gives o linguistic
qccount of o fictionql world. The focolizer, however, who corre-
sponds to Sr¡NzrL's 'reflector', functions as o psychologicol centre
of orientqtion through whose perceptions ond consciousness the
fictionol events ore filtered.
118 (E¡@} 'F An lntroduction to the Analysis of Narrative Texts
\
J
The distinction between norrotion ond focolizotion olso enobles Structure of
us to divide the process of anolysing the point of view ond the narrative
structure of norrotive tronsmission into o number of eosily com- transmission
prehensible steps. The onolysis of the structure of norrotive trons-
mission is bosed on the clossificqtion of vorious types of norrotors
ond focolizers.
When ottempting to onolyse ond differentiqte betvveen norroting Extradiege-
instonces, we must begin by distinguishing between the vqrious tic vs. intra-
levels of q norrotive text. The first question to be onswered relotes diegetic
to the level of communicqtion on which the speaker is locoted. narrators
'Extrodiegetic norrqtors' qre locoted on the level of the norrotive
transmission ond, together with the fictive oddressee, constitute
the norrotive process. The term 'introdiegetic norrotor', on the
other hond, refers to those chorocters who ore part of the norrqted
story ond ore locoted on the level of the story. Howeveq, it could
be orgued that the term 'norrotor' is itself not entirely odequote
when referring to chorocters who hoppen to nqrrote something to
other chorocters on the level of the action. Perhops we should
insteod refer to such chorocters os 'narroting chorocters', ond
reserve the term 'nqrrotor' or'norroting instance' for the instqnce
which operotes ot the level of the nqrrative tronsmission.
If the nqrrotor appeors os o chorqcter within his own story, he or Heterodie-
she is referred to os o 'homodiegetic nqrrqtor', o term thot corre- getic vs.
Iates with Sr¡.NzEL's 'first-person nqrrotor'. This is o difficult, but homodiege-
Iess confusing term thon 'first-person norrotor' becouse, os we tic narrators
hqve seen in the exomple for the quthoriol norrative situotion,
authoriol nqrrqtors quite often refer to themselves qs 'l' qs well. A
'heterodiegetic norrotor', by controsÇ is locqted outside the nor-
roted world. The criticol question here is whether the norrotor is
one qnd the some os q chorocter in the nqrroted world - whether
he or she is personolly involved in the story os o chorqcter.
A homodiegetic nqrrotor who is identicql with the moin protogo-
nist ond norrqtes his or her own life story, insteod of being just on
observer or witness, is known os qn 'qutodiegetic nqrrqtor'.
In oddition, norroting instqnces con be differentiqted occording Overt vs,
to how explicitly they oppear in o norrotive text qs sþeoker. The covert
fundomentol criterion here is to whot extent the presence of o narrator
norrotor con be discerned within the text. The degree to which o
norroting instonce is individuolised con vory considerobly. If o
norrotor oppeqrs on the level of the nqrrotive tronsmission os on
individuqlised speoker ond concrete personc¡, he or she is described
os on'overt' (or'explicit') nqrrotor (see CHarveN 1978). The reoder
is encouroged to ottribute personol chorocteristics ond vqlue
judgements to such o speoker. If, however, norroting instonces
toke the form of ononymous voices, qbout which the reoders qre
B fne Structure of Narrative Transmission 119
 given no information, then they ore described os'covert' (or,neu_
trol') narrotors.
Àn overt norrotor generolly speoks directly to o fictive reoder, qnd
Fictive
consequently is often complemented by on equolly overt norratee,
reader or
who is olso orticuloted in the text. This oddressee is, like the nqr_
narratee
rqtor, o textuql construct, which con considerobly influence the
reception process. An unidentifioble 'covert nqrrotee', on the other
hond, is generolly the correlote of the covert norrotor.
Functions of The degree of explicitness of q norroting instonce can olso be
the covert determined by studying the functions thot it performs. Generolly,
narrator the functions of covert nqrrotors ore restricted to the neutrql trqns-
mission of informotion qbout the constituent pqrts of the norroted
world (i.e., time, ploce, chqrqcters ond oction). By describing the
Iocotion ond chronology of the oction¡ giving expository informo-
tion on the choracters ond reporting on the events, covert nqrrq-
tors creote fictionol worlds. Às they serve primorily to provide
informqtion, they fulfil only the minimol norrûtive functions per-
formed by every norroting instonce, described by SraNzer (1984:
189) os the "purely functional manifestations of the 1...1 narrator,'.
Overt norrotors cqrry out a number of qdditionol functions (see
Functions
of overt NüNNING 1989: 124 or t997: 342): they offer comments ond vqlue
narrators judgements on the perspectives ond octions of the chorocters, ond
moke further 'personol' contributions in the form of interpreto-
tions ond generolising obstroctions. With their commentories,
explonotions, evoluotions ond generolisations, overt norrqtors
ccrn give informotion beyond thot reloting to the internol pro-
cesses of the chorocters, ond con estqblish links between the per-
spectives qnd octions of the choracters. Overt norrotors con qlso
perform three further functions: they con give informotion obout
themselves (expressive function), they con qddress the fictive
oddressee directly (reoder address, or conqtive function), ond they
frequently themqtize ospects of the oct of norrotion (metonorro-
tive function). The greoter the number of functions performed by
q norrotor, the more manifestly he or she will oppeor within the
text as on individuolised speoker.
Unreliable A further importont criterion for the differentiation ond onolysis
narration of norrotors within o text, which hos consequences for the inter-
pretotion of the entire work, is the degree of their reliobility, cred-
ibility or trustworthiness. Those nqrrotors whose occount or inter-
pretotion of events gives the reqder couse for mistrust qre described
os 'unreliqble norrqtors'. The reliability of a norrotor is compro-
mised most frequently by his or her limited knowledge, emotionol
involvement in the events ond questionoble norms or vqlues.
120 Gl!![f}
\,1:
| nn lntroduction to the Analysis of Narrative Texts
J
Numerous signols for unrelioble narrotion cqn be given on vûri- Textual
ous levels of communicqtion within o text. They include, for signals for
exomple, explicit controdictions within the norrotor's comments, unreliable
the inclusion of contrqsting versions of the some event, discrepon- narration
cies between the stotements ond the octions of the nqrrotor, con-
tradictions between the self-chqrocterisotion of the norrotor ond
chorocterisotion ofthe nûrrotorby other chorocters, ond discrep-
oncies between his or her qccount qnd interpretotion of events. A
further signol is the repeoted occurrence of subjective comments
ond addresses to the reqder, by meons of which the norrotor delib-
erotely ottempts to monipulote the lotter's response. Moreover, the
nqrrûtor's insistence on his/her own credibility (or lock of credibil-
ity), references to memory lopses, o deliberately portison ottitude
ond vqrious porotextuol signals (for exomple, title, subtitle, pref-
oce) cqn oll cquse the reoder to regord the narrqtor with scepticism
ond doubt his or her credibility (see NüuNINc/Sunr¡vp/Zenwecr
1998). The following citotions, tqken from the beginnings of Eoc¡n
Ar-r¡N Pot's short story "The Tell-Tole Heart" (1843) qnd I.A,N
McEw¡tt's short story "Deod os They Come" (L979), should serve
as illustrative exomples of the most important textuql signols for
unrelioble norrotion.
True! - nervous - veryl very dreadfully nervous I had been and am; but Examples of
why willyou say that I am mad? The disease had sharpened my senses unreliable
- not destroyed not dulled them. (Poe, "The Tell-Tole Heort")
- narration
I do not care for posturing women. But she struck me. I had to stop
and look at her. The legs were well apart, the right foot boldly advanced,
the left trailing with studied casualness. 1...1 Very artifrcial the whole
thing, but then I am not a simple mcn. (McEweN, "Deod os They
Come")
In oddition to these textuol signols, the question of whether certoin The role of
extrotextuql fromes of reference cqn compromise the credibility of extratextual
q norrator represents q further importont considerotion. Among frames of
the most importont extrotextuql fromes of reference agoinst which reference in
the textuol world qnd the credibility of the norrotor con be gouged, identifying
are generol world knowledge, the relevont historicol world view, unreliable
theories of personolity, ond vorious sociolly occepteèideos con- narration
cerning psychological normolity ond moral volues. Together,
these factors constitute the dominont system of norms qnd vqlues
within q society. Whilst, for exomple, the norrotor in McEweN's
"Deqd as They Come" subjectively considers his love of o shop-
window monikin qs 'normol', his interpretotion is ot odds with the
ideqs concerning normolity generolly occepted in our society.
The issue of the gender of the norrator wos generolly neglected by
troditionol theories of nqrrotive. With the recent odvent of femi-
B fne Structure of Narrative Transmission
1.21
 The gender nist norrotology, however, the gender of the nqrrotors (ond the In order to identify the focqlizer in o porticulor text or section of Criteria for
of the narra- focolizers), become q mqtter for considerotion in both the opprooch o text, we must generolly identiff the subject of the verbs of per- the analysis
7
tor: feminist to qnd the interpretotion of literory texts (for on introduction to ception, thinking, feeling qnd remembering. If these verbs refer to of focalizers
narratology norrotology ot the intersection with feminist ond gender studies, the norrotor, who is observing the fictionol world from q superor-
see NüNNrNc/NüNNrNc 2OO4). dinqte perspective, the focolizotion is externql. Coses in which the
The following motrix offers o comprehensive overview of the most perceptionsf thoughts or feelings ore ottributed to o chorocter, who
Analytical then functions os qn internol focolizer, con be identified by meons
categories importont onolytical cqtegories developed by norrotology in order
to identiff qnd describe norrating instonces. The bosic criteriq for of proper nouns ond personol pronouns in the third-person sin-
for narrators gulor. Further clues os to the identity of the focqlizer cqn often be
the clossificotions oppeor on the verticol oxis, whereos the hori-
zontol oxis feotures the onolyticol cotegories bqsed on these cri- found in the subject-motter of the internql processes described in
terio. the text, os well os in the style used to relqte the thoughts ond
feelings of a chorocter (generolly referred to os the 'mind style').
Categories for the classification of narrators Opposite ends of the spectrum The phenomenon of multiperspectivity is relevont to both norro- Multi-
communication level of the speaker extradiegetic intradiegetic tion ond focqlizotion, qnd refers to o form of norrotive tronsmis- perspectivity
presence on the level of the characters heterodiegetic homodiegetic sion in which o subject-motter - for exomple, on event, o period
or q chorocter - is presented from tvvo or severol different perspec-
degree of involvement in the narrated events not involved autodiegetic
tives. Multiperspectivity occurs when the norrotive events or the
degree of explicitness covert (neutral) overt (explicit) events presented on the level of the chorocteis ore recounted in
degree of (un)reliability reliable unreliable severol different versions. Such texts con usuolly be ossigned to
gender female male one (or more thqn one) of the following cotegories: firstly, narra-
tives in which there qre two or more norrotors on the extrodiegetic
Toble 5,1 .: Overview of the onolytical cotegories opplied to narrotors ond/or intradiegetic levels of the norrqtive, with eoch narrotor
presenting the events from his or her own perspective; secondly,
Focalization In controst to the onolyticol considerotions opplied to the norro- nqrrotives in which the story is reloted from the perspective of two
tor, the term 'focqlization' is used to refer to the non-verbol percep- or more focqlizers or reflectors; ond thirdly, norrqtives with q nqr-
tion of the fictionql world. It encompûsses oll perceptive, cognitive rotive structure resembling o montoge or colloge, in which the
ond emotionol elements within the consciousness of the nqrrotor observqtions of the chorocters ore reploced or supplemented by
or the chorocters, ond therefore includes processes such qs think- other types of text (see NüNlrrNc/NùNNrNc 2000).
ing, feeling ond remembering, in oddition to sensory perception.
The unmedioted juxtoposition of different perspectives generolly Functions
Types of More recent typologies of focolizotion are bosed on the level of creqtes o brood scope for interpretotion in the reception process, of multi-
focalization communication on which the focolizers qre locqted (see Rrrr.rvoN- ond requires the reoder to moke consideroble efforts in order to perspectivity
KIN¡.N 1983: 7I-85). Focolizotion is'externql'if the focqlizing sub- reoch o synthesis. Nonetheless, the technique does not olwoys
ject is locoted on the level of norrotive trqnsmission ond 'internol' serve to problemotize oblectivity. In oddition to serving os q reflec-
if the focolizing subject is locoted on the sqme level qs the chqr- tion of whot is known os 'epistemologicol scepticism', multiper-
octers, i.e. if the focqlizer is port of the story. In cqses of externql spectivity con perform o voriety of functions: the refroction of the
focolization, then, the superordinate nûrrotor ond the focolizing story cqn heighten tension in o norrotive (for exomple, multiple
subject c¡re one ond the some, and ore therefore referred to qs eye-witness occounts in o detective novel); it con serve qs a medium
'nqrrqtor-focolizers'. Internql focolizotion, on the other hond, for poetologicol or oesthetic reflection; or it con be used didocti-
refers to the refroction of perspectives thot occurs when the chor- colly to illustrote o philosophicol position.
octers in the fictionol world function qs 'chorocter-focolizers'. If
the fictionol events ore perceived consistently from the perspective
of one specific chqrqcter throughout the norrotive, this is described
os'fixed focolizotion'.'Multiple', or'vorioble focolizqtion', on the
other hond, occurs when severql chorocters in succession function
qs reflectors.

122 ç@ :' ,- An lntroduction to the Analysis of Narrative Texts B fne Structure of Narrative Transmission 123
)
 -7
m Representing Consciousness in Narrative
Representa- An issue thot is closely relqted to the onolysis of the norrqtive
tion of con- situqtion ond to multiperspectivity is thqt of the techniques used
to present consciousness, or the 'inner world' of the chqrocters.
sciousness
When onolysing this qspect, we must exomine the woy in which
the thoughts, feelings, perceptions or mèmories of the chorocters
qre medioted in norrotive. Literory nqrrqtives hove ot their dis-
posol o considerably brooder repertoire of techniques for repre-
senting the consciousness (ond even the subconscious) ofchoroc-
ters thon do drqmq qnd film.
Represen- The woy in which the 'inner world' is represented differs from one
tations of norrotive situotion to the next. While in the first-person nqrrqtive
situqtion the presentotion of internol processes is typicolly subject
conscious-
ness in the to certoin restrictions, due to the norrotor's participotion in the
three narra- world of the chorqcters, these restrictions do not opply to the
tive situa- outhoriol ond figurol nqrrative situotions. Authoriql nqrrotors
hqve occess to the internol processes of oll chorocters, ond fre-
tions
quently onolyse ond comment on their thoughts rother than
merely presenting them. Modes of representing consciousness ore
generolly most highly developed qnd diverse in the figurol narro-
tive situotion, whose potentiol wqs not fully exploited until the
lote 19th ond, in porticulor, the 20th century.
Psychologi- The shift in the history of norrqtive towords the representqtion of
cal realism consciousness is o reflection of the increosing tendency toword
psychologizotion ond toword emphosising the subjectivity of
experience which ore chorocteristic of modernism. This develop-
ment culminoted in psychologicol reolism ond other modernist
innovotions. The techniques for presenting the 'streom of con-
sciousness' enqbled the opporently unmedioted representotion of
<r brood voriety of sensory impressions ond feelings. Illustrotive
exomples of these techniques cqn be found in novels by vorious
modernist writers, for exomple, WrrLrev FauLrNeR, |eves |ovcr,
DoRorHy RrcHeRosoN, Mly SINct-ern ond VrRcl¡¡l,q Wool¡.
Narrative Nqrrotive theorists differentiqte between o voriety of norrative
modes for modes for presenting consciousness, bosed on the degree to which
presenting the nqrrqtor oppeors os o mediqtor within the text. A bosic distinc-
conscious- tion is mqde between three common "nercetive modes for presenting
ness consciousness ín frction" (see Donnrr CoHN's book, 1978): 'psycho-
norrotion','free indirect discourse' (or'norroted monologue'), ond
'interior monologue' (or'quoted monologue'). These three mqin
modes occur relotively frequently, ond con generolly be identified
on the bosis ofcertoin chqrocteristics ofform ond content, olthough
there qre odmittedly vorious hybrid qnd cross-over types.
124@ An lntroduction to the Analysis of Narrative Texts
The term 'psycho-narrotion' describes o mode of representing Psycho-
internol processes chorocterised by o relotively high degree of narration
compression ond o high level of norrotor porticipotion. As in the
cose of free indirect discourse, the linguistic criteri<r ore the use of
pronouns for the third-person singulor qnd the post tense. In con-
trqst to free indirect discourse, however, in psycho-norrotion the
norrotor uses his or her own longuoge (rother thon the longuoge
of the chqrqcter) to summorise o chorocter's stote of mind. This is
illustrqted by the following excerpt from Hexnv ¡xus' Whàt Maisie
Knew (L897): "It took few hours to make the child feel that if she was
in neíther of these places she was at least everywhere else." Severol
hours of insecurity ond ogitation ore thus summqrised in one
sentence, in which the norrqtorrenders Moisie's style of mind from
his own informed qnd elevated perspective.
Although the mode described os 'free indirect discourse' or'nor- Free indirect
roted monologue'beors some formol resemblonce to psycho-nor- discourse
rotion, the two techniques differ in thot free indirect discourse
ottempts to ço4¡u9y,the illusion of offering on immediote insight
into the perceptions qnd internol processes of o chorocter. It
ottempts to creote this effect by using loose syntox ond including
questions, exclomotions ond other ¡ignols of subiectivity. The bol-
qnce betvveen the respective weight of the norrotor ond the chor-
octer whose consciousness is presented con vory; hqyevel the
chorocter's thoughts ond feelings ore generolly reported in his or
her own longuoge. The following quototion from Oscnn Wrr-oits
The Picture of Dorian Gray (L89O191) should serve to illustrote the
solient chqrqcteristics of free indirect discourse: "Was it true that
the sense could cure it? Innocent bloodhadbeen spilt. What couldatone
for that? Ah! for that there was no atonement " Here the chorocter's
ogitotion is rendered in o longuoge close to Dorion's thought pro-
cesses.
The term'interior monologue', or'quoted monologue', refers to q lnterior
highly mimetic form of presenting consciousness, in which the monologue
thoughts ond feelings of a chorocter ore 'quoted' without ony
discernoble medioting instonce. These monologues, which cqn
stretch over pages, oim to creote the impression of complete imme-
diocy in their representotion of internal processes. In controst to
psycho-norrotion ond to free indirect discourse, the interior mon-
ologue, which wqs first used by the French outhor Eoou¡Ro Dul¡r-
orN (1861-1949) in his novel Les Lauriers sont coupés (1887), mokes
extensive use of the first-person singulor ond the present tense.
The widely-used expression 'streom of consciousness techniqueTÌ
somewhat misleading, os the 'streom of consciousness' octuolly
refers to the content of the interior monologue, which is itself only
one of severql possible modes of presenting consciousness. A relo-
@ Representing Consciousness in Narrative 125
 tively extreme exomple of presenting the streom of consciousness
con be found in |aves ]ovce's novel U/ysses (1,922), whose conclud-
ing chopter consists entirely of o forty-poge interior monologue.
Às con be seen from the following short extroct from the end of
the novel, the technique is chqrocterised by o number of peculi-
orities of form ond content.
Example of 1.. .l and Gibraltar as a gírl where I was a Flower of the mountaín yes
the interior when I put the rose in my hair like the Andalusian girls used or shall
monologue I wear a red yes and how he kissed me under the Moorish waII and
I thought well as well him as another and then I asked him with my
eyes to ask agaín yes and then he asked me wouki I yes to say yes my
mountain flower and frrst I put my arms around him yes and drew him
down to nrc so he could feel my breasts aII perfume yes and his heqrt
was going like mad and yes I said yes I wiII Yes.
Characteris- As this exomple demonstrotes, the interior monologue plunges
tics of the the reoder directly into the mentol processes of o chorocter. Time,
interior ploce ond the externol world qre only present qs elements of these
monologue mentol processes, filtered through the perspective of the subject.
Among the formol chorocteristics of the interior monologue ore
the omission of oll verbs of thinking ond feeling, the complete
removol of ony medioting instonce from the norrotive, the pre-
sentotion of the chorocter's mentol processes in his or her lon-
guoge or'mind style', grommoticol ond stylistic idiosyncrosies, os
well as ellipticol syntqx qnd the omission of punctuotion. In terms
of content, the interior monologue differs from the other modes of
representing consciousness in the directness with which it relotes
perceptions qnd mentql processes, in the centrql role ployed by
free ossociotion os on orgonisotionol principle, in its reduction of
Iinguistic ond themotic coherence, os well os in the illusion of
immediocy it oims to creote.
çð Categories for the Representation of Time and Space
Literary rep- Time qnd spoce ore included omong the centrql components of
fictionol representotions of reolity. Literory theory hos developed
resentation
of time and o number of cotegories for the representotion of space in o literory
space work. Although these cotegories ore relotively sophisticoted, they
ûre not os systemotic as those cotegories used to onolyse the nor-
rotive tronsmission. Representotion of time, by controst, hos been
onolysed in o very detoiled ond precise monner by norrotology.
Categories Anolyses of the temporol structure of narrqtive texts or films gen-
of represen- erolly differentiate betvveen three different qspects: the nqrrqtive
tation of 'order' of events, the 'durotion' or 'speed' of the nqrration qnd
time 'frequency' (see GtNerre 198O).
126 @f[f,} \F
An lntroduction to the Analysis of Narrative Texts
)
-Íhe category'order' refers to the vorious possibilities of orronging Order
the events thot constitute o story. In chronologicol norrotive, for
exomple, the order of the norrotive corresponds to the noturol
temporol sequence of the events. This is not the cose in onochronic
norrotive, however, where the chronology con be interrupted by
o floshbock ('onolepsis'), which describes events that occurred
before the events currently being depicted in the norrotive, or by
o floshforword ('prolepsis'), which gives informotion obout events
thot occur lqter in the chronologicol sequence.
,Discourse time' refers to the period of time required in order to Discourse
norrqte or reqd a text (or to wotch o film). The term 'story time', time and
by contrast, denotes the temporol durotion of the oction thot is story t¡me
described in the course of q norrotive text or film. It is, in other
words, the time thot posses within the norrated world.
The mqin concern when onolysing the cotegory of 'durqtion'is the Ðuration
relotionship between discourse time ond story time. Àn instonce
where there is o motch between story time qnd the time of the
discourse is known os o'scene'; this occurs in diologue ond other
forms of 'scenic presentotion'. In o 'stretch' or 'slow-down', by con-
trost, the discourse time is 'stretched' to cover o greoter expqnse
thon the story time, whereos û pc¡ssoge where the discourse time or
nqrrotion of the fictionql events is shorter thon their durqtion in
the norroted world is known os o 'summory' or'speed-up'. À period
of time thot is left out between events is referred to os on 'ellipsis'
or 'omission', while 'pouses' in the nqrrotion occur when the story
time stonds still while the discourse time continues. The lotter
tokes ploce, for exomple, if the norrotor interrupts the progression
of the story in order to hold forth obout generol problems, to com-
ment on the chorocters' behqviour, or to reflect on the oct of nor-
roting. The following toble presents on overview of the vorious
relotionships thot qre subsumed under the cotegory of 'durotion'.
Discourse time Story time Categories
of duration
summary
scene
stretch
ellipsis 0 1
pause 1 0
Toble 5.2.: Cotegories of duration
The cotegory of 'durqtion' con olso help us to determine which of Duration
the typicol norrqtive modes we crre deoling with in o porticulor and narra-
port of o text (see BoNHerv 1982). Whereos the term 'report' gener- tive modes
olly refers to q summûrising occount of o series of events given by
!f Categories for the Representation of Time and Space 1-27
 the norrotor, 'descriptions' of fictionol spqces or objects qnd 'com-
Y-
ments' by the norrator on fictionol events generolly bring obout
interruptions or 'pouses' in o series of events. The 'scenic report'
or'scene', in which the discourse ond story times ore congruent,
generolly feotures direct speech or o detqiled description of remqrk-
oble events.
Frequency With regord to the 'frequency'with which events ore norroted, we
distinguish between three bosic possibilities. Individuol events con
be depicted once ('singulotive norrqtion') or severol times ('repeot-
ing norrotion'). If on event occurs regulorly or severol times in q
similqr monner, but is only nqrrqted once, it is referred to os 'iter-
qtive norrqtion', which constitutes q form of summory (see G¡Nern
1980:113-160).
Conceptions The cotegories of the representation of time discussed obove oll
relqte to meqsuroble time. There ore, however, other conceptions
of time
of time. In mony modernist novels, for example, the choracters'
subjective experience of time, or 'mind time', is more importont
thqn the externol 'clock time'. By thus privileging the subjective
experience of time, modernist novels (for exomple, by VlncrNra
Woorr, |aves fovcr ond WTLLTAM Faur-rNen) emphosise the discrep-
oncy between the 'time on the clock' qnd 'time in the mind'.
Among the further conceptions of time ore 'rhythrnic time' and
'cyclicol time', the lqtter of which mokes use of, for exomple, the
sequence of seqsons. The experimentol temporql structures of
postmodern novels tqke into occount thot time is o sociol con-
struct, which is relqtive because it is dependent on the perception
of the individuol.
Presentation 'Ploce' ond 'spoce' ore generol expressions which encomposs the
of place/ conception, structure ond presentotion of such elements qs loco-
space tions ond obiects, scenery ond the nqturol world within the vqri-
ous genres. 'Ploce' is used primorily but not exclusively for dromo,
'spoce' primorily but not exclusively for the noveì. When onolys-
ing the spotiol dimension of o fictionol story we must firstly con-
sider whqt kinds of locotions, objects, situotions ond ospects of
reolity ore presented within q norrotive text ond how they ore
norrotively constructed or reconstructed. A further importont con-
siderqtion is whether the spotial context is described by o hetero-
diegetic norrotor, or whether it is filtered through the perceptions
of o chorocter ond correspondingly coloured by his or her subjec-
tive impressions. The 'setting' of o scene or episode in o dromo or
novel is its specific locqtion in spoce ond/or time.
Categories Norrotological exominqtions of the representotion of spoce gener-
of space olly focus on three oreos: firstly, theories, conceptions ond typolo-
gies of literory spoce; secondly, the structure, presentotion ond
128 GEEfl :F An lntroduction to the Analysis of Narrat¡ve Texts
\
)
poetics of spoce in the vorious genres; ond, thirdly, the function-
olizotion qnd semonticizqtion of spoce in literoture (see chopter
4.6.). There is o broqd spectrum of possible conceptions of spoce,
ronging between 'closed' ond 'open' spotiol ond temporal struc-
tures ond between "abstract neutrality landl a shatply focussed real-
istic type of scenic enectment" (Prrsnn 1988: 262).
More recent studies of the representotion of literary spoce drow on Basic
diverse theoreticql opprooches. Some studies ûre bûsed on the assumptions
ossumption thot, os port of the qesthetic illusion creoted by o text,
the constitution of literory space only tokes ploce during the recep-
tion process; this principle is qlso opplied to the concept of 'nor-
rotive spoce'in film ûnolysis (see chopter 6.6.). Other opprooches
stress thot every representotion of literory space is a constituent
port of o fictionol model of reolity, ond thot the presentotion of
scenery, noture ond the objective world is on importont mode of
literory presentotion, which fulfils porticulor functions. We should
therefore differentiote between literory spqces qnd reol locotions
outside the work of ort, however close o resemblonce the literory
representotion moy beor to historicol reolity.
A voriety of modes con be used to represent spoce in norrotive Narrative
texts. Among the most common ore description, modes of present- techniques
ing consciousness (norrotive situotion, focalizotion) ond the use for represen-
of vorious figurotive tropes, such qs metophor, metonymy ond ting space
synechdoche (see chopter 3.6.).
Ihe considerotion th<rt the settings of nqrrotives or films ore not Semanticiza-
merely ornomental, but fulfil q 'norrotive function', qnd thot tion of space
" spatial opposites are construed as models for semantic opposites"
(Prrsren 1988: 257), is cruciol for their interpretotion. The woy ct
porticulor setting is structured, os well os the juxtoposition of dif-
ferent locotions (for exomple controsts between town qnd coun-
try), con yield importont conclusions concerning the semonticizo-
tion of spoce. Pqrticulor qttention should be poid to the boundories
between the vqrious locotions within literary spoces, ond to the
crossing of these boundories. Literory presentotions of spoce do
not, therefore, serve o merely decorotive function; like other modes
of presentotion, they should be regorded os corriers of meoning
within complex sign systems, which are subject to chonge.
The functions of fictionql spoce c¡lso constitute on importont ono- Functions of
lyticol and interpretotive considerotion. In his detoiled typology, space
GenHeRo HorrveNN (1978: 55-108) differentiotes between three
bosic types: 'mood-invested spoce', in which spoces ond objects
serve expressive (otmospheric or symbolic) functions; 'spoce of
oction', which primorily functions os q context or setting for the
oction (the locotions provide o frqmework for the chqrocters ond
tl Categories for the Representation of Time and Space 129

7
their octions); ond the predominontly stotic 'observed spoce',
which supplies o ponoromic overview.
Further À good overview of the fundomentols and cotegories of structurql-
reading on ist norrqtive theory cqn be found in SHI-ovtlH RlvvoN-KeN¡,N's
the analysis introductory work Narrative Fiction: Contemporary Poefics
of narrative (L9 83 I ZOOZ), MrcH.q¿l Tool-aN's useful b o ok N arr ativ e : A C ritical Lin-
guistic Introduction (198812Ot2), M¡NrReo faHN's article "Norre-
tologie: Methoden und Modelle der Erzöhltheorie" (1.995 1L998),
andEinführung in die Erzähltheorie (1999|2OOO) by M.uns M¡Rr¡¡¡cz
ond MrcH¡rr- Scseçru1. Fn¡Nz K. Sl¡Nzel-'s A Theory of Narrative (7984;
Germqn originol Theoríe desErzählens: I97912008) remoins q clqs-
sic. Those who wish to inform themselves in greoter depth obout
recent opprooches in norrotology ond the onalysis of nqrrqtive
texts or obout the history of the English qnd Americon novel,
should consult the informqtion on further reoding in the fifth sec-
tion of the bibliogrophy ot the end of the present volume.
13O @EE} |\f ¡nlntroduction totheAnalysis of NarrativeTexts
)
,F
ffi lntroduction to the Analysis
of Media Genres
What is ot stske is not merely o disciplínory focelift, but rqther the implementation of the
insight thot qll qreqs of enquiry within literary studies, without exception, should give
adequote considerotion to the mediqlity ond intermediolity of their subject-matter.
Sr¡c¡Rreo J. ScHvror
m From Literary to Media Studies
Up to this point, we hqve based our discussion on the implicit Extension of
ossumption thot the cotegory 'literature' refers to written texts. 'literature'
Although this ossumption noturolly holds for the greoter port of to include
literory history, such q view of literqture is now rather dqted. The audiovisual
oppeoronce of new qudiovisuql and digital media hqs led to the media
extension of the cotegory 'literoture', ond new disciplinory oreos
devoted to these developments hqve oppeored in English and
Americqn studies. Mony universities now offer courses in medio
studies in oddition to literory studies.
The development of English ond Americon studies into qn inter- lnclusion
disciplinory field incorporoting culturol ond media studies reflects of media
the foct thot we live in q mediq society. Rother thon clinging to studies
the concept of 'high-brow literoture', mony scholors now odopt o
brood conception of culture, which does not privilege 'high-brow
culture' or ony individuol medium. The inclusion of oudiovisuol
medio os o subject-motter creotes new, productive opportunities
for the modernisotion of literory studies ond their transformotion
into culturol ond medio studies.
Mediq studies proceed from the ossumption thqt we live in q soci- Media
ety in which not only the entertqinment industry, but olso knowl- studies
edge ond communicotion, perceptions ond feelings, memory ond
the processing of information, ond even the sociolisotion of the
individuol, ore influenced by the medio. The observotio4 ond onol-
ysis of single kinds of medio in mediq studies olwoys tqkes into
occount the development of other kinds, os the proliferation of new
kinds of medio offects the entire mediq system qs well qs the func-
tions performed by the individuql mediq (see Scuvror 2000).
Medio studies encomposs qn extroordinorily brood spectrum of Fields and
fields ofstudy and areos ofenquiry. The oreos ofstudy ronge from areas of
the development ond modernisotion of medio, through competi- enquiry in
tion between medio ond their influence on perception, to medio media
ecology ond questions reloting to the use ond interpretotion of studies
fl From Literary to Media Studies 131
 Y
I
medio (see Luoes 1998). There ore olso o number of theories devoted
to single kinds of medio (for exomple, film ond rodio theory), os
well os overorching medio theories concerned with the theory of
communicotion ond systems theory (see Fa,ursncH 1991).
Focus and Despite the diversity within the discipline, we will focus in whot
objectives of follows on interqction between literoture ond other medio. There
this chapter ore two reqsons for this: firstly, the choice of focus results from the
simple foct thot the present volume is intended os on introduction
to English ond Americon literary studies ond not os qn introduc-
tion to mediq studies. Secondly, theoretical questions reloting to
medio ore less relevont to the practice of English studies thqn the
concrete exomination of porticulor medio genres. This chopter
therefore oims to provide qn introduction to the individuol oreos
of enquiry, fields of study, medio genres ond onolyticol cotegories
thot hove emerged from the developments sketched obove; it will
focus porticularly on the qreqs qnd issues thqt hove been of inter-
est to English ond Àmericqn studies in the recent post. As this is
only intended os o short qnd illustrative survey, we hove includecl
detqiled information on further reoding in eoch of the sub-chop-
ters, so thot those interested in porticulor topics ond genres con
qdd to their knowledge.
m Literary Studies and Media History
lnteraction As the exomple of the 'comero-eye' norrotive technique in the
between previous chopter illustroted, chonges in literory genres ond liter-
literature ory modes of expression con often only be odequotely understood
and other if literoture is exomined in the context of chonges in other medio.
media It would exceed the scope of o short introduction to give on outline
of the entirety of medio history; we should, however, be owore of
the continuous interoction between literoture ond other media.
Media- One literoture-centred opprooch which takes this interqction into
oriented occount is medio-oriented interpretation, which exqmines literq-
interpreta- ture in the context of mediq development. This approoch investi-
tions of gotes the themotizqtion of other medio ond the relotionship
literature between mediq within literory texts, os well os the influence of
technologicol innovotions ond the oppeoronce of medio such os
photogrophy, rodio, film ond television on literoture. Cenres such
os the literory screenploy, or phenomenq such os 'the book of the
film' hove only oppeored since the diversification of the medio
londscope. The ropid growth of the internet hqs led to the develop-
ment of new literory forms such as hypertexts, ond the increosing
use of video recorders qnd DVD players hos resulted in a "Iiterari-
zation of film viewing" (PaecH L992: 37 L), meaning thot the viewer
132 @[lB /
,(,) a" lntroduction to the Analysis of Media Genres
con now'reod' q fiÌm like o book, 'leofing through'ond morking
porticulor sequences for onother viewing. The technicol odvqnces
of digitolisotion ond networking, which qre currently thriving in
the internet environment, hove olso opened the door to forms of
interactive production, which, of leost in their specific oreos,
chonge the relotionship between outhor, text ond reader ond coll
into question the conception of quthorship thot hos been in cur-
rency since the Romqntic period. Medio-oriented interpretqtions
of literoture proceed from the ossumption thot the content of o
messoge will be determined to some extent by the nqture of the
medio-specific techniques employed in order to trqnsmit it.
The importance of the qvqilable mediq in determining the form From orality
ond content of literoture is illustroted by the tronsition from orol- to literacy
ity to literocy, whose storting point wos Hovrn's composition of
the Odyssey in the 8th century BC. The qdvent of literacy opened
up on orroy of possibilities for preserving literature os text,
olthough these possibilities were only exploited groduolty, due to
the persistence of old trqditions ond the high cost of tronscribing
or reproducing texts. Literocy resulted in vorious chonges to the
form of literqry works, for example, the groduol disoppeoronce of
(now redundont) memory props such qs metre, rhyme ond the
repetition of formuloe. A further consequence wos the enlorgement
of the circle of recipients, which could now include reoders from
other regions ond loter periods os well os listeners. The importonce
of the orol trqdition dwindled qs thot of the technicol reproduction
of literoture grew. The written, and subsequently the printed, word
become "a medium for storing language" (Vocr 2001: 265).
The written or printed word is odmittedly not the only medium 'Notation
for storing informqtion ond conveying it to a recipient. In the systems'
recent post, the stotus of the printed qnd written medium hos been
chollenged by increosing numbers of other medio. FRreonrcH Krr-
tteR's onolysis of this phenomenon introduced the term 'AuÊ
schreibesysteme' (which literolly meons'nototion systems') to refer
to such institutions or the "netvvork of technologies and institutions
that allow a given culture to transmit, record and process relevant data"
(Krrnrn 1990:369).
For q consideroble period of time, however, printing ployed such Beyond the
on importont ond influentiol port in the tronsmission of messoges
Gutenberg
thot Hen¡enr M¡nsn¡r-l McLuHeN's frequently cited reference to the galaxy
'Gutenberg galaxy' is no exoggeration. |oHeNrues GureNeenc's
invention of the printing press with movqble letters in the 145Os
wos the storting point of this importont development; os o result,
books - ond, increosingly, olso newspopers - could be mode qcces-
sible to on ever-growing reodership. From the eorly L8th century
onwords, o constqnt interploy between increosing literocy rotes,
fl Literary Studies and Media History 133
 rising school ottendonce culminoting in compulsory schooìing
from 1BBO, ond escqloting supply ond demond mode book pro-
7
duction grow ostronomicolly. Books ossumed on importont role
in the process of sociqlisotion, ond printing was instrumentql to
such processes qs scientific development, industriolisotion ond the
formotion of notionol identity. The monopoty of the printing
medium begon to come to on end in the lote 19th century, how_
ever, ond todoy, o variety of oudiovisuol mediq such qs the tele_
phone, rodio, film, television, fox qnd computer oll serve to store
ond transmit informqtion.
As cqn be seen from the development of the medio, old medio ore
Media
not merely replaced by new. Letters, fox ond telephone conversq-
competition
and media tions hove not become superfluous now thot we olso hqve the
possibility of tronsmitting messoges vio e-mqil or SMS; insteod the
convergence
functions of the older medio hqve been redefined. The formot qnd
functions of existing mediq hqve been oltered by the oppeoronce
of new technologicol possibilities, whilst the new medio hove been
influenced by the old in terms of content. Thus concerts qre brood-
cost on the rodio, dromos odopted os films, ond films shown on
television. Às q result of the interdependence between the vorious
kinds of medio, on increqsingly complex, interlocing contempo-
rory medio scene hqs oppeored (see Rolorr 1995:27O), in which
the trqditionql boundories con borely be discerned. This is qlso
due to the foct thot mony quthors write for o voriety of medio,
morket their products viq diverse medio ond know how to tqke
odvontoge of these medio for the presentotion of their public
imoge. The influence of the new mediq on literoture on the one
hond qnd the importonce of literoture os o source of moterioÌ ond
of oesthetic modes of representotion on the other hos led to q
convergence between diverse mediq forms, porticulorly literoture,
theotre ond film. This convergence is expressed by the vorious
forms of hybridisqtion in our contemporory culture.
Hybrid Hybrid forms, i. e. combinotions of elements from oreos thot were
cultures and originolly sepqrote, hqve become on importont chorocteristic of
hybrid forms modern culture (see KnewaNr 2001). Whether combinotions of
ottributes thot qre troditionolly regorded os mole ond femole,
between diverse moteriols, styles ond colours in the fqshion indus-
try, or between the privote ond public spheres in orchitecture or
television, we con find instonces of hybridisotion in olmost oll
qreos of contemporory reolity. The tendency towords hybridiso-
tion is porticulorly evident in television, in terms such os ,infotain-
ment'ond formuloe such os'reolityTV, , ormagazine progrommes
thot offer q collage ofdiverse genres ond topics. Hybridisotion does
not stop ot notionol boundories; the distinction between the Brit_
ish dramadoc ond the Àmericqn docudrama is becoming increqs-
134 GUE$| / ¡" tntroduction to the Analysis of Media Genres
()
i¡gly blurred. Thonks to the influence of new medio ond hobits
6¡lerception " the hierarchy of high and low culture fhos been] dis-
oticed l...) by the formation of other modes of experience, which exíst
'beside and are equol in stotus to high-brow and low-brow culture"
1994:22).
(SCHNÊIDER
It is olso impossible for us to apply the usuol literory models to Hypertexts
the new genre of internet literqture. In 'hyperfictions', or fictionol and internet
hypertexts thot cqn be found on CD-ROM or the internet, the literature
linãority of the text is dissolved, ond the roles of the outhor ond
reoder hove chonged by the empowerment of the recipient in the
reoding process. Unlike the outhor of o printed book, the outhor
of o hypertext does not dictote the sequence of episodes within the
text. The reqder is free to decide in whot order he or she wishes to
reod the individuol pûrts of the text, to choose behveen a voriety
of olternatives ond to decide which options he or she wishes to
pursue. The 'text' therefore offers o voriety of reodings rqther thon
ã single story. The most importqnt chorocteristics of hyperfictions
qre non-lineority ond interoctivity; they can olso incorporate
intermedial feotures such os imoges or film excerpts. Interoctive
cybertexts (such os adventure 9qmes, multi-userdungeons, online-
fictions) offer even more possibilities for porticipotion. Like hyper-
texts, such norrotive forms offer "avariety of alternative courses of
oction, from which the reader/user creates individual situations and
w orl d s " (M¡.mNez/Sc gerçrr 1,9 9 9 1 201.2: 13 2) . The empowerment of
the recipient in cybertexts hos qlso hod qn effect on ìiterory works;
some drqmos by ALAN AYcKBouRN, for exomple, offer the oudience
o consideroble omount of lotitude in deciding how the ploy will
continue (see BenNtuctn 2000).
m lnter-Art Studies/lntermediality:
Literature and Other Art Forms
The crossing of boundqries between different genres, qrt forms qnd lntermedial
medio is o phenomenon of long standing in many notionql lit- turn and
erotures. Lotely, however, there hos been such o ropidincrease in inter-art
the hybridisotion of genres from different medio thot W¡nNtn studies
WoLr's (1999: 2) use of the term 'intermediql turn' seems highly
oppropriote. The most striking exqmple of this tendency is prob-
obly the phenomenon of virtuql reolity, made possible by the new
medio; but references to ond the use of conventions from diverse
medio in ort, Iiteroture ond music hove by now become importont
chqrocteristics of postmodernism. The boom in such boundory
crossings hos contributed considerably to the increose of activity
in the field of inter-qrt studies'.
f;l lnter-Art Studies/lnternrediality: Literature and Other Art Forms 135
 lnter- One of the most interesting oreas thot hos come into focus with
mediality the inclusion of questions of mediolity in English studies is the
study of relotions between literoture ond other forms of ort such
os music, pointing, photogrophy, film ond television. These oreqs
of study qre subsumed under the term 'intermediolity'. Although
the discipline of literory studies hos olways encompqssed such
issues os 'interoction between ort forms', the new oreo of study
bosed on the concept of intermediolity is the first to offer q com-
prehensive, systemotic ond historicol opprooch to the brood issue
of the interoction betvveen literoture ond other medio.
Fields of The investigotion of vqrious forms and functions of intermediolity
study is not merely of interest for English ond Americqn studies; it is olso
on importont field within generol ond comporotive literory stud-
ies. Ànolyses of intermediolity ore primorily concerned with the
question of how literory works reqct to qnd incorporote the con-
ventions used in other mediq. Among the most common topics
ore the themotizqtion qnd formql representation of music, point-
ing, photogrophy ond film within literqture. In oddition, interme-
diol onolyses ore mode of odoptations of ìiterory works in other
medio, for exomple, electronic mediq such ûs television, rodio or
video. The vorious oreas ofenquiry con be grouped according to
the forms of expression qnd medio thqt qre combined in ony given
cose. In whot follows, we will be considering relotions of interqc-
tion ond mutuol influence between music qnd literature, qft ond
literoture, photogrophy ond literoture, film and literqture os well
os the new medio ond literoture.
The study of the interoction between music ond literoture, which
Music and
is situoted qt the intersection of literory studies ond musicology,
literature
hos proved o porticulorly productive oreo within intermediolity.
It focuses on the woys in which poems, novels qnd other genres
render the conventions of representotion specific to music, ond on
the ways in which music incorporqtes references to literoture.
Three moin oreos of enquiry can be identified: literature in music
(for exomple, progromme music), combinqtions of music ond lit-
eroture (for exomple, vocol music), ond themotic qnd formol ref-
erences to music in literoture (for exomple, the themotizqtion of
rnusic ond musicions, verbol music, word music, formol ond struc-
turol porollels with music) (see Zrve 1995: 69).
Music in Music con oppeor in literoture in o voriety of woys: musicol noto-
tions, the themqtization of musicol works, composers or musicions
literature
ond covert intermediql interqction between the two genres. 'Word
music', for exomple, is bosed on the verbql imitation of ocoustic
chorocteristics ond the qcoustic quolities of words. Formol ond
structurol porollels with music in literoture, bqsed on the imitq-
tion of specific techniques of musicol composition (for exomple,
136 l"
@@f} / lntroduction to the Analysis of Media Genres
,()
fite leitmotif) or on the structure of porticulor musicol genres (for
exomple, the sonoto) ore rqther more difficult to identify. The term
,verbol music' refers to the evocotion of porticulor musicol works
by meons of the oforementioned techniques or by the represento-
tion of individuol reactions to performonce. A survey of the diverse
woys in which music con be rendered in literqture is given by Wou
in his pioneering study The Musicalization of Fiction (1999).
Settings of literoture, i.e. odoptotions of poems to music, ore o Musical
combinotion of music ond literoture, ond foll into the cotegory of sett¡ngs of
vocol music. There ore diverse vorieties of settings, some of which literature
occord equol volue to both components, whilst others ollow one
component to dominqte. As for os the poetry of Antiquity qnd the
Middle Ages is concerned, one usuolly thinks of word qnd music
os inextricobly connected. This connection con be seen in the
octivities of the so-colled'minnesingers', ond their vocol perform-
once of lyrics which were subdivided into verses ond stqnzos. This
unity of words ond music wqs reploced in the Eorly Modern period
by the setting of texts which were first recorded in writing. This
type of setting culminoted in the form of opero estoblished in Flor-
ence qround 1600. These performonces were bosed on dromotic
texts written speciolly for musicol odoptotion; less frequently,
prose texts were set to music.
A phenomenon thqt is olso locoted at the intersection of literqture Rock, pop
ond music, ond which hos qttrocted increosing qmounts of otten- and folk as
tion over the lqst thirty yeors, is thot of populor music. This genre paradigms
includes the rock, pop ond folk music produced since the 1960s, of popular
os well os the vorious forms of rop and hip hop. This oreo of Eng- culture
lish ond Àmericon medio ond culturol studies represents q centrol
phenomenon in populor culture, ond is of porticulor interest to
studies in intermediolity, as mony of the texts of pop songs con be
described as "modern (mass) poetry" (FauLsrlcH L978: 62). When
onolysing these texts, we should not focus exclusively on qn inter-
pretotion of the longuoge, but also compore the results of this inves-
tigotion with those of musicql onolysis. The lotter includes such
cotegories os rh¡hm (with beot os q meûns of emphosising ele-
ments), melody ond hormony, os well qs sound (see ibid.: 32-60).
The production ond morketing strotegies ore qlso importont con-
siderotions, porticularly in the cose of pop music, where the medio
presentotion ond stqr cult ore centrol feqtures of the industry.
There qre olso diverse vorieties of interoction betvveen literoture, Art and
pointing ond other grophic qrts. Structurol correspondences exist literature
between vorious ortistic ond literory procedures (for exomple in
the cose of the colloge). There ore also frequent instonces of coin-
cidentol convergence between ort qnd literqture when ortists ond
quthors reoct to specific culturol topics ond incorporote similor
[l lnter-Art Studies/lntermediality: Literature and Other Art Forms 137
 perspectives ond motifs into their works, olthough there is no evi_
dence of direct interoction. Imoges con olso be bosed on texts - for
I
exomple representotions of biblicol or mythicol moteriol or his_
toricol pointings bosed on works of historiogrophy - ond ort con
be odopted in literoture in o voriety of woys. Descriptions e¡
imoges ('ekphrosis') ploy o significont role in some contemporqry
literature, for exomple in MrcHeer Fn¡yx's novel Headlong (1,99d¡
or PErER AcrRoyD's Chatterton (L987), in which the representcrtion
crnd interpretotion of fictive ond reol pointings hove qn importont
function. There is olso o long trcrdition of text-imoge combino-
tions; 'emblems', consisting of o title, on imoge ond o short text
describing the imoge ond its relotion to the title, were porticulorly
populor in the Eorly Modern period. The relotionship between
illustrotion ond text in novels is subject to numerous vqriotions:
text ond imoge con complement eoch other, or one cqn serve os
on interpretative key for the other. In thot respect, comics, for
instonce, present o porticulorly interesting areo of investigotion
(see ScHüwen 2OO2).
The relotionship between photogrophy ond literoture is structur-
Photo-
graphy and olly similor to thot between pointing ond literqture. Photogrophy
literature can qlso odopt literory moteriol, ond literoture con incorporote
references to photogrophy. In some novels, for exomple ANrr¡
BRooKrvrR's Family and Friends (1 985), the description of o few pho-
togrophs even determines the content ond structure of the work.
Combinotions of the two ort forms become populor with the pho-
tonovel, ond photogrophs hove been used os illustrotions since
the mid-19th century. The specific chqrqcteristics of the relqtion-
ship between the two ort forms ore in port o result of the porticu-
Ior nqture of photogrophy: photogrophs give the impression of
representing immediote reolity, olthough they in foct olwoys
depict post reolities. Thonks to its precise and detoiled reproduc-
tion of its object, photogrophy, which was initiolly considered on
extremely objective medium, hos served os o model for nqrrotive
forms of representotion in reolistic ond noturolistic novels. Pho-
togrophy also raised owqreness omong outhors of the possibility
of rendering visuol perceptions in writing, ond led to new forms
of representotion in literqture such as the description of visuol
impressions in novels by HrNnv Jaues.
Film and The interqction between film qnd literqture represents o further
literature qreo of study in the theory ond history of intermediolity. One of
the most importont oreos of investigotion within this field con-
cerns chonges of medio, i. e. the trqnsferrol of o work from one
medium to onother. This oreq includes film adoptotions of literq-
ture, whether in the form of o more or less creqtive odoptotion of
o novel or dromo, or o recording of a theotre performonce, as well
138 ç[UñEt8| I n" lntroduction to the Analysis of Media Genres
()
of 'literorizqtion' of films, such os the 'book of the
^c instonces
iim'. enother interesting topic within this oreo is the 'multimediql
iránsposition' of moteriol by one or severol quthors; illustrqtive
.*.rmples ore JoHN IRVtt¡c's odoptotion of the moterialfotTheCíder
"nnuse'nutet os o novel (1985) ond then screenploy (1999), or the
Worlds (1897) os o
odoptotion of H. G. WTLLS' novel lhe War of the
pto¡ feoture film qnd television film. The second oreo of
iãaio
intermealot ûnolysis focuses on the odoptotion
of individuol
from film in the medium of litero-
¡notifs or structurql techniques
iur., ott¿ vice verso' We hove olreody given some exomples of
odoptotions of filmic techniques (see chopter 5'4'); how-
iit.roty
ever, films hove olso exploited literory procedures' One of the
greot eorly film mokers, Davlo W GRtrtltH, clqimed to hove tqken
íhe norrotive structure of his films (i.e., his editing techniques)
qreo of investigotion
from the novels by CHanlm DIcreus. A third
hos been opened by vorious structurolly-oriented studies, which
undertoke comporotive onolyses of the chqrocteristics of filmic
ond literory codes ond the conditions of production ond reception
specific to the two ort forms.
Screenploys or film scripts, which frequently exist in numerous Screenplays
versions corresponding to the vqrious stoges of their genesis, ore
locoted qt the intersection of filmic ond literory onolysis. The chor-
<rcteristics of the genre, which begon to oppeor in print in the
1980s, result from their functional chqrocter: screenplqys serve os
the bosis for o film, olthough they differ from dromos in thot they
qre written with only one performonce in view. As o result of the
specific chqrocteristics of the film, the diologue is often of less
importonce thon in dromo, whilst detoiled stoge directions
(dJscriptions of the setting, norrotive perspective, comero settings)
ore more importont. Despite the descriptions ond directions,
whose tronslotion into imoges generolly requires considerqble
cinemotic skill ond imoginotion, it is necessory to compore the
screenploy ond the end product, os directors frequently odd, mod-
ify or bmit elements. Additionol cuts or chonges moy olso be
required by the broqdcoster or production compony. À distinction
is generolly mode between such functionol screenploys ond liter-
ory screenploys, which ore published ofter moior ciríemotic suc-
ceiser, for exomple MaRc NoRveN's ond Tov Sroppnno's Shoke-
speare ín Love (L998).
If only in quontitotive terms, film odoptotions of literoture repre- Film adapta-
sent on importont orea of investigotion, os they hove, ot certoin tions of
points in time, constituted up to 50% of oll feoture films produced' literature
The criterion of 'fidelity to the originol', which olwoys oppeored
in studies of film ond dromotic odoptotions in the post, is no
longer considered a desiderqtum; filmic odoptotion is now
þ lnter-Art Studies/lntermediality: Literature and Other Art torms 139
 regorded os o creotive process: "the director has the opportunity to
shine in the creativity of the transformation, the tension and discrep_
ancy betuveen text and image, rather than the proximíty to the literary
source" (Rolorr 1995: 3O5). The issue ofthe opproprioteness ofthe
odoptotion hos been reploced by ,,the question of what medio texts
do with specific elements or concepts from the ,original, text,, (1.E.
Mürren t996:17). The noture of the trqnsformqtion is influenced
not only by the director's 'signoture', the preferences of the produc_
ers ond the prospective cost, but olso by the genre of film (for
exomple, Western, thriller, melodromo, comedy) to which the
odoptotion is reloted. Intermediol onolyses of literory odoptotions
ore concerned not only with the content of a film, but qlso with
vorious formql ospects such qs chorocter constellotion, norrotive
perspective, spotiol ond temporol structure, dialogue, the distribu_
tion of the sections of norrotive, qs well qs meons of creoting
distqnce or qn qlienqtion effect (see Rororr 1,995: 29I).
Film adapta- The film odoptotions of novels by feNr AusreN und E. M. FoRsreR
tions of Eng- demonstrqte the losting populority of film odoptotions of English
lish classics clossics. A number of other recent odoptotions hove been box
office hits, for exomple the film odoptotions of such Booker prize_
winning novels os Tnoves KeNeelry,s Schindler,s Ark (Schíndleis List,
directed by Srevw SrreraeRc, L993), Ktzuo IsHrcuRo,s The Remains
of the Day (directed by |arraes lvonv, L993) ond, most significontly,
MrcHerl ONoear¡e's The English patient (directed by ANrHoruv MlNc_
Htr-ra), which won nine Oscqrs in L996.
Other The popularity of film odoptotions of literoture cqn couse us to
literary overlook the sheerbreodth ofthe spectrum ofliterory odoptotions.
adaptations The expression 'literory odaptotion, refers to the tiqnsferrql of o
Iiterory work into qnother medium. Norrotive texts ore frequently
odapted for the theotre or opero, for musicals, radio, television or
video; however, dromos, poems ond rodio plays ore olso frequently
odopted to other mediq ond types of performonce. Nowodoyé,
when onolysing film ond other literory odoptotions, we no longer
opply the criterion of fidelity to the originol; insteod we focusãn
the complex interoction between the different works qnd art forms.
Although the expression 'literory odoptation, hos become com_
mon currency, onolyses qre now increosinqly using the term
'trqnsformotions' qnd stressing the intermeãiql notùre of their
opprooch.
ø New Media - New Media Genres
fhe study of the relotionship between literory ond medio studies Media and
is by no meons restricted to the vorious
qspects of intermediolity literature
thai ore focused on literory texts. There ore olso o greot number
of other fields in which perspectives and ongles of enquiry from
medio studies con give new impetus to literory studies. These per-
sDectives ond oreqs ore relqted primorily to the wide voriety of
medio genres thot hove emerged os o result of the ropid prolifero-
tion of audiovisuol ond digitol medio.
In addition to the diversificotion of genres of print mediq (here we Diversity
need only think of the voriety of genres in the field of iournolism of media -
olone!) there has olso been qn increose in the voriety of medio diversity
genres in the field of qcoustic qnd oudiovisuol medio. It is true of media
ihqt moss medio such os television qre somewhot hesitont to genres
exploit the potentiol for new genres opened up by technicol inno-
votion, preferring insteqd to invest their time qnd money in fomil-
ior genres such os the sitcom, docudroma ond tqlk show. Never-
theless, more thqn 900 different generic designations of television
progrommes cqn be found in television mogozines. The foct thot
the opproximotely 500 generic terms used hobituolly by television
oudiences do not completely correlote with those in the magozines
is indicotive of the difficulty of giving cleor definitions of indi-
vidual mediq genres. However, some criteria for o generic classi-
ficotion of individuol progrommes remoin; the following list
. ScHtvttor L994: I89f .):
detoils o few of them (see S. f
H medium: print medium; ocoustic medium; audiovisuol
medium
I mqin function of medium: report; reflection; oppeol; gome;
reproduction (eoch to qn informotive qnd/or q recreotionol
end)
I relotion of medium to reolity: with reference to people: cred-
ible/not credible (for exomple, news reoder versus emotionql
witness); with reference to stqtements: true/folse, fqctuql/non-
factuol, fictitious; with reference to time: live, recorded or qntic-
ipotory presentation
I themqtic specifics: themotizing o milieu (for exomple, hospi-
tol, drug scene); topic-/story-oriented (for example, crime,
sport)
The vorious cotegories of mediq genres olso perform o voriety of Functions
odditional functions, for exomple, they of media
guide the expectations of media users with regard to the relation of
genres
-
a medium to reality as well as with regard to the cognitive and

140 Añtltt . / nn tntroduct¡on to the Analysis of Media Genres

B t¡ew Media - New Media Genres 141-
(:)
 emotional gratification derived from the use of media [for exomple,
excitement, entertoinment, education];
- guide the expectations of media users with regard to the reliability
and credíbility of the communicating parties
- guide expectations as to whether a medium of communication best
serves instrumental (for example, a news programme) or expressive
(for example, a literary W frIm) purposes
- divide the content of media into categories such cs report, appeal,
reflection, game or reproduction. (Scsvlor/WeIscHENBERG 1994:
21.9)
In short, medio genres serve to guide the recipient; they owoke
certoin expectotions ond focilitote the recognition, classificotion
and evoluotion of different vorieties of mediq presentations.
The theory of medio genres is concerned with three mqin oreqs of
Theory of
media investigotion: genre designotions, the expectotions these owoke
genres in the individuol user, ond the effects qnd functions of employing
o genre clossificotion (see ScHvlor/W¡lscHexeeRc 1994: 21'3). The
most importont questions qsked in reseorch on genre theory ore
the following: "What is the relationshíp between the individual work
and the genreT How can we explain changes in the generic system of a
society? Why do new genres emerge? What is the relationship between
generic concepts and genre designations?" (ibid.: 22O) More recent
reseqrch into the theory of medio genres is therefore less concerned
with the identificotion qnd definition of genres, thqn with the
function thot they perform for the individuql ond within society.
El Aspects of Radio Play Analysis
Particulari- Since its inception in the 1920s, the British ond Americon rodio
ties of the ploy or rqdio dromq hos succeeded in estoblishing itself os a new
genre mediq genre. Equoting the British rodio ploy with the Germon
Hörspielcan cûuse some confusion, qs there ore permeoble bound-
ories between the British qnd Americqn 'rodio ploy', the predom-
inontly foctuql 'feoture', qnd the entertoining 'rodio show', the
lotter of which is entirely oriented towords the peculiorities of the
medium. However, some chorocteristics con be identified thqt
qllow us to differentiote between the rodio ploy ond other literory
genres; these chorqcteristics qre reloted primorily to the ocoustic
tronsmission of the rodio plqy (by rodio in the first ploce, subse-
quently by sound-corriers such os cqssettes ond CDs). Sounds, ond
their qbsence, ore therefore the mqin modes of expression in the
rodio ploy. The qcoustic dimension is o for more importqnt foctor
in the reception of the rodio ploy thon in thqt of drqmo, becouse
o very smoll number of rodio ploys (less thon 1olo) oppeor in print.
142 @!s} ,,/ ¡" lntroduction to the Analysis of Media Genres
i(,)
Due to this exclusively ocoustic reception, which does not ollow
the oddressee to leof bock, importqnt stqtements within the ploy
ore frequently emphosised by means of music, bockground noise
or repetition, otthough mony of these techniques, ond repetition
in porticulor, would qppeor superfluous or even redundont to the
reoder of a rodio ploy. As in the cqse of the other moss medio, film
ond television, the requirements of the medium cquse o tension
between the two fundomentql oims of the rodio play, "the aim of
developing into an artistic genre, a mode of expression equal to elevaÍed
forms of literature, and the goal of reaching as many listeners as possible,
as o genre of the mass medium radío" (TnousEN/ScHNEIDER 1985: 4)'
The mojority of qreqs of enquiry in the onolysis of rodio ploys Areas of en-
focus not only on the spoken text, but tlso on the oforementioned quiry in the
chorocteristics thot ore specific to the medium ond genre. The analysis of
following tqble offers qn overview of the vqrious components of radio plays
the rqdio ploy (see FnaNr 1981: 78-10O):
Word in addition to denotative and connotative meaning, the capacity of
the individual word to evoke images, and the acoustic quality of the
word as a component of phonological tropes
Voice serves to differentiate between individual speakers and types of
speaker (by means of sociolect, dialect and information on the charac-
ter), to express subjective emotions and evoke a particular atmosphere
Music functions as a marker for internal organisation (for example, by signal-
ling boundaries between scenes) and as a leitmotif; serves to accentu-
ate details; also functions as an atmospheric soundtrack and some-
times also to evoke certain actions and events
Noise employed as a marker for internal organisation and as a leitmotif;
guides the listener and attunes him or her to the context of the action
(background noise); sometimes used surrealistically
Silence serves to express pauses of a grammatical or psychological nature in
the dialogue; signals actions (which are presumably taking place dur-
ing the pause); serves as a means of influencing audience response
(heightening suspense or, in the case of an imaginative pause, giving
the opportunity to visualise and digest content)
Stereophonic acoustic quality which indicates the size of a space; changes in sound
sound quality are used as a guide for the audienée
Distance used together with stereophonic sound in order to create an impres-
sion of authenticity by indicating movement; also employed to con-
struct narrative perspective and in cuts between scenes
Radiophonic sound effects produced with the aid of technical equipment, for
effects example, 'telephone voices' produced with the assistance of a fre-
quency filter or changes produced by accelerating or slowing the play-
back speed of a recording
Toble 6.1 .: Components of the rodio ploy ond their functíons
fl Aspects of Radio Play Analysis 143
 Further ARvrru P¡,ur- FRANK's book Das britische und amerikanische Hörspiel
reading (1981) is o very informotive introduction to the peculiorities of the
7 radio ploy. À stqndard componion to this genre is the volume
Brítish Radío Drama (1981), edited by JoHtt Dnaxaxts, which cqn be
supplemented with the interpretotions of select rodio ploys in Das
englische Hörspiel (1977), edited by HoRsr PRtrssNrrz.
&! Aspects of Film and Television Analysis
Although nowodoys oudiovisuol medio hove on immense influ-
'5uper-
rnedium' ence on our view of reolity ond experience os well os the process
of sociolisqtion, ond olthough olmost every child is oble to use q
audiovision
television set (ond perhops even progrc¡mme c¡ video recorder)
before he or she leqrns to reod ond write properly, the onolysis of
film qnd television hos only grodually estoblished itself os o field
of English ond Americqn studies. In whqt follows, we group
together mony of the cotegories used in the onolysis of film ond
television, becquse there qre numerous porollels between films
produced for the cinemo, the television qnd video. In oddition,
mony outhors, directors qnd qctors ore octive in oll three genres.
Indeed, the three medio ore so closely connected thot they ore
sometimes placed under the umbrella cotegory of o 'superme-
dium' colled 'oudiovision'. However, we should be cqreful not to
overlook the porticulorities of eoch medium, which result primo-
rily from differences in production mode: television ond video qre
both produced electronicolly, while those films shown in the cin-
emo ore for the greoter port still the outcome of o cinemotic pro-
duction process.
Television The 'television ploy' (or'television dromo') con serve to illustrote
play the mony chonges undergone by medio genres under the influ-
ence of technicql innovotions ond competition from other types
of medio. In the 195Os, the eorly doys of nqtion-wide broodcqst-
ing, television ploys were produced 'live', ond this wos initioÌly
seen c¡s the moin chorocteristic of the genre. The use of q studio
set ond the resulting presentotion of interior spoces wos to o degree
dictqted by technicol foctors, os the heovy cc¡meros were not very
mobile. Long tokes were preferred, os editing wqs more cumber-
some qnd technology did not qllow the director to check on results
ond continuity in the course of filming. Although the oction wos
followed by mony comeros simultqneously ond chonges were
mode between comeros, this form of production wqs, on the whole,
o good deql less flexible thon cinematic filming methods. This
situotion chonged - slowly - following the development of mog-
netic tape, which mqde possible the subsequent editing of recorded
moteriol, ond thus dispensed with one of the most significont dif-
144 Cl![Ð / n" lntroduct¡on to the Analysis of Media Genres
()
ferences between television and cinemotic production. Since then,
the'smoll screen' ond the occomponying tendency towqrds close-
ups ond detoil hove been considered the moin chorocteristics of
television.
,The single play is dead. f. . .l The dominant form of TV drama today is
Television
a hybrid of the series and serial, aspiring to the soap form." (NelsoN
films as
Z00O: 1,11) The new conditions of production - extreme competi- hybrid
íon between chqnnels qnd the necessity of broodcosting a lorge genres
number of progrommes every doy ond of securing the viewing
loyolty of television oudiences - hove brought obout the emer-
gence of vqrious new television genres. In generoÌ, o tendency
towords seriolisotion con be observed. The vorious types of seriol,
often consisting of relotively discrete ond independent episodes
(os in the cose of the crime series), cqn combine chqrocteristics
from o voriety of genres. The oppeoronce of new forms within this
genre, and the new functions thot they frequently perform, con
be ottributed to the culturol chonges which hqve tqken place over
the post decodes. Among the moin chqrocteristics of this hybrid
genre qre:
ffi concentrotion on ocoustic/visuql units of 30 to 90 seconds
(sound-vision bytes)
ffi the integrotion of elements from o voriety of genres (for exom-
ple, the insertion of musicql interludes, mostly pop songs, or
the combinotion of drqmqtic qnd cinemotic conventions in sit-
coms)
ffi the incorporqtion of o voriety of nonlineor, overlopping plot
structures; loose ends in the finol episode of the series
ffi o relotively cleor structure of episodes ond plots qs well qs
repeoted trqnsmission of the some informotion, which enoble
viewers who begin wotching ot o lqter stoge to find their beor-
ings quickly
ffi o corefully-timed olternotion between periods of suspense ond
emotionol climoxes
þñ focus on reception-oriented qesthetics (by hopping between
chonnels, viewers frequently creote o bricolage composed of
units from vqrious progrommes) (see, for exornple, NELSoN
2OOO:1.1.2ff .).
The obove discussion ofthe chorocteristics specific to the television Television
progromme should not couse us to overlook the similorities film -
between the cinemo ond the television film. On the one hond, we cinema film
should certoinly toke occount of the fqct thot - os in the cqse of
the rodio play - progromming considerotions (broodcoster ond
broodcosting time) ploy o lorge port in determining the formot,
ond thot there ore differences between the reception of the televi-
sion ond cinemq film: video recorders enoble us to integrote the
@ Aspects of Film and Television Analysis 145
 viewing of television films into our routine, ond viewers tend to
engoge in other octivities ond to channel-hop whilst wotching
¡ television. On the other hond, this is olso true of those cinemq
films that ore viewed viq the medium of television. Few cinemq
films ore produced without ony funding from television compq-
nies, ond mony films ore produced with o view to being screened
on both media. Moreove¡ television films (in contrqst to the eorlier
television ploy) ore now produced cinemqticoÌly, ond oesthetic
mqrkers of difference qre very hord to identiff. With the develop-
ment of high-resolution, (reolflot) widescreens (16:9 formot) thot
ore c¡ccomponied by Dolby surround systems, the differences in
quolity hove stqrted to disoppeor - the experientiol gop between
television qnd the cinemo is closing steodily. "These television frlms
now only differ from cinema frlms in that they are produced primarily
for television and not for the cinema." (HIcretHttR 2OO1l2Ol2: 1'62)
Areas of Some of the issues thot ore ot the forefront of onolyses of film ond
enquiry in television hqve qlreody been mentioned in the discussion of the
the analysis relotionship between film ond literature ond the phenomenon of
of film and film odoptotions. However, fiÌm studies ore olso concerned with o
television numberof furtheroreos of enquiry. These include, firstly, the exom-
inotion of production conditions (for exomple, the film industry,
the structure of ond competition between film componies ond tel-
evision componies, chorocteristics of public broodcosting corporo-
tions, ond the issue of censorship), conditions of distribution, ond
questions reloting to the composition of the qudience (with respect
to, for exomple, sociol strotum, oge ond gender). A second field of
enquiry is the investigotion of technicol developments (for exom-
ple, recording ond storoge techniques). Thirdly, the oesthetic feo-
tures of individuol films form the focus of studies of the ceuvre of
individuol directors, exominotions of the development of individ-
uol genres ond subgenres (frIm noir, 'spoghetti western'), os well os
onolyses of individuol films. Such onolyses cqn tqke diverse
opprooches, which ore fundomentolly similor to those presented
in chopter 2. Films con be interpreted biogrophicoll¡ psychologi-
colly ond sociologicolly; structurolist exominotions identify norro-
tive ond representotionql modes chorocteristic for o period or
genre; hermeneutic opprooches ottempt to formulote o holistic
interpretotion; ond more recent deconstructionist opprooches
emphosise the controdictions, differences ond discontinuities
within o film. Feminist studies ore porticulorly concerned with gen-
der-specific chorocteristics reloting to the production, distribution
ond reception of films, ond attempt to reveol potriorchol potterns
within films by mqle directors ond outhors. There qre qlso vorious
opprooches thqt con be grouped together under the heoding 'film
qnd television theory', olthough there ore very divergent views
concerning the existence or noture of o semiotics specific to film.
146 @@} 'l a" lntroduction to the Analysis of Media cenres
:(,)
Four foctors, ond the interqction between these foctors, ore of por- Main factors
ticulor importonce when onolysing film: imoge, sound, story ond in film
norrotive mode. When onolysing the qction of the film, use is analysis
frequently mûde of elements from dromo onolysis (see chopter 4).
Cotegories such os plot, chorocter constellqtion, relotions of con-
trost ond correspondence, chorocterisotion, open ond closed form,
the criterio for ond functions of the diologue ond so on, con olso
be opplied in film onolysis. There ore differences in other oreos,
however, for exomple, in the onolysis of the representotion of
spoce. Film onolysts differentiote between mechonicol spoce
('mechanischer Raum') ond norrotive spoce ('narrativer Raum'):
'mechonicol spoce' refers to the spoce thqt is visible in the film,
whereos 'norrqtive spoce' is constructed by the viewer on the bosis
of these frogments to form the locotion in the fictionol world where
the oction tokes ploce. Nevertheless, despite the different modes
of representotion employed in the two genres, the similorities
between reolistic ond expressionistic dromos ond films ore con-
sideroble.
When anolysing the ouditory dimensions, we cûn drow on the Sound-
cotegories thot were outlined in the discussion of rodio ploys (see rma9e
chapter 6.5.). Stereophonic sound, for exomple, is olso on impor- relations
tûnt component of film, os without it the visual imoges would not
rtrue to life'. When considering words ond sounds, we must
seem
olso toke the relotion of these elements to the imoge into qccount.
A fundomentol distinction is mqde between diologue, commen-
tory, or noises thot occur 'on screen' (when the choracter or the
source of noise is visible on the screen), ond'off screen'. Music con
perform o wide voriety of functions in film; in qddition to serving
to mork the boundqry between scenes, to lend emphosis ond os o
general soundtrock. It cqn oiso imitote sounds ond even evoke
emotionol stotes.
When onolysing the composition of on individuol frome, we must The filmic
first exomine the objects depicted in the imoge ond their spotiol image
relotions. The filmic imoge is determined to o lorge extent by the
comero settings. The four mqin foctors thot ore to be considered
when onolysing film frqmes ore listed in the tqble below (which
is odmittedly not exhoustive). They relote primorily to the type of
shot, i. e. the distonce between the cqmero ond its object (or the
proportions of the objects to the frqme), the position ond ongle of
the comero, its movements, ûnd the speed of the fromes. Interested
reqders should consult HrcrerureR (2OOIl2Ot2:55-70) for o more
detoiled description of these techniques ond further literqture on
the subject.
@ Aspects of Film and Television Analysis 147
 Shots close up
medium shot
long shot
Camera angle low angle
eye-level shot
high angle
Frame rate 24 images/second (frames per second=fps) is the normal
projection speed; increasing the speed of the frame rate
during filming creates the impression of deceleration
(slow motion), whereas an impression of acceleration
(fast motion) is created by decreasing the frame rate; freeze
frame occurs when a single frame is repeated
Camera movements pan (short for 'panorama'; rotation on a vertical axis)
tilt (rotation on a horizontal axis)
tracking shot (camera runs on a track; implies a change of
position along the ground)
crane shot (camera is mounted on a crane; implies a move-
ment above ground level)
zoom (not actually a movement of the camera, but evoking
movement: variation of the lens to magnify the object
while the camera remains stationary)
Toble 6.2.: Criteria for the anolysís of comero settings
New The digitolisqtion of electronicolly produced imoges hos produced
techniques o wide ronge of new techniques for editing imoges; it is now pos-
for editing sible to 'leof through' imoges, to chonge their colour composition
images ond perspective, to distort them ond even to use them to produce
new images. Digitol technology olso mokes it feosible to generote
figures thot resemble people or octors on o computer ond to insert
them into on imoge. As a result of these new techniques, the
boundory between the composition ond processing or editing of
imoges is becoming increosingly blurred.
The film as As films ore olso norrotives, onolyticol categories from norrotol-
narratíve: ogy ore often opplied to film, and some hqve even been developed
narratology on the bqsis of film techniques. Some knowledge of norrotologicol
and film concepts (see chopter 5) is therefore olso extremely useful when
onolysing films. Cotegories for the representotion of time ore por-
ticulorly relevont to film onolysis. Voriotions in order ond fre-
quency con be ochieved without too much difficulty by meons of
editing; olterotions in durotion cqn be brought obout by changes
in the frome rote which creqte the impression of decelerotion
('slow motion') ond occeleration ('fost motion'). These techniques
ore employed relotively rorely, however, os they impoir the illu-
sion of reolity thqt films usuolly oim to creote.
148 @f[f,} / A" lntroduct¡on to the Analysis of Media Genres
()
When onolysing filmic norrotive strotegies, we must olso tqke into Editing
considerotion the editing techniques, or the orrongement of single techniques
shots into lorger norrotive units ond sequences. Single shots ore
cut ond orronged either seomlessly, or by meons of other cûmero
techniques such os the double toke, dissolve or fode out, into new
semontic units. The insertion of floshbocks or floshforwc¡rds, os
well os the connection of vqrious storylines by ollowing them to
run concurrently (porollel montoge), qre qchieved by meons of
editing techniques. These techniques therefore represent "a pro-
ductive form of structuring time in fiIm and televísion series" ond con
indeed be described as "the core of filmic narration" (HICKETHIER
2OO1 I 2Ot2: 145). Specific editing techniques such os'invisible edit-
ing'- very populor in Hollywood movies - con creqte the illusion
thot the cinemo or television screen is o tronsporent windoq
olìowing us on undistorted view of reolity, while other techniques
such os the'jump cut'con destroy this illusion ond remind us thot
film is q medium of representotion. jump cuts con qlso be used to
creote o specific viewing rhythm; o high-speed sequence ochieved
by frequent chonges of shot con heighten suspense.
The issue of norrqtive tronsmission in film hos provoked o voriety Camera and
of divergent opinions omong film onolysts, os it is not eosy to point of
differentiqte between norrotion qnd focolizotion in film. The fact view
thot the position of the comerq presupposes o porticulor perspec-
tive or point of view, hos led severol theoreticions to orgue thot
the comero represents a kind of norroting instonce; ofter oll, on
observing lens implies on observer (see HIcrerHrcp' 2OO1|2O1'2:
130). Bosed on this premise, the comera cqn be considered on
'omniscient' norrotot os it frequently wqits for chorocters of loco-
tions where future oction is to toke ploce or observes the oction
from positions thot would be inoccessible for cr humon norrotor,
or from which o humqn being would not be oble to see onything.
The comero olso oppeors to oddress the oudience directly on occo-
sions when, for exomple, close-up shots ore used to guide the
reception of the viewer. First-person norrotors occur only rorely
occording to these theoreticql premises; techniques such os 'sub-
iective comerq'- for exomple, the comero which pursues its obiect
or unsteody ond blurred shots which ore supposed to b-e indicotive
of the subjectivity of the observer - ore considered inodequote to
the tqsk of invoking the individuql ond restricted perspective
required for this type of norrotor.
In controst to opprooches which regord the comera os q norrotor, Narrator
SrvvouR CHervau qrgues thot, os in norrotive texts, it is possible and modes
to distinguish between focolizotion ond norrotion in films. The of present-
'subjective comero' or the impression, creoted by editing tech- ing con-
niques, thot the viewer is looking 'through the eyes' of one of the sciousness
@ Aspects of Film and Television Analysis 149
 -7
chorqcters at o porticulor object, should be regorded os instonces
of focolizotion ond therefore be differentioted from norrotive, i¡ Auditory Channel
which vqrious events ore described by a chqrocter. Difficulties orise
when considering the fine distinction between report ond interior
monologue; the foct thot o chorocter's voice cqn be heord olthough k ind point of orig in
his or her lips ore not moving is not necessorily indicotive of qn
interior monologue. Depending on the context, the chorocter con
qlso be giving o report of past events. This technique, known QS
no'se votce mustc on-screen off-screen
the 'voice-over', is one of the most importont modes of represent-
ing consciousness in fiÌms; other techniques include modes of sug-
gesting or symbolicolly representing internol processes (for exom-
ple, by using music) ond figurotive tropes such os metophor ond earshot commentative
rnetonymy.

Word, Word ond imoge cqn be linked in o voriety of woys. They con Visual Channel
image, and mutuolly reinforce ond complement eoch other, restrict or modify
unreliable eoch other, offer the some informotion in two porollel forms, ond
nature of image treatment of image
narration diverge from or controdict one onother (see Reuu 1987: 75ff.).
Connections between word ond imoge olso moke it possible to
represent consciousness in o specificolly cinemotic monner; thus actor location prop cinematography editing
the thoughts of o figure con be reloyed in q voice-over qnd simul-
toneously represented visuolly. In the cose of unrelioble nûrrotion appearance performance lighting color camera mise-en-scène type rhythm
(see chopter 5.5.), a chorocter's occount frequently does not cor-
relote with the visuol informotion, thus suggesting to the viewer
thot q choracter is, for exomple, ideolising or repressing post
events. À fomous exomple of unrelioble nqrrotion occurs in AlrReo
distance angle movement straight cut fade etc.

HrrcHcocr's film Stage Frighf, in which |ohnny is exposed only lote

in the film os qn unrelioble norrotor, when the version of the Figures 6.1 . ond 6.2.: Channels for communicating information in film
murder thot he gives in o voice-over ot the beginning of the film (CHnrvnN 1990: 'l 35)
proves folse.
KNur Hrc¡<erHnn's Film- und Fernsehanalyse (2OOl l2Ot2) is qn excel- Further
Narrator Summorising, generoÌising or commenting voice-overs, which
lent introduction to the peculiorities of film qnd television onoly- reading
and multi- connot be ottributed to chorocters involved in the oction, ore gen-
sis. Lours GI¡Nuetn's Understandíng Movies (I972lzolt) ond Rosn'l
medial erolly clossed in norrotologicol film theory os contributions by
Nersox's TV Drama in Transition: Forms, Values and Cultural Change
modes of nomeless, impersonol heterodiegetic norrqtors. The question of
(1997) con be highly recommended os introductions in the English
communica- whether we should postulote o norrotor in film, even if such on
longuoge.
ting infor- instonce does not oppeor or speok explicitly (os they do in the
mation in novel) hos proved contentious. CH¡lv¡N (1990: 135) hos com-
films posed the following models of modes of representotion; they give
some indicotion of the complexity of the vorious multimediql
chonnels used for communicoting informotion in film.

150 Ísfififl / an lntroduction to the Analysis of Media Genres ffi Aspects of Film and Television Analysis 151
 Y
English and American Literary History:
fìnÍffFflil Terminology+ and Periodization
tf literary-historical 'objects'1...1 are constructed, not gíven or found, then the issue of
how such objects are constructed, in particular the genre of discourse in which they ore
constructed, becomes crucial.
Bnrnru McHert
m Definition and Use of Literary History
The preceding chapters hove focused primorily on systemotic
Ahistorical
and histori- questions reloting to literary studies, with literory history os o
secondory considerotion. Howeve4 the obility to onalyse ond
cal under-
standing interpret literory texts from o voriety of genres ond mediq is only
one requirement - qlbeit q centrql one - within courses in English
ond Americon Studies. À further, ond no less importont qspect is
literory history, which to the uninitioted moy oppeor to be o con-
fusing moss of nomes, titles ond dotes. If we wish to ottoin o
historicol understonding of texts, however, it is necessary to toke
their historicity into considerqtion.
Use of A historicol understonding of literory texts presupposes not only
sufficient knowledge of the history of the longuoge, which is por-
literary-
historical ticulorly importont when studying works from eorlier periods. We
must olso be owore of the foct thot the full potentiol of meonings
knowledge
of o text only emerges when we study it in its historicol ond liter-
ory context. The importonce of literory-historicol qnd historicol
knowledge for on understqnding of literory texts wos stressed in
the first chopter; it becomes porticulorly importont when we ore
confronted with sqtiricol qllusions to politicol events ond socioeco-
nomic problems, os well qs intertextuql references to other works
within the internotionol literory conon. In oddition, we con only
hope to evoluqte ond oppreciote the porticulority of on individuol
work, its position within the genre system and ony formol innovo-
tions thot it may contoin, if we possess brooder literory-historicol
knowledge.
There ore two mqin preconditions thot we must fulfil if we ore to
Objectives
tell the wood from the trees in the literory-historicql forest: o fomil-
of this
chapter iority with some of the fundomentol terms of literory historiogro-
phy, ond o preliminory overview of the development qnd the most
importont periods of English qnd Americon literory history. This
concluding chopter qims to qssist the student in ottoining both of
these, ond to offer some insight into the problems ottendqnt on
1s2@ English and American Literary History: Terminology and Periodization
Iterory historiogrophy, os well os introducing the student to the
centrol cotegories with which literory historiogrophy operotes.
Aithough some knowledge of the most importont dqtes of literory Theoretical
history is noturolly indispensoble, it is much more importont to nature of
become conversont with some of the fundomentol concepts of literary
Iiterory historiogrophy. Literory theory ond literory history ore history
putuolly interdependent rother thon opposing fields, os literory
history is underpinned by numerous theoreticol presupposi-
tions'
It is now widely occepted thot literory histories ore the result of o Literary
theory-bosed process of construction. Literory histories do not offer histories as
on objective representotion of the literory post; they produce mod- constructs
els ond norrotives of this post with the ossistance of literory-his-
toricql cotegories. It is olso generolly ogreed thot the categories
used by literory historions - period ond genre designotions, for
exomple - ore olso constructs. As o consequence of the constructed
noture of literory histories, we should reploce the notion of 'one'
history of English or Americon literoture with the premise thot
there cqn be numerous 'histories' of ony one notionol literqture
ond ony one Period.
Ifperiods, genres ond literory currents ore to be regorded qs liter- Literary-
ory constructs, rather thon reol, existing objects, then the question historical
of whqt criteriq ond methods function os principles of construction principles of
merits considerotion. In the quototion qt the beginning of this €onstruct¡on
chopte¡ Bnt¡.N McH¡rr (1992l. 3) succinctly points out thot the
question of how these objects ore constructed is of centrol impor-
tqnce. After oll, the porometers used for the seiection ond orronge-
ment of texts in o literory history determine to o lorge extent the
woy in which o period or genre is presented. The question of whot
'history' of o notionql literoture, period or genre is norroted, then,
is generolly decided by the preferences of the literory historion ond
the concepts he or she works with. Coreful opplicotion of literory
cotegories is required in order to be oble to record ond chorocterise
the diverse generic monifestotions of, for exomple, the English
dromo of the Shokespeoreqn ero or the 2Oth-century Àmericon
novel.
We should therefore firstly be qwore of the distinction between Def¡nit¡on
Ìiterory-historicol occurrences ond phenomeno (for exomple, the of literary
publicotion of literory works, chonges in the book morket, the lives history
of outhors, themqtic ond formol chorqcteristics of texts) ond the
presentotion ofthese occurrences, thqt is to soy, the literory histo-
ries in printed form. The qmbivolent designotion'literory history'
refers both to the subject-mottet thqt is to soy, the historicol devel-
opment of literoture, ond its reconstruction qnd presentotion in
fl oefinition and Use of Literary History 153
 literary historiogrophy. As it is self-evident thqt the literory histo-
ries which stûnd on the bookshelf ore quite distinct from the liter-
ory objects thot they describe, questions orise concerning the
relotionship between the retrospective representotions of literory-
historicol focts ond ûctuol literary-historicol events.
Literary The stotus qnd use of literory-historicol representotions ore best
histories summorised by using the metophor of o mop, by meons of which
as maps o territoryconsisting of literorytexts from eorlierperiods is chorted.
This metophor of o mop inclicotes thot literory histories ûre mod-
els rother thon true-to-life representotions of the textuol lond-
scopes of eorlier periods. Like oll models, then, literory histories
obstroct from the individuol instonce, ore concerned with only o
limited number of relevont ospects, ond ottempt to represent com-
plex information by meons of generolisotion ond simplificotion.
Literory histories connot cloim, therefore, to be objective or com-
plete representations of the complex terroin of post stages of liter-
ory production - whotever the period under considerotion.
Moreove¡, the metaphor of the relotionship betrveen mop ond
Use of
literary territory sheds some light on the potentiol uses of literory histories.
histories They offer first ond foremost o meqns of onolyticol differentiotion
qnd orientotion within the otherwise bewildering diversity of liter-
ory production. f ust as we run the risk of getting lost if we venture
into on unfomiliqr town or region without o mop, we would sim-
ilorly hove problems finding our feet in the literotures in English
without literory histories.
The metophor of the model or the mop olso drows attention to
Selection
and two fundomentol questions concerning literory historiogrophy:
organisation the porodigmotic issue of selection ond the syntogmotic question
of combinotion. Which elements of the literory terroin (i. e., which
literary-historicol texts or events) ore included in eoch respective
map? According to which qspects ore the selected objects struc-
tured or combined within eqch individual literory history? The
question of whot is included in individuql literory histories points
us toword the specific criterio which underpin the selection pro-
cess. These criterio ore rorely mode explicit; however, they con be
deduced from the genres, outhors ond works thot oppeor within
o literory history, os well os from those thqt ore excluded. As we
will see in the following section of the chopter, the tosk of judi-
ciously selecting ond structuring dotes, focts ond contexts presents
literory historions with o number of problems.
154 t:lltliHn English and American Literary History: Terminology and Periodization
ä Problems of Literary Historiography l:
Selection, Evaluation, Canon Formation,
and the Debate on the Canon
A decisive foctor in determining which works of literoture ore Broad
included within o literory history, qnd whot story is told, is the vs. narrow
definition of literoture used in eqch cose (see chopter 1.3.). Literory definitions
histories thot ore bqsed on a brood definition of literoture ottempt of literature
to toke into occount qll written or printed moteriol. British literory
histories such os The Cambridge History of English Literature andThe
Oxford Hístory of English Líterature, to nome two of the best known
exqmples, include, in qddition to the three moin genres, other
genres such qs trovel literoture, essoys, children's literature, pom-
phlets, bollods qnd other forms of populor literoture, qs well qs
non-fictionol or semi-fictionol text types such os outobiogrophies,
biogrophies qnd works of historiogrophy, phiìosophy ond even
science. By using such on extended definition ofliteroture, literory
histories con tqke o lorger number of genres qnd text types into
considerotion. Literory histories thot odopt o nqrrower definition
of literoture in order to focus on the pinnocles of literory ochieve-
ment will of course neglect such non-fictionol or semi-fictionol
text types.
The issues of selection ond evoluqtion ore closely reloted to the Selection
definition of literoture employed in a porticulor literory history. and
Every literory history is the result of q selection process, which evaluation
determines which outhors, works ond events ore sufficiently
importont to be included. It is not o question of whether Ìiterory
historions moke a selection, but rother, of how consciously ond
explicitly they opply their selection criterio. The question of whot
oesthetic ond other criteriq form the bosis of the selection process
becomes oll the more urgent when we consider thot there con be
no selection without evoluqtion. Yet this question is frequently
neglected by literory histories, even though the selection criteria
ond underlying volue judgements determine the noture ond object
of the history
Literory histories therefore ploy on importont port in the culturol Definitions
process known os 'cenon formotion'. The term 'cûnon' refers to of 'canon'
qll those texts thot ore regorded os porticulorly importont or ortis-
and'canon
tically superior. Texts included omong the 'greot works' of the formation'
conon therefore hove the stqtus of clqssÍcs. Àlthough the positive
functions of the conon, which include securing the continuity of
literory trodition ond providing o fromework for the study of lit-
eroture, should not be overlooked, the problemotic ospects of
conon formotion hove qttrqcted o good deol of ottention ond
f,l Problems of Literary Historiography l: Selection, Evaluation, Canon tormation 155
 criticism in recent yeors. Literary works qre not, ofter oll, port of
q cc¡non per se; they ore groduolìy cqnonized, i. e. orgonised into
7 o conon, by meons of selection procedures which involve o voriety
of institutions (for exomple, literory reviews, literory prizes, thô
book trode, qcqdemio ond literory historiogrophy). Àr_eroa ond |ar.l
Àssvaux describe the process of cûnon formotion, which necessqr_
ily entoils the exclusion of the greoter port of literory works, by
mec¡ns of q vivid metophor: "Every canon represents a reduction õf
the preceding tradition. This is achieved by, to use a metaphor, fencing
in a particular area of a varied and extensive landscape, whose horizon
is mostly concealed by fog. AII attention is then focused on this sacred,
circumscribed territory. " (Assvar.rN/AssuaxN 1 987: 1 1)
Historicity ond cononisotion ore generolly conducted
Processes of selection
of canons on the bosis of cotegories thot ore considered importont ot the
time o porticulor literory history is written. The historicol quthor,s
ond reqder's understonding of literory ond generic conventions,
os well os the prevoiling consciousness qnd oesthetic norms of the
doy, ore generolly disregorded. Like the definition of literoture
itself, the volue judgements qnd preferences underlying literory
historiogrophy ore subject to historicql chonge. A glonce qt older
literory histories will yield numerous exqmples of chonges in the
ossessment of the mojority of 'greot' outhors. SHeresleaRe, for
instonce, wos not vqlued highly in the 17th century ond ocquired
his fqme qs one of the greotest British outhors only during the
course ofthe 18th century.
Debate on For o long time, there wos generol ogreement on the subject of
the canon which texts should be included in the cqnon of greot works of
English literqture. Over the post three decodes, howeve¡ consider-
oble controversy hos been sporked by the question of whot works
merit o ploce in histories of 'English' literoture. Although the finer
points of the discussion, whose effects con be observed in the syl-
lobi and reoding lists of a lorge number of institutes for English
ond Americon studies, connot be discussed in detoil here, students
of literqture should be owqre of the problems qnd issues reloting
to conon formotion.
Reseorch into minority literotures ond feminist demqnds for qde-
Revision of
quote considerotion of literory works by women hove increqsed
the canon
owqreness of the problems ottendont on qny conon ond of the
need for revision. Demqnds for revisions of the conon qre bosed
on the view thot, to retqin the previous metophor, older mops of
Iiterory history offer o one-sided ond distorted representotion of
the literqture of bygone periods. The multiculturol nqture of
Americqn literoture hos been affirmed, for instonce, by the inclu-
sion of contributions on Notive Americon, Afro-Americon, Amer-
icon fewish, Asion-Americon qnd Chicono literqture in more
1s6@t '-: I English and American Literary History: Terminology and Periodization
recent literory histories (see Z.a.rr 1997 l2OlO). The process of revi-
sion is equolly mûnifest in feminist-oriented literory histories,
which employ other principles of selection, orgonisotion ond peri-
odizotion and devote porticulor ottention to forgotten femole
outhors.
g Problems of Literary Historiography ll:
Periodization and Contextualisation
Processes of selection ond cononisotion ore only the prerequisites Periods,
for o literory history, os they merely supply the bosic moteriql from genres and
which literory histories ore produced. Structurol ond representa- authors as
tionql criterio then determine the woy in which the selected works organisatio-
ond dates ore orgonised. The maiority of literory histories qre nal catego-
bosed on three bqsic orgonisotionol cotegories: outhors, periods ries
ond genres.
Authors ond their works ore omong the most importont orgoni- Authors'
sationql principles of literory history, os is demonstroted by the names as
foct thqt the names of importont quthors ore frequently employed organisatio-
os period designotions qnd os chopter heodings. Mony histories nal concepts
of English literqture (for exomple , The Cambridge History of English
Literature, The Pelican Guide to English Literature ond the Sphere His-
tory of Literature) include chopters on particulor periods which ore
nomed ofter fqmous outhors such os GeorrRev Cn¡uceR (co. L343-
1400), WIrrnv SH¡respe¡.nr (L564-161.6), foHN DRvoeN (1631-1 700)
ond Savutr fouNsott (L7O9-t784) and thus hove titles such qs 'The
Age of Choucer', 'The Àge of Shokespeare', 'The Age of Dryden'
ond 'The Àge of fohnson'. Moreover, o surprisingly lorge number
of literory histories (for exomple, numerous volumes of the fomous
Oxford History of English Literature) content themselves with o mere
chronologicol presentotion consisting of single literory works by
so-colled 'mojor authors'. Evoluotions ond volue judgements ore
implicit in the size of the possoge devoted to eoch individuol
outhor, os 'mojor' outhors usually receive on entire chapter,
whereos so-colled 'minor' outhors ore discussed summarily in
other chopters. The compositionql ond orgonisotionoLmethods of
this type of literory historiogrophy ore bosed primorily on the
principles of chronologicol compilotion ond the presentotion of
focts obout authors' lives qnd works.
Two dimensions, generolly referred to os 'synchrony' ond 'dio- Synchrony
chrony', influence the processes of ordering ond structuring liter- and
ory histories. Literory phenomenq thot exist ot the same time form diachrony
the subject of the'synchronic'dimension of literory histories. Syn-
chronic studies thus focus on the literary production within, for
exomple, o decode or a period. The diochronic dimension of liter-
B problems of Literary Historiography ll: Periodization and Contextualisation 157
 ory ond generic histories, on the other hond, is bosed on period
divisions; diochronic onalyses focus on the description of histori_
cal chonge, for exomple, the development of genres ond the trqns_
formotion of oesthetic norms. À diochronic cross-section through
English or Americqn literoture enobles us to reconstruct its his_
toricol development olong o temporol oxis.
Genres and The distinctions betvveen vorious literary genres exploined in the
periods as first chopter represent the most importont meons of structuring
organisatio- the synchronic dimension of literory history. À synchronic cross-
nal catego- section through o period encomposses the voriety of text types qnd
ries in genres thot ore in existence within o porticulor period of time.
literary his- Distinctions between periods, on the other hond, enqble us to
toriography structure the diochronic dimension of literory ond generic history.
Periods ore no more historical givens thon genres; they ore con-
structs or orgonisotionol categories, produced by literory histori-
qns when they engoge in the process of periodizotion. The moin
purpose of generic ond period designotions for literory historiog-
rophy is to focilitote the orgonisation of single texts into lorger
groups ond to (re)construct literary-historicol developments.
The orgonisotion of the diochronic dimension into vorious 'peri-
Periodi-
ods' of literory history is known qs 'periodizotion', ond relies heov-
zation and
ily on significont chonges or cqesuroe known os period boundo-
period
ries. Some recent literory histories qlso take the historicolly situoted
boundaries
oworeness specific to the respective period into occount, os this
sheds light on the historicol self-conception of o particulor ero.
Difficulties The problems orising from periodization become opporent when
of periodi- we consider the variety of influences thot cqn come into ploy, ond
zation and the foct thot periods frequently overlop. Some exomples from Eng-
lish literory history should serve to illustrote these points. Mony
period
periods in English literary history hove their origins in politicol
designations
history, with the reigns of the monorchs ploying o porticulorly
importont port. This is illustrqted by terms such qs 'Elizobethon
Literoture' or'Victorion Literoture', which hove become house-
hold words in literory histories; the term 'Restorotion Literqture'
is olso rooted in politicol history. It is true thqt due considerotion
should be given to the influence of politicol events on the develop-
ment of literoture; it is immediotely evident in the cqse of 'Restoro-
tion Comedy', for exomple, thot the restorotion of the monorchy
in 1660 wos olso on epochal event for literoture, qs it coincided
with q revivol in theotre. Yet, despite the foct thot the beginning
ond end of the reign of QueeN VlcroRr¡ (1837-1901) connot be
considered importont literory-historicol events, we still speok of
'Victorion Literoture'. Other period designotions ore bqsed on cri-
terio relqted to developments within the literory sphere itself, vol-
ume titles such os The Age of Shakespeare or From Dryden to lohnson
158 lilGlrn English and American Literary History: Terminology and Periodization
/
i¡ The Pelican Guide to English Literature being coses in point. Still
qre token from the history of ort or ideos qnd
other designotions
then opplied to literoture (for exomple, terms like 'Renoissonce',
/Bc¡roque', 'lmpressionism', 'Enlightenment'), or ore bosed on cqt-
egories from the history of the English longuoge
(for example, Old
English qnd Middle English literoture). Chronologicol orgoniso-
tion of literory histories into centuries is olso common.
Genre qnd period designotions
qllow us to identify the chqrqcter- Functions
istics common to literory works from o porticulor period, os well of genre
os the elements thqt distinguish them from texts from earlier or and period
later periods. The most importont functions performed by genre designations
ond period designotions involve, firstly, structuring the objects of
literory history occording to specific criterio, ond, secondly, situot-
ing literory works within their historicql context. They function os
orgqniscttionol principles of literory history, highlighting contex-
tuál relotions, supplying coordinotes for diqchronic onolyses of
developmental tendencies ond offering typologicql cotegories os
o foundotion for synchronic onolyses ond clossificotions. They
olso perform descriptive ond communicotive functions: by refer-
ring to o literory work qs o 'trogedy', o 'picoresque novel' or qs
typicol of the Romontic or Modernist period, we implicitly qllude
to o (more or less well-defined) cluster of chorocteristics, without
hoving to restate the themotic ond formal specifics of the text with
qre qlso
eoch new interpretotion. Genre ond period designotions
prerequisites for teoching qnd leorning obout literory history
(whether in the context of the educotionol estqblishment or of
privote reocling), os well os for communicoting foctuql informo-
tion (for exomple, in exoms).
A further centrol problem of literory historiogrophy concerns the Relation to
relotionship between the literory texts qnd their context, ond por- reality and
ticulorly their relotionship to reolity. There is no simple or generol contextuali
onswer to the complex question of how the often chorged relotion- sation
ship between works of ort ond their socio-cultural context is struc-
turèd, primorily becouse this relotionship is subiect to historicol
ond culturcl vqriotion. Mqrxist opprooches proceed from the
ossumption thot literoture 'mirrors' reolity; howevel this theory
is considered simplistic qnd misleoding nowodoys. The question
of how we qre to describe the relotionship befiveen literory texts
qnd their contexts remoins lorgely unsolved'
When ottempting to ascertoin the relotionship between o literary Problems of
text ond its historicol context, we encounter three moin problems contextuali-
(see PrnruNs 1992: chapter 6). Firstly, the number of contexts thot sation
present themselves for considerqtion is potentiolly boundless (for
exomple, political, sociol, economic, culturol ond literory). Sec-
ondly, the selection of porticulor qspects of the socio-culturol con-
[t problems of Literary Historiography ll: Periodization and Contextualisation 159
 text for considerqtion, ond the neglect of others, will olwoys be
Y ing closs), ond minority literotures, qs well os the more common
hqrd to iustiff. Thirdly, it is olso extremely difficult to prove the
f significonce of o porticulor context for chonges within the literory
sphere. It moy, for instonce, be immediotely obvious that the clo-
sure of theotres by the Puriton porlioment in 1642 ond the censor-
ship of ploys (known os the 'Theotre Licensing Act' (1737)) hqd
serious consequences for English dromo, qs these meosures qlmost
resulted in the complete demise of the theotre. It is considerobly
more difficult, however, to qssess the relevonce of other contextuql
ospects that frequently feoture in literory histories (for exomple,
the reign of monorchs or currents in the history of ort or of ideos).
Functions Ànother issue reloting to contextuolisotion, which is of consider-
oble importonce for culturql history, is the question of the func-
tions performed by porticulor genres ond works within individuql
periods. Historicolly, these hove proved diverse: whereos courtly
poetry, for exomple, moinly serves to offer on ideqlised represen-
totion of porticulor volues ond behoviourol codes, English poetry
from the First qnd Second World Wqrs functions primorily os on
orgon of propogondo or o medium for criticism of the meoning-
lessness of wqr. English ond Americon literoture from the LSth qnd
19th centuries, on the other hond, primorily fulfils morol ond
didoctic functions, with the oim of educating ond edifying the
reoding public. Mony Ìiterory works hqve qlso served qs a medium
for the construction of English ond Americon nqtionql identity.
ffi Literary Historiography: Approaches and Forms
Literary Rother thon representing o definitive literory-historicol'reolity',
histories then, literory historions construct the model they consider the
rather than most plousible, ond consistent with the literoture from the period
literary under considerotion, on the bosis of the texts selected for inclusion
history ond their own preferred theories, concepts ond literory criterio.
The model produced by literory histories is determined, firstly, by
the object (for exomple, the porticulor genre or period), ond the
oreos of the literory system token into considerotion (for exomple,
Iiterory production or reception, the book mqrket or relotions
between porticulor texts qnd contexts). In oddition, literory histo-
ries con differ considerobly in terms of their theoreticol ond meth-
odologicol premises.
Text-orien- À preliminory ottempt to cotegorise the diverse opprooches ond
ted vs. con- forms found in literory histories cqn be mode on the bosis of their
text-orien- subject-motter. Histories of literoture con focus on the history of o
ted literary genre, the presentotion of o period ond of single 'currents', 'schools',
histories sociol closses (for exomple, the history of the literoture of the work-
160@l English and American Literary History: Terminology and Periodization
/
histories of the literoture of o nqtion or region. A further distinc-
tion cqn be mode between predominontly intrinsic, text-oriented
ond predominontly extrinsic, context-oriented approoches. The
lotter con be primorily production-oriented or primorily recep-
ûon-oriented, or cc¡n encompc¡ss the entire literory system. There
ore, in the final onolysis, os mony forms of literory historiogrophy
os there ore theoreticol approoches (see chopter 2).
Thonks to the diversity of possible themqtic ond theoreticol Plurality of
opprooches, literory historiogrophy con toke o wide voriety of forms
forms: "Iús major modes have been Hegelian, naturalist, positivist,
geistesgeschichtlich, Marxist, formalist, sociological and, paradoxi-
cally, postmodern. 1...1 The genre fliterory history] includes works on
the literature of natíons, periods, traditions, schools, regions, social
classes, political movements, ethnic groups, women, and gays, and
these studies may foreground the genesis or production of texts, their
effect on society or on subsequent literature, their reception, or aII these
moments synthetically." (PenxrNs 1992: l)
trom o diqchronic perspective, interpretotions of the noture ond Changes
role of literory historiogrophy, os well qs its opprooches ond mod- in literary
els, hove been subject to frequent ond fundomentol chonge. The historio-
model of on encyclopoedic representation of o notionol literoture graphy
in its entirety, which oimed to shed light on the notionql identity
of o people, has been reploced by o lorge number of diverse forms
of literory historiography. Although they fell into disfovour some
time qgo os q result of the populority of the close reoding of texts
proctised by proponents of the New Criticism ond of the loter theo-
rization ofliterory studies, literory histories hove recently experi-
enced something of o Renqissqnce, thonks to Han¡ro WerNRrcH's
advococy ofo'literory history ofthe reqder'. Reception oesthetics
ond history of reception, which endow the reqder with the stqtus
of q cruciol 'foctor within o new history of literoture' ond empha-
sise the diologic chorocter of the relotionship between literoture
ond reoder, hove sporked o renewed interest in literory-historicol
reseorch which continues todoy. Of porticulor importonce to this
process wos the reolisation thot literory history is o corgplex com-
municotion process, which cqnnot outomaticqlly be equoted with
the history of literory texts.
In qddition to the opproqches described obove, which focus pri- New
morily on the literory texts themselves (i. e., on the symbolic sys- approaches
tem ofliterqture), on the sociol context or on the sociol system of in literary
Iiteroture, o number of other innovqtive opprooches exist. Com- historio-
mon to oll these opprooches is o more explicit theoreticol foundo- graphy
tion, ond o focus on the interoction between literqture ond its
socio-culturql context. The sociol historiogrophy of literoture, for
@ Literary Historiography: Approaches and Forms 161
 _Y
exomple, hos established itself os on importont method of study-
649- Common- Andrew Marvell,
ing literory history from o vontoge-point thot goes beyond o text- 1

I
intrinsic perspective. It focuses primorily on extro-textuol aspects 1 660 wealth and lohn Milton
Protectorate
Iike sociol structures (for exomple, differences between sociql
closses), qnd the woy in which they qre themotised within literq- 1660- Restoration Samuel Butler, William Congreve, Aphra Behn,
ture. Discourse onolyticol, feminist, gender-oriented ond new his- 1700 John Dryden, John Dryden, John Bunyan
toricol forms of literory historiogrophy, os well os qpprooches Earl of Rochester William Wycherley
reloted to the history of mentolities ond of the function of literq- 1700- Neoclassi- Thomas Cray, Susanna Centlivre, Daniel Defoe,
ture, ore olso growing in populority. These opproqches no longer 1780 cism and Samuel Johnson, lohn Cay, Henry Fielding,
regord literoture os the mirror of reolity or of o society. They focus Enlighten- Alexander Pope, Oliver Coldsmith, Samuel Richardson,
insteod on the odoptotion of sociol discourses ond systems of ment Lady Wortley Eliza Haywood, Laurence Sterne
knowledge within literoture, os well os investigoting the histori- Montagu Richard B. Sheridan
colÌy vorioble functions thqt cqn be performed by literoture. Àn 1780- Roman- William Blake, Sentimentol Novel,
illustrotive exomple of such approoches is WINTRI¿u Flucr's bril- 1837 ticism Ceorge C. Byron, Gothic Novel, lane
liont book Das kulturelle Imaginöre (1997), o pioneering 'history of Samuel T. Cole- Austen, Edward
the function of the Americon novel' ftom I79O to 1900, which ridge, Percy B. Bulwer-Lytton, Maria
demonstrqtes whot cqn be ochieved when literqry historiogrophy Shelley, William Edgeworth, Walter
is olso open to culturql ond historicol insights' Wordsworth Scott,
Mary Shelley
Barrett
ffi Periods in English and American Literary H¡story 1837-
1901
Victorian
era
Elizabeth
Browning, Robert
Henry Arthur Jones, Charlotte Brontë,
Arthur Wing Pinero, Charles Dickens,

The following period designotions, which recur in vqriont forms

Browning, Cerard Oscar Wilde Ceorge Eliot,
Periodiza- M. Hopkins, Chris- Elizabeth Caskell,
throughout litèrory histories, should suffice for o preliminory
tion in Eng- tina Rossetti, Dante Robert L. Stevenson,
overview. This period structure supplies students with o useful
lish and lrish Cabriel Rossetti, William M.Thackeray,
fromework for their studies: on overorching system within which
literature Alfred Tennyson AnthonY TrolloPe
individuol courses, outhors qnd works con be situoted. The follow-
ing toble offers qn obbrevioted, schemotic overview of the devel- 1901- Edwardian Thomas Hardy lohn Calsworthy, Arnold Bennett,
opment of English ond Irish literature. The following list of genres 1914 era C. B. Shaw, loseph Conrad,
ond outhors is, of course, highly selective; it is not intended os q John M. Synge, E. M. Forster,
conon, but to offer preliminory orientotion. William B. Yeats H.C. Wells
1914- Modernism W. H. Auden, Noël Coward, Elizabeth Bowen,
Genres 1945 T. S. Eliot, Sean O'Casey, lvy Compton-Burnett,
Dates PerÍods Authors of Authors of Authors of Siegfried Sassoon, J. B. Priestley lames Ioyce,
lyric texts dramatic texts norrative texts Stevie Smith, D. H. Lawrence,
Dylan Thomas Virginia Woolf
s00- Old English The Dreom of the Beowulf
'I
150 literature Rood 1945- Post-war era Eavan Boland, Samuel BecketV Peter Ackroyd, lohn
2004 Wendy Cope, Caryl Churchill, Banville, Pat Barker,
1 150- Middle Brut Mystery Plays, Ceoffrey Chaucer,
D.J. Enright, Sarah Daniels, Pam A. S. Byatt, Angela
1 500 English Morality PIays Thomas Malory
Seamus Heaney, Cems, Sarah Kane, Carter, John Fowles,
literature (Everyman)
Ted Hughes, lohn Osborne, Kazuo lshiguro, Pene-
500- Renaissance John Donne, Ben lonson, Thomas Morus,
1
Philip Larkin, Louise Page, Harold lope Lively, David
649 Sir Philip Sidney, Christopher Sir Philip Sidney
1
Paul Muldoon, Pinter, Peter Shaffer, Lodge, lan McEwan,
Edmund Spenser Marlowe, William R. S. Thomas Tom Stoppard, Tim- Craham Swift,
Shakespeare berlake Wertenbaker Jeanette Winterson
Table 7.1 .: Periods in Englísh ond Irish literory history

162lllñrtn English and American Literary History: Terminology and Periodization fl Periods in English and American Literary History 1.63
 Permeable Those beginning o course in literory studies should be mode qware
Genres
period of two things from the outset, however: firstly, it should be imrne_
boundaries diotely obvious thot these periods connot be regorded os discrete. Dotes Periods Authors of Authors of Authors of
cleorly differentioble units. The boundories between the periods lyric texts dramatîc texts norrot¡ve texts
ore permeable. The Victorion ond Modernist eros, for exomple, 17rh - EarlY Anne Bradstreet, lohn Cotton,
should not be regorded os two opposing periods, seporoted by q mid-18th (colonial) Ebenezer Cooke, Thomas Morton
cleor coesurq; we should rqther regord the period from 1880 to centurY literature Edward Taylor
L92O as on oge of tronsition, in which groduol chonges took ploce
Vl¡d-1 8th Literature Connecticut Wits James Nelson Charles B. Brown,
within society ond literoture. (loel Barlow, William
-early of the early Barker, James F. Cooper,
The second foctor of which we should be owqre is thqt individuql 19th republic Timothy Dwight, Dunlap, lohn Washington lrving,
Synchronic
periods of literory production con comprise considerqble syn- centurY lohn Trumbull), Howard Payne, Catharine Sedgwick
variation
7 chronic voriotion ond diverse forms of diochronic chonge. \\rs William C. Bryant, Richard Penn Smith,
and dia-
therefore generolly subdivide periods into further units: in the cose Lydia H. Sigourney Royall Tyler
chronic
change of the Renoissonce period, for exomple, we drow on the nomes of 1 830- Romanti- Emily Dickinson, Dion Boucicault, Alice Cary, Natha-
ruling dynosties ond individuol monqrchs to form internql period 't860 cism and Ralph W. Emerson, William W. Brown, niel Hawthorne,
designations such crs'EarlyTudor','Elizobethon Age' (1558-1603), American Henry W. Long- Anna C. Mowatt Herman Melville,
']ocobeon Age'(1603-1 625), and 'Coroline Age' (1625-1649). As Renaissance fellow, Edgar Allan Poe,
the synchronic ond diqchronic voriotion is ot leost os greot in Walt Wh¡tman, Harriet Beecher
other periods (for exomple, in the Neoclqssicol ond Enlightenment lohn C. Whittier Stowe
eros, or in the Victoriqn ero), these ore olso frequently subdivided. 1 86s- Realism Charles W.
The lost decode of the 1 9th century, for instance, is often set opqrt 1910 Chesnutt, William
os 'the nineties' or 'fin de siécle', since qt this time dissotisfoction Dean Howells,
with Victoriqn literory forms os well os with oesthetic ond morql Mark Twain,
norms ond volues wos widespreod. The period designotions Edith Wharton
selected often emphosise porticulor oesthetic trends, to the disod-
1893- Naturalism Stephen Crane,
vûntoge of other developments. Frank Norris,
191 4
Periodi- Historions of Americon literqture proceed in q similor monne! lack London
zation in although with other systems of clqssificotion ond period designo- 1910- Modernism E. E. Cummings, Susan Claspell, Djuna Barnes,
American tions. In the obsence of ruling dynosties ond regencies, other cri- 1945 H. D., Robert Frost, Lillian Hellman, William Faulkner,
literature terio qre used in order to divide Americon literory history into Langston Hughes, Arthur Miller, F. Scott Fitzgerald,
periods. Politicol events ond oesthetic trends, in porticulo¡ ore Marianne Moore, Eugene O'Neill, Ernest Hemingway,
employed os period designotions; certoin influentiol culturol-his- Ezra Pound, Wallace Elmer Rice, Katherine Anne
toricol fqctors ore olso indispensoble for on understonding of the Stevens, William Thornton Wilder, Porter,
history of Àmericon literqture ond the woy it is tought in mony CarlosWilliams TennesseeWilliams Certrude Stein
universities. The following table offers o simplified, schemotic rep- 1945- Post- Alurista, Edward Albee- Paul Auster,
resentotion of the vorious periods in Americqn literory history. 2004 modernism David H. Hwang, Saul Bellow,
John Berryman,
Agoin, this list is highly selective, merely intending to offer pre- to present Charles Bukowski, LeRoi Jones, David Louise Erdrich,
liminory orientotion. day Susan Howe, Mamet, Marsha Toni Morrison,
Denise Levertov Norman, David Vladimir Nabokov
Audre Lorde, Rabe, Sam Shepard, Joyce Carol Oates,
Robert Lowell, Wendy Wasserstein, Philip Roth,
Sylvia Plath, Lanford Wilson, l. D. Salinger,
Adrienne Rich Robert Wilson lohn Updike
Tqble 7.2.: Periods in Americon literary history

164 ?r''rrà English and Amerícan Literary H¡story: Terminology and Periodization fl Periods in English and American Literary History 165

7
 Structure The verticol qxis in the toble represents the diochronic dimensio¡
-r
j and use of of literary history; the synchronic spectrum of literory production
(restricted in this cose to the three 'moior genres') oppeors on the
models in
literary his- horizontol oxis. Such models orgqnise outhors ond literory works
tory into synchronic Aroupings qnd diochronic sequences, ond provide
on overview of interrelotions ond overorching developments' Yet
however useful such models ore os study guides, we should tqke
core not to be blinded by their clority, or to mistoke the model for
the reolity of literory developments. Such representotions infuse
the period divisions with on order ond clority thot they noturolly
never hod in reolitY.
Further Those who wish to inform themselves in greoter depth obout the
reading on history of English literqture should consult one of the literory his-
English tories listed in the oppendix. The best overview in Germon is Eng-
Iische Literaturgeschichte (1991.12OI2), edited by HnNs ulRtcH sEeneR,
literary
history which qlso contoins 0 very informotive chopter qbout new litero-
tures in the English longuoge. Toking the concept of modernisq-
tion os its guiding premise, this present volume is oble to combine
sociol histãry ond the history of ideos productively, ond to shed
light on the functionql relotionship between literory texts qnd
their sociql ond icìeologicql contexts. In oddition, the concept of
modernisotion serves to focus ûttention on certoin "modernising
forces" such qs rationalisation, secularisation, the formation of nation
" cipline to q.ll forms of literature, to literatures in English ílom aII over
states, the industrial revolution, democratisation, a differentiation of
frinctions within society and culture, individualisation" (StrorR
l99Ll2Ot2: ix). The work effectively demonstrotes thot there is no
meaning inherent in the development of English literoture; meon-
ing is rother creoted by those who write literory histories, who toke
po'rticulor opprooches (for exomple, the theory of modernisotion)'
À pioneering study of the history of English literoture from the
peispective of gender studies is INe Sc'aeext's Englische Literatur-
þrtrnirnt"t Einã neue Darstellung aus der Sicht der Geschlechterfor-
ichung (Lgg7), which more thon supplements troditionol literory
histor'íes. Eine andere Geschichte der englischen Literatur: Epochen,
Cattungen und Teilgebiete im Überblick(ed, Nür.nuNc 1996 I 2OO4) otrers
on overview of the most importont genres in eoch of the moior
periods, ond provides o useful guideline for independent study' Of
ihe greot number of literory histories written in English, we recom-
in English: Britain and Ire-
-uñd fh" Routledge History of Literature ond |ouN McRar'
Iand (1997 1200L), edited by RoNal-o C.aRr¡R
Further By for the best overview of Americon literory history in Germon
reading on cán be found in Amerikanische Literaturgeschichte (1997 l2O1'O)'
American edited by Huernr ZePr, which qlso tokes Cqnodion literqture into
literary consideiotion. Agoin, the process of modernisation serves particu-
history lorly well os the centrol recurring theme ond principle of orgoniso-
166@l -/ English and American Literary History: Terminology and Periodization
tion, os it cqn encompqss such fundomentol elements of Americon
studies os the dreom of the 'New World', the seculorisotion of
Puriton troditions qnd the ideol of the self-mode mon, os well os
the mythology of the frontier. Ihe Columbia Líterary History of the
United States (1988), edited by EvoRv EI-lrort, con olso be recom-
mended. The volume A History of British, Irish and American Lítera.-
ture (2OO312O10) by Peren WacN¡R provides o good introduction to
Americon os well os British literory history.
ffi From English/Amer¡can Literary Studies
to the Cultural Study of Literatures ¡n English
The fundqmentql revision qnd extension of the 'conon of moster- Recent
pieces'is only one ospect ofa generol broodening offocus, which develop-
hos quite rightly been described qs on 'explosion of the reseorch ments in
domqin' in English literory studies (BnorcH 1995: 81). Whether we English
welcome the processes of internql differentiotion ond specioliso- literary
tion within English qnd Americon literory studies, or regord them studies
with scepticism, depends primorily on our own personc¡l perspec-
tive. "This development can be summarised as a de-canonisation, a
decentralísation and a de-Iiterarisation of English literary studies. How-
ever, it can also be regarded positívely as a process of opening the dis-
the world, and to díverse kinds of cultural phenomenc. " (lbid.)
The focus on English ond Americon literoture which wos predom- lnclusion
inont until foirly recently is now untenoble, thonks to the develop- of new
ment of o new World Literoture in the English longuoge. The literatures
voices which - with good reoson - odvocote the inclusion of Ànglo- in English
phone literotures from outside Great Britain ond North Americo
hove been growing steodily in number for some time. English
studies hqve now shifted their focus to include those oreos thqt
were previously subsumed under the title 'Commonweolth Litero-
ture', ond ore now known os 'new literotures of the English lon-
guoge', 'literotures in English'or simply 'New English Literotures'.
These cotegories encomposs oll Anglophone literoture¡ produced
in the former British colonies of Cqnodq, Austrolio ond New -
Zeolond, os well os in Africo, Indio, South-Eost Asio ond the
Coribbeon, which oÌso enjoy consideroble populority in Greot
Britqin. In o development onologous to thqt which took ploce
some decqdes ogo in Americon literory studies, Irish, Conadion,
Àustrolion, New Zeolond, Ànglo-Africon ond Indo-English litero-
tures hqve oll become flourishing ond exponding oreos of
reseorch.
@ From English/American Literary Studies to the Cultural Study of Literatures in English 167
 -l
Àmong the most polpoble legocies of the British Empire ond
Multicultu-
migrotion resulting from decolonisotion is the increosingly mul-
ralism and
7 regional ticulturol chorqcter of both English society qnd contemporqry
conscious- Iiterotures in English. This development hos estqblished multicuì-
ness turolism os q dominqnt theme in o greot deol of prose writing ond
drqmq. However, there qre other reqsons why we should nowq-
doys be wory of referring to 'one' English literoture. For some de-
codes now, regionol consciousness hos progressively been leoving
its imprint on literoture, o tendency thot con be observed equolly
in the literoture of Scotlûnd, Woles ond Northern lrelond. In the
United Stotes, increosing ottention hos been devoted to Notive
Americon, Afro-Americon, |ewish-Americon, Asion-Americqn
r ond Chicqno literoture.
The progressive internotionolisotion of English literoture is qlso
lnternatio-
due to the fqct that mony quthors from former coloniol territories
nalisation
of English now hqve q well-estoblished stotus within the English literory
literature sphere os well qs within q new kind of 'world literoture'. Authors
such os N¡orxe GoRotvtR, Setven RusHorc ond WoLE SovrNxe (to
nome just o few of the most significont) hove been responsible for
mony importont developments in 'English' literoture over the lqst
few decodes. The Nobel Prize wos oworded in 2001 to Trinidodiqn
writer V. S Narpeut ond in 2003 to the South Africon ]. M. Corrzre .
The foct thot, since 1980, such nomes os RusHon, THoves KeNreLLy,
CoetzEe, Kent Hur-vr, PereR CaRev, BrN OrRr, MlcH¡er- ONuaer¡e,
Roooy Dovre, PerRtcK McCase, |arr,trs KrlvaN, AnuNoHalr Rov, M.a.R-
caRer ArwooD, YauN MeRler- qnd DBC PreRRe, not one of whom is
English, hove oppeored omong the rqnks of the winners of the
Booker Prize (the most prestigious English prize for literoture), is
qlso indicqtive of the internotionqlisotion of 'English' literoture.
lnternal dif- English ond Americon studies hqve reqcted to these new trends
ferentiation with increosing internol differentiotion qnd the development of
and intra- introdisciplinory compqrotive studies. The lotter opprooch focuses
disciplinary on literotures in English from outside Greot Britqin ond Americo,
comparative ond on relotions between new literotures in English ond the lit-
studies eroture of the former 'mother country'. Although they differ in
mony wûys, new literotures in English hove two things in com-
mon: they beor the imprint of interoction between the notive or
indigenous trodition of the former colonies on the one hond qnd
the Ànglo-Europeqn trodition on the other hond, ond they olso
beqr witness to o complex and chorged interploy with British
literoture: "The old dialogue betvveen coloniser and colonised [has]
been succeeded by a polylogue between aII parties, whích manifests
itself ín the form of a multicultural intertextual patchwork." (PnttssNnz
1995: 188)
168 rrltilTtñt Ënglish and American Literary History: Terminology and Periodization
-/
This presents introdisciplinory comporotive opprooches with o lssues
number of new ond fruitful ongles of enquiry. Comporotive stud- in intra-
ies ore concerned with such issues os the following: "the fr.tnctions disciplinary
and achievements of literary natíonalist movements; strategies of nam- comparative
ing and mapping; the construction of identitíes; literary regíonalisms; studies
functions of literary quests; conflicts befuveen the 'old' and the 'new'
worlds; forms and manifestations of utopian ideologies; the modifica-
üon of ideologies of the old world; effects of multiculturalism on per-
sonol ond collective quests for ídentity 1...1; Iiterary images of Great
Britaín and Europe; European ímages of the Other, for example, in travel
Iiterature; the function of the author; founding myths and myths of
conquest [...]. " (lbid.: 191)
As this Ìist demonstrotes, introdisciplinory comporotive studies New areas
ore not merely concerned with the extension of the discipline to of study
include other notionol literotures in the English longuoge; the
comporotive opprooch olso opens up o wide voriety of new oreqs
of study. In oddition, the new opprooch does not merely involve
the opplicotion of traditionql methods to literotures in Engìish;
the new objects of study roise new questions, which in turn neces-
sitote the exponsion of the existing methodologicol repertoire.
Ihe shift of ottention onto new oreos of study hos been occompo- Postcolonial
nied by the oppeqronce ofnew opprooches in the theoreticql field, literary
which ore generolly subsumed under the title 'postcoÌoniol theory críticism
ond criticism'. Àmong the new sublects ond modes of writing with
which postcoloniql criticism is concerned ore the criticol study of
the legocy of British coloniolism, the problemotisotion of the trq-
ditionolly high volue ploced on the British 'centre' os opposed to
the coloniol 'periphery', qnd the 'rewriting' of vorious clossics of
English literoture. Works such os SnarcspeeRr's The Tempest (161 1),
DeNrer Drroe's Robinson Crusoe (1,71,9) ond |oseru CoNRao's Heorf
of Darkness (1899) hove proved porticulorly foscinoting to outhors
from the former colonies, ond inspired o series of intertextuol
odoptotions.
The close diologic relotionship between mony works from the lntertextual
'new' literotures in English ond the 'clossics' of English literoture, adaptations
cleorly illustrates thqt we should not throw out the boby with the
bothwoter ond dismiss the conon of clossics olong with the impe-
riolist view of the world. The subversive potentiol of intertextuql
odoptotions such os feaN RHvs' Wide Sargasso Sea (1966), Sav
SrwoN's Moses Ascending Q97 5) or Prnn Cnxeu's lack Maggs (1997) ,
eqch of which is o rewriting of o fqmous novel from English lit-
eroture from o postcoloniol perspective - CHaRlorre BnourË's /ane
Eyre (1847), Deroe's Robinson Crusoe qnd CHaRI-es DIcreNs' Greof
Expectations (1861) - is only obvious ogoinst the background of
on ocquointonce with the source texts, the knowledge of the lqtter
@ from English/American Literary Studies to the Cultural Study of Literatures in English 169
 --r
being o prerequisite for ony ottempt ot getting to grips with the
former.
V of the literory troditions to which they oÌlude.
Omni- Probably the best exomple of the omnipresence of the culturql
heritoge in contemporory literotures in English qnd cultures is the
presence of
importonce of o fomiliority with the works of WIlu¡v SHAKESIEARE
Shakespeare
(who else?), without which consideroble ports of English-speokinq
culture, ond even populor culture, ore not intelligible. The filrñ
Shakespeare in Love (1998), whose screenploy wqs written by the
renowned English dramotist Tov Sropp¡nu, qnd which won seven
Oscors, is the most recent example of the centrolity of SHarespEÀRE's
drqmos to the culturol memory. The film is composed of o dense
tissue of intertextuol ollusions to his ploys. In qddition to theqtri-
col performonces of SnerespenRt's works, which con be seen oÌl over
the world, !.:,is æuvre hos qlso been odopted, or ot leqst olluded to,
in o plethoro of operos qnd musicols, in the visuql orts ond, more
recently, in films. There hos qlso been o voriety of odoptotions ond
literory reworkings (porticulorly of the ploys Romeo and luliet and
Hamlet), two fomous exomples being LtoNmD BeRNStetN's musicol
West Side Story $956) qnd Tov SroppenD's drqmo Rosencrantz and
Cuildenstern Are Dead (1966).
A thorough fomiliarity with English ond Americon literory history
Novels as
is therefore necessory both for on understqnding of the New lit-
'echo cham-
erotures in English, ond for the study of contemporory English and
bers'of
Àmericon literoture. Those who ore interested primorily in con-
cultural
temporory literoture qnd who ore therefore dubious qbout the use
history
or importonce of o fomiliority with literory history will soon be
convinced otherwise when they leorn thot mony 2Oth-century
works - in porticulqr, the literoture of the so-colled 'postmodernist'
period - ore only occessible if one is fomilior with q brood his-
toricol spectrum of literory works. This is so primorily becouse
mony modernist ond postmodernist works comprise such o dense
network of intertextuol ollusions to the clossics thot their potentiol
of meoning con only be reolised if the reoder is fqmilior with these
texts ond the representotionol techniques thqt qre porodied by the
modern or postmodern text. Prime exomples of such works qre
faves fovce's centenniol novel Uþsses (1.922), VtRctNt¡ Woorr's fic-
tionol biogrophy Orlando: A Biography (L928), THov¡s PYNCr¡oN's
Gravity's Rainbow (I973), Pertn ÀcrRovD's novels Chatterton (1987)
and English Music (1992) ond |ullau BeRNes' England, England
(1998). Thonks to their numerous intertextuql ollusions, such nov-
els con be regorded qs literory'echo chombers', in which the voices
of English qnd Americon culturql history reverberqte. These nov-
els con naturolly be reod ond enioyed without on understonding
of the ollusions; however, for those who wish to corry out tn qco-
demic onalysis of their qesthetic innovotions qnd to obtoin on
1,7O@-J English and American Literary History: Terminology and Periodization
x¡derstonding of the culturol functions of these innovotions,
i
there is no olternqtive to the ocquisition of o thorough knowledge
precisely this presence of the post in contemporory literoture illus- Use of
trotes the importonce of ocquiring the broodest possible fomilior- literary-
ity with literory history before deciding to speciolise in one or more historical
of the new literotures in English, or in o porticulor period of Eng- knowledge
lish or Americon literature. To negiect the cqnon and focus on one
of the new literatures in English or on contemporûry English or
Americon literoture is therefore to overlook the foct thot poirings
such ûs literory history ond contemporory literoture, or the conon
ond new literotures in English, do not represent olternqtives. As
these poirs ore interdependent, ond connot be considered in isolo-
tion, fûmiliority with both is o necessity in order fully to under-
stond the texts ond to ochieve qll-round competence in English
ond Americon studies.
The oreos of study relating to postcoloniol criticism qnd to the Literary
intertextuol ond intermediol adoptotion of clossics of English lit- history and
erature ore just two exomples of domoins where English ond cultural
Americon studies overlop with culturol studies. Further exomples studies
of the increosing offiliotion of English ond Americon studies with
medio qnd culturol studies qre the growth of interest in the history
of forms of communicotion, of the medio qnd of intermediolity
(see chapter 6), os well os the emergence of new qpprooches to
literoture from the perspective of culturol history qnd the growth
of interest in the relotionship between literoture and culturol phe-
nomeno such os notionql identity ond olterity, encounters with
the Other ond collective memory (for on excellent introduction to
culturol studies, see SouveR 2003).
A porticulorly foscinoting ond informotive ospect of the study of Cultural
the history of literotures in English is the light it sheds on culturol memory,
memory, on conceptions of notionol identity (for exomple, 'Eng- Englishness
lishness' ond 'Àmericonness'), os well qs on imoges of the home- and Ameri-
lond ond of other notions. These culturoì issues ore of enormous canness
imporlonce in the current oge of Europeonisotion ond globoliso-
tion; they ore most effectively reseorched through thé lens of o
form of literory history with strong offiliotions to culturol studies.
This is one of the mony reosons for the continuing oppeol of Eng-
Iish ond Americon literory ond culturol studies todoy.
From English/American Literary Studies to the Cultural Study of Literatures in English 171
f,l
 Y I
Further EeeRu¡no KRr,urzeR's chopter on "Die Neuen Englischsprochigen
reading Literoturen" in the volum e Englische Literaturgeschichte (199 | I 2A12, Bibliography
7 ed. Smeen) is highly recommended os on introduction to Iiterqtures
on other lThe books recommended in the poro-
literatures in English. The chopter hos been extended considerobly for the qrophs giving informotion on furlher reo-
in English third edition of the volume (note thot in the first edition it oppeqred áing, olong with severol other wo¡ks which
under the significontly different chopter heoding "Common- ûre recommended for frequent use, ore
weqlth-Literotur"), ond offers introductory informotion on new ¡¡orked with o o.)
outhors ond literqture for the reoder with oppetite. The voìume
Companion to the New Líteratures in English, edited by Cnnlsra fau- 1. lntroductions and Reference Works
soHN, is olso very useful, contoining excellent chopters, for exom-
ple on Indion ond South Africon literoture. There ore olso books ABRAMs, M.H. (ed.): A Glossary of Literary
devoted to eoch of the diverse literotures in English; MARIA ond Ierms. 10th ed., Boston, MA: Wodsworth,
Cengoge Leorning 2O1l 11957).
M¡,Rrrru Löscnxrcc's work Eine kurze Geschichte der kanad-ischen Lit-
ANz, Thomos (ed.): Handbuch Literaturwis-
eratur (20OI) is porticulorly worthy of mention. À survey of these senschaft.YoI. 1: Gegenstönde und Grund-
works cqn be found in the comprehensive bibliogrophy in the begriffe. Stg., Weimor: Metz\er 2OO7a.
oppendix to the present volume. g ARNoLD, Heinz Ludwig & Heinrich Dtrt-
nrNc (eds.): Grundzüge der Literaturwissen-
schaft.9tlr ed., Munich: dtv 2011 179961.
ô RudoÌf, Hildegord Kuesren & Mortin
BECK,
Kumtn: Terminologie der Literaturwissen-
schaft. Ein Handbuch fl)r das Anglistiks-
tudium. Ismoning: Hueber 1998.
BrncH, Dinoh (ed.) : The O xford Companion to
English Literature. 7th ed., Oxford: OUP
2009 [1e8s].
BóKER, Uwe & Christoph Houswrrscsr¡
(eds.): Einfíthrung in die Anglistik und Ame-
rikanistik. Munich: Beck 2000.
BoRcHMÈyER, Dieter & Viktor Zvrc,lò (eds.):
Moderne Literatur in Grundbegriffen. 2nd,
rev. ed., Tübingen: Niemeyer 1994
[re87l.
BRACKERT, Helmut & |örn Srücrneru (eds.):
Literaturwissenschaft . Ein Grundkurs. Bth,
rev. ed., Reinbek: Rowohlt 2OO4 11,9921.
BRENNER, Peter J.: Das Problem der Interpreta-
tion. Eine Einfuhrung in die Grundlagen
der Literaturwissenschaft . Tübingen: Nie-
meyer 1998.
BnocaN, T.V.F. (ed.): The New Princeton Hand-
book of Poetic Terms. Princeton, N|:
Princeton University Press 1994.
BRorcH, Uìrich & Monfred Prsnn (eds.): In-
anglisti-
terte xtualitöt. F ormen, Funktionen,
sche Fallstudien. Tùbingen: Niemeyer
1985.
DReusre, Morgoret (ed.): Ihe Oxford Com-
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DnescneR, Horst W.: Lexikon der englischen
Líteratur. Stg.: Kröner 1979.
EtcHrn, Thomos & Volker WrrveNN (eds.):
172 lfílõfillr - / English and American Literary History: Terminology and Periodization
/
I
Arbeitsbuch Literaturwissenschaft. 3rd, rev.
ed., Poderborn: Schöningh 2OlO 11996l.
S ENGLER, Bernd & Kurl Mülr-rn (eds.):
Metzler Lexikon Amerikanischer Autoren.
Stg., Weimor: Metzler 2000.
S FÀBrÀN, Bernhord (ed.): Ëin anglistischer
Grundkurs. Einfuhrung ín díe Literaturwis-
senschaft. 9th, rev. ed., Bln.: Schmidt
2OO4 Ír97rl.
FowLER, Àlostoir: Kinds of Literature. An ln-
troductíon to the Theory of Genres and
Modes. Oxford: Clorendon 1982.
Fnrcr<r, Horold & Rüdiger ZvvNen. Einübung
in die Literaturwissenschaft. Parodieren geht
über Studieren.Sth, rev. ed., Poderborn:
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Fnrcxr, Horold et ol. (eds.): Reallexikon der
Deutschen Literaturwissenschaft. Yol 2:
H-O. Neubeorbeitung des Reallexikons der
Deutschen Literaturgeschíchfe. 3rd, rev.
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[2000]. [Vol. 1 cf. W¡ruen 1.997; Yol. 3 cf .
Müllen 20031
Gnares, Herbert: "Literoturinterpretûtion
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GReees, Herberl: Fiktion - I mitation- Asthetik.
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Hevpren, Klous W.: Gattungstheorie. Munich:
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gHoRNUNc, Alfred: Lexikon amerikanische
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ern Longuoge Àssociotion of Americo
2OO9
lr977l.
Mo¿NNrcuorr, Burkhord & Eckhordt, Mtven-
KRENTLËR: Arbeit stechniken Literaturwissen-
schaft. 16th, rev. ed., Munich: Fink 2013
[1ee0].
ô SoMMER, Roy: Schreibkompetenzen. Erfolg-
reich wíssenschaftlich schreiben. Stg.: Klett
2OO9 12006l.
184 eE@
SreNoop, Ewald & Motthios L. G. MEyER:
Form der wissenschafllichen Ärbeíf. l8th.
D¡e
rev. ed., Wiesboden: Quelle & Msysr
2008 [19s9].
12. Useful Websites
A Guide to the Theory of Literary Cenres:
Poems, Plays, and Prose (http://www.
uni-koeln.de/-omeO2/ppp.htm)
Basics of English Studies: An introductory
course for students of literary studies
in Englísh (http://www.onglistik.
uni-freiburg.de/intronet/englishbosics/
Home0l.htm)
Bibliomania: Free Online Literature and Study
(http://www.bibliomonio.com)
Guides.
British Council Literature (http://literoture.
britishcouncil.org/)
Eínladung zur Literaturwissenschaft: Ein Ver-
tiefungsprogramm zum Selbststudium
(http://www.un!due.de/einlodung/)
Literary Resources on the Neú (http://
ondromedo.rutgers.edu/-llynch/Lit/)
(http://cobolt.long.
The English Brow ser
osoko-u.oc. jpl-krkvls/newsstond.html)
The Internet Movie Database (http://www.
imdb.com)
(http://
The Living Handbook of Narratology
www.lhn.uni-hamburg.de/)
Voice of the Shuttle (l:lfIp:l lvos.ucsb.edu)
Informotion on further Internet oddresses
con be found in:
FrrovaNN, Doris (ed.): Anglistik im Internet.
Heidelberg: Winter 1.997.
KneNz, Dieter & Poul Tr¿otvÀNN: lnfernef
fr)r Anglisten: Eine praxisorientierte Ëin-
fr)hrung. Dormstodt: Primus/WBG 2000.
Glossary
(with contiibutions by Goby Àllroth, Dorothee Birke, Kloudio Seibel, Annegret
Stegmann ond Carolo SurkomP)
TA
Absolute nqture of dramotic texts (Äbso-
lutheit dramatischer Texte): in controst to
norrotive texts, dromotic texts do not com-
prise o medioting communicotion system;
introtextuol communicotion is restricted to
the e diegetic level ofthe + chorocters (for
exceptions see + epic elements in dromo).
Act (Akt): o discrete section of o dromo,
which is distinguished by o totol chonge of
+ chorocter configurotion, o long pouse, o
chonge of scene or o moior chonge in the
+ oction (b).
Àctont (Aktant): o literory + chorocte¡ re-
gorded os on ogent or functiott o¡16s + plot
(e.9. hero, helper, vilÌoin).
Àction (Handlung): (o) term thot refers in
the broodest sense to j events enocted by
+ chorocters os o result of their obilities,
needs, motivotions ond intentions; o corol-
Iory of + cho¡octer perspective; (b) term
used to describe the overoll movement of
+ events, especiolly in dromo' In the ona-
lysis of dromo, the action is subdivided into
individuol units, for exomple r oct ond
+ scene.
Aesthetic illusion (östhetische lllusion): t}re
impression conveyed to the reoder by
meons of the imitotion of perceptuol struc-
tures ond informotion thot he or she is per-
sonolly experiencing the + fictionol wo¡ld
of o dromotic or norrotive text os though
the + chorocters reolly existed ond the
+ oction reolly hoppened.
Àesthetic illusion, destruction of (lllu-
sionsdurchbrechung): ttre reduction or shot-
tering of the + oesthetic illusion in literory
texts, for exrmple, by meons of the themo-
tizotion of the + fictionolity of o work, or
by meons of + epic elements in dromo.
Ànochrony (Anachronie): the disruption of
the 'noturol' chronology when giving on
occount of the sequence of + events (r
+ floshforword); c cotegory
floshbock ond
r
reloting to the order of events.
Anolepsis (Analepse): + floshbock
Anolyticol dramo (Analytisches Drama):
form of dromo in which the -r exposition
extends throughout the entire text, ond
groduolly discloses the post events thot
hove ied to the current situation.
Àntogonist (Antagonist): the opponent of
1¡s + protogonist in norrotive ond dro-
motic texts.
Àside (Beiseife-Sprechen): in dromo, form of
monologicol speech in which the oudience
is ocquointed with the thoughts ond feel-
ings of one (or more) + chorocter(s), whilst
other chorocters ¡emoin in ignoronce (+
monologue, + soliloquy).
Àssononce (Assonanz): phonologicol +
rhetoricol figure (see toble 3.4.)
Àuthoriol narrotive situotion (auktoriale
Erzöhlsituation); oneofthe typicol i norro-
tive situotions, of which the externol per-
spective is the moin constitutive element.
The r story þ) is told by on + overt ond
individuolised norrotor, who is not port of
the no¡roted world.
Àutodiegetic nqrrator (autodiegetische
Erzöhlinstanz): + homodiegetic norrotor,
who is olso the moin + chorocte¡ ond nor-
¡otes his or her own life story.
anB
Blonk verse (Blankvers): consists of un-
rhymed iombic pentometers (r metre),
ond is used in d¡omo (Shokespeare) ond
epic (Milton) os well os in PoetrY.
Glossary 185
 TC
Coesuro (Zösur): syntoctic division which
seporotes o r
line of o poem into units of
meoning.
Conon (Kanon): corpus of texts thot ore
considered by society to be porticulorly im-
portont, ortisticolly superior or normotive.
Chqrocter conception (F igurenkon zeption) :
the composition of o + chorocter; we dif-
ferentiote between o stotic chorocter con-
ception (the chorocter's troits remoin con-
stont) ond o dynomic chorocter conception
(the chorocter's troits chonge os the oction
progresses); between o one-dimensionol
chorûcter conception (restricted, homo-
geneous selection of chorocter troits) ond o
muÌtidimensionol chorocter conception
(lorge, complex selection of chorocter troits),
r personiñco-
os well os the cotegories ef
tion, + type ond r individuol.
Chorocter configurotion (Konfiguration):
those members of the ) dramatis personae
in o dromo who o¡e present on stoge of o
porticulor moment in time.
Charqcter constellotion (Figurenkonstella-
tion): term thot refers to the relotionships
between + chorocters in dromotic qnd nor-
rotive texts ond their ottitudes towords one
onother; the chorocter constellotion is fre-
quently represented grophicolly ond serves
to differentiate ond structure the J drama-
tis personae.
Chorocter perspective (F igurenp er sp ektiv e) :
one + chorocter's view of the -r fìctionol
world, which is generolly limited to o greot-
er or lesser degree, ond is determined by the
chorocter's knowledge, psychologicol dis-
position, volues ond norms; o chorocter's
perspective generolly correlotes with his or
her r octions (o).
Chorqcterisotion (Figurencharakterisie-
rung).' umbrello term used to refer to oll the
techniques used in literory texts to evoke
mentol imoges of
+ charocters ond their
chorocteristics (see figure 4.4).
Chorocters (Figuren): the fictive ogents of
the - r oction (o) in norrotive or dromotic
186 Ílttilill
texts, who ûppeor on the level of the nor_
roted or represented -r story (b) ond qre
differentioted from one onother by meqns
of relotionships of + controsts ond cor¡e_
spondences.
Chinese-box structure: + hypo-norrotive
Chronologicol norrotion (chronologisches
Erzöhlen): the norroted i events occur in
the some sequence os in their'noturol'tem-
porol chronology (
'order).
Closed ending (geschlossenes Ende): form of
conveying informotion ot the end of norro-
tive ond dromotic texts, which, in controst
to the ; open ending, generolly comprises
the resolution of oll conflicts, conventionol
concluding ) events such os morrioge or
deoth (see olso + poetic justice) or glimpses
into the + chorocters' future.
Consciousness, modes for presenting (Be-
wusstseinsdarstellung): the woy in which -r
chorocters' thoughts, feelings, perceptions
or memories ore communicoted to the reod-
er or oudience. Whereos norrotive texts
hove o wide voriety of possibilities ot their
disposol for the presentotion of chorocters'
consciousness ond even unconscious (r
psycho-norrotion, + ¡¡s. i^¿irect discourse,
r interior monologue), the possibilities in
dromo ore restricted to the + monologue,
the + soliloquy ond the + oside. The most
importont filmic mode for presenting con-
sciousness is the r voice-over, olthough
music ond r word-imqge tropes con olso
be employed to imply or symbolise con-
sciousness ond internol processes.
Controsts ond correspondences (Kontrast-
und Korrespondenzrelationen): term thot is
used in the study of norrotive ond dromot-
ic texts os well os in fìlm onolysis to refer to
oll feotures thot unite ond differentiote be-
trveen Ð chorocters; serves to differentiote
ond structure ttre ¡ dramatis personae.
Covert norrqtor (neutrales Erzöhlmedium):
ì norrotor who recounts the + oction in o
detqched ond foctuol monner, who is not
presented os on individuolised speoker,
ond whose role is restricted to the bosic nar-
rotive functions (recounting the oction ond
supplying deictic informotion concerning
+ ploce/spoce, time ond r chorocters);
common in the + figurol norrotive situo-
tion.
Cut (Schnitt): term thot refers to the techni-
col process of editing recorded moteritl
when moking o film; the various types of
cut, bosed on diverse types of J montoge,
ronge from 'invisible editing'to the 'jump
cut', the lotter of which deliberotely drows
ottention to itself.
ND
+
Description (Beschreibung): norrotive
mode of + telling; the + norrotor ottributes
porticulor chorocteristics to + chorocters
ond obiects within the nûrroted world, ond
describes conditions ond r settings.
Deus ex machina (der Cott aus der Maschine):
term used in dromo to refer to the resolu-
tion of o conflict by meons of sudden
j events not motivoted by the + oction (b),
or through the unexpected oppeoronce of
û ì chorocter or on externol power (for
exomple, o sqint).
D iochrony/ Sy nclnr ony (D i achro nie / Sy nc hr o -
nie): tbe term'diochrony' refers to the tem-
porol chronology of + events or circum-
stonces; diochronic studies focus, for
exomple, on chonges in generic conven-
tions ( + genre). 'Synchrony', by controst,
refers to the temporol coexistence of phe-
nomeno within o porticulûrperiod of time;
o synchronic study, therefore, could focus
on the porticulor chorocteristics of o spe-
cific period.
Diologue (Dialog): exchonge between tlvo
or more + chorocters. In dromo, the dio-
logue is the motor of the + oction (lo) (r
plot); in norrotive texts it is situoted on the
+ diegetic level ond embedded in the r
norrûtor's occount of the oction. Diologue
is olso q constitutive element of the rodio
pioy ond the film.
Diegetic level (Ebene der Figuren/der frktiven
Handlung): level of + oction ond commu-
nicotion within dromotic ond norrotive
texts, which comprises oll communicotion
behveen the + chorocters.
Discourse: (in norrative texts) structure of
the + norrotive tronsmission. Complemen-
tory term to i story (b)r 'story' refers to the
'whot', 'discourse' to the 'how' of o text.
Discourse time (Erzöhlzeif): length of time
needed in order to reod or norrote o norro-
tive text.
Dissolve (Uberblendung); the connection of
vorious visurrl ond ocoustic units in film by
meons of groduol tronsitions and slow
fode-ins ond fode-outs; con serve to blend
the elements ond hormonise perceptions of
time ond spoce.
Dromatic introduction (dramatischer Auf-
fakf): (frequently non-verbol) form of intro-
duction in dromo which hos the photic
function of estoblishing o chonnel of com-
municotion between the stoge ond the
oudience, of owokening the recipients' ot-
tention ond of occlimotising them to the
otmosphere of the + fictionol world; con
occur simultoneously with the + exposi-
tion, but olso independently of it.
Dromotic irony (dramatische Ironie): re-
sults from discrepont oworeness betlveen
the recipient ond o - r chorocter; thonks to
superior knowledge, the recipient hos o
privileged insight into the chorocter's mis-
judgements, with the result thot the chor-
octer's words ond -+ octions (o) toke on
odditionol, uninl"ended meoning.
Dramatis personae (Personal): coÌlective
term for oll the 'r chorocters who oppeor
in o dramo.
Durotion (Douer): the relotionship between
the + discourse time ond the r story time;
cotegory reloting to representotion of time
(+ time on4representotion of time; see olso
ì ellipsis (b), r pquse, + scene (b), +
stretch, r summorY).
IE
Ellipsis (Ellipse): (o) the omission of sen-
tence elements thot ore necessory or impor-
tont for the syntox; (b) the omission of r
time ond intervening occunences between
norroted + events; cotegory of + dura-
tion.
Glossary 1.87
 End-rhyme (Endreim): + rhyme (see toble
3.2.)
Ending: + closed ending, J open ending
Enjombment/run-on line (Enjambement/
Zeilensprung): term used in the onolysis of
poetry to refer to o sentence thot extends
beyond the end of the + line.
Epic elements in dromo (Episierungsten-
denzen im Drama): suspension of ob- the + tronsmission (+ norrotor) or I discourse,
solute noture of dromotic texts by means of
o medioting communicotion system, for
exomple, the introduction of o + chorocter
from within or outside of the + oction þ),
who tokes on the role of o + norrotor; pro-
jections ond bonners or the exposure ofthe
mechonisms of the theotre (for exomple,
when o chorocter steps out ofhis or her dro-
motic role momentorily) ore olso epic tech-
niques.
Epilogue (EpiloQ : concluding port of o lite-
rory text; in dromo, concluding speech
which is oddressed to the oudience by one
of the + chorocters. Counterport to the +
prologue.
Event (Ereignis): smollest unit of the + Fictionolity (Fiktionalität): term thot
oc-
tion @).
Experiencing | (Erlebendes lch).'the former
self of o r homodiegetic norrator (- nor-
roting I), presented os o -r choracter in the
norroted world.
Exposition (Exposition) : informotion given
in norrotive ond dromotic texts obout pre-
ceding -+ gvs¡ts, the roots of future conflicts
ond the circumstonces of the oction (+ set-
ting, + time, --+ chorocters); hos o primo-
rily informotive ond referentiol function.
We differentiote between two different
kinds of exposition, occording to their loco-
tion within the text os q whole: 'isoloted
exposition' (isoloted text possoge occurring
ot the beginning) ond 'integroted exposi-
tion' (informotion is dispersed throughout
the text ond integroted into the r oction
þl). The exposition con occur simultone-
ously with the + dromotic introduction,
but olso independently of it.
188@
Externol focolizotion (externe Fokolisie_
rung): perception of the + fictionol world
from on externol perspective, in which the
r heterodiegetic norrotor is olso the + foco_
lizer (= externol focolizer I e xterne Foka/isie_
rungsinstanz or norrotor-focalizer I fokalisie-
rende Erzöhlinstanz).
Extrodiegetic level (Ebene der erzählerischen
Vermittlung): port of the communicotion
structure of o text; level of + norrqtive
which is externol to the level of the + story
@) or - diegetic level.
Extrodiegetic n.arrojtor (e xtrcdiegetische Er-
zöhlinstanz): + norrotor or speoker on the
; extrodiegetic level.
IF
Fictionol world (ñktiveWelt): the world rep-
resented in o dromotic or norrotive text,
which hos been invented by the outhor,
ond is subiect to its own rules ond lows,
which sometimes deviote from those gov-
erning extrotextuol reolity.
refers
to the invented or imoginotive chorocter of
the world represented in o literory text.
Fictionolity, signols for (Fiktionssignale):
conventionolised signs, by meons of which
the + fictionolity of o work is signolled; in
oddition to the communicotion situotion
ond the externol presentotion of o book,
these include the title, generic clossificotion
1; genre), introductory ond concluding for-
muloe, os well os ony informotion concern-
ing r ploce/spoce (+ ss6itr), + time ond
+ chorocters which does not refer to extro-
textuol reolity, ond olso intertextuol ollu-
sions (+ intertextuolity) ond polyvolence.
Fictive reoder (ñktiver Leser): r norrotee
Figural norrotive situotion (personale
Erzöhlsituation); one ofthe typicol + nono-
tive situotions; o J covert ond --r heterodi-
egetic norrotor recounts the ì events, re-
stricting himself to o foctuol representûtion
or using -r internol focolizotion, thus creot-
ing the impression of immediocy.
First-person norrotive situqtion (Ich-Er-
zöhlsìtuation): one of the typicol + norro-
tive siturtions; r events ore reloyed by o +
'norroting I', who tokes port in the oction
in the fictionol world os o: chorocter or r
'experiencing I' (+ homodiegetic norrotor).
There is frequently o temporoì os well os o
morol distonce between the norroting I ond
the experiencing I.
Fixed focolizqtion fton stant e F okali sierung) :
+ focolizqtion of the + fictionol world
through o single + focolizer, who remoins
constont throughout the text.
Floshbock/onolepsis (Rüclouendung) : cote-
gory reloting to the + order of events; com-
municotion of informqtion obout on +
event thot hos olreody token ploce eorlier
on in the 'noturol' chronology of the + sorting texts into groups bosed on common
story (o); form of onochronic norrotion (--)
onochrony).
Floshforword/prolepsis/foreshadowing
(Yorausdeutung); communicotion of infor-
motion obout on --t event thot occurs lqter
occording to the 'noturol' chronology ofthe
+ story; form of onochronic norrqtion
(-+ onochrony); cotegory reloting to the -r
order of events.
Focolizotion (Fokalisierung): in controst to
cotegories reloting to the -r norroto¡ this
term refers to the representotion of the per-
ception of the r fictionol world; it includes
internol processes such os thinking, feeling
ond remembering, in oddition to sensory
perception.
Focolizer (Fokalisierung sinstanz) : subiect of
+ focolizotion; centre of orientotion, from
whose perspective the norroted world is
perceived; onswerto the questionwho sees? I
who perceives? (see olso --+ externol focolizo-
tion, --r internol focolizotion).
Eoot (Yersfuß): smollest rhythmicol unit,
consisting of one + ond up to tlvo
stressed
--r unstressed syllobles; bosed on the number
of syllobles ond the position of the stress,
we differentiote in Englishlonguoge poetry
between the iomb (-/), trochee (/-), doctyl
(/-), onopoest G-/) os well os, occosionolly,
the spondee (//) ond the omphibroch (-/-).
Free indirect discourse/norroted mono-
logue (erlebte Rede): mode for presenting -+
consciousness in norrotive texts, in which
either the -+ norrator's or the + chqrocter's
contributions con be dominont; linguistic
feotures: third person singulor, post tense.
Frequency (Höufigkeit) : (here) quontitotive
relotionship between the e events of the --)
story (b) ond the norrotive in which they
ore recounted; cotegory reloting to repre-
sentotion of time (- time ond represento-
tion of time).
TG
Genre/kind (G attung /G enre) : orgonisotion-
oI cotegory for literory texts, which involves
sets of chorocteristics; in oddition to the
three moin genres/modes of writing (dro-
motic, lyric ond norrotive texts), we olso
differentiote befiveen numerous subgenres
(for exomple comedy, sonnet or detective
novel).
:H
Heterodiegetic nûrrotor þeterodiegetische
Erzöhlinstanz): -r norrotor who is locoted
outside the world he or she describes, ond
does not oppeor os o + chorocter; conven-
tionolly occredited with + omniscience;
the + speech situotion is frequently deicti-
colly (i.e. temporolly ond spotiolly) unde-
termined.
Homodiegetic norrotor (homodiegetische
Erzöhlinstanz): - + norrotor who porticipotes
him- or herself os o --r chorocter in the fic-
tionol oction of the norroted world; is by
low of convefition subiect to the epistemo-
logicol boundqries of reol ogents of the
plot, ond is therefore not 'omniscient'
(+ omniscience).
Hybridization (Hybridisierung); the combi-
notion of two elements thot ore initiolly
seporote, for exomple, of different styles, -+
genres or medio (for exomple, the historicol
detective novel is o hybrid genre).
Glossary 1.89

Hypo-norrqtive (eingebettete Erzöhlung): a
norrotive thot occurs on the + diegetic
Ìevel (or on o hierorchicolÌy subordinote
level) within one or more froming norro-
tives, in which one ofthe -+ chorocters tokes
on the ¡ole of on +
intradiegetic norrotor;
con theoreticolly recur ad infrnitum (chi-
nese-box structure).
Imogery (Bildlichkeit): umbrello term em-
brocing oll types of linguistic imoges (for
exomple, semontic + rhetoricol fìgures).
Implied quthor (impliziter Autor): (confus-
ing) term for the vorious phenomeno relo-
ting to the structure ond meoning of o no¡-
rotive text, os well os to its underlying
system of volues ond norms; not to be con-
fused with the reol, historicol outhor.
Individuol (Charakter): aliterory + choroc-
ter which, in controst to the + type, is o
'round'chorocter, i.e. complex in structure
ond furnished with numerous chorocteris-
tics, ond therefore oppeors 'true-tolife'.
Interior monologue/quoted monologue
(innerer Monolog): mode for presenting +
consciousness in norrotive texts, without
opporent porticipotion by the + norrotor;
high degree of outhenticiÇ in reloying in-
ternol, psychologicol processes; linguistic
feotures; first person singulor, present tense;
often contoins vorious feotures of orol lon-
guoge (ellipticol constructions, colloquiol
expressions, etc.).
Intermediolity (lntermedialitöt): umbrello
te¡m for the interoction between literoture
ond othe¡ ortistic forms such os music,
pointing, photogrophy, film ond televi-
sion.
Internol focolizotion (interne Fokalisie-
rung):perception of the + fictionql world in
which o r chorocter functions os + focoi-
izer (= internol focalizerlinterne Fokali-
sierungsinstanz, reflector/Reflektorfigur or
chorocter-focolizer /fokali sie re n de F ig ur).
Intertextuolity (lntertextualitöt): networks
of themotic ond formol references between
190 ¡lt'Jtll;ln
__.1
texts; mony contemporory British ond
Àmericon works contoin such references to
eorlier texts.
Introdiegetic norrotor (erzöhlende Figur)¡
speoker who ncrrotes on the + diegetic
Ievel (or on o hie¡orchicolly lower level).
Isotopy (lsotopie): sequence of expressions
linked by o common'semontic denomino-
tor',
;L
Line (Vers/Zeile): in poetry onolysis: line of
o poem which is offset typogrophicolìy
from the others. Often hos o metricol struc-
ture (+ vs¡5s¡.
Literory odoptation (Literaturadaption):
t¡onsferrol of o literory work into onother
medium (for exomple, odoptotion of o nor-
rotive text os o musicol or rodio ploy); +
medio chonge.
Lyric persona (lyrisches lch): fictive speoker
in o poem.
NM
Medio chonge/chonge of medio (Medien-
wechsel):tronsferrol of o work from one
medium to onother (for exomple, film od-
optotion of literory text, the 'book of the
film', rodio ploy odoptotions of novels,
etc.)
Medio genres, theory of (Mediengattungs-
theorie): oreo of study which focuses on re-
seorch into generic designotions (+ genre),
on the expectotions oroused by specific des-
ignotions in medio users, ond on the effects
ond functions of generic designotions.
Messenger's report (Botenbericht): a mode
of conveying informotion in dromo, where-
by - events which for ethicol or technicol
reosons connot be represented on stoge
(violence, moior bottles) ore reloyed by o
messenger (see olso + teichoscopy).
Metophor (Metapher) semontic r rhetori-
col figure (see toble 3.7 .); 'compressed sim-
ile', in which the denototions ond connoto-
tions of o vehicle (B ild sp e nde r)ore tronsferred
onto o tenor (Bildempftinger).
Method (Methode): systematic sequence of
rules, principles or onoÌyticol steps, which
proceed from porticulor ongles of enquiry
ond points ofdeporture towords o predeter-
mined gool; different methods produce dif-
ferent results.
Metonymy (Metonymie): semontic + rhe-
toricol figure (see toble 3.7.)
Metre (Metrum\ersmaß): orgonisûtionûì
principle occording to which o r line of
+ verse is divided into feet (+ f661¡' *" ¿1¡-
ferentiote occording to the number of +
stressed syllobles between trimeters, te-
trometers, pentometers ond hexometers
(see toble 3.1.).
Mimesis (Mimes,s)i oesthetic concept which
defìnes the relotionship betrveen literory
texts ond extroliterory reolity os one of
imitotion.
Model (Modell): obstroct ond simplified
representotion of o complex subject, which
only tokes into occount those ospects ond
chorocteristics thot ore regorded os rele-
vont.
Model of literory communication (Kom-
munikationsmodell literarischer Texte) : ideal-
ised ond generolised representotion of the
communicotive interoctions within literory
texts, which differentiotes between the vor-
ious levels of communicotion, os well os
between oddresser ond oddressee (see fig-
ure 1.2.).
Monologue (Monolog): term thot refers in
dromotic texts to o speech oddressed by o
+ chorocter to him- or herself or the oudi-
ence, ond not to onyone else on stoge; pri-
morily o mode for presenting thoughts ond
feelings (+ consciousness, modes for pre-
senting; + oside). Ifthe figure is olone on
stoge when delivering the speech, it is
knownoso+soliloquy.
Monologue, interior (innerer Monolog): + e norrotive situation; + point ofview
interior monologue
Montoge (Montage): term thot is used to
refer to the process of combining vorious
ports to form o new unity in photogrophy,
rodio ploys, theotre ond film. In cinemo-
togrophy ond film theor¡ the term (which
originotes from the French word for ,cut-
ting' or'editìng') refers to the process of
combining orsuperimposing single j shots
(ond ocoustic elements).
Multiperspectivity / multiperspectivol
narration (Multiper spektivitöt/multiperspek-
tivisches Erzöhlen): form of + norrotive
tronsmission in which o subject, on r event
or o r chorocter is presented from one or
more different perspectives.
XN
Norrotee (fiktiver leser): more or less indi-
viduolised fictive interlocutor of the + nor-
rotor on the + extrodiegetic level, who is
presupposed or even explicitly oddressed in
the text; not to be confused with the reol
reoder.
Norroting | (erzählendes Ich): Ih'e present
self of û + homodiegetic norrotor in the e
first-person norrqtive situotion, who nor-
rotes on the + extrodiegetic level.
Norrotion (Narration): superordinote oc-
count of r events on the + extrodiegetic
level, which is presented os on instonce of
communicotion betlveen the + nonotor
ond the j norrotee.
Nqrrotive embedding (narrative Einbet-
tung): term thot refers to the hierorchicol
ond functional superordinotion or subordi-
notion of the + extrodiegetic leveì ond the
+ diegetic level.
Norrotive modes (Erzöhlweisen).'the woy in
which textuûl elements ore represented on
the + diegetic level or on the ì extrodi-
egetic level; we differentiote between + re-
port, + description, commentory on the
norrotive ond + scenic presentotion.
Norrotive perspective (Erzöhlperspektive):
Glossary 191.
 Norrotive situotion (Erzählsituation; also:
norrotive perspective)r term thot refers to
the woy in which + events, + octions (o)
or thoughts ore norroted. We differentiote
betlveen three'typicoì norrotive situotions':
the + outhoriol norrotive situotion, the +
fìgurol norrotive situotion ond the -r first-
person norrotive situotion.
Norrotive tronsmission (erzöhlerische Ver-
mittlung): mode of constructing o fictionol
reolity; comprises the functions of oll +
nonotors ond + focolizers.
Norrotor (Erzä hler/Erzöhlerin, Erzöhlinstan z) :
fictive textuol speoker who functions os
norroting subiect on the + extrodiegetic
Ievel, ond who is the medium for the creo-
tion of the norroted worÌd; onswer to the
question 'who speoks?' (see olso r overt
norrotor, + covert norrotor).
Norrotor perspective (Er zahlerperspektive) :
in controst to the norrotive perspective of o
text (+ noffotive situotion), this term refers
to the conception formed by the recipient of
the + norrotor's personolity, psychologicol
disposition, volues ond norms on the bosis
of the informotion supplied by the text.
no
Offstoge: spoce outside the stoge in theotre
Omniscience (Allwissenheit): o
common
but imprecise term for the privileged stotus
ofthe + heterodiegetic norrotor in psycho-
logicol, cognitive, spotiol ond temporol
motters; insight into the + consciousness of
oll + chorocters, simultoneous presence in
oll locotions (omnipresence), ond o com-
monding view over oll post, present ond
future developments in the + plot.
Open ending (offenes Ende): lorm of con-
veying informotion ot the end of norrotive
ond dromotic texts, which, in controst to
the+ closed ending, does not offer finol
solutions.
Order (Anordnung): term thot (here) refers
to the vorious possibilities of orgonising the
temporol sequence of+ events into o story;
1e2 6@EB
cotegory reloting to representotion of tirns
(+ time ond representotion of time; see ols6
+ onochrony, r chronologicol norrotion,
+ floshbock, + floshforword).
Overt norrator (expliziter Erzöhler): con-
crete, individuolised speoker on the r ex-
trodiegetic level, who moy onolyse ond
evoluote the + chorocter perspectives
ond +octions (o), os well os offering per-
sonol comments, interpretotive iudgements
ond generolising obstroctions, os well
os directly oddressing the fictive reode¡
(+ norrotee).
TP
Porodigmotic relations (paradigmatische
Beziehungen): term thot refers to the relo-
tionship between linguistic elements thot
con be substituted for one onother in o por-
ticulor position within o sentence. Porodig-
motic ¡elotions ore bosed on similority (see
olso + syntogmatic relotions).
Porotext (Paratext): a text which is suppie-
mentory to the octuol literory text, for ex-
omple, o text in o book iocket, title, subtitle,
dedicotion, prefoce ond concìuding re-
morks.
Pouse (Pcuse): cotegory of+ durotion; the
; story time freezes while the -r discourse
time continues.
Performqnce criticism; umbrello term for
interpretotive opprooches thot focus pri-
morily on the performonce of theotre ploys
(sometimes with reference to the impÌied
performonces within dromotic texts). 'Per-
formonce studies' are olso conce¡ned with
multimediol representotions in film, televi-
sion ond the new mediq.
Personificotion (Personifrkation): term thot
refers to the representotion of on obstroct
term os o + chorocter (for exomple, vice or
virtue).
Perspective (Perspektive): r noûotor per-
spective, + chorocter perspective.
Perspective structure (P erspektivenstruktur) :
in dromatic ond norrotive texts, the totol-
ity of oll individuol perspectives, including
+ chorocter perspectives ond + norrotor
perspective, ond the relotionships between
them; results from the system of J controsts
ond correspondences between the perspec-
tives ond, like oll phenomeno which derive
from the structure ofthe entire text, concre-
tizes only in the course of the interoction
between the reol reoder ond the text os o
whole. We differentiote betlveen o-perspec-
tivol, closed ond open perspective struc-
tures.
Ploce/spoce (Raum):'place' ond 'spoce' ore
generol expressions which encomposs the
conception, structure ond presentotion of
such elements os locotions ond obiects,
scenery ond the noturol world within vori-
ous genres (+ setting). 'Ploce'is used pri-
morily but not exclusively for dromo,
'spoce' primorily but not exclusively for the
novel.
Plot: term thot refers to the structure of the
r oction, i.e. the cousol ond logicol se-
quence of the + events thot occur in the
norroted world; complementûry term to
'story' (o).
Poetic justice (poetische Gerechtígkeit): in
norrotive ond dromotic texts, conventionol
ending wherebythe'good' + chorqcters ore
reworded (for exomple, with morrioge or
riches), ond the 'bod'chorocters ore pun-
ished (for exomple, with deoth or finonciql
or social ruin).
Point of attock: in o ploy, the beginning of
the moin + oction þ), which is presented
on stoge.
Point of view: the perspective ftom which
norrotive informotion is reguloted. Recent
theories, however, distinguish between +
focolizotion ('who sees?) ond nonotion
('who speoks?'); + norrotor.
Primory text (Haupttext)r in tondem with
the + secondory text, comprises o constitu-
tive element of dromotic texts; consists of
the + chorocters' utteronces.
Prolepsis (Prolepse): + floshforwqrd
Prologue (Prolog): introductory úords od-
dressed to the crudience by one of the +
chorocters, on odditionol chorocterwith no
other role, or the outhor (for exomple, o
greeting or informotion concerning the
ploy); in clossical dromo, the most com-
mon form of + exposition. Counterport to
the + epilogue.
Protogonist (Protagonist): in o narrotive or
dromotic text, moin I chorocter, whose
plons ond intentions ore often thwoúed by
on + ontogonist.
Psycho-norrotion (G e danke nb ericht) : mo de
for presenting +consciousness in norrotive
texts, which includes o high degree of nor-
rotor porticipotion ond is relotively com-
pressed; linguistic criterio.' third-person
singulor, post tense.
TR
Reoder oddress (Leseranrede): oddress by
the j norrotor, which hos o predominont-
ly conotive function; the norrotor moy
present the fictive reoder (+ nonotee) with
hypotheses, osk questions or encouroge
him or her to odopt specific ottitudes of re-
ception.
Reoder, fictive: I norrotee
Reflector (Reflektorfrgur)j r internol focoli-
zotion
Report (Bericht): + norrotive mode con-
cerned with + telling;
o foctuol, frequently
temporolly compressed occount of + events
ond r octions (o) in the no¡roted world
givenbyo rnûrrotor.
Rhetoricql -figures (rhetorische Figuren):
conventionolised forms of deviqtion from
everydoy longuoge, which hove been in
existence since Antiquity; we differentiote
between phonologicol (see toble 3.4.), mor-
phoÌogicol (see toble 3.5.), syntoctic (see
tobte 3.6.), semontic (see toble 3.7.) ond
progmotic rhetoricol figures.
Rhyme (Reim): consononce of words from
the vowel of the lost + stressed sylloble in
o + line; occording to the degree ofconso-
Glossary 193
 nonce, we differentiote between full rhyme
ond neor rhyme (see toble 3.2.).
Rhyme scheme (Reimschema): rhyme pot-
tern over severol + lines; we differentiote
according to the woy in which the - + rhymes
ore grouped betlveen rhyming couplets, ol-
ternote rhyme, embrocing/envelope rhyme
ond toil rhyme (see toble 3.3.).
IS
Scene; (o) (Szene) used in dromo to refer to
the unit of + oction &) thot is subordinote
to the -ì oct; generolly consists of the op-
peoronce ofone ormore + chorocter(s) ond
ends or begins with the entronce or exit of
o further chorocter; (b) (Zeitdeckung) cote-
gory of onolysis of time in norrative texts,
occurs in the cose of + diologues os well os
vorious modes for presenting t conscious-
ness; + discourse time ond + story time ore
coextensive; cotegory of + durotion.
Scenic presentotion (Szenische Darstellung) :
o norrotive mode that is o subcotegory of
+ showing, whereby the reoder is presented
with the illusion of on unmedioted view of
the r events in the norroted world. The
methods used ronge from o detoiled
occount ofevents, + diologue between the
+ chorocters or the use of modes for pre-
senting + consciousness.
Secondary text (Nebentexri constitutive
component of dromotic texts (together with
the + primûry text); consists of stoge direc-
tions concerning the + setting, the tempo-
rol frome for the - + oction @), the gestures
ond fociol expressions of the + chorocters,
divisions between + octs ond + scenes, in-
formotion identifying the chorocter who is
speoking, title, + dramatis personae, prefoce
ond dedicotion.
Semonticizotion of literory forms (Seman-
tisierung literarischer Formen): expression
which refers to the fact thot literory struc-
tures ond modes of representotion not only
serve representotive ond communicotive
functions, but ore olso themselves corriers
of meoning.
1e4 @B
Semiotics of theotre (Theatersemiotik): tlrr¿
study of the signs or codes of theotre com-
municotion (+ theotre codes).
Setting (Schauplatz): term thot refers to the
specific locotion of o + scene (o) or episode
of o novel or dromo in --+ spoce ond/or
time.
Shot (Einsúellung); o single, unintenupted
comero toke, which - olong with the indi-
viduol image - is the smollest unit of o film.
The description of o shot includes informo-
tion on size, frome rote ond ongle, os well
os comero movements. Every shot is filmed
ond cut in such a woy thot it is reloted in
form ond content to preceding or following
shots.
Showing: literory mode of representotion
thot is closely reloted to dromotic perform-
once; in controst to + telling, it is usuolìy
recounted by o + covert norrotor. Typicol
+ norrotive modes for showing include -r
scene (b) ond vorious modes for presenting
+ consciousness such os + free indirect dis-
course ond + interior monologue.
Sign systems of the theotre (Zeíchensys-
teme des Theaters): + theotre codes
Soliloquy: form of monologicol speech in
dromo, in which the speoker is olone on the
stoge ond tolks to him- or herself or the ou-
dience. If other + chorocters ore present,
this form of speech is known os o + mono-
logue.
Spoce: + ploce/spoce
Speech situotion (Sprechsituation)r in the
norrow sense of the term, the speech situo-
tion of o literory text encomposses o speok-
er (for exomple, the + Iyric persono in po-
ems) ond on oddressee; in its brooder sense,
it olso includes + ploce/space ond + time.
Stqnzo (Strophe): in o poem, group of +
lines thot is typogrophicolly morked; the
stonzoic structure of older poems in por-
ticulo¡ follows well-estqblished rules.
Story (Geschichte/story): (o) sequence of +
events in their'noturol' temporol chronol-
ogy; complementory term ¡6 -+ 'plot'; (b)
totolity of eìements thot constitute the +
diegetic level of fictionol oction (os op-
posed to the level of mediotion); comple-
mentory term to + discourse ('story' refers
to the 'whot', 'discourse' to the 'how' of o
text).
Story time (erzöhlte Zeit):temporol + duro-
tion of the sequence of + events described
in o no¡rotive text.
Streom of consciousness (Bewussúseins-
sfrom).' metopho¡icol term for on individu-
ol's often rondom, irrotionol ond incoher-
ent mentol processes. The streom of
consciousness con be reloyed using vorious
modes for presenting r consciousness.
Stressed sylloble (Hebung): rhythmicolly
occentuoted sylloble in o + Iine of + verse;
indicoted by,/'.
Stretch/slow- down (Zeitdehnung) : catego-
ry reloting to + durotion; the -r discourse
time is longer thon the r story time.
Structure (Struktur): the orrongement of
ond relotionships between the individuol
ports of o whole.
Subiectivity (Subjektivitöt): reloting to the
perspective ond use oflonguoge peculior to
on individuol; porticulorly chorocteristic of
poetry, where it con occur explicitly when
the + lyric persono oppeors ond speoks, or
implicitly by meons of o selection of words
ond imoges.
Summory/sp eed-up (Zeitratrung) : category
reloting to + durotioni the r discourse
time is shorter thon the r story time.
Sympothy, monipulotion or direction of
(Sympathielenkung): umbrello term refer-
ring to vorious strotegies which engoge the
emotions of the reoder or viewer; for in-
stonce, engaging or distoncing comments
by - orrett norrotors.
Synchrony (Synchronie) : + diochrony/syn-
chrony
Syntogmotic relotions (syntagmatische Be-
ziehungen): the links between ond possible
woys of combining elements within o sen-
tence or text (see olso + poradigmotic relo-
tions).
ilT
Teichoscopy (Mauerschau/Teichoskopie): a
mode of conveying informotion in dromc,
whereby + svqnts which for ethicol ortech-
nicol reosons connot be represented on
stoge (violence, moior bottles) ore reported
by o -r chorocter locoted in o position of
elevotion (woll, tower, hill) to the other
chorocters ond thereby olso the oudience
(see olso + messengert report).
Telling: literory mode of representotion
which, in controst to the mode of + show-
ing, feotures on r overt nqrrato¡ who is
cleorly visible os o mediotor. Norrotive
modes typicol of the telling mode include
the + report, + description, commentory
q¡d r psycho-norrotion.
Telling name (sprechender Name): + chor-
octerisotion technique, in which o + chor-
octer's nome drows ottention to o feotu¡e
typicol of him or her.
Theqtre codes (Theatercodes): the verbol
ond nonve¡bol sign systems of the theotre
(encompossing, for
exompìe, voices,
sounds, music, fociol expressions, gestures,
hoirstyles, costume, scenery, props, Ìight-
ing); we differentiote betvveen acoustic ond
opticol signs, between signs reloting to the
octors ond octresses ond signs reloting to
representotion 6f + ploce, ond between du-
rotive ond non-durotive signs.
Time ond representotion of tirne (Zeit unc)
thot refer to the
Zeitdarstellung).' terms
structure ond presentotion of temporol
sequences ond representotions within the
vorious r
genres order, + durotion, +
(-
frequency).
fype (Typ): o one-dimensionol + chorocter
(+ chcrocter conception), who hos few indi-
viduol choroctei'istics, ond is insteod re'
duced to severol generol troits (for exom-
ple, the grouch, the skinflint, the choleric
person), or who represents o sociol closs (for
exomple, the courtie5 the city-dweller, the
peosont). There ore olso ethnic, regionol
Glossary L95
 ond notionol stereotypes, os well os gender Pressestimmen zur Reihe UNI-Wissen
stereotypes.

IU
Unrelioble norrqtor (unzuverlössiger Er-
zöhler): term used to refer to on rovert nor-
rotor whose occount of + events, interpre-
totion of the r story (b), or whose
questionoble norms ond voÌues give the
reoder couse to doubt his or her credibility.
Unstressed syllable (Senkung): element in
o + line of r verse; indicoted by o ,-'.
IV
Verse: poetic compositions written in metre.
,,Generell scheinen die Bücher der ,UNI-Wissen Reihe. eine neue Generotion von
,schulbüchern, einzuleiten, do sie endlich mol mit der Zeit gehen und nicht der Zeit
hinterherhinken." Amozan.de (1999)
,,ln den [...] Bönden dieser Reihe hot Professor Ànsgor Nünning, einer der
profiliertesten Vertreter dieser nun die Lehrstühle neu besetzenden Generotion, ols
Herousgeber eïne ungewöhnliche Homogenit<it in Form, Dorstellung und Inholt
erreicht. [.. .]
Diese Reihe wird über fohre hinweg der inholtliche und finonzielle Moßstob von
Konkurrenzbönden sein. [...] Die Bönde sind rundweg zu empfehlen. Der erfreulich
niedrige Preis [...] lösst das sonst leider göngige Kopieren zur unnötigen Zeitver-
schwendung werden. " Der fremdsprachliche Unterricht (1999)

Voice-over (off-Kommentar): the voice-over

is odded subsequently to oudio- ond visuol ,,Die Bcinde der Reihe vermitteln ouf wissenschoftlich solider und verstcindlicher
moteriol; it consists of remorks delivered by Weise grundlegende Informotionen und Überblickswissen zu ousgewcihlten Ston-
on invisible speoker, which comment on or dordthemen der Literotur- und Sprochwissenschoft. Sie eignen sich sehr gut ftir die
supplement the centrol -r events, or form effiziente Einorbeitung in Teilgebiete der Ànglistik/Amerikonistik, die Auffrischung
them into o unit of meoning.
bereits erworbener Kenntnisse ebenso wie die zielgerichtete Prüfungsvorbereitung.
Besonders hervorzuheben ist die methodisch tronsporente Strukturierung der Bönde
:W und dos übersichtliche loyout." Archiv für das StudÍum der Neueren Sprachen und
Literoturen 237, "152 (2000)
Word-imoge tropes (lVort-Bild-Tropen) : rhe-
toricol figures thot ore reolised by imoges
rother thon linguistic expressions. The +
metophors, r metonymies ond synecdo-
ches expressed in filmic imoges ore impor-
tont considerotions of film onolysis (for
exomple, when the imoge of a punk is used Pressestimmen zu e¡nzelnen Bänden
to represent the fringes of society or os on
ollegory for vioÌence).

Word scenery (Wortkulisse): in dromo, term
thot refers to the (mostly subiectively col-
oured) themotizotion of the spotiol context
within the + chorocters' diologue or (in
clossicol dromo) the ¡emorks of the chorus.
Uwe Baumann: Shokespeore und seine Zeit
,,[...] Dqrûber hinous vermitteln Boumonns Anolysen einen informotiven Einblick in
eine Vielzohl themotischer [...] und formol<isthetischér [...] Innovotionen, die -
trotz der erheblichen künstlerischen Unterschiede der vorgestellten Dramen - die
Studierenden und ouch Lehrenden ouf ein leider noch immer marginolisiertes Ge-
biet der Ausbildung in unserer Ànglistik oufmerksom mochen." Archiv für dos Studium
der neueren Sprochen und LÍteroturen,237, 152 (2OOO)

1e6 A@EB
Vera und Ansgar Nünning: Englische L¡terotur des 18. lohrhunderts Richard Aczel: How to Write an Essoy
,,Die in flüssigem Stil geschriebene Geschichte der englischen Literotur des 18. Jqhr_ ,,Die zohlreichen Beispiele erleichtern spöter ouch die Umsetzung in die Proxis und
hunderts ftihrt ouf onschouliche weise in die vielfciltigen Formen, Goffungen und nehmen gerode den Schülern/Studenten, die zum ersten Mal ein essoy schreiben, die
Entwicklungen der englischen Literotur des 18. fohrhunderts ein. Dobei ist den ver-
Hemmschwelle zum ersten Schritt." Amozon.de ('1999)
fossern doron gelegen, nicht nur den Höhenkomm ouszuleuchten, sondern sie
steigen ouch in die Niederungen der weniger bekonnten Autoren und weniger
populören Goth-rngen hinob. Àlles in ollem ergibt sich so ein sehr komplexes Bild der
Richard Humphrey: G rundkurs Übersetzen Deutsch-Englisch
englischen Literotur des 18. fohrhunderts, in dem sich nichtsdestotrotz noch klore
,,Der Autor behouptet zwor im Vorwort zu diesem Bond sehr bescheiden, er würde
Entwicklungslinien obzeichnert." Sprachkunst 3O,2 (1999) ,nichts grundlegend Neues, (S. 6) bieten, doch einige Elemente des Übungsbuches sind
durchous ols unkonventionell einzustufen." Anglistik 'l 1, 2 (2000)
,,Dos Buch ist [...] optimol frirs Selbsttroining. Es ist gerade ftir Erstsemester eine hilf-
Gottfried Krieger: Das englische Dromo des 20. lohrhunderts
reiche Anschoffung, die ouch bestimmt ins studentische Budget paßt." Amozon,de
,,[...] Krieger gelingt es in seiner Einführung, die Entwicklungszusommenhönge einer ('teee)
Gottung in einem ]ahrhundert sowie deren spezifische Ausprögungen interessont und
fundiert zu vermitteln." Arbeiten aus Anglistik und Amerikanist¡k 24,2 ('1999)
Richard Humphrey: English ldíoms for UnÍversíty
,,[...] eine öußerst kurzweilige Lektlire [. ..] In der Breite der berùcksichtigten Themen
Ansgar Nünning: Der englische Roman des 20. lahrhunderts
und der obwechslungsreichen Fülle des Moteriols wird dieses Übungsbuch seinem
,,Die Leserin/der Leser gewinnt einen ousgezeichneten Ûberblick über inholtliche wie eigenen Ànspruch mehr ols gerecht. [...] Ein bescheidenes Büchlein, dobei ober mit
formole Entwicklungsströnge des englischen Romons in diesem fohrhundert. [...] offensichtlichem Spoß on der Sqche zusommengestellt und von immensem sproch-
Dos Buch ist eine wertvolle Bereicherung ftir jeden, der sich ous beruflichem oder pri-
lichen Gebrouchswert - von den literorischen und londeskundlichen Nebeneffekten
votem Interesse mit englischen Romonen dieses |ohrhunderts befossen möchte oder gonz obgeseh en." Mitteilungsblott des fmf Westfolen-Lippe'19,"1 (2001 )
schlicht mit der Quol der wohl konfrontiert ist, welchen Romon er mit seinem ober-
stufenkurs lesen möchte." Neusprochlíche Mitteitungen aus Wissenschaft und Praxís 53,1
(2000)

Herbert Grabes: Dos omerÍkanische Drama des 20, lohrhunderts

,,Mit dem Ziel, >einen Überblick über die Grundformen und die Geschichte des
omerikonischen Dromos im 20. |ohrhundert, (S. 5) zu geben, legt Herbert Grobes mit
dem vorliegenden Bond eine überzeugende Dorstellung der Entwicklung dieser
literorischen Cottung in den USA vor. [...]
Dem vorliegenden Bond ist zu bescheinigen, doß er eine bemerkenswerte und in
ihrer Argumentûtion überzeugende Einftihrung in dos omerikonische Droma des
20. fohrhunderts dorstellt." Archiv für dos Studium der Neueren Sprachen und L¡tercturen
237,"1s2 (2OOO)

fohn F. Davis: Phonetics ond Phonology

,,... bei diesem Titel konn von einer überrogenden Leistung, ouch in didoktischer
Hinsicht, gesprochen werden." Anglistik 11,2 (2000)
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