The Mountain Orchestra

When the villagers began the long toil up the mountainside they carried their houses on their backs like hermit crabs. Hampers, boxes, handbags, cupboards, tables and chairs seemed to have developed spindly legs and a taste for exercise, reeling along from bend to bend of the well-worn path as their owners struggled to outpace the bandits of Bist and Flumm, with their well-known thirst for gold and blood and delicate china. Half-way up the first steep slope the bandits caught them – as Granny Small had said they would – and at once the villagers let fall their burdens to protect their bodies. Chairs, kettles and mattresses rolled away down the spongy slope to fetch up against rocks or tumble into the burn. Soon the burn’s irregular staircase of ice-rimmed pools began to sprout long wavering strings of pale pink weed wherever the villagers’ blood spilled into it in rivulets and gobbets.

They had driven off the first attack and were about to retrieve their bundles when the old man called out: ‘Let them lie. It’s not often you get the excuse to throw out old rubbish. There’ll be better things on the other side of the mountain!’ So they left their kettles and mattresses littering the hillside, to act as an informal open-air reception room for sheep and wrens, and resumed their climb. But the little girl had already guessed that the old man had not been talking about pots and pans. In the attack he had received an ugly gash in the side from a bandit’s curtle-axe, and his feeble attempt to ward it off had resulted only in the smashing of the last of the Rebus violins. For a little while after that the old man had sat on a pile of sheep-droppings with blood and water soaking his trousers and let a tear roll down each cheek in tribute to the instrument. The little girl thought they must be carefully regulated tears, since he had always said you should allow two tears for every sad occasion: one for sorrow at your loss, the other for joy at the gift of life that allowed you to weep despite your losses.

He left the violin on the slope along with his favourite whisky glass – now smashed – and the mortal remains of Granny Small. The oldest woman in the village had died as she said she would, not of a curtle-axe wound but of a heart attack brought on by trying to brain a bandit with a lump of granite. For a long time as they climbed her thin shrill voice kept chattering on at them to hurry up; they were quite relieved when it died away, drifting off like a cricket’s chorus on a mountain breeze.

At one point the little girl and the old man took a rest on a tumbledown wall and looked back the way they had come. A feather of smoke unfurled from the village by the lake and the little girl fancied she could smell the scent of wood-ash on the wind. ‘Well, at least the houses are getting fumigated,’ the old man said; but the little girl was already shedding a good many more than the two small tears he recommended. They just kept welling out of her head like a burn from the side of a rain-drenched mountain. She finally stopped crying from sheer surprise that her head could be so full of water.

A little higher up they reached a stretch of level ground where the mountain path lost all definition in the sheep-cropped turf. At once the fog dropped down on them with what might have been a silent shout of laughter. Within seconds droplets formed in the girl’s brown hair and gleamed like eyes in the old man’s bristling eyebrows. Hills and mountain-ranges of fog rushed past at enormous speed, driven on by a wind that cut their flesh to the bone. The villagers forgot their fear that the bandits would follow them; instead they trembled because the ground beneath their feet was getting narrower, and the crags dropped into nothingness on either side. The wind tried to pluck them from the mountainside like an oystercatcher pecking at the shell of a stubborn mussel.

The little girl trembled with the rest but for a different reason. She was afraid of the Beast that lived among the mountains and left stories like bloody limbs littering the slopes for miles around. The old man patted her cheek and assured her that the Beast was far too large to bother with prey as insignificant as little girls. ‘Besides,’ he said, ‘it’s fast asleep. Can’t you hear it snoring like the waves on a far-off shore?’ The little girl nodded but kept looking behind her uneasily. She could hear the waves on the shore whenever the wind dropped, but they sounded nothing at all like a monster snoring.

All the same, she was glad of the old man’s aimless prattle as he leaned on her shoulder. Although his weight was sometimes painful, she felt as though he were pulling her up the mountain instead of the other way round. ‘All my life I’ve wanted to visit these mountains,’ he panted. ‘It took an attack of bandits to get me up, and it’ll take a band of angels to get me down.’ By the time they reached the bottom of a slope of scree that swept up before them like a frozen wave into a foggy void, the rest of the villagers had disappeared. ‘You’re my guardian angel,’ the old man said, but it was he who pointed out where the little girl should set her feet. He seemed so sure of the way that it came as no surprise when they found themselves at the mouth of a cave, peering into the darkness to make sure there were no Beasts inside. At last they crawled through the narrow entrance, and at once the shriek of the wind dropped down to a whisper, as suddenly as if a door had shut behind them. From then on they only heard it from time to time, wailing disconsolately outside as if bereft of prey.

The cave seemed to run deep into the mountainside. At every movement echoes scuttled off and vanished into the stone entrails of the earth. But the roof was so low that the old man had crawled only a few yards before his head struck rock and he collapsed. He lay on his back as he had fallen, his head propped against the wall, his hands palm upwards by his sides. Every so often a breath escaped him in a little feather of smoke. The little girl curled up in the crook of his arm and busied herself with trying to forget about the Beast. Together they waited for night to enter the cave.

After a while the old man noticed that there was another old man lying beside him, whose breath likewise came in little feathers of smoke. He wore a tail-coat with fraying cuffs and a dirty white tie, and his face was as pale as his shirt-front except for a hint of yellow in the cheeks. The old man saw at once that the stranger was as sick as himself. He gave a chuckle at their shared predicament, then winced at the pain in his injured side.

‘We make a fine pair, I must say,’ he observed.

‘Eh?’ said the stranger, contorting his body to see who had spoken. ‘What’s that? Who’s there?’

‘Can’t you see me?’ asked the old man.

‘Indeed not,’ said the stranger. ‘You’re too strong, too alive. You’ll have to be a good deal closer to death’s door than that before I can see you.’

‘Is this better?’ asked the old man, moving a little closer to death’s door.

‘Yes, much,’ said the stranger, and twisted round to look at him closely. He had very bright eyes in deep sockets, as though he hadn’t eaten for a hundred and fifty-seven years and would stop at nothing for a scrap to feed on.

‘What’s that at your elbow, all wrapped up?’ he asked, nodding at the bundle.

‘It’s the ghost of my violin,’ replied the old man. ‘A genuine Rebus. I was clumsy enough to break it in a recent scuffle.’

‘That’s not all you broke, is it?’ the stranger said with a glance at the old man’s wound and a nasty grin. To his own surprise the old man felt insulted that such a sorry specimen should criticize the state of his body. It had served him for many years and he suddenly had a nostalgic affection for its failing organs. But before he could retort the stranger gave a sudden groan and started to writhe like an angry snake. It seemed he was trying to raise himself on one elbow.

‘So you’re a musician?’ the stranger gasped when at last he succeeded. ‘What a stroke of luck! I’ve been waiting for one of those for many years. You see, I too am a musician. My name is Colossus Retch. I expect you’ve heard of me.’

‘I’m sorry, Mr Retch,’ said the old man. ‘We don’t hear much about modern music in the village by the lake. It’ll be different, I expect, when we reach the other side of the mountain.’

‘That’s DOCTOR Retch,’ the stranger snapped, ‘and my music is NOT modern.’

The old man didn’t hear him, because the little girl had sat up at the sound of voices and asked him who he was talking to. He said no-one and gave her a smile, which she put away at once and kept in a secret place for the rest of her life. She gave him a dazzling smile of her own in return, then took out an old linen handkerchief and started to wipe the blood from his forehead with gentle strokes.

The gentle movement drove everything else out of the old man’s mind. He had just managed to doze off when something buzzed in his ear and woke him up. It sounded like ‘A temporary pause’.

‘I beg your pardon?’ he murmured.

‘Nothing,’ said the little girl, still wiping.

‘I said, O tempora, O mors,’ the stranger said. He too had sat up and was looking much more sprightly. From nowhere he produced a large earthenware jug and poured himself a cup of something that emitted huge gushes of steam. A spicy fragrance filled the cave. Even the little girl felt the warmth invade her nostrils, steal down the back of her throat and invade her lungs, whence it spread throughout her body. The old man’s mouth began to water, and went on watering till he feared he would begin to drool.

‘Sorry I can’t let you have any,’ said the stranger. ‘This is Spirituous Liquor, strictly forbidden to anyone under the age of death.’ He sat back with an exaggerated sigh of contentment which brought back all the old man’s initial loathing of him. For a while all that could be heard were his appreciative slurps and the rumbling of the old man’s belly.

After some time Colossus Retch began to speak again. ‘Let me tell you about myself,’ he suggested. ‘Or at least about my posthumous self. You wouldn’t care to hear the details of my earthly life. Decidedly sordid, I’m afraid!’

He took another sip of the liquor. As he did so the old man saw his teeth flash in one of those grins that seemed to signal some private amusement, forever barred to the uninitiated such as the old man and the little girl. All at once the old man felt certain that if he let the stranger continue he would find himself trapped, forced to repeat some mechanical motion over and over again in the eerie solitude of the mountains. He opened his mouth in an attempt to protest, but his tongue remained frozen to the roof of his mouth as if rendered useless by some numbing potion or poisonous gas.

‘For a hundred and fifty-seven years,’ the stranger said, ‘I have had the honour of being the conductor of the Mountain Orchestra. I see your eyes light up in recognition –’ (they had done nothing of the kind) ‘– as well they might. The Mountain Orchestra, you exclaim, that melodious muster of master musicians, that band of lonely virtuosi collectively conjoined in their determination to subdue the chaos of this savage world with the staves of harmony! Believe it or not, before my time they were no more harmonious than a roomful of angry gibbons. Some of them couldn’t read music, some of them held their instruments upside down, not one of them could tie a bow tie without assistance or fasten a cufflink. But with time and patience and liberal lashings of raw talent I managed to shape them against all odds into a passable resemblance of a real live orchestra. The Mountain Orchestra, my friend, was shaped from my posthumous blood and sweat and tears, I say this without exaggeration. You may congratulate me if you like.’ And the stranger blew his nose on the filthy sleeve of his tail-coat.

At this point a gust of wind blundered into the cave and buffeted its way from wall to wall. A burst of music seemed to be released each time it struck a surface. The old man shivered and turned towards the entrance, laying his hand on the head of the girl which had slowly drooped until it was resting on his knee. Outside, the fog still glowed with a greenish light as it always does for an hour or so after the sun has set. With a start the old man saw that the Mountain Orchestra had taken its seats in the void beyond: rank on rank of see-through musicians fading away into the foggy distance. Each musician had indistinct features, but they held their heads at a certain angle that conveyed a sense of implacable resolution in the teeth of adversity. Each musician was smartly attired in evening dress made of mist and cobwebs.

The old man found his voice again. ‘Do you have repertoire?’ he asked weakly.

The stranger gave a modest cough. ‘We do indeed,’ he answered. ‘A repertoire curated by myself in response to the special needs and challenges of our orchestral purpose. Most of what we play is music,’ he went on, nodding his head as he warmed to his subject, ‘although alas it has not always been recognised as such. Winds, fogs, planetary movements, ghost sonatas; anything insubstantial really. Water music is a speciality; our performances of burns, brooks, becks, and the ripples on highland lochans are justly celebrated. You may know the Incoming Tide by Moonlight? An old composition of my own, I’m happy to say. But my time with the Mountain Orchestra draws to a close. I am looking beyond, so to speak, to new horizons and fresh challenges: spiritual compositions for the most part, though I may try my hand at nullity, loss and irremediable absence. And here you are, a fiddler emerging out of the fog as if by Divine Decree, perfectly qualified to fill the vacancy. How would you like to be my successor? How would you like, my friend, to lead the Mountain Orchestra in my place? Does the prospect thrill you?’

While he discussed his music the stranger’s face had taken on a wistful air. The lines of suffering scored on his brow had disappeared and his large eyes swam like mountain pools in the wake of a storm. But now he leaned forward with disconcerting suddenness and resumed his expression of wolfish hunger. His teeth and eyes were almost too bright to look at. The old man would have recoiled if he had been able to move his body as well as his head.

‘Well now,’ he said in alarm. ‘I’ll need to know a good deal more about the job before I accept it. What’s the pay like? Who do we play for? What are the perks?’

‘The pay,’ the stranger repeated scornfully. ‘The perks. Let me see. A weekly wage in pain and frustration, a lamentable lack of understanding from the general public, all the Spirituous Liquor you can drink and a captive audience. Will that do?’

‘I’ve known worse deals,’ the old man observed. ‘A captive audience, you say. Who are they?’

‘I’d have thought you’d know all about that, since you’re such an expert on the Beast,’ the stranger said. ‘The audience is here. You’re in one of its ears.’

The old man gave a start which woke the girl from a dream about animated furniture. He soothed her by stroking her hair while every nerve in his body strained to detect some other sign of life inside the cave. The stranger’s voice droned on regardless.

‘Yours will be one of the highest and loneliest destinies in the profession. Night and day, year in and year out, the Mountain Orchestra delivers performances of genius to no other audience than the Beast of the Martoc Mountains. As you know, the Beast has lain dormant under these mountains for many centuries. Your job will be to make sure it goes on sleeping undisturbed.’

‘I haven’t accepted yet,’ the old man interposed. ‘It doesn’t sound like much of a challenge to me. You mean to say that the Mountain Orchestra acts as a kind of musical rattle to keep an oversized baby quiet?’

‘That’s not what I mean at all,’ snarled the impresario. ‘You clearly haven’t grasped the seriousness of the situation. Once not so long ago the Beast almost woke up; it opened one eye and breathed out through one of its nostrils. That was what brought about the Age of Ash. It happened because my predecessor’s fingers got so numb he dropped the baton in Loch Tothel. I trust you’re not prone to numbness in the fingers? He spent seven hours trying to fish it out with a piece of string tied round a stone. Eventually it was brought to him by the Tothel Carp, but by then the damage was done. Not a living thing was left on the surface of the earth within five hundred miles of the Martoc Mountains: nothing but ash and bone and a few charred twigs. When he saw what he’d done my predecessor went mad and impaled himself on Cardothen Crag. You can still hear his shrieks when the wind blows north-north-west.’

The old man listened, but he could no longer hear the wind. He could not even hear the little girl’s breathing or feel her warmth against his ribs. Unobtrusively the stranger’s voice had carried him onto another plane of existence. The painful squeaks and wails as the Mountain Orchestra tuned their instruments made the stone floor beneath his fingertips vibrate.

‘My own posthumous career has been more successful,’ observed the stranger, and his eyes took on the wistful expression they held when he talked about his art. ‘I began my reign as conductor with a simple funeral march for all the lost souls. You know the sort of thing, a lot of cold stars and blowing dust, nothing too complex for my newly-trained musicians. Little by little we progressed to something more complex: a green bud here or there pushing out of the ashes, a solitary bird sitting on a dead branch. Cellos and bassoons hinted at stirrings in the earth as it quickened towards new life. Piccolos monitored the movements of approaching rainclouds. I’ll never forget the moment when we launched into a fully-fledged allegro maestoso to celebrate the rebirth of Spring. Since then – well, to tell the truth I’ve never recaptured that moment of glory. The triumphal march of returning life was the overture, as I see it now, for my career’s decline and fall. We’ve had our ups and downs since then, wrong notes, fluffed passages, entire compositions played out of tune or back to front. And I’ve been getting very tired in recent years. I’m sorry for what happened to your lakeside village; I fell asleep at about the seventeen millionth bar of the Peace Pavane and the Beast must have twitched in its sleep. I woke up in the cave this morning, so stiff I couldn’t move a muscle. Fortunately the Mountain Orchestra has filled the gap with some courageous improvisation, despite their lack of experience in such matters. Nevertheless, I think the time has come when I must cede my baton to my successor. And here you are, ready and waiting to step onto the podium at the moment of need. The question is: will you take up the challenge?’

The stranger’s voice had got steadily fainter as he talked. When the old man looked at him again he saw to his horror that his legs had vanished from the knees downwards and his eyes had lost their light. He seemed to be gazing at some scene beyond the cave wall. The old man watched and listened intently, hoping for some clue as to what that scene might be. All he could see, however, was darkness, all he could hear the flutter of his heart, the steady breathing of the little girl, the murmur of the blood-tide in his eardrums. Or was it the clatter of cutlery on silver plates and the murmur of voices against a background of gentle music, somewhere deep in the heart of the mountain? For a moment he could not tell.

‘Wait, wait!’ he cried in panic. ‘I’m not qualified at all! I’m only a humble violinist! Shouldn’t the conductor of the Mountain Orchestra be a celebrated musician like yourself?’

The stranger gave a ghost of his nasty grin. ‘Don’t kid yourself,’ he said. ‘I was no celebrated musician in my lifetime. I hung around at street corners turning the handle of a barrel organ and leering horribly at passers by. They would pay to make me stop leering. Sordid, I tell you! No, the Beast can’t tell an orchestra from a one man band. There’s nothing to worry about. Conducting’s easy; it’s merely a question of bobbing up and down with a little white stick to keep the musicians awake. Anything more is just a matter of pride. Start with something nice and simple like the grass growing, daylight filtering into the cave, or fish asleep in a forgotten pool at the mountain’s roots. You’ll have moved on to thunderstorms and the dawn chorus before you know it. And how about throwing in a violin fantasia from time to time seeing you’re a fiddle player? Everyone loves the screech of the highest note on a G string.’ And he leered again, even as his body was disappearing right up to his lapels.

‘Wait, wait!’ the old man cried again. ‘How can I be sure the Beast will stay asleep? And who are you anyway? How do I know you’re telling the truth?’

‘You can’t; you don’t,’ said the former conductor of the Mountain Orchestra. ‘And now goodbye. I’m due a hundred and fifty-seven years’ back payment of Eternal Reward.’ With that he vanished completely. For a moment it was as if a curtain of rock had been twitched aside. A colourful ball of jazz music bounced through the cave and out into the night, followed by a rich smell of roast meat and a mechanical canary. For the last time the old man called out, ‘Wait!’, but the cry only emphasized its own futility. He did not doubt that Dr Colossus Retch had already taken his first mouthful of everlasting soup.

‘It’s all right, I’m not going anywhere,’ said the little girl, waking up at the sound of his voice and taking his right hand. ‘But it’s so cold in here I think we’ll die.’

In the feeble light of a mountain dawn, the old man tried to examine her cheeks and pale cracked lips for signs of hypothermia, but soon he found that his aching eyes would not focus on her face. In fact he could see the front row of the Mountain Orchestra through her chest. She was fading from his sight, and other things in the cave were becoming visible. A carpet of luminous weeds decorated the floor, a curious chair stood in one corner, and Granny Small, about the size of a shrimp, was peering at him from a nook in the ceiling. He noticed a slender white stick on the carpet by his violin and flexed his right hand, ready to pick it up. Even as he rejoiced in the flow of blood to the fingertips he was aware that for the little girl they remained as cold and still as granite.

‘You won’t die, my dear,’ he told her, making a determined effort to use his tongue instead of his mind. ‘But I must go. I’ve just been offered a job with the Mountain Orchestra; an important job which begins at once; I really can’t say no. You’ll be musician for the village now. You’ll be magnificent.’

‘Me?’ cried the little girl. ‘But I’m not good enough! I don’t play anything!’

‘You’ve got your voice,’ the old man pointed out, ‘and you know all the songs. Will you sing to me now?’

The little girl couldn’t hear what he said, but she decided to sing for him anyway, partly because she thought he would like it, partly to see if her voice would do instead of a violin, and partly to stop herself thinking about the Beast, which had started to prey on her thoughts again as soon as she woke. That was how she pictured the scene years later: herself kneeling by the old man’s side with his hand in hers, music trailing out of her mouth in a silver thread as long and strong as a piece of twine spun by Granny Small. As the thread got longer it grew in size, bouncing off the walls deep down inside the tunnel at the back of the cave, lengthening and thickening until it became a clashing chain of notes, both sweet and harsh, as though the mountain itself were singing. After a while she stopped because the sound had started to scare her, but it continued to ring in the caves of her ears for a long time after.

The old man stood up with a sigh and stretched till his backbone cracked. Then he strode to the mouth of the cave with determined strides. He found he was wearing the stranger’s tail-coat with the fraying cuffs and the musty smell. It was too small for him, but now he remembered it hadn’t fit the stranger either. Underneath he still wore his own shirt, stiff with sweat and blood. ‘They could at least have provided a clean white shirt-front,’ he told himself irritably.

Before going out he took one look behind him to make sure he had left some suitable remains to keep the little girl company. He was shocked at how ill the corpse looked. The little girl had dropped off back to sleep in the crook of its arm.

With some difficulty he clambered up on his rostrum; each leg seemed to sink through each step to the height of his knee. By the time he reached the top he was submerged in fog to hip level and still sinking; at this rate, he thought, he would vanish into the abyss before he’d had a chance to lift the baton for the very first time. But then a flurry of clapping broke out among the violins, taken up with ghostly enthusiasm by the rest of the players. He rose a little, then rose some more when the cellists cheered. The old man graced them with a small, stiff bow, and when he straightened found that his feet were firmly planted on the boards of the rostrum. He struck the top with his little white stick to test its solidity. It gave out a satisfying clack, and the musicians’ eyes opened wide in anticipation. He smiled encouragingly – for his own sake as much as for theirs – and raised the baton.

‘Now then, ladies and gentlemen,’ he said. ‘Let’s see what you’ve got.’

The little girl didn’t notice that the old man had died until the villagers found her curled up beside him the following morning. They buried him under a pile of rocks near the mouth of the cave. Then they walked on over the mountain, carrying the little girl with them on a worn-out armchair and accompanied all the way by a wicked wind. They found many things on the other side: things Granny Small had led them to expect and things she hadn’t mentioned; wanderings in woods and rests by rivers; cities full of noise and pain and the bright clean city where they made their home. By that time the little girl had grown up into a tall strong woman and her voice had grown to the size and strength of the mountain voice she had heard in the cave when she sang to the old man. Old and young men vied for her hand, and a musician won it.

But years later the woman wandered out into the city gardens and up onto the ramparts. As the fog rose out of the woods her mind wandered away to the distant mountains. She had often told the story of the old man’s death, sometimes taking out the smile he had given her, polishing it on her skirt and passing it round among her listeners. With the passing time she embroidered the story as he would have done himself. She insisted that he was still making music in the mountains, conducting a ghostly assembly of musicians called the Mountain Orchestra, who played till their bones ached and their insubstantial heads rang to make sure that the Beast stayed fast asleep. She said that if you listened hard enough you could sometimes hear soaring above the strains of the mountain wind and the chattering burns the silver thread of melody spun by the last of the Rebus violins. She prayed that the old man was not prone to numbness in the fingers.

One thing she had recently added to the story. Was it not possible, she would ask, that with time and the Orchestra’s diligent playing the nature of the Beast would begin to change? That the baroque musical architecture which she knew the old man favoured would enter its skull and impose a gentler structure on its savagery? Was it foolish to hope that next time the Beast stirred in its sleep it wouldn’t reduce the forests and villages to ash, but would instead murmur one of the Mountain Orchestra’s melodies back at them, as the mountain had done on the night she sang the old man out of this life and into the next?

The night laid cold dark hands on the woman’s face, and she let a carefully regulated tear roll down each cheek. One for sorrow, one for joy.

 

Helen Marshall, The Migration (2019)

[This post was inspired by a series of workshops called the What If Consortium, organised by the writers Helen Marshall and Kim Wilkins of the University of Queensland and involving scholars and writers from all over the world. The aim of the project is to explore the concept of Story Thinking, which uses creative writing methods drawn from speculative fiction to help transdisciplinary teams imagine and find solutions for complex problems collaboratively and effectively. In preparation for the workshops I read some of Helen’s work, for which she has won (among other things) a World Fantasy Award. I quickly found that her novel The Migration might be read as offering a fine example of Story Thinking in action. The post is intended as a contribution to the cogitations of the What If Consortium; and it’s also intended to form part of a case for fantasy as a genre that can contribute as much to real-world problem solving as science fiction can, despite the tendency to forget about it when the affordances of speculative fiction are under discussion. Or is ‘solving’ the right word? I prefer ‘resolution’, I think, which pays attention to the dialogic processes which are an essential feature of collaborative enterprises, and gestures towards music as a model rather than mathematics. Any good conference, classroom discussion, workshop series or in-depth conversation should have a close affinity with a concert, though I have to admit there’s not much about music in what follows…

Please be warned that there are numerous spoilers in this post.]

Oxford is the birthplace of fantasy. Charles Dodgson wrote his Alice books there, surreal dream worlds that helped define the distinctive art of the twentieth century. Tolkien and Lewis met there and formed the Inklings, a reading and talking group which played midwife to the most influential fantasies of modern times: The Lord of the Rings (1954-1955) and The Chronicles of Narnia (1950-1956). These books were written by scholars and reflect their interests, from Dodgson’s fascination with sophistry and riddles to Tolkien’s delight in ancient Northern European cultures, whose material and literary remains survive only in serendipitous fragments – including riddles – and which he painstakingly embeds in a rich new context, making them whole in the ultimate fulfilment of a scholar’s dreams. Scholarship sits lightly on the pages of these seminal fantasies: in the Anglo-Saxon attitudes of the messengers Hatta and Haigha, in the prefatory matter to The Fellowship of the Ring, in the textbooks used by the tutor Doctor Cornelius to instruct the future monarch Prince Caspian of Narnia in behaviour fit for a king. Oxford, where Dodgson, Tolkien and Lewis lived, is a city redolent of magic as well as of scholarship, with bizarre grotesques sprouting from its towers and spires and turrets, hidden gardens revealing themselves through the keyholes of old locked doors, a thousand waterways teeming with wildlife forming a maze in and around its streets, which get regularly flooded in periods of bad weather. It has urban myths aplenty, from the Underground Cathedral of Saint Giles, which can be entered via the steps to a Victorian toilet near the Martyrs’ Memorial, to the rumoured discovery of well-dressed skeletons in an underground brook near Christ Church Meadows.[1] And the city spawns new myths weekly – at least, it was still doing so when I last visited in 2019.

No wonder, then, if Oxford has continued to generate beguiling fantasies since Carroll, Lewis and Tolkien set off on their final journeys to another world. Many of these fantasies touch on themes which Tolkien and Lewis chose to ignore: the past understood as a deadly curse relating to toxic masculinity, as in Joan Aiken’s The Shadow Guests (1980); colonialism in Oxford’s museums, as partly acknowledged by Penelope Lively in The House in Norham Gardens (1974); the exclusion of women from much of the university’s history, and the careful replication of the British class system in Oxford’s colleges, as mimicked in the alternative Oxford of Philip Pullman’s Northern Lights (1995). It was a stroke of genius, then, for Helen Marshall to set her weird novel The Migration in the city where modern fantasy had its birth, as she charts the progression of what could well be the death of fantasy. In The Migration all the elements I’ve listed combine to create a peculiarly modern narrative: from medieval scholarship (here a historian’s investigations into the science of the Black Death) to riddles (what is the mysterious ailment that is killing young people all over the world?) to myths, legends and fantastic stories, as the ailment sparks off wild rumours only marginally less bizarre than its possibly ancient causes and modern symptoms. Set all these elements against the backdrop of a world which is falling apart because of the climate catastrophe and you have a potent reinvention of Oxford fantasy, a love-letter to Carroll, Lewis and Tolkien which is also a rallying cry for a revolutionary new way of seeing the world, and an urgent warning to take collective action before it’s too late, if it isn’t already.

Marshall’s Oxford is seen through the eyes of a teenage stranger. For Sophie Perella from Toronto, the buildings, history and habits of Oxford are just as strange as the strange events breaking out all over the globe. She shares her foreignness with the boy Cosmo in Aiken’s The Shadow Guests, who is from Australia but whose name proclaims him a citizen of the planet; with the Ugandan scholar John Sempebwa in Lively’s The House in Norham Gardens, who mournfully teaches fourteen-year-old Oxford girl Clare Mayfield two or three things about British colonial history; with the young Greek refugee Anna in Paul Kearney’s The Wolf in the Attic (2016), whose first-hand knowledge of the horrors of war makes 1920s Oxford look like a different universe – until she learns it harbours horrors of its own. Oxford for them is already weird before weird things start happening to them. Apart from anything else, they are young and Oxford is old, an embodiment of the piled-up generations which helped to construct the dangerous world they now inhabit. Sophie’s youthfulness in Marshall’s book is constantly reaffirmed by the fact that it’s written in the present tense, a tense never used for fiction by Lewis, Tolkien or Carroll, a tense that stresses the unpredictable nature of the story we’re reading. Past tense tells us that someone at least comes out of the story alive, that what happened is safely over, done and dusted, gone but not forgotten. Present tense tells us that the narrative voice could be the voice of the dead, speaking perhaps out of the ruins not only of their own life but of the whole cultural system that produced them. It implies that what we’re reading about is going on right here and now, even as we read. It’s also the preferred tense of Young Adult fiction. For the young, almost anything they come across is a surprise, sometimes pleasurable, sometimes shocking. Present tense ensures that we, like the young, have no idea what will happen next or how it will end.

Death is present from the opening pages of Marshall’s novel, and with it a sense that the nature of death is one of the many things in the world we don’t have a grip on. In a brief prologue, Sophie recognises the domination of her life by death when she recalls her games of playing dead as a very young child. Sophie tells us she played these games ‘before I knew what dead meant – what it really meant’, she adds (p. 1); but the rest of the book is dedicated to erasing any certainties we might have had as to what really means. The word’s meaning remains elusive throughout the prologue. ‘By the time I was older,’ Sophie tells us, ‘I understood more of the way the world worked, but it still wasn’t real dead I was playing at. It was something else. Something mysterious and terrifying. Like kissing a boy for the first time’ (p. 2). When her younger sister Kira joins in the games of playing dead, Sophie finds it deeply uncomfortable to see her sprawled out lifeless beside her and tickles the child till she moves and giggles, breaking the spell. In this way the comfort of a faux recovery eases the terror of perceiving death as a final ending. But by the end of the prologue, death has got caught up with the idea of memory – traces in the mind of what came before – which itself threatens to lose its function, as Sophie’s recollections of her life in Toronto begin to fade in another enactment of the dying process. The prologue ends with a plaintive acknowledgement of open-endedness. As an older child, Sophie tells us, she thought of death as ‘the feeling of rest after a long journey’ (p. 8). But her journey from Toronto to Oxford did not bring her rest. As a result of what happened next, she goes on, she now thinks of death as a ‘doorway’ and doesn’t wish to know what’s on the other side (p. 8). Portals to Narnia can be read as doorways to death, as the many doorways in The Last Battle (1956) disturbingly drive home. The prologue informs us that Sophia’s doorway leads nowhere so comforting or stable as a land of instructive lions, articulate beavers and walking trees.

From the beginning, then, Marshall’s book announces its preoccupation with questions about which Lewis and Tolkien had strong convictions: with the destination, for example, of the individual human identity after the death of the body; or with the problem of how far the past impinges on the present, to what extent its traces retain some semblance of life, how far they remain entangled in and relevant to the struggles of the living. These questions acquire a personal urgency for Sophie when her sister Kira falls ill. The girl suffers from an unknown condition which is rapidly spreading, jumping from child to child, from youth to youth across the world with unnerving speed, like a coronavirus that singles out the young instead of the old (the novel was written, of course, before the outbreak of the Covid 19 pandemic). It’s this condition, called JI2, that sends Sophie’s family from Toronto to Oxford, where cutting-edge research is being carried out on treatments for it (the temptation to mention AstraZeneca is irresistible). Sophie, then, heads to Oxford in a quest for answers; but what she finds is only more questions, about the past as well as the present. The treatment, as it turns out, is not effective – at least, not effective in certain crucial respects. Sophie’s world has no more certainties in it, and none of its occupants has much in the way of faith: in religion, in their fellow humans, or indeed in science, which has claimed in the past to find sure means to avert disaster. All conventional terms and familiar concepts have been destabilized, and the city of Oxford itself is vulnerable, its network of waterways rendered treacherous by the increasing frequency of deadly storms and torrential rain.

The clash of past and present is everywhere in Sophie’s new life in Oxford. Cut off from the past – her father stayed behind in Toronto, as did her best friend Jaina – Sophie has to rebuild her network of relationships almost from scratch, beginning with Aunt Irene, an Oxford historian with whom she and her family are staying. Irene’s specialism in history is death: the Black Death, to be precise, which swept through the world in the Fourteenth Century, wiping out populations on a scale unequalled since. And Irene’s research has direct relevance to the new pandemic of youth. Traces of the same hormone have been found in the corpses of the Black Death’s victims and the victims of JI2. Could the fourteenth-century plague and JI2 have something in common? Certainly both have called into question previous certainties, faiths, and social structures; and as Sophie begins to assist her aunt with her research, she soon finds herself empathising with the terrified victims of the earlier infestation. Whether or not there is a scientific link between her time and that one, JI2 represents for Sophie a reawakening of the fourteenth-century plague, just as the calamitous weather of the twenty-first century represents a reawakening of nature in retributive fury at the accumulated centuries of human abuse. Even the weather of the fourteenth century, we learn, was correspondingly calamitous, and its extreme events may have triggered (so Sophie speculates) some momentous change in human DNA, as they have again.

St Bartlemas Chapel, Oxford

Aunt Irene’s college embodies (and in this book about changing bodies the word is apt) the collision of old and new to perfection. Anachronistically known as New College it is in fact very old, having been founded in the fourteenth century when the plague was at its height. Dedicated to the meeting of young and old – undergraduates seeking instruction from established scholars – it is also the explosive meeting point for the past pandemic and its modern equivalent. ‘Did you know,’ Aunt Irene asks Sophie, as if the teenager could somehow have acquired an older woman’s knowledge through her traumatic experiences of disease and migration, ‘Did you know that most of the quads in the College used to be burial pits for plague victims?’ (p. 47). There are, in fact, as Sophie realises, ‘bodies underneath us right now’, telling a story of an old calamity that might unlock the secrets of the new one. It’s from a base in New College that the young people of Oxford rise up in protest against the social restrictions that are being increasingly imposed on them as the pandemic spreads. At one point in the novel Sophie follows the New College students to a party in a graveyard, in defiance of the curfew. The graveyard belongs to a little chapel known as Saint Bartlemas, in East Oxford, where New College students often sought solace when the Black Death was raging, hoping for bodily regeneration through the intervention of the relics there, which included a piece of Saint Bartholomew’s skin (the saint was martyred by being flayed). At this chapel, where the students and scholars gathered annually in medieval times on May Day and Ascension Day, occurs a key moment in the conflict between the infected young and their censorious elders: a chaotic fight between police and undergraduates sparked off by an act of police violence. Several students die in the fight and one policeman. Later, it’s the records of one of the undergraduates who died that confirm for Sophie exactly what is happening to the diseased. A sympathetic doctor hands her the dead boy’s medical records, and Sophie’s reading of this archival document links up with her part-time researches for Aunt Irene to bring past and present fully alive with unprecedented clarity. Aunt Irene’s investigations into the Black Death and the deaths of modern university students place that ancient institution, New College, at the epicentre of the revolutions and evolutions of the twenty-first century.

But Marshall’s Oxford is a site of industrial as well as intellectual labour. There have been long-standing tensions between Town and Gown – between local inhabitants and the intellectuals who gravitate to the University from all over the world – and these tensions are invariably understood in terms of class. Sophie herself occupies a space between the two populations. She attends a private school for girls and lives in the house of an academic, but the boy she falls in love with is a local boy from a half-derelict working-class estate, whose previous girlfriend – also local, also working-class – was an Oxford student who died of JI2. Sophie’s ties to the Town have a geographical, emotional and architectural centre, just like her ties to the Gown or university. Her first trip with her academic Aunt is not to a medieval site – though there are plenty such visits at later points in the book – but to the neighbourhood of the former cement works at Shipton on Cherwell, where stands ‘a tower, at least a hundred feet tall, jutting into the sky’ (p. 13): the cement works chimney. Kira mistakes this at first for a castle, having been prepared by her mother back home in Toronto to expect an England full of castles. Aunt Irene promises to take her to see a proper castle – the one at nearby Warwick – but the cement works chimney has more in the way of history than any decaying military fortification. It’s an integral part, for instance, of Irene’s own past – the place where she met a man who was perhaps her lover, ‘a quarry engineer who sometimes did freelance work assessing dig sites for the School of Archaeology’ (p. 14). This half-forgotten love story invokes the many points of convergence between Town and Gown in Oxford’s history, their symbiotic relationship despite the tensions between them. And it invokes for Sophie the disruption of her personal history by the onset of the pandemic. In Toronto she had always assumed that her future would involve a university education. Uprooted from Canada at a time when the world is waking up to a new Black Death, accompanied by unprecedented storms and temperature changes, such comfortable expectations have quickly come to seem beyond the pale. As a result, the ruins of the cement works look more like the pictures she is painting in her mind of the world’s future, stripped of its human population, quickly reclaimed by vegetation, its soundscape dominated by the calls of birds – like the ‘fantastic noise’ made by a flock of starlings that suddenly materialises near the abandoned factory, twisting itself into ‘complicated patterns and ghostly shapes’ as if to sketch out an unreadable prediction of things to come (and the incident clearly invokes the Roman habit of reading omens in the flights of birds) (p. 16). But its resemblance to a ruined castle means that the chimney is also tied to the past, or to an imagined alternative past which is always invading the present in fantastic stories, as doors open into it from wardrobes or pictures, or figures from it come striding or stumbling into the modern landscape, as in the work of Susan Cooper. And it is a brave and impetuous act by Sophie herself that brings the chimney back to life, rendering it urgently relevant despite its derelict condition.

It’s to the chimney that Sophie decides to bring the corpse of her sister after she has died of JI2 – stealing her from the hospital mortuary and smuggling her out of the city in her Aunt’s requisitioned Renault. It’s in the chimney that the body undergoes a wonderfully unsettling metamorphosis, reminiscent at first of the pupa stage in an insect’s development. It’s at the chimney that Sophie gets to know the Town boy, Bryan, an amateur engineer who becomes her lover, just as an older engineer became Irene’s; and it’s there that she learns to let the transmuted Kira go, to stop trying to keep her as the child she once was, the child she is no longer. The chimney even becomes a kind of chute or birth canal leading from this life to the next, as the resurrected, changed and now airborne Kira batters her way like a giant moth towards the circle of light at its distant apex. Finally, the chimney is the place where Sophie and Bryan plot together to acquire for themselves the secret of flight, building a powered paraglider or paramotor with which they hope to make contact with the freshly-fledged dead, the youthful angels of the climate apocalypse, Kira among them. The chimney, then, like New College, is a brooding and birthing place where the future can be germinated from the seeds of now.

It’s the place, too, where the impossible happens, taking over from New College as the central site of Oxford fantasy. This new version of the impossible is forged from the kinds of technical ingredients largely ignored by the scholarly Inklings: a petrol engine, a foam seat fitted with recycled seatbelts, the ‘giant steel circle of welded pipes’ which forms the paramotor’s frame (p. 318) – a witty homage to Tolkien’s One Ring, with the chimney as its Barad-dûr. The paramotor becomes Sophie’s obsession, just as the Ring becomes Frodo’s, and a similar aura of destructiveness clings to it, reinforced by the fact that it’s powered by fossil fuels. But it’s also an emblem of something like hope out of despair. Aunt Irene considers this kind of hope – the hope of an afterlife, the hope of a new phase of evolution that might involve some kind of resurrection from the dead – as no more than ‘magical thinking’ (p. 304), an anachronistic state of mind which might have been suitable for the fourteenth-century victims of the Black Death, because of the different ‘conceptual schema’ by which they lived (p. 303), but has lost its validity since the Millennium. Sophie and Bryan, however, who grew up with an easy familiarity with the miracles of science and technology, see magical thinking as a blueprint for action. Bugs undergo astonishing changes every day, resurrecting themselves from the tomb of the chrysalis or pupa. The laws of physics keep being rewritten, as the impossible proves possible in each successive generation. Technology shows itself capable of replicating some of the bizarrest actions of the natural world – such as the flying technique of the bumble bee, as imitated by ‘Herr Cederberg’ in the short story by Karin Tidbeck.[2] And the cement works chimney might just be the channel or conduit which will take human thought and action, if not science and technology, to a whole new level.

Marshall’s book, then, has something interesting to say about the impulse to indulge ourselves in fantasy and the fantastic, the art of the impossible. What happens to Sophie in Oxford has been prepared for in her mind by her self-immersion in often old-fashioned fantasy texts. Her idea of England is shaped in Toronto by her reading of books posted to her by the Oxford-based scholar Aunt Irene: The Ladybird Book of British History, for instance (p. 3), or Susan Cooper’s The Dark Is Rising series (1965-77), which deals with modern children (modern, that is, in the 60s and 70s) who are precipitated into a sudden clash between old and new, the ordinary world and a magical otherworld, for enormous stakes (p. 3). Cooper wrote The Dark Is Rising in America, although she was born and raised in Britain, so the series represents the intersection between cultures that will feature throughout Marshall’s book. Sophie also reads The Chrysalids (1955) at school in Canada, a book about a post-apocalyptic America written by the British author John Wyndham, whose title hints at insectile metamorphoses of the kind that are happening again in Sophie’s England (p. 28). A few pages later we learn more about Sophie’s reading. Charlotte Perkins Gilman’s The Yellow Wallpaper (1892), which describes a woman’s breakdown in fantastic terms and anticipates the breakdown of Sophie’s mother at one point in the novel (which is in fact a breaking down and reconstruction of her assumptions, her ‘schemata’ as Aunt Irene might call them) (p. 30). Harry Potter, whose schooldays anticipate the bizarre educational experiences of the students of New College, including their cultural war against the older generation and its police. Tolkien’s The Hobbit (1937), comforting in a way The Migration refuses to be, though Marshall’s book freely acknowledges the necessity of comfort reading and therapeutic storytelling (p. 39). Fairy tales about appalling family crises such as Hansel and Gretel (p. 40). Peter Pan (book version, 1911), about a boy who learns to fly exactly as Kira and Sophie do (p. 160). I’ve already hinted at the presence in the novel of the Narnia books (that reference to death as a portal in the prologue), and one element of those books features prominently in it: animals (in this case bugs or birds) who share their thoughts with human beings. The novel swarms, in fact, with fantasy references, and in each case the fantasy in question has direct application to Sophie’s situation, preparing her for the wonders and horrors of the world of now. Fantasy provides her with schemata for a time of radical, painful or appalling change, despite or perhaps precisely because of its roots in the past.

One of the great moments in Marshall’s novel occurs at the point when Sophie confronts her Aunt Irene with some searching questions about her attitude to history and its bearing on the present. Sophie is almost certain that the young people such as her sister who have died of JI2 live on after death as themselves in some discernible way. Aunt Irene has spent her life studying a Medieval civilisation that believed the same thing; but for her it is ‘dangerous… to think in that way’, since ‘magical thinking’ means ‘you might do something stupid’ (p. 303), such as throwing away your only chance at adult life in a suicidal leap of faith simply because you believe that something better might come after. Aunt Irene sustains her argument with scientific discourse, as she insists that Sophie’s hopes for her sister are ill-founded:

The structure of the human brain is delicate. It can’t survive the kind of trauma those bodies are going through. So whatever lives on, even if it’s biologically alive, it isn’t the same. Don’t you think I want to believe as well that something continues on? But that’s false hope, Sophie. It’s a trick. (p. 303)

Her case against a belief in resurrection is much the same as the case an atheist might make against the delusions of a passionate believer. Yet it also echoes the arguments of the Christian apologist C. S. Lewis when he expostulated against the visions of human evolution propounded by the visionary science fiction writer Olaf Stapledon. In Stapledon’s Last and First Men (1930) and The Star Maker (1937), Lewis contended – books which describe the future history of humanity, covering thousands and even millions of years – the human body, mind and social order undergo changes so extreme that the new life forms these books describe can no longer accurately be called human. They have lost (Lewis thought) their soul. The fact that the same reasoning can be applied both by a believer and an unbeliever suggests that the territory each occupies is not as alien as one might think. In both cases, resistance to radical ideas and the different schemata that inform them can be a screen for deeply-rooted conservatism born of timidity: fear of difference, fear of revolution, fear of extreme corporeal change.

But Sophie has scientific reasoning on her side too. ‘That’s not how history works, though, is it?’ she argues (p. 304). ‘We don’t get to put things back to how they should be because it makes life easier to understand’. In any case, she adds, the past was as full of traumatic incidents as the present: ‘There isn’t safety in the way things were’. The Black Death is proof enough of that, or the massacres and migrations that have featured throughout human history. ‘So what if there’s an answer here,’ she concludes, ‘something radical and new’ about the changes undergone by the new plague’s victims?  Aunt Irene’s response to this unsettling suggestion may itself be conditioned by biology rather than reason. ‘Her eyes slide away from mine,’ Sophie observes; ‘For a moment I felt she almost grasped my line of thought but now she’s shifting away, her mind rejecting what I told her, antibodies pushing out a foreign bacterium’ (p. 305). The older woman is protecting herself against the unfamiliar, as people often do, not yet ready to ‘let it break through [her] defences, […] find a way to use it’. At the same time, Irene is a reader of fantasy and the fantastic, with Susan Cooper and John Wyndham on her shelves at home. She has not yet learned to accommodate the new, but that does not mean she never will. Like Sophie herself, Aunt Irene has been prepared for radical change by the kind of fiction she enjoys in her spare time.

Sophie’s scientific reasoning is akin to faith. As she prepares for her first desperate flight in the paramotor, the young woman recognises her half-baked plan to make some sort of contact in the sky with the newly-evolved survivors of JI2 as the definitive act of a true believer: ‘It is the only chance I have to see Kira again, even if it is a long shot. A leap of faith. I don’t know what comes next but I have to try’ (p. 319). She is spurred by the fact that she herself has now contracted JI2, which means she is already affiliated or committed to the metamorphosis her sister underwent before her. As the plague began to spread, the older generation started to think of the young as in some sense a different species, threatening the precious cultural inheritance they had hoped to pass down to their children and grandchildren; threatening, in fact, the survival of the world they thought they knew. For Sophie, by contrast, the infected young may carry the seeds of knowledge of the time to come, a wisdom she yearns for, as her name suggests. And sure enough, her desperate flight into the eye of a storm helps her gain that knowledge. In a lyrical passage, she finds Kira’s memories in her head along with her own, as well as Kira’s premonitions of the drowned world of the future, the world that will inevitably follow the melting of the polar icecaps and the onset of extreme weather incidents. It is a world for which the metamorphosed young will be fully adapted. The resurrected, airborne Kira ‘has been made for the storm – not just to survive, but to flourish in it. […] And the earth is passing away from me, the earth has hatched me. It’s hatched both of us. I can feel her closer now’ (p. 361). Myth enthusiasts may detect a reference here to the egg that hatched the twins Castor and Pollux and their sister Helen, the most beautiful woman in the world. Helen is a paradox, like the victims of JI2; she both brought about the fall of Troy and bequeathed to future generations the magnificent story of that fall, the ‘terrible beauty’ described by Yeats, somehow liberating as well as tragic.[3] Sophie’s leap of faith is both terrible and beautiful, committing her body, like that of her sister, to the next ‘gyre’ or cycle of the world’s existence.

The book ends as it began, with the act of playing dead; but in the final chapter Sophie’s childhood games are relayed to us through the memories of her mother, now newly recovered from the breakdown brought on by her younger daughter’s death. Like Sophie, Char has always been haunted by the potential link between playing dead and ‘actual’ death. Each time she found the child Sophie acting out her own mortality, a ‘terrible fear would come over me that this time, maybe it wasn’t just playing, maybe it was real’ (p. 379). But in this final chapter, Sophie’s death is no game. The paramotor (a trivial object designed for pleasure – a means of playing with death) has crashed to the ground on its maiden flight and broken her body, and Sophie herself is about to undergo the post-mortem metamorphosis of all JI2 victims. Fantasy has been revealed once again as mental preparation for traumas to come.

But for Marshall, fantasy is more than this; especially experimental fantasy, of the sort that refuses to tread the path of slavish imitation – like The Lord of the Rings, whose familiarity sometimes makes us lose sight of just how original Tolkien’s text was at the time of writing. Sophie herself embodies such experimental fantasy, having had an ‘aura of unpredictability’ since birth, in her mother’s eyes, arriving ten weeks before her due date with bluish skin, yet surviving against all odds in an incubator and emerging stronger for the ordeal. Unpredictable fantasy – the sort whose ending you cannot guess when you start reading – can help us understand and resist brutality of various kinds, as is hinted at in the name of the doctor who wishes to take Sophies corpse for experimental treatment in his lab (he is ‘Lane Ballard’, a clear allusion to the dark visions of the future hatched by the former trainee doctor, J. G. Ballard, in his so-called ‘space fiction’). But experimental fantasy also enables us to confront the impossible, inhabit it, make it our home. Magical thinking gave Char hope in her early days as a mother, as she waited to find out if her premature baby would emerge from the incubator dead or alive. ‘“Live,” I whispered as I looked at you behind the glass, “please, live”’ (p. 383). But, she adds in the present as she breathes the same words while waiting to see if her broken daughter will live or die, ‘it doesn’t always work like that, does it? Only in fairy tales does it work like that’. Baby Sophie obeyed the logic of fairy tales in her childhood – the ‘magical thinking’ they encourage; but the laws of chance, Char thinks, make it unlikely this will happen again.

Sure enough, teenage Sophie doesn’t live; or rather, she ‘really’ dies. But fairy tales can be as unpredictable as any other kind of fiction, especially if you turn to non-European storytelling traditions. An Egyptian fairy tale known to Char, which Sophie used to read to Kira, tells of a heron who rebuilt the world after the Deluge, the universal flood which is also described in the Old Testament and classical legend. This tale told by a child to her sister offers a model for seeing a way out of the climate crisis: a way that involves stepping sideways from one form of life – the dominant form of our time, the life of human beings under late capitalism – into another whose schemata are unfamiliar to us, as unfamiliar as the notion of a heron as the world’s creator. Sophie and Kira take that sideways step or leap, with trepidation and excitement. In tracing their transition to another schema, Marshall’s book refashions Oxford, the birthplace of the fantastic, as the birthplace of a new fantastic, better suited to our needs at a time of accelerated global change. Readers of all generations can learn from this refashioning.

NOTES

[1] Marshall alludes obliquely to both these myths in her novel. I leave it to you to spot the references!

[2] Karin Tidbeck, Jagannath (2012), pp. 41-44.

[3] See Yeats, ‘Easter 1916’, ‘Leda and the Swan’, ‘The Second Coming’, etc.

Fantastic Economies: Flann O’Brien and James Stephens

[I’m deep in the marking season, so haven’t had time to finish the blog post I was working on this month. Instead I’m putting up an essay from a few years ago, adding to the discussions of Irish fantasy you can find elsewhere on this blog. The essay was published in Flann O’Brien: Problems with Authority (Cork: Cork University Press, 2017), pp. 136-51, expertly edited by Ruben Borg, Paul Fagan and John McCourt. A Russian translation by Shasha Martynova is also available here, edited for Gorky by Maxim Nemtsov.

You can find more on James Stephens here, and on Flann O’Brien here.]

In this essay I shall argue that Flann O’Brien’s The Third Policeman (1940) is (among other things) a radical reimagining of one of the best-loved Irish novels of the twentieth century: James Stephens’s The Crock of Gold (1912). In reworking Stephens’s quirky nationalist fantasy for a later generation, O’Brien arranges elements of the earlier novel into strange new forms adapted to the grim new social and political realities of the 1930s.  Stephens conceived his book as an imaginative act of resistance against the unholy alliance of the church and the British state, pitting mutually supportive poverty against the reactionary self-interest of the middle classes, the passionate body against the cultural and religious authorities who sought to suppress it, and predicting a brilliant future for an independent, egalitarian, quasi-pagan Irish nation. O’Brien reconceives the novel as an elaborate trap, in which Ireland, its people and its landscape wholeheartedly participate in the worldwide trend towards totalitarian authoritarianism and its inevitable outcome: self-destruction. The chief components of both novels are a pastoral, often lyric vision of the Irish countryside, a clutch of self-educated philosophers, a man condemned to death and some eccentric but threatening policemen. How and why such similar elements should have been recombined to produce such radically different texts, each of which issues an equally scathing assessment of the condition of Ireland at its own particular point in history, is the subject of this essay. [1]

O’Brien’s debt to Stephens has often been noted.  In 1966 an anonymous essayist argued in the Times Literary Supplement that O’Brien owed more to the ‘tradition of modern Irish fantasy and romance in which the definitive figure is James Stephens’ than to Joycean modernism (though there seems no good reason to choose between these debts, since Joyce and Stephens were friends).[2] Thirty years later, Keith Hopper pointed out that Sergeant Pluck is ‘a fictional composition of […] features borrowed from other texts (most notably James Stephens’s policemen in The Crock of Gold)’;[3] while Carol Taaffe has recently contended that the ‘nearest predecessor to O’Nolan’s fantasy was James Stephens’s The Crock of Gold’.[4]  None of these commentators took their perceptions much further; but the sheer frequency with which O’Brien’s debt to Stephens has been affirmed suggests that a close comparison is overdue. And Taaffe’s comments in particular open up a number of fruitful avenues of inquiry.

Scene from the Blue Raincoat Theatre production of The Third Policeman

For Taaffe, The Third Policeman is a ‘resolutely apolitical piece of nonsense’ (my emphasis), which reflects O’Brien’s ambiguous attitude to de Valera’s Ireland, caught between anger at and complicity with its oppressive paternalism towards its citizens.[5] It seems to me, though, that O’Brien’s evident fascination with The Crock of Gold could be read as the key to a decidedly political reading of The Third Policeman, which reinforces Shelly Brivic’s contention that an ‘insurrectionary attitude’ lurks beneath the surface of O’Brien’s masterpiece.[6] Neither The Crock of Gold nor James Stephens could be described as in any sense ‘apolitical’, embroiled as they were in the ferment of nationalist activism that preceded the outbreak of the First World War.[7]  O’Brien’s decision, then, to redraft Stephens’s book in the context of the nationalist ferment that preceded the Second can itself be seen as a political act.  That the political outlooks in question are so different can be ascribed to the different class backgrounds of the two writers, as well as to the times in which they wrote. And these differences emerge most clearly in the contrasting imaginative economies of their novels.

Stephens saw himself as having been shaped by the economic conditions of his upbringing.  In a fragment of autobiography he represents his early life in terms of a series of transitions from one social milieu to another:

The Dublin I was born to was poor and Protestant and athletic. While very young I extended my range and entered a Dublin that was poor and Catholic and Gaelic – a very wonderworld. Then as a young writer I further extended to a Dublin that was poor and artistic and political. Then I made a Dublin for myself, my Dublin.[8]

The recurring note throughout these transitions is one of poverty. Stephens was educated at the Meath Industrial School for Protestant Boys, for which he qualified by getting himself arrested for begging at the age of six.[9] He left school at sixteen to work for a pittance as a solicitor’s clerk, a life from which he was precariously set free by the success of his writing. Brian O’Nolan, by contrast, came from a Catholic middle-class background, took a Master’s degree in Irish literature at University College Dublin, and followed his father into the Civil Service.[10] His father’s early death left O’Nolan to support eleven siblings, but thanks to O’Nolan’s salary the family never experienced poverty. At the same time, as a native Irish speaker O’Nolan was intensely conscious of the quasi-mythical link that had been forged by scholars and patriots between economic deprivation and the Irish language. The association formed the basis of his satire An Béal Bocht (1941), where the purest Irish is spoken by starving peasants who are kept artificially segregated from modernity, by government decree, in a fantastic Gaeltacht.  Stephens and O’Nolan, then, had radically different experiences of poverty, but shared an intense awareness of the economic basis of relations between classes, between nations, between an author and his readers; and this awareness manifests itself on every page of their strangely linked masterpieces.

The dominant economy of The Crock of Gold is a romanticized version of the economics of the working classes, underpinned by the custom of gift exchange among the travellers who throng its rural highways.  Men and women in Stephens’s Ireland are always sharing bread, as well as advice and information, with random strangers they meet on the road. At one point the protagonist, an elderly Philosopher, generously shares his one small cake with seven large labourers, male and female, and is rewarded with the ‘larger part’ of a food parcel belonging to one of them.[11] Later, when he is hungry again, he meets a young boy who tells him ‘I am bringing you your dinner’ and spontaneously hands over another food parcel.[12] The generosity of strangers extends to the courtesies they exchange, verbal equivalents of the material gifts that sustain them on their travels. Having finished the meal donated to him by the boy the Philosopher tells his benefactor, ‘I want nothing more in the world […] except to talk with you’, and the two quickly discover there is ‘not so much difference’ between a child and an old man.[13] And each of these chance encounters – with the boy and with the labourers – concludes with the Philosopher giving the strangers important messages from the Irish god Angus Óg, which serve to bind together the community of the poor in a single purpose: the democratization of the reawakened Irish nation.

The Third Policeman, by contrast, is dominated by the economics of the middle classes, based on individual self-advancement, a paranoid concern to protect what they take to be their private property (though in this book property is for the most part theft and the concept of ownership problematic), and a penchant for aggressive competition in all their dealings. The verbal courtesies they exchange are as elaborate as those of Stephens’s travellers, but serve the function of a robber’s mask as they seek to con conversationalists out of their possessions and even their lives.  When the unnamed first person narrator meets a ‘poorly dressed’ stranger on the road his first reaction is to check that his wallet is safe, after which he decides to ‘talk to him genially and civilly’ in the hope of coaxing information out of him.[14] The stranger’s courteous replies to the narrator’s civility (‘More power to yourself’) lead inexorably to a threat of murder (‘Even if you have no money […] I will take your little life’), which is only averted by the discovery that both men possess an unusual feature in common – each has a wooden left leg.[15] Shortly afterwards the friendly welcome the narrator receives at the local police station rapidly transforms itself into another death threat, when he is arrested and condemned to be hanged for a crime of which there is no evidence that he is guilty.

Illustration by Jen O’Brien

In O’Brien’s world, too, information is guarded jealously as a source of power, not shared as it is in Stephens’s Ireland. Policeman Pluck’s second and third rules of wisdom – the only rules he follows that have nothing to do with bicycles – are ‘Always ask any questions that are to be asked and never answer any’ and ‘Turn everything you hear to your own advantage’.[16] Meanwhile the driving motive for the narrator’s journey is a quest for gold to finance his pet project: the private printing of his otherwise unpublishable book on the unhinged philosopher de Selby, containing information of no conceivable value to anyone but a few scholarly authorities on the man himself – and to its author, of course, who hopes to join their exalted ranks by virtue of his volume. O’Brien’s inversion of Stephens’s economy could not be more complete, and the competition between individuals and social classes that underpins it – in contrast to the communal interests that dominate The Crock of Gold ­– can be summed up in the narrator’s contempt, as a would-be scholar, for the intellects of the men he meets (‘I decided now that he was a simple man and that I would have no difficulty in dealing with him exactly as I desired’), as he kills and lies his way towards the cashbox he requires to fund his project.[17]

Stephens composed The Crock of Gold in a ferment of political and personal optimism.  The year of its publication, 1912, saw the publication of the other two books that made his name: a quasi-realist novel, The Charwoman’s Daughter, and the poetry collection that cemented his reputation as one of the finest Irish poets of his generation, The Hill of Vision. The immediate success of these volumes prompted him to give up his job as a clerk, acquire an agent, and set off to seek his fortune in Paris.[18]  His plans for the future, as the title of his poetry collection suggests, were ambitious.  He shared the vision of an independent socialist Ireland with his friends and fellow poets Thomas MacDonagh and Patrick Pearce, both of whom died in the Easter Rising; and he dreamed of giving a suitable literary form to this vision by writing a multi-volume epic based on the Ulster Cycle, a work worthy of the richly creative and egalitarian society he expected Ireland to become. But the Free State turned out very different from the Ireland he had imagined, and he completed only fragments of this project. It is therefore his two celebrated prose works of 1912, along with his early lyrics, that best articulate his youthful ambitions for his country.

O’Nolan seems to have been thinking about Stephens a good deal around the time when he was writing The Third Policeman. In 1938 he wrote to the older novelist asking permission to translate The Crock of Gold into Irish; and as Taaffe points out, if this permission had been forthcoming the translation ‘would have been his next project after At Swim-Two-Birds’ – would have taken the place, in fact, of The Third Policeman in the chronology of O’Nolan’s major works.[19] Stephens’s refusal denied twentieth-century Irish literature what might have been one of its collaborative masterpieces; but it also enabled his fiction to undergo some unexpected mutations in the crucible of O’Nolan’s imagination.  In 1941, for instance, The Crock of Gold cropped up in Cruiskeen Lawn as one of the prized items on offer to wealthy customers of the Myles na cGopaleen ‘book handling’ service. In the de luxe version of this service, Myles’s team of so-called ‘master handlers’ undertake to upgrade your private book collection (for a suitable fee) by padding it out with classic volumes, their title pages inscribed with ‘forged messages of affection and gratitude from the author of each work’, including an expression of esteem from ‘Your old friend, James Stephens’.[20] Stephens’s influence may also be detected ‘in the erudite dialogues of the Pooka and the Good Fairy’ in At Swim-Two-Birds, as Taaffe points out, which recall the dialogues between the Philosopher and his brother in The Crock of Gold;[21] and in the many bar-room rhetoricians of Cruiskeen Lawn, who resemble the sponging old gentleman-philosopher in Stephens’s story collection Here Are Ladies (1913).[22] It can be traced in O’Brien’s description of Sergeant Pluck, whose ‘violent red moustache […] shot out from his skin far into the air like the antennae of some unusual animal’,[23] evoking the red moustache of the equally huge policeman in The Charwoman’s Daughter, which ‘stood out above his lip like wire’ so that ‘One expected it to crackle when he touched it’.[24] Even the famous multiple personae O’Nolan adopted might remind us of Stephens’s many pen-names, from Tiny Tim to the Leprechaun, James Esse, Jacques and Seumas Beg.

In 1940, O’Nolan accomplished his most extended act of translation from the work of Stephens: The Third Policeman, which translates The Crock of Gold into terms directly applicable to the global situation at the beginning of a second Great War and at the end of the depression. The fact that this is a translation of a sort emerges most clearly in the plot of each novel, which links capitalist economics to the crime of murder. In both books the desire for capital leads to violence; but the route from cash to aggression is quite different in each case, and the relationship between capital, violence and Ireland differs too, in ways that summarize the different worlds in which the authors found themselves.

The plot of The Crock of Gold involves a stock of money, the crock of the title; but the coins it contains play only a marginal role in the lives of their owners. The Leprechauns of Gort na Cloca Mora have accumulated the cash as insurance against the greed of mortal men. As one of them explains, ‘a Leprecaun [sic] has to have a crock of gold so that if he’s captured by men folk he may be able to ransom himself’.[25]  Their traditional work as shoemakers, by contrast, participates in a non-monetary economy: it is remunerated in kind by mortals through the strict preservation of certain customs, such as leaving out a pan of milk for them on Tuesdays, removing one’s hat when faced with a dust-twirl, and observing a pact of non-aggression against their special bird, the robin redbreast.  The Leprechauns, then, inhabit a world where one economy is pitted against another, where the competitive thirst for accumulated capital which makes the crock necessary is set against a strategy of mutual co-operation within the working class community; and the climax of the novel sees an escalation of the conflict between these two economies, with very nearly fatal consequences for Stephens’s Philosopher.

The representatives of the capitalist economy in the novel are the policemen, called in by the Leprechauns in the course of a feud with one of their neighbours, Meehawl MacMurrachu, who stole their crock of gold on the Philosopher’s advice. In revenge, the Leprechauns frame the Philosopher for the murder of his brother; and the men who come to arrest him bring with them an alien set of values, characterised by a rigid sense of hierarchy and a propensity for violence. Where the rural people in the book’s community – mortals, gods and fairies alike – portion out their food and drink with scrupulous fairness, the policemen divide what they have according to rank, with the sergeant drinking whiskey and his subordinates milk.[26] Where the Philosopher bases his wisdom on the behaviour of birds, beasts and insects, on the assumption that all creatures were created equal – an attitude the book endorses by recording the thoughts of donkeys, cows and spiders – the policemen treat dumb animals with brutality, as if to confirm the brutal nature of their own social function. We hear of a policeman’s pet jackdaw whose tongue was split with a coin to make it talk, and which was accidentally trampled to death by its owner’s mother;[27] of a dog that got kicked for counting too long;[28] and of a cat that ate her kittens, about which Policeman Shawn informs us: ‘I killed it myself one day with a hammer for I couldn’t stand the smell it made, so I couldn’t’.[29] Soon after saying this, Policeman Shawn treats one of the Leprechauns with equal aggression. ‘Tell me where the money is or I’ll twist your neck off’, he warns, driven half mad by his lust for fairy gold; and later, ‘Tell me where the money is or I’ll kill you’.[30] The brutality of Stephens’s policemen is connected with money in an endless cycle of cause and effect. And when the Philosopher arrives at their barracks he discovers that the citizens they police, as represented by the prisoners in the cell, have been trapped in a similar cycle, body and mind.

Both prisoners were driven to crime by unfair dismissal from jobs in the city. The first was sacked for non-attendance owing to illness, the second summarily dismissed because of his age. Both men experience unemployment as a brutalising loss of identity, expressed in their exclusion from the system of verbal exchanges that define a community. When the Philosopher first enters the cell, neither man returns his greeting – the only time in the book when a courteous gesture is not reciprocated. The prisoners tell their stories in the dark without giving their names, so it is unclear which man is speaking. And the stories they tell identify inarticulacy as the first symptom of their exclusion from social and economic significance. The sickness of one prisoner manifests itself in an inability to write out words (like Stephens he is a clerk): ‘The end of a word seemed […] like the conclusion of an event – it was a surprising, isolated, individual thing, having no reference to anything else in the world’.[31] Here, the loss of a coherent written language is the cause of his dismissal from his job, while its effect is that speech too fails him. He stops talking to his wife, and eventually leaves his family without a word of explanation or farewell. For the second prisoner, too, the loss of his job is quickly followed by a loss of articulacy: ‘I did not allow my mind to think, but now and again a word swooped from immense distances through my brain, swinging like a comet across a sky and jarring terribly when it struck: “Sacked” was one word, “Old” was another word’.[32] When their income is taken away, each prisoner suffers the concomitant removal of the verbal grammar that binds one term to another, and of the social grammar that links one man to his neighbour or to his sense of his own identity in the past.

In the end, it is the improbable intervention of the fairies, gods and heroes of old Ireland that frees these prisoners from the cycle of economic and social exclusion to which they have been condemned. The hosts of the Shee rise up under the leadership of Angus Óg to liberate the Irish workers in a pagan insurrection. And the most striking characteristic of the insurrectionists is their unity-in-diversity, their ability to reconcile individualism with collectivism, exuberance with organisation, as expressed in a universal language:

For these people, though many, were one. Each spoke to the other as to himself, without reservation or subterfuge. They moved freely each in his personal whim, and they moved also with the unity of one being: for when they shouted to the Mother of the gods they shouted with one voice, and they bowed to her as one man bows. Through the many minds there went also one mind, correcting, commanding, so that in a moment the interchangeable and fluid became locked, and organic with a simultaneous understanding, a collective action – which was freedom.[33]

Stephens here represents the host of Angus Óg as practising a form of instantaneous communication, whereby they understand each other completely without discarding what makes them distinctive: precisely the obverse of the prisoners’ isolation and anonymity. And this language aspires to be uttered beyond the confines of Stephens’s narrative. The chapter in which the insurrection takes place is the only one with its own title, ‘The Happy March’, as if to ensure that its contents can be detached from the novel and deployed as the imaginative blueprint, or at least the incidental music, for an actual Irish insurrection of the kind that took place in 1916. Stephens’s book, in other words, opens up at the end, offering its contents as common currency to the Irish people in a generously inclusive gesture of the kind with which it is filled, in an attempt to liberate them by example from the prison of their colonised minds.[34]

Illustration by David and Edward O’Kane

O’Brien’s novel, by contrast, affirms the continued entrapment of the Irish people. It reverses the class positions of the police and the novel’s protagonist – the first-person narrator – forcing the reader to take the point of view of a petit bourgeois social climber, instead of that selfless if somewhat arrogant servant of the community, Stephens’s Philosopher. In contrast to the courteous and curious Philosopher, O’Brien’s narrator feels only disdain for those he thinks of as his social inferiors – including the police. He too is a philosopher, but a parasitic one who seeks to accumulate cultural capital by publishing a wholly derivative volume, an index to the works of the incoherent savant de Selby. And de Selby himself is the polar opposite of Stephens’s genial pedant: a solipsist who refuses to engage in dialogue with other thinkers, and who sees human existence not as a single organic entity but as a series of disconnected moments (‘a succession of static experiences each infinitely brief’),[35] each as detached from adjacent moments as he is from the rest of the human species. Where Stephens’s Philosopher draws on the collective wisdom of beasts, children and ordinary people to develop his theories, de Selby rejects any form of consensus: he ‘would question the most obvious realities and object even to things scientifically demonstrated’.[36] And his works conduct their readers not to enlightenment but bloodshed. In the last of many footnotes on de Selby in the novel we see one of his commentators set out with bombs and guns to kill his German rival because they disagree on how the great man’s writings are to be interpreted.[37] The link between this philosophy of exclusivity and obfuscation and the rise of Nazism is confirmed in an earlier footnote, where de Selby claims to be able to ‘state the physiological “group” of any person merely from a brief study of the letters of his name’ and avers that ‘Certain “groups” [are] universally “repugnant” to other “groups”’.[38] One race or family, then, gets segregated from another in de Selby’s thinking, just as one moment in time gets divorced from the next; so it is hardly surprising if the narrator of O’Brien’s novel, as the great man’s acolyte, finds himself increasingly alienated from other people in the course of the narrative, baffled by their discourse, convinced that his private interests are opposed to theirs, and prepared to kill to assert his own intellectual and economic superiority to those around him.[39]

Where Stephens locates his genial Philosopher in a gift exchange economy, O’Brien ensures that his narrator-philosopher is acutely conscious that he lives in a cutthroat capitalist environment. He knows (as does the reader) exactly how his research on de Selby is funded – through the farm and the failing pub he inherits from his parents – and how the income from these combined resources is not enough to fund the publication of his Index. He imagines the contents of the cashbox for which he kills old Mathers not as gold but as ‘Ten thousand pounds’ worth of negotiable securities’ such as stocks and bonds;[40] so that for all his claim to be absorbed in matters of the mind he knows the market intimately. And he plans to use these assets not for some collective benefit but to enhance his financial and social worth as an individual, despite the fact that neither the cashbox nor the book he has written is his own: the cashbox belongs to Mathers and the book is made up of quotations from other writers, since in it ‘the views of all known commentators on every aspect of the savant and his work had been collated’.[41] The only forms of interaction with the community he undertakes, in fact, are competitive, and even his conversation entails a constant jockeying for position, a quest for the upper hand that merely sinks him deeper and deeper into a self-imposed confinement of body and mind.

Illustration by Armando Veve

In O’Brien’s novel, as in Stephens’s, philosophers set out on journeys across an unspecified Irish landscape made up of rolling hills and bogland and populated by labourers, policemen, beasts and fantastical beings. But where Stephens’s Philosopher, true to his convictions, travels in order to put right the wrong he did when he gave poor advice to Meehawl MacMurrachu, O’Brien’s travels for personal profit. Where Stephens’s Philosopher encounters many women on his journey and engages in conversations with them about male-female companionship, O’Brien’s encounters only men, the closest he comes to female companionship being with an exquisitely-proportioned bicycle (designed for a man, with a cross bar), which he thinks of as utterly compliant – the ultimate patriarchal fantasy. Where Stephens’s Philosopher draws abundant conclusions from his experiences on his travels, changing his opinions on many subjects as he walks, O’Brien’s narrator constantly fantasizes about people and objects, and has a tendency to forget everything that has just happened. ‘If that watch of mine were found you would be welcome to it,’ he tells his departing soul at one point, to which his soul answers dryly, ‘But you have no watch’.[42]  This forgetfulness means he is incapable of reaping enlightenment from his adventures. In any case, with every step he moves further into a world powered by strange machines whose fabrication and functions defy analysis – such as the light boxes constructed by Policeman MacCruiskeen, or the mysterious engines tended by the police beneath the ground – and which therefore fail to illustrate any universal laws.

Illustration by Martin Herbert

On his journey to put right his mistake in misadvising Meehawl, Stephens’s Philosopher makes his way into caves where gods dwell. In the first cave he encounters the Greek god Pan, in the second Angus Óg, the Celtic god of youth; and each deity presents him with something of value. Pan gives him a pleasure in his senses, Angus makes him his messenger to mortals, investing him with a sociability he did not possess before, a consciousness of and a keen interest in his place in the wider community.  O’Brien’s philosopher, too, enters spaces like caves: an underground ‘eternity’ and a secret policeman’s barracks in a house’s walls; but in each he finds only policemen, personifications of an inescapable authority which is repudiated by the gods of Stephens, who ask only that mortals choose between them. Stephens’s Philosopher has to negotiate terrifying darkness and discomfort to reach Angus’s cave: ‘He could not see an inch in front, and so he went with his hands outstretched like a blind man who stumbles painfully along’.[43]  O’Brien’s narrator is similarly afflicted as he approaches the entrance to the underground eternity: ‘I […] followed the noisy Sergeant with blind faith till my strength was nearly gone, so that I reeled forward instead of walking and was defenceless against the brutality of the boughs’.[44] But in each of the cave-like spaces the narrator enters, the underground ‘eternity’ and the secret barracks, he discovers truths about himself which he never acknowledges – in marked contrast to Stephens’s protagonist, who not only recognizes the worth of what the gods show him but seeks to share this recognition with strangers on his way home.

What O’Brien’s narrator discovers in his two ‘caves’ is his own anonymity, which arises from his myopic obsession with accumulating financial and cultural capital. When he enters eternity in the wake of Sergeant Pluck he converts everything he sees into financial terms – in contrast with Stephens’s Philosopher, who converts what he sees into topics of conversation and quirky aphorisms. For the narrator, eternity is a giant cashbox full of ‘safe-deposits such as banks have’, ‘expensive-looking cabinets’ and ‘American cash registers’.[45] When he finds he can get what he wants there, he can only think of ordering a ‘solid block of gold weighing half a ton’, which he afterwards exchanges for a more practical quantity of valuables: ‘fifty cubes of solid gold each weighing one pound’ and ‘precious stones to the value of £200,000’.[46] As he warms to the task of exploiting his miraculous environment, the narrator acquires the accessories of the ultimate capitalist icon, a futuristic Hollywood gangster robbing a bank vault. Along with the valuables he orders a blue serge suit and a weapon capable of killing ‘any man or any million men who try at any time to take my life’, thus transforming himself into a feeble imitation of James Cagney – its feebleness confirmed by the fact that he forgets to ask for a bag to hold his loot (Sergeant Pluck obligingly gets him one ‘worth at least fifty guineas in the open market’).[47]  This excursion into cinematic fantasy confirms the link between his capitalist values and an early death; Cagney always dies young in his gangster movies. It confirms too the groundlessness of the narrator’s sense of superiority to the rustic police. No Hollywood gangster of the 30s or 40s was permitted to profit from his crimes, and it comes as no surprise when the policemen spring their trap, informing him that he cannot take any of his precious commodities back to the world above. And it also links him, almost incidentally, to the atrocities of global conflict. The weapon he orders can kill a million men as easily as one. The narrator’s glib way with numbers, in other words, permits him to gloss mass murder as self-preservation, yoking the capitalist mentality he represents to the outbreak of the Second World War.

Illustration by James Kenny

The second point in the novel where the narrator shows his true petit bourgeois colours comes at the end, when he finally meets the mysterious third policeman of the title. On learning that the cashbox he is looking for contains the substance omnium – the building-material from which anything and everything in the universe may be constructed – and on finding that Policeman Fox has confirmed his ownership of the box and its contents, the narrator launches into an extended series of fantasies about what he will do with it. While dismissing the pettiness of Policeman Fox’s deployment of the omnium (he uses it to make strawberry jam and to decorate his barracks), the narrator dreams of exploiting it to resolve the various more or less petty problems that have arisen in his own narrative, as related in the novel. And while each of his plans begin by sounding benevolent – giving John Divney ‘ten million pounds’ to make him go away, presenting ‘every poor labourer in the world’ with a golden bicycle – when he turns to thoughts of revenge on Sergeant Pluck his dreams mutate into nightmares.[48] Once again his thoughts revert to the underground eternity, where his hopes of enriching himself were raised and dashed, and he proceeds to convert this mysterious space in his imagination from an Aladdin’s cave to a sadist’s cellar, with ‘millions of diseased and decayed monsters clawing the inside latches of the ovens to open them and escape’ and ‘rats with horns walking upside down along the ceiling pipes trailing their leprous tails on the policemen’s heads’.[49] His grandiose projects are as limited as Policeman Fox’s little ones, and infinitely more damaging, since they are dedicated only to arranging time and space to his own private satisfaction.

Ironically, the narrator’s desire to differentiate himself from the other characters serves only to render him more anonymous – a tissue of financial and filmic clichés of the kind Myles na gCopaleen mocked in Cruiskeen Lawn. Many of Stephens’s characters, too, are anonymous, in that they are nameless. But while the namelessness of his two prisoners confirms their exclusion from social discourse, the namelessness of other people in The Crock of Gold (the Philosopher, the Thin Woman, the Leprechauns, the women, men and children met on the road) identifies them as representative: quasi-allegorical symbols of a vibrant nation that is moving towards a new collective identity.  The namelessness of the narrator in The Third Policeman confirms instead his biddable nature, his tendency to mutate into the person with whom he is currently in conversation, effectively losing himself in the process, to disastrous effect.  When working on de Selby the narrator imbibes the selfish, irascible, and amoral personality traits of his subject – with the result that he becomes capable of murder.  So, too, he becomes indistinguishable from his devious friend John Divney, locked together with him in a horrifying pastiche of Ciceronian amity whereby each is the other’s self, sharing bed and board while steadily winding each other up into an intense mutual hatred.[50]  When speaking to Martin Finnucane the narrator becomes the sworn brother of this one-legged murderer, without noticing the moral implications of their casual bonding.  And when conversing with Sergeant Pluck and Policeman MacCruiskeen he adopts their stylistic eccentricities in his narrative as well as in his conversation.  Helplessly driven by the impulses of his chameleon disposition, the narrator mingles his personality with those of everyone else he meets, as if to confirm the tendency of Ireland and Europe in the 1930s to follow disastrous models and totalitarian authorities, large and small, with slavish admiration.

The narrator’s namelessness, then, is that of Stephens’s prisoners rather than his representative types. Unlike the prisoners, he is not excluded from conversation; but his most honest and satisfactory conversations are with himself, or rather with his soul, who has a name, Joe, and who is always on the verge of leaving him. Joe’s disembodied voice, speaking to the narrator in the gloom of old Mathers’s house as the narrator confronts the ghost of the man he murdered, might remind us of the disembodied voices of the prisoners who speak to the Philosopher out of the dark of the cell.  In that episode the Philosopher, too, found himself unsure of his identity for the first time in his experience as the boundaries of his mind began to dissolve: ‘The creatures of the dark invaded him, fantastic terrors were thronging on every side: they came from the darkness into his eyes and beyond into himself, so that his mind as well as his fancy was captured, and he knew he was, indeed, in gaol’.[51]  This sense of the encroaching dissolution or erasure of the self resonates throughout The Third Policemen, especially in moments of darkness: the stormy dawn before the narrator’s hanging, for example, or the terrible moment when he wakes from sleep to find himself blind, before recalling that his eyes were bound by Policeman McCruiskeen before he nodded off. The flip side of the narrator’s desire to distinguish himself from others is the fear of losing his identity altogether; a fear substantiated on the last page of the novel, where he finds himself recommencing all his adventures – having forgotten them first, as is his wont – in the company of one of his many doubles in the narrative, John Divney, as if there were no difference between him and his friend.

Most striking of O’Brien’s inversions of The Crock of Gold is what he does to the body.  As an athlete – he was a gymnast – Stephens sought in all his work to liberate the body from the constraints imposed on it by the churches, Catholic and Protestant alike.  Meehawl MacMurrachu’s daughter Caitilin spends most of the novel in a state of edenic nakedness, and although the Philosopher begins by disapproving he quickly reasons himself into acquiescence with her choice.  ‘If a person does not desire to be […] protected who will quarrel with an honourable liberty?’ he asks himself; ‘Decency is not clothing but Mind’.[52]  Soon afterwards he finds himself exulting for the first time in the energy of his own body: ‘Years had toppled from his shoulders. He left one pound of solid matter behind at every stride.  His very skin grew flexuous, and he found a pleasure in taking long steps such as he could not have accounted for by thought’.[53]  O’Brien’s characters, too, are defined by their bodies; but in the policemen’s case these are grotesquely, massively physical, always on the verge of heart attacks or seizures, brought on by their relentless consuming of candy and jam as well as excessive quantities of the stirabout that sustained the rural poor in The Crock of Gold.  The narrator, on the other hand, is small and skinny, like the Philosopher; but where the Philosopher’s emaciated frame testified to his hunger – the quality that brings the working classes together in solidarity when they share their meals[54] – the narrator’s thinness and feeble appetite demonstrates his radical disconnection from people and things.  The policemen’s delight in food serves only to awake his snobbish disgust, whether at the effect their greed has on their monstrous bodies or at their inability to extend their imaginations beyond the narrow confines of the relative merits of different sweeties, the tastiness of stirabout, or the possibility of making strawberry jam out of the most powerful substance in the universe.

All of O’Brien’s bodies are ill-constructed machines, whose capacity to harbour sympathy or affection has been compromised by the discoveries of science. Sergeant Pluck’s atomic theory depicts the world as a concatenation of samenesses, an arrangement of particles which merely get rearranged when a person dies, so that executing an acquaintance is no more problematic than devouring a bowlful of porridge.[55] The narrator’s leg is a symptom of this loss of affect in O’Brien’s universe.  At one point he is afraid its woodenness is spreading through his torso, just as the atoms of bicycles spread into the bottoms of their riders.  In The Crock of Gold, the goat-god Pan’s half-bestial body insists on the animal sensuality which is part of our heritage as human beings, and which enjoins us to delight in the sentient donkeys, cows, and flies with whom the Philosopher comes in contact.  But in The Third Policeman, John Divney’s innocent, cow-like eyes conceal a vicious disposition,[56] and human beings have more in common with machines than animals.  The Parish policed by Sergeant Pluck is populated with half-human, half-bicycle cyborgs, though none of these hybrids are as bereft of fellow-feeling as the narrator, who has become fused with de Selby’s books, his mind stocked, like de Selby’s pages, with useless inventions of no conceivable benefit to anyone but the ego of the inventor and his adoring commentators.  As a result of this fusion, the narrator’s substantial funds of pity are reserved for himself, and he sheds abundant tears over his own predicament.  The only close relationship he forges (if one discounts his friendship with Joe, who is an aspect of himself) is with a bicycle, which he converts into a fantasy of female acquiescence, a willing, voiceless servant that mechanically submits to his every whim.  Stephens’s collaborative Ireland has been left far behind, a vision that has been outpaced by the speed of scientific and technological progress, hurtling the world towards conflict.

Nowhere is the difference between the books more evident than in their endings. O’Brien’s version of Stephens’s ‘The Happy March’ involves an apparent liberation, in which the nameless narrator sails off into the night astride the Sergeant’s bicycle, a metal goddess in total harmony with her environment: ‘all the time she was under me in a flawless racing onwards, touching the road with the lightest touches, surefooted, straight and faultless, each of her metal bars like spear-shafts superbly cast by angels’.[57]  Together man and bicycle liberate themselves first from Sergeant Pluck’s barracks, then from the smaller police station presided over by Policeman Fox; and in the final section they even free Divney from the constraints of his grotesque mortal body, as if in imitation of Angus Óg’s liberation of the Irish workers in The Crock of Gold (‘Come away! come away! from the loom and the desk, from the shop where the carcasses are hung, from the place where raiment is sold and the place where it is sewn in darkness’).[58]  But this chain of liberations is an illusion. Unlike the Philosopher, the narrator and John Divney are guilty of the crimes for which they were incarcerated, and both are dead rather than exuberantly alive by the end of the novel, trapped for all time in the cyclical jail of their forward momentum. As a result, where Stephens ends his book not so much with a march – happy or otherwise – as with a dance (‘they returned again, dancing and singing, to the country of the gods’),[59] The Third Policeman ends with the narrator and Divney ‘marching’ in unison into Sergeant Pluck’s police station – the place from which the narrator ‘escaped’ only pages before. Their mechanical, quasi-military return to the barracks aligns the novel as a whole with those ‘adventure books’ mentioned by the narrator in his conversations with Policeman Fox ‘in which every extravagance was mechanical and lethal and solely concerned with bringing about somebody’s death in the most elaborate way imaginable’.[60] It would hardly have escaped O’Brien’s readers that Europe in 1940 could have been described in similar terms.

The comparison of the ‘metal bars’ of Sergeant Pluck’s winsome bicycle to the ‘spear-shafts superbly cast by angels’ recalls the spears flung down by stars in Blake’s revolutionary poem The Tyger, from the Songs of Innocence and of Experience.  James Stephens was a self-professed Blakean visionary,[61] who sought in his poetry to adapt the Londoner’s proto-socialist vision to the needs of an Irish insurrection (Insurrections was the title of his first collection).  Brian O’Nolan, on the other hand, was a Swiftian satirist, for whom experience had long blotted out the possibility of recapturing or even celebrating innocence.  But it is the memory of innocence, I would like to suggest – the beautifully crafted innocence of The Crock of Gold – that gives The Third Policeman its astonishing vitality and poignancy.  The two books should be read in tandem.

Bibliography

Anon.  ‘Tall Talk.’  The Times Literary Supplement, September 7 1967. 793.

Brivic, Shelly.  ‘The Third Policeman as Lacanian Deity: O’Brien’s Critique of Language and Subjectivity.’ New Hibernia Review, vol. 16, no. 2 (Summer 2012). 112-132.

Coyle, John.  ‘Flann O’Brien in the Devil Era.’ No Country for Old Men: Fresh Perspectives on Irish Literature, ed. Paddy Lyons and Alison O’Malley-Younger. London: Peter Lang, 2009). 69-85.

Cronin, Anthony.  No Laughing Matter: The Life and Times of Flann O’Brien. London: Grafton, 1989.

Frankenberg, Lloyd (ed.).  James, Seumas and Jacques: Unpublished Writings of James Stephens. London: Macmillan and co., 1964.

Hopper, Keith.  Flann O’Brien: A Portrait of the Artist as a Young Post-modernist. Cork: Cork University Press, 1995.

Jeffares, A. Norman. ‘Introduction.’ The Poems of James Stephens, ed. Shirley Stevens Mulligan. Buckinghamshire: Colin Smythe Ltd., 2006. xi-xxxiv.

McFate, Patricia (ed.). Uncollected Prose of James Stephens. 2 vols. New York: St Martin’s Press, 1983.

Maslen, R. W.  ‘Flann O’Brien’s Bombshells: At Swim-Two-Birds and The Third Policeman.New Hibernia Review, vol. 10, no. 4 (Winter 2006). 84-104.

O’Brien, Flann. The Best of Myles: A Selection from ‘Cruiskeen Lawn’.  London etc.: Paladin, 1990.

——————–.  The Third Policeman. The Complete Novels, introd. Keith Donohue. New York etc.: Everyman’s Library, 2007. 219-406.

Pyle, Hilary. James Stephens: His Work and an Account of his Life. London: Routledge and Kegan Paul, 1965.

Stephens, James. Here Are Ladies. London: Macmillan, 1914 (f.p. October 1913).

——————–.  The Charwoman’s Daughter.  London: Macmillan and Co., 1912.

——————–.  The Crock of Gold. London: Macmillan and Co., 1928 (f.p. 1912).

Taaffe, Carol. Ireland Through the Looking Glass: Flann O’Brien, Myles na gCopaleen and Irish Cultural Debate. Cork: Cork University Press, 2008.

Notes

[1] Warm thanks to Paul Fagan for detailed and incisive comments on the first draft of this essay, and to the participants in the Second International Flann O’Brien Conference in Rome, 2013, for their questions and suggestions.

[2] ‘Tall Talk’, The Times Literary Supplement, September 7 1967, p. 793. On Stephens’s relationship with Joyce see Hilary Pyle, James Stephens: His Work and an Account of his Life, (London: Routledge and Kegan Paul, 1965), pp. 114-5; the detailed account in Lloyd Frankenberg (ed.), James, Seumas and Jacques: Unpublished Writings of James Stephens (London: Macmillan and co., 1964), pp. xxiii-xxx; and Stephens’s own broadcasts on Joyce in the same book, pp. 147-62.

[3] Keith Hopper, Flann O’Brien: A Portrait of the Artist as a Young Post-modernist (Cork: Cork University Press, 1995), p. 126.

[4] Carol Taaffe, Ireland Through the Looking Glass: Flann O’Brien, Myles na gCopaleen and Irish Cultural Debate (Cork: Cork University Press, 2008), p. 80.

[5] Taaffe, Ireland Through the Looking Glass, p. 65. For O’Nolan’s attitude to de Valera see also John Coyle, ‘Flann O’Brien in the Devil Era’, Paddy Lyons and Alison O’Malley-Younger (eds.), No Country for Old Men: Fresh Perspectives on Irish Literature (London: Peter Lang, 2009), pp. 69-85.

[6] Shelly Brivic, ‘The Third Policeman as Lacanian Deity: O’Brien’s Critique of Language and Subjectivity’, New Hibernia Review, vol. 16, no. 2 (Summer 2012), pp. 112-132, p. 114.

[7] The best picture of Stephens’s politics is painted in the political essays reprinted in Patricia McFate (ed.), Uncollected Prose of James Stephens, 2 vols. (New York: St Martin’s Press, 1983), vol. 1.

[8] Pyle, James Stephens, p. 3.

[9] Pyle, James Stephens, p. 5.

[10] See Anthony Cronin, No Laughing Matter: The Life and Times of Flann O’Brien (London: Grafton, 1989).

[11] James Stephens, The Crock of Gold (London: Macmillan and Co., 1928; f.p. 1912), pp. 172-3.

[12] Stephens, Crock of Gold, p. 186.

[13] Stephens, Crock of Gold, pp. 187-9.

[14] Flann O’Brien, The Third Policeman, in The Complete Novels, introd. Keith Donohue (New York etc.: Everyman’s Library, 2007), pp. 256-7.

[15] O’Brien, Complete Novels, pp. 257-60.

[16] O’Brien, Complete Novels, p. 272.

[17] O’Brien, Complete Novels, p. 268.

[18] See Pyle, James Stephens, Part One: Dublin – 1880-1925, pp. 3-107. See also A. Norman Jeffares, ‘Introduction’, The Poems of James Stephens, ed. Shirley Stevens Mulligan (Buckinghamshire: Colin Smythe Ltd., 2006), pp. xi-xxxiv.

[19] Taaffe, Ireland Through the Looking Glass, p. 80.

[20] See Flann O’Brien, The Best of Myles: A Selection from ‘Cruiskeen Lawn’ (London etc.: Paladin, 1990), pp. 17-24.

[21] Taaffe, Ireland Through the Looking Glass, p. 80.

[22] Stephens, ‘There is a Tavern in the Town’, Here Are Ladies (London: Macmillan, 1914, f.p. October 1913), pp. 277-349.

[23] O’Brien, Complete Novels, p. 267.

[24] Stephens, The Charwoman’s Daughter (London: Macmillan and Co., 1912), p. 62.

[25] Stephens, Crock of Gold, p. 76.

[26] Stephens, Crock of Gold, p. 209.

[27] Stephens, Crock of Gold, p. 206.

[28] Stephens, Crock of Gold, p. 218.

[29] Stephens, Crock of Gold, pp. 219-20.

[30] Stephens, Crock of Gold, pp. 226-7.

[31] Stephens, Crock of Gold, p. 246.

[32] Stephens, Crock of Gold, p. 262.

[33] Stephens, Crock of Gold, p. 308.

[34] One writer who took advantage of the detachable quality of ‘The Happy March’ was C. S. Lewis, who adapted it in the final section of his second Narnia book, Prince Caspian (1951).

[35] O’Brien, Complete Novels, p. 263.

[36] O’Brien, Complete Novels, p. 265.

[37] O’Brien, Complete Novels, pp. 373-6.

[38] O’Brien, Complete Works, p. 254, note 3.

[39] It is worth noting that one of de Selby’s commentators, le Fournier, seems to assign the philosopher a portion of blame for the outbreak of the First World War. See O’Brien, Complete Works, p. 246, note 4. For a fuller account of violence in The Third Policeman see my ‘Flann O’Brien’s Bombshells: At Swim-Two-Birds and The Third Policeman’, New Hibernia Review, vol. 10, no. 4 (Winter 2006), pp. 84-104.

[40] O’Brien, Complete Works, p. 251.

[41] O’Brien, Complete Novels, p. 229.

[42] O’Brien, Complete Novels, p. 368.

[43] Stephens, Crock of Gold, p. 140.

[44] O’Brien, Complete Novels, p. 335.

[45] O’Brien, Complete Novels, pp. 339-40.

[46] O’Brien, Complete Novels, pp. 343-4.

[47] O’Brien, Complete Novels, pp. 344-5.

[48] O’Brien, Complete Novels, pp. 394-5

[49] O’Brien, Complete Novels, p. 396.

[50] For Ciceronian amity see Cicero, ‘Laelius de amicitia’, Cicero in Twenty-Eight Volumes, vol. 20, De senectute, de amicitia, de divinatione, trans. W. A. Falconer, The Loeb Classical Library (Cambridge, Mass.: Harvard University Press and London: Heinemann, 1971), xxi. 80: ‘est enim is qui est tamquam alter idem’; ‘for he is, as it were, another self’.

[51] Stephens, Crock of Gold, p. 244.

[52] Stephens, Crock of Gold, p. 100.

[53] Stephens, Crock of Gold, p. 106.

[54] See Stephens, Crock of Gold, p. 91: ‘Every person who is hungry is a good person, and every person who is not hungry is a bad person. It is better to be hungry than rich’.

[55] See O’Brien, Complete Novels, p. 293ff.

[56] See O’Brien, Complete Novels, p. 226: ‘[Divney] had a quiet civil face with eyes like cow’s eyes, brooding, brown, and patient’.

[57] O’Brien, Complete Novels, p. 380.

[58] Stephens, Crock of Gold, p. 311.

[59] Stephens, Crock of Gold, p. 312.

[60] O’Brien, Complete Novels, p. 395.

[61] See Pyle, James Stephens, Chapters 3 and 4 (pp. 31-76).

Fantasy 1939: Mervyn Peake and Jacob Epstein

Jacob Epstein, Adam (1939)

I was recently reading a book about Adam: Oliver Langmead’s Birds of Paradise (2021), which presents the Father of Humankind as a scarred giant bearing the wounds of many generations, stalking the world in quest of surviving fragments of the fabulous Garden of Eden.[1] Each item from the Garden – bird, beast or flower – has the quality of a Platonic ideal, and this quality is signaled with capitals: the first magpie is Magpie, the first rose is Rose, the first crab is Crab and so on, each being the Crabbiest, the Rosiest or the most Magpieish being in existence. The book is full of the delight of first discoveries, as piece by piece the fragments restore to Adam the sensation of his initial encounter with Rose, Magpie, Crab, Fox, Butterfly and the rest, in the early days of the world’s creation. It’s a fully worked-out model of Tolkien’s notion of Recovery, whereby fantasy (or fairy story, as Tolkien calls it in his famous essay) restores to its readers the exhilarating strangeness of the common creatures and plants that inhabit our world, as if we were encountering them for the first time.[2] There has never been a time when Recovery has been more urgent, and Langmead gives it to us here in lavish profusion, inviting us to learn afresh how wonder-filled the planet is, or has been, in these days of its decline and possible fall.

Jacob Epstein, W H Hudson Memorial (1925), showing Rima

The book reminded me of another act of Recovery around the time when Tolkien wrote his essay on Fairy Stories, which he delivered as the Andrew Lang lecture in St Andrews University in March 1939, in the dark days before the outbreak of the Second World War. The 1930s saw the great sculptor Jacob Epstein turn his attention to the things that made the world, recreating in a series of three-dimensional artworks the delights of creation, the surprise of the new, in defiance of the dictatorships that worked to denigrate, smother, damage or destroy the oddly lovely and the beautifully strange. As a Jew in the 1930s, Epstein had borne witness many times to the distortion and damage that could be inflicted on things of beauty for ideological reasons, and on people and cultures whose achievements lay at the heart of civilizations, but whose contributions were being systematically erased from the records by sneering pseudo-historians. He had seen his own things of beauty – his most ambitious sculptures – subjected to ridicule, outrage and defacement for their bold exposure of things that were meant to remain unseen in civilized countries: homoerotic desire, as embodied in the Tomb of Oscar Wilde; adolescent exuberance in the monument to W. H. Hudson, which featured the writer’s most famous creation, a native Venezuelan girl called Rima; key moments in the life of the human body, from procreation to inelegant old age, in the eighteen spectacular nude sculptures for the British Medical Association Building in the Strand. The desiring sphinx on Wilde’s tomb was fitted with a symbolic figleaf by the Parisian authorities; Rima was tarred and feathered and defaced with swastikas; while the statues on the BMA building were mutilated in 1937, supposedly in the interests of health and safety (the stone had started to decay), but also because of long-term hostility to their open display of human nudity on a prominent public building. Epstein himself had been repeatedly subjected to anti-Semitic abuse, suggesting that hostility to his art was in many cases prompted by racism. He carefully listed the different kinds of verbal and physical damage inflicted on his sculptures in his autobiography, Let There Be Sculpture (1940). But he also gave that book a title which insisted on his continuing commitment, against all odds, to the act of creation, as incapsulated in the words of Genesis 1:3: Let there be light.

Jacob Epstein, Genesis (1931)

Epstein’s choice of title linked his autobiography – and hence his life – to his recent series of sculptures celebrating the early days of the world’s creation as recorded in the Hebrew scriptures. The first of these was a monumental statue titled Genesis, first exhibited in 1931. The image showed a pregnant woman, leaning backwards to display her swollen belly, and touching it with her hands in a gesture of tender pride, puzzlement, protectiveness and pleasure. The woman’s legs seem to be embedded in earth or stone, there is power in her thighs, hips, stomach and hands – which seem to draw strength from the stone below her – and her face resembles an African sculpture, such as the famous Great Bieri bought by Epstein in the 1920s from the Parisian art dealer Paul Guillaume. The name of Epstein’s sculpture, Genesis, implies that it represents Eve, and that the infant in her belly was the first child ever conceived. When it appeared in the Leicester Galleries the statue was vilified by many reviewers, largely because of its African features. The Daily Express described the woman as having ‘the vapid horrible stare of the idiot’, while the Daily Mail called her ‘a simian-like creature whose face suggests, if anything, the missing link’, and poured scorn on the sculptor’s ideas of beauty, which grow ‘every year more peculiar’.[3] Ironically, the Mail’s reference to the so-called missing link – a hypothetical common ancestor of humans and the great apes – touched on one of the points of the sculpture: to bring alive the link between the living and the dead, the people of the present and those who came before, stretching all the way back to the common origins of humankind on the African continent. Eve’s seeming emergence from the soil makes nonsense of the petty nationalisms and racial theories which draw hierarchical distinctions between one branch of humanity and another. The decision to model the face on a religious artifact of the Fang people of Equatorial Guinea, who honour their ancestors, seemed to the sculptor wholly appropriate for this purpose. Epstein’s interest in kinship between all peoples stemmed, he suggests in his book, from his childhood in the multicultural East Side of New York, where ‘swarms of Russians, Poles, Italians, Greeks, and Chinese lived as much in the streets as in the crowded tenements’, and where he made friends – to the shock of his respectable parents – ‘with negroes and anarchists’.[4] His critics had a narrower and nastier set of affiliations.

Jacob Epstein, Einstein (1933)

To some British observers, the project of associating the modern citizens of the United Kingdom with the people of sub-Saharan Africa was at best maliciously wrong-headed, at worst politically explosive, unsettling as it did the assumption that there was a natural racial and cultural hegemony which served to justify British imperialism. In The Daily Mirror a poet calling himself ‘Merry-Andrew’ – the early modern term for a professional clown – took Epstein to task for working so hard in his recent sculptures ‘To prove you and I are related to negroes’, in ‘flat contradiction of all that’s in Genesis’.[5] The poet, meanwhile, chose to identify Epstein as a relative of the great physicist Albert Einstein, presumably because of a perceived resemblance between their names. Like Einstein, Epstein has ‘Invented a theory about Relativity / Called Art for the Artless’, and his work can only be understood by certain intellectuals such as G.B.S. – the Irish socialist playwright George Bernard Shaw – who was one of the sculptor’s staunchest defenders. The Mail made the link with Einstein, too, suggesting that for his next project Epstein take on the theme of the Theory of Relativity, because since very few people understand it, the artist will thereby find himself ‘safe from criticism’.[6] A few years later, a Catholic reviewer of Epstein’s sculpture of the crucified Christ, Consummatum Est (‘It is finished’), again suggested that the two men were indistinguishable, both in name and in their common willingness to traduce plain common sense: ‘What is all this about Mr Epstein or Mr Einstein or whoever it is? I know one invented Relativity and the other Rima, only I never remember which is which. Probably because I can’t make head or tail of either’.[7] The characterization of both as comically foreign-sounding violators of the safe certainties that provided the foundation of British culture mark them out as amusing but potentially dangerous internationalists, scornful of the values that elevated Britain above its continental neighbours. The barely concealed anti-Semitism of this 1937 article is rendered more disturbing by the fact that the writer must have known very well that Einstein had been driven out of Germany by Nazi death threats four years earlier (Epstein made his bust of Einstein during the physicist’s short stay in Britain on the way to the United States). Jokes about Epstein’s and Einstein’s shared interest in disrupting time (and Epstein did say in his autobiography that with Genesis, ‘At one blow, generations of sculptors and sculpture are shattered and sent flying into the limbo of triviality’)[8] had by this point in European history taken on a distinctly menacing air.

Jacob Epstein, Consummatum Est (1937)

Epstein returned to the theme of creation at the end of the 30s. In 1938 he made a bronze sculpture of Adam and Eve being expelled from Eden, as if in acknowledgement of the dreadful turn taken by global events since he first depicted the Mother of Mankind. In the same year he sculpted The Burial of Abel, which like Consummatum Est could be interpreted as a response to the Spanish Civil War, a tribute to the republican idealists whose lives had been cut short by the fascist enemies of democracy. Epstein described Consummatum Est, which shows a prone Christ showing the wounds in his hands to the sky, as a post-apocalyptic vision of bombardment, his equivalent of Picasso’s Guernica: ‘I imagine a waste world; argosies from the air have bombed the humans out of existence, and perished themselves, so that no human thing is left alive’;[9] and The Burial of Abel inhabits a similar wasteland at an earlier stage in its degeneration, with two tortured figures mourning over the limp corpse of a third. In these three sculptures – Adam and Eve, The Burial of Abel, Consummatum Est – the promise for the future Epstein represented in his Genesis, with its burden of vibrant new life, has been replaced with images of exile and destruction; the first beginning had been superseded by foreshadowings of the final end, when all humanity will say with Christ the words consummatum est, ‘It is finished’. But in the same year as his statue of the expulsion from Eden, Epstein produced his most ambitious sculpture yet: the titanic Adam that provides Let There Be Sculpture with its frontispiece. And this sculpture signaled a major change of mood, returning to the exuberant defiance of its partner, Genesis, but in a far more militant tone.

As with Genesis, creation not destruction is Adam’s theme. Once again the power of the body, with both hands held upturned against its ribs, one giant leg thrust forward and the other backwards, like an arch and a pillar or buttress in a Gothic building, was complemented by the masklike face, reminiscent of Fang sculpture, here half obscured by being lifted to the sky. Once again the figure paid homage to the medium from which it was carved, ‘a block of alabaster’, in its shape, colour, texture and proportions. Once again fertility was offensively visible in the sculpture’s anatomy, Adam’s half-engorged phallus providing a flamboyant counterpart to Eve’s pregnant belly. And once more the statue triumphed over time, pointing backwards towards the African origins of humankind in its stylized face, pointing forward to an African future (as Eve’s infant did) through the forward motion of its giant legs, bearing the face and body towards new horizons. In his book Epstein spoke of the sculpture as if it were a machine – ‘a dynamo where a tremendous energy is generated’ – and as if it overthrew nationalism by its mere existence: ‘I feel […] that generations spoke through me, and the inner urge that took shape here was a universal one’ [my emphasis].[10] Observers agreed. The sculptor reports that one Australian observer said, ‘It is as if a people had done this work and not just an individual’; and a New Yorker went one step further: ‘Adam is as if it were not made by a man, but by mankind’.[11] The Scottish artist William McCance went further still, and claimed that the statue was in a sense the product of the stone itself:

[Epstein] has too great a respect for his block of stone to distort it in order to make it look like flesh. He has that kind of humility which respects innate differences of nature; an artist, not a dictator.[12]

His recognition of the right of the stone to retain its nature throughout the process of carving sets the artist up as the antithesis of dictatorship, a teller of inconvenient truths as against a purveyor of nationalist dreams. Adam’s raised face was interpreted by one critic as a gesture of aspiration and spiritual yearning. But the face of the statue Consummatum Est was raised skyward too, and Epstein saw in that a response to blanket bombing on a global scale. Adam’s turn to the sky could be read as speaking calm defiance out of the wasteland. And the wasteland for him is palpably fertile. He is aroused, and the upturned hands raised to the level of his ribs may make us think of Eve, his partner and workmate. God fashioned Eve, we’re told, from Adam’s rib; but Epstein’s statue makes us think the first man might have done it himself, in a fierce continuation of the divine gesture that brought Adam himself into fruitful being, in triumphant repudiation of the related concepts of isolation and uniqueness. Adam insists on having a companion in his primordial garden. Bombs may fall, but the shared existence of Epstein’s Adam and Eve – their shared generative power bracketing the calamitous decade of the 1930s – guarantees that life goes on, and that its energies are unstoppable, as well as impossible to obscure with nationalist figleaves.

Sculptural Element from a Reliquary Ensemble: Head (The Great Bieri), Nineteenth Century

It’s at this point in the story that the writer-artist Mervyn Peake comes into the picture. Peake and Epstein had first met in 1931, when the sculptor visited an exhibition put on by Peake and two other young artists at the Chat Noir café, a significant landmark in London’s gay scene between the wars. They don’t seem to have met again until some years later, but there’s no doubt they had a certain amount in common. Peake shared a number of Epstein’s artistic and political interests: a lifelong fascination with the human body; a delight in unusual bodily and facial proportions, which sometimes led to his being accused of favouring the grotesque; anarchist friends (as James Gifford has demonstrated);[13] a religious bent that remained detached from institutional practices, which Peake expressed in one poem against religious bigotry (‘How Foreign to the Spirit’s Early Beauty’, 1937), and another poem on Christ as the forceful ‘Jewish man’, whom he imagines shorn of the trappings of Catholic ceremony and ornament (‘No Creed Shall Bind Me to a Sapless Bole’, 1939).[14] Peake is known to have been an admirer of W. H. Hudson’s Green Mansions, since Rima inspired the wild girl called ‘the Thing’ in Gormenghast, and one wonders whether Epstein’s Hudson memorial, with its depiction of Rima surrounded by jungle birds, might have sparked off the younger artist’s interest in the writer. Finally, Peake liked to acknowledge, as Epstein did, the lingering presence of past artistic practices in his own modern works of art. In the fine essay that precedes his book The Drawings of Mervyn Peake (1949) he speaks of the ‘authority’ of a good drawing, ‘which is doubly alive, firstly through its overtones and echoes which show it to be born[e] rapidly or languorously along one of the deep streams that wind back through time to a cave in Spain’, and secondly in the ‘individual note’ that marks it out from other products of its time, setting the artist against the monotony of current conventions.[15] Peake’s conviction of art’s capacity to challenge time in these two distinct ways chimes perfectly with Epstein’s desire to work in the tradition of Michelangelo, Rodin and the anonymous sculptor of the Great Bieri while resolutely treading his own path, unaffiliated to contemporary movements.

Emmanuel Mané-Katz, The Quartet (1930s)

Peake, too, was disinclined to attach himself to contemporary movements. He had a marked interest in Spanish art, as the passage from The Drawings of Mervyn Peake suggests; El Greco, Velazquez, Goya and Picasso were major landmarks along the stream that winds back to a cave in Spain, each of which he referenced often in his writings and drawings, as did Epstein. Peake also appreciated Jewish art, as he showed when he paid a visit with his wife Maeve Gilmore – herself a gifted artist – to the studio of Emmanuel Mané-Katz in Paris in 1937. Mané-Katz wasn’t at home, but some of his work was visible through the window. Peake’s short poem about the visit is packed with references to the threatening context in which Mané-Katz was practising his profession. The day is oppressively hot, and makes Peake think of ‘the end of all the world / When no-one knows or cares if hell or heaven / Or nothingness cries trump upon tomorrow’, while the period the couple hope to spend with the artist is imagined as taking up ‘An hour of a painter’s nervous time’ [my emphasis].[16] Even the piratical ferocity of the canvas they glimpse through the studio window seems to be ominously cut off from its surroundings: ‘Upon a shadow’d easel there upreared / A silent canvas with its breast on fire / While all around it silence grew…’ Mané-Katz was best known at this point in his career for his vibrant depictions of everyday life in the Jewish community, and the idea of a painting of, say, a Hassidic wedding or a party of Jewish musicians being hemmed in by mounting silence offers a powerful commentary on the situation faced by Jewish artists at a time when Fascism, Stalinism and Nazism were tightening their grip on Europe.

Stefan Lorant by Howard Coster

Peake’s account of his visit to Mané-Katz’s Paris studio, unpublished in his lifetime, was one of only two poems in which he mentions contemporary artists. The other is a poem he wrote immediately after seeing Epstein’s Adam, which was published in the letter pages of the magazine Picture Post. The editor of Picture Post, Stefan Lorant, was a Hungarian Jewish filmmaker and photojournalist under whose editorship the magazine reported extensively on the persecution of Jews in Nazi Germany. Lorant followed Einstein to the United States in 1940, well aware that a German invasion of Britain – which at the time seemed imminent – would condemn him to death. In this context, Peake’s passionate verse defence of Epstein against his detractors may be read as political, placing the poet shoulder to shoulder with anti-Nazi agitators like Lorant. It’s worth bearing in mind that an earlier poem by Peake, a sonnet on ‘El Greco’ published in January 1938, transforms one of the most famous paintings of the Graeco-Hispanic visionary painter into a meditation on the sort of mass bombing carried out in Guernica,[17] in a gesture that closely corresponds to Epstein’s transformation of Christ into a bomb victim in Consummatum Est. Peake is often described as apolitical; but the anti-Nazi interventions in his verse tell another story, as do his close ties to anarchism, as convincingly identified by James Gifford.

Peake’s poem ‘Epstein’s Adam’ is worth giving in full:

EPSTEIN’S ADAM

I have seen this day
A shape that shall outlive our transient clay
And hold
A virile contour when the world
Renews its crust
With our decayed and horizontal dust.
When this our perilous
Bright blood and bone,
Our hectic inches and the singing tone
Of throats and fingers are for ever gone,
And our sons’ sons shall have forgotten us,
This shape that I have seen shall journey on
Erect along the winding corridors
Of the future years –
A craving of cold stone! A vertical
Symbol of man’s perpetual
Dumb cry for light
Among the tangled Edens of our night;
A flowering fact;
A towering dawn of alabaster, hack’d
Into the yearn of Adam. His flat face
Lies parallel to the eternal skies,
His chiselled chest
Swells like a straining sail that holds a tempest
Captive within the rigging of his ribs –
The angular
Stone pistons of his arms – the architecture
Of surging thighs, deliver
A power and a magnificence
As brooks no question; this tremendous stance
Be-damns the bloodless mocker with his smug
And petty vision. Epstein fought
His burning tyrant for the shape he sought
And emptied a stone splendour from his heart.
There is a breed at large who have forgotten
That it is sap that drives the frozen tree
Into an April spasm; that it is blood
That drives the man; and that eternity
Is glimpsed through passion in a sudden light
That blinds the fickle processes of thought,
Thus in my sight
From those charged rhythms, suddenly
Adam broke free
And surged into my darkness, and made bright
The spirit’s deathless hankering
Within man’s body, that proud, tortured thing.[18]
(June/July 1939)

Peake’s poem confirms the sculptor’s conviction that his figure of Adam breaks free from conventional perceptions of time – a conviction ironically shared by the critics who mockingly aligned Epstein with Einstein, the architect of relativity. For Peake, however, the direction of travel of Epstein’s figure is unremittingly forward. The opening of the poem represents the sculpture as a figurative message from the present to the distant future, a shape that ‘shall outlive our transient clay’; outlive the flesh, that is, which was made from ‘the dust of the ground’ by God, according to Genesis, and whose ‘transient’ nature has been demonstrated in the 1930s by the impact on it of mechanized warfare. These lines remind the reader that they are made of the same substance as their progenitor, but that their death, which may be imminent, will shortly renew the earth’s crust ‘with our decayed and horizontal dust’, in stark contrast to the permanent stone sculpture. The second sentence of the poem underscores this sense of fleshly transience in the phrase ‘perilous / Bright blood and bone’, where the term ‘perilous’ and the brightness of blood remind us how often these usually hidden features of the human body have been brutally exposed by conflict in recent decades, as graphically described in (for instance) David Jones’s epic poem about war in the trenches, In Parenthesis (1937).[19] ‘Hectic inches’ in line 9 makes living men seem minuscule as well as feverishly active (hectic is often used to describe the heightened colouring of fever victims), while the ‘singing tone’ produced by ‘throats and fingers’ can only be achieved by the living, and only then under special circumstances – when the mood and conditions make music possible. Bodily transience is made doubly transient by forgetfulness, and in this poem it seems inevitable that ‘our sons’ sons’ will soon have forgotten our very existence. Present generations having been erased like this in the first eleven lines of the poem, it’s for Peake to consider in the next section what sort of message to the future Adam embodies, as the sole survivor from the perilous present day.

In this poem, Epstein’s sculpture speaks first and foremost of masculinity. It has ‘a virile contour’ and line 11 mentions ‘our sons’ sons’ rather than our granddaughters. Its outlasting of living human beings stands in stark contrast to the fate of the many men who died in recent wars, often in far-off places that mattered personally to Peake such as Spain and China (where he was born). Adam’s ability to outlive Peake’s and Epstein’s contemporaries identifies him with a positive, creative version of masculinity as against a negative, destructive kind; he ‘journeys on / Erect along the winding corridors / Of future years’ like a discoverer, not a warrior, and articulates craving rather than hostility or revenge, becoming as he goes ‘A vertical / Symbol of man’s perpetual / Dumb cry for light’ as against darkness, a ‘flowering fact’ rather than a dream of conquest, a ‘towering dawn’ as against a heroic sunset. Violence is present in his makeup; in him an alabaster block has been ‘hack’d / Into the yearn of Adam’, and the idea might remind us of the sculptors Braigon and Rantel in Titus Groan, whose mortal combat over the woman they love, Keda, is fought out with the knives they use when sculpting wood and described as if they were chiselling each other’s bodies instead of stabbing each other to death. Peake’s understanding of Epstein’s Adam, however, is as an ebullient sign of life wrested from a time of death, as expressed in the statement that his cry for light emerges from ‘Among the tangled Edens of our night’. The notion of positive, creative masculinity emerging from destruction, darkness and death is enacted in the way Peake’s description of Adam’s figure emerges only after eleven lines describing man’s mortality, and the way the poem is structured around longer lines emerging out of shorter ones. Epstein’s Adam is for Peake a message of hope for creative men like himself or his editor Stefan Lorent, who were on the verge of being hurled against their will into the tangled night of war, a war fought over competing versions of Eden – some of which have no Jews in them, in spite of the fact that Eden itself is a Jewish concept.

Jacob Epstein, Jacob and the Angel (1941)

Adam’s creativity is one of action, associated with travel, industry and construction as much as with sculpture. His ‘flat face’, which ‘lies parallel to the eternal skies’ in a statement of equality or at least equivalence to his maker, tops a body made up of elements of strenuous physical achievement: a chest which ‘Swells like a straining sail that holds a tempest / Captive within the rigging of his ribs’, arms like pistons, legs like architecture. And in generating this emblem of potent creativity, the sculptor had to fight, Peake tells us, like Braigon and Rantel; though the lines in which the poet describes this struggle make it sound as though Epstein had to fight himself: ‘Epstein fought / His burning tyrant for the shape he sought / And emptied a stone splendour from his heart’ (my emphases). ‘His burning tyrant’ might refer to the sculptor’s lifelong compulsion to create, which he speaks of often in Let There Be Sculpture, while the phrase ‘emptied a stone splendour from his heart’ suggests ejaculation as much as artistic self-expression. The lines capture the way Adam’s upturned hands press forcefully against his own ribs – protectors of his heart – as if in combat or in ecstasy; but they also invoke Epstein’s next and most famous colossal sculpture, Jacob and the Angel (1940), which depicts the grandson of Abraham supported as if in exhaustion by a muscular angel, their posture closer to that of postcoital lovers than the night-long wrestlers of the biblical account. Epstein’s sculptures in stone transform violent combat into sensual intimacy, and so overcome the tyranny of conflict that threatened to overwhelm the world in his lifetime. Peake’s poem does something similar, identifying Adam’s liberation from constraint (‘Adam broke free’) as a gesture like that of the artist, as described in the introduction to The Drawings of Mervyn Peake: ‘the creation of a work of art. The smashing of another window-pane’.[20]

Mervyn Peake, Illustration for Shapes and Sounds (1941)

Set against this strenuously creative, transgressive masculinity in the poem is the emasculated ‘bloodless mocker with his smug / And petty vision’. The line might invoke for art lovers the most famous mockers of all – the people who mocked Christ on the way to his crucifixion at Calvary, as vividly recalled in Peake’s own poem ‘Thunder the Christ of it’[21] – and makes of the artist a Christ figure, the offspring of the divine creator who seeks to redeem creation by renewing it, investing it with fresh purpose and energy. Epstein represented Christ, as we’ve seen, in his most direct response to the rise of fascism, and was roundly mocked for it. Peake’s artists and heroes are repeatedly assailed by mockers: Steerpike is the ultimate mocker, mimicking the dignitaries and servants of Gormenghast and parodying in quick succession a romantic adventurer, a clown, a lover, an efficient medical assistant, a stern functionary and so on – always with that characteristic bloodlessness of his, a refusal to allow his current role to take possession of his body, or more specifically his emotions, the aspects of him governed by his heart. Adam is his polar opposite: representative of the capacity of nature to awake the seeming dead to impossible life, as a tree awakens after a hard winter; committed to seek the ‘sudden light’ when he sees it, irrespective of the rules and expectations that govern other people; unconcerned by the ‘fickle processes of thought’ that instruct the thinker to change direction regularly in pursuit of the best advantage for any given set of circumstances. His monumental body speaks to the capacity of human life to overcome death as arboreal life overcomes the February frosts. Born from stone, he has stone’s endurance in the face of destructive forces, and can frame or capture light in the planes and angles of his body, limbs and head. He is a progenitor of that stupendous structure Gormenghast Castle, though not ruled by ritual as the castle is; in this respect he’s more of a Titus Groan, that ‘proud, tortured thing’. Titus had stone in his heart and mind; other inhabitants of Gormenghast – Flay, Sourdust, Lady Gertrude, the Grey Scrubbers – were practically made of stone. Adam marks that stone as a bastion of defiance against the Nazis, a proclamation of the capacity of material things to resist attempts to reshape them into structures inimical to their properties.

Cover illustration for Peake’s first poetry collection

Viewed from the point of view of the twenty-first century, Peake’s description of Adam’s stone form tramping down unpopulated corridors in a deserted castle, carrying with him pain and love, seems perfectly matched to the actual fate of Epstein’s sculpture. In the year it was exhibited at the Leicester Galleries in London – where Peake held exhibitions, too – Adam was bought by a gold miner Charles Stafford, who leased it out to Lawrence Wright, a Blackpool showman. As Jonathan Lee Cronshaw puts it, ‘Adam was exhibited as a sideshow and was later sold to Louis Tussaud’s waxworks [again, in Blackpool,] as a permanent exhibit, to be joined later by Consummatum Est, Jacob and the Angel and Genesis’.[22] Adam remained in Blackpool for many decades, before being bought by Lord Harewood and displayed in a major retrospective exhibition of Epstein’s work in Edinburgh in 1961. Peake could have seen the sculpture he loved for a second time when he lived in Blackpool as an unhappy conscript between 1940 and 1942. Adam seems to have been displayed there as a kind of pornographic peep-show, with a film from 1939 showing women giggling and fainting at the sight of his enormous genitals.[23] Peake, meanwhile, managed to transmute him into raw material for his own strange masterpiece carved in stone. Much of the first draft of Titus Groan was written in Blackpool, within a few streets of the place where Adam was ignominiously stowed, in his own version of Gormenghast’s Hall of the Bright Carvings, where great sculptures carved in wood reside in perpetuity, unvisited by anything but the settling dust.

In response to Peake’s poem, Epstein invited him and Maeve to dine at his house, where they met the sculptor’s wife, the Scotswoman Peggy Epstein. Peggy has been described as ‘an over-life-size woman with deep red hair’,[24] who resembled Countess Gertrude in the Titus books, or so Maeve thought. One wonders if Epstein himself may have had some hand in ensuring that the most prominent form of art in those books isn’t Peake’s own medium of painting and drawing but sculpture.

Jacob Epstein, Tomb of Oscar Wilde (1914)

NOTES

[1] Published by Titan Books, April 2021.

[2] Tolkien, ‘On Fairy Stories’, Tree and Leaf (London: HarperCollins, 1988), pp. 3-81. For Recovery see pp. 56ff.

[3] Jacob Epstein, Let There Be Sculpture (London: Michael Joseph, 1940), pp. 308-9.

[4] Let There Be Sculpture, pp. 11 and 16.

[5] Jonathan Lee Cronshaw, Carving a Legacy: The Identity of Jacob Epstein (1880-1959) (University of Leeds PhD, 2010), p. 211. http://etheses.whiterose.ac.uk/3259/1/uk_bl_ethos_540786.pdf

[6] Let There Be Sculpture, p. 309.

[7] Let There Be Sculpture, p. 179.

[8] Let There Be Sculpture, p. 162.

[9] Let There Be Sculpture, p. 178.

[10] Let There Be Sculpture, p. 195.

[11] Let There Be Sculpture, pp. 195 and 198.

[12] Let There Be Sculpture, p. 330.

[13] James Gifford, A Modernist Fantasy: Modernism, Anarchism and the Radical Fantastic (Victoria: ELS Editions, 2018), Chapter Three.

[14] Mervyn Peake, Collected Poems, ed. R. W. Maslen (Manchester: Carcanet, 2008), pp. 39 and 61-2.

[15] Writings and Drawings, ed. Maeve Gilmore and Shelagh Johnson (London: Academy Editions and New York: St Martin’s Press, 1974), p. 80.

[16] Collected Poems, p. 34.

[17] See my blog post on Mervyn Peake’s poem ‘September 1939’, here: https://thecityoflostbooks.glasgow.ac.uk/mervyn-peake-september-1939/

[18] Collected Poems, pp. 45-6.

[19] See my blog post on Jones’s poem, here: https://thecityoflostbooks.glasgow.ac.uk/david-jones-in-parenthesis-1937-a-kind-of-space-between/

[20] Writings and Drawings, ed. Gilmore and Johnson, p. 81.

[21] Collected Poems, p. 222. Cf. line 6, ‘Christ is forgotten in a world of wit’.

[22] Carving a Legacy, p. 23.

[23] https://www.britishpathe.com/video/VLVACWP431BEMCHS8N10LIHB66XTX-ARTS-EPSTEINS-ADAM-DRAWS-THE-CROWDS/query/Art

[24] Vast Alchemies, p. 134.

Stained Glass Windows in the West

Please click on each picture to get a better view!

The theme for Folklore Thursday this week is the folklore of our local places; and it coincides with the installation of three stained glass windows in the bay window of our flat in Glasgow’s West End. The windows are a family effort. My wife Kirsty thought of them, asked the makers of our windows if they were possible and made suggestions for details they might include. My grown-up children, Boo and Grace, designed two of the windows while I designed the third. And they represent local folklore in two ways: first because they reference Glasgow’s folklore by incorporating themes from a poem that’s become the city’s emblem; and secondly because they contain references to family folklore, that is, knowledge that only our family have and which we will read in the windows every time we look at them. It struck me, when I noticed Folklore Thursday’s theme, that the windows had something interesting to say about it, so I decided to write a blog post about them.

Glasgow City Crest

The poem, as all Glaswegians know, goes something like this:

Here is the bird that never flew
Here is the tree that never grew
Here is the bell that never rang
Here is the fish that never swam.

It refers to a series of miracles worked by Kentigern, patron saint of Glasgow, who acquired the name Mungo when he was ordained a priest at the Monastery of St Serf in the gorgeous town of Culross on the Firth of Forth. The bird was a robin, a pet of Mungo’s mentor, St Serf, which was killed by one of the young man’s fellow priests in training, who promptly laid the blame for its death on Mungo. Mungo took the bird in his hands and prayed, whereupon the robin came to life and flew to its master, chirping sweetly. The tree is usually depicted as an oak tree, though according to Glasgow City Council’s website it was originally a hazel. Mungo was left in charge of the fire in the monastery’s refectory or dining room, but he fell asleep and it went out – put out, it seems, by those malicious fellow seminarians. When he woke up Mungo took a bunch of hazel twigs in his hands, prayed over them until they burst into flames, and used them to rekindle the fire. The bell, it would seem, is just a bell, though it may have been given to St Mungo by the Pope. But the fish has a longer story. To quote the City Council’s website:

The fish with a ring in its mouth is a salmon and the ring was a present from Hydderch Hael, King of Cadzow, to his Queen Languoreth.

The Queen gave the ring to a knight and the King, suspecting an intrigue, took it from him while he slept during a hunting party and threw it into the River Clyde. On returning home, the King demanded the ring and threatened Languoreth with death if she could not produce it. The Queen appealed to the knight who, of course, could not help and then confessed to St Mungo who sent one of his monks to fish in the river, instructing him to bring back the first fish caught. This was done and St Mungo extracted the ring from its mouth. The scene is represented on the counter seal of Bishop Wyschard, made about 1271.

The story of the fish, with its link to the Clyde, presumably dates from St Mungo’s time in Glasgow, where he founded a church on the site now occupied by the Cathedral. The site of the city was chosen by a couple of oxen pulling a cart containing the corpse of a holy man named Fergus; Mungo instructed the obedient beasts to take the body wherever God told them to, and they duly made their way to the proper location. All this happened in the sixth century, but the stories of St Mungo are commemorated in the city’s crest, which it acquired in the nineteenth century.

Boo’s Window

Each of the windows in the bay window contains elements of St Mungo’s legend: a bird, a fish – though not with a ring in its mouth – a tree, a bell – and in Gracie’s window you can see all four. But these emblems share space with elements of family lore which only we four would recognise. Boo, for instance, tells me he was inspired by ‘the Kelvin walkway and urban wildlife/fay’ – the walkway being the path beside the River Kelvin which has been thronged with walkers since the first lockdown. For his bird he chose the heron we see so often at the weir near the ruins of the old Flint Mill, while the dark green strips on either side of the main picture contain dark creatures which may or may not be shadowy West End foxes, of the kind that used to live in the gloomy spaces under Hillhead Primary School on Gibson Street. The steeple in the distance invokes the steeples on the Great Western Road, one of which – the steeple of George Gilbert Scott’s Episcopalian Cathedral of St Mary – you can see from our bay window, though the one in the picture looks more like the steeple of Lansdowne Parish Church, now Webster’s Theatre and Bar, where Boo once worked in the Box Office. Boo also thought of the University steeple when he discussed it with me; and the rural landscape invoked for me our many trips to the hilly country north of the city. There’s a frog in a pane in the bottom left hand corner and a toad in the bottom right; Boo is always picking up frogs and toads, most recently I think in the wildlife garden at Glasgow Uni. The sun and the moon share the sky with the heron, and to me the sun looks like the shell of a whelk, of the kind Boo was always gathering on the seashore as a child. But the heron dominates, because the heron is ours, a personal family friend who stands on guard at the side of the weir, hoping no doubt to snap up one of the salmon you used to see leaping up it in spring – though I haven’t seen the salmon leaping for several years, and can only hope the tall grey knight isn’t going hungry.

My Window

My window, which is on the left as you face the bay from outside, has a robin in it as if in deference to Mungo. But it was Kirsty who asked me to put it there, because in our family robins have come to represent lost loved ones, who come back in the form of a bird to keep an eye on the children and friends they left behind. The bell is the bell of St Patrick, and as I was painting it I thought of the time not long after I first came to Glasgow when I cycled along the Forth and Clyde Canal till I came to a place whose name I didn’t know. Fortunately I met an old woman on the towpath and was able to ask her where I was; and she answered, like an old woman in a fairy tale, ‘You’re in Old Kilpatrick. You’ll always remember the name because it’s where St Patrick was born’. She was right, too: I’ve always remembered the name, and the association with St Patrick, and the old woman, and that bike ride in fine weather. The decorations round the edges of the window are based on the Book of Kells, which may or may not have been made on Iona; and as I drew them into the picture I remembered another picture I drew and painted long ago for a family friend, which showed St Patrick sitting under an old Irish cross with his favourite wolfhound lying beside him. That picture too had decorative themes from the Book of Kells, and the wolfhound in it was modeled on our dog Gelert, the largest and sweetest-natured dog I’ve known. The hill in the background is Dumgoyne in the Campsie Fells, up which I once walked carrying Boo in a backpack. And the strange yellow creature in the tree is a cat-bird fairy demon. I know you’ve heard about them, and now you know exactly what they look like, and where to look for them next time you’re standing by a twisted oak.

Gracie’s Window

Gracie’s picture is the most allusive of all. It shows a flying fish, of course; and she chose this kind of fish to commemorate a family holiday in Mallorca, when we saw the miraculous airborne creatures skimming across the waves ahead of the boat that was taking us to a swimming spot in a secluded part of the island, where much smaller, sea-bound fishes nibbled our toes. The fish is surrounded by water because this is Gracie’s favourite element, and also the element of her Zodiac sign, Scorpio. Hidden in the middle panel at the bottom is the Angelic tune symbol from Cassandra Clare’s Shadow Hunter universe, of which the Mortal Instruments book series is one. Grace is a manic reader of thick tomes and enormous book series, and Cassandra Clare and Leigh Bardugo are just two of the writers she’s obsessed with. St Mungo’s signs are all over the place in her window, from the rings at the four corners – four of them plain, four of them with jewels – to the oak trees in the side panels, the bells and the stylised wings of birds. Oak trees, by the way, are personal things to us as well as to Glasgow; outside our window stand the only oak trees planted in the street, the last to get their leaves in spring, the last to lose them in autumn. When their leaves come out in a few weeks’ time you’ll be able to see real oak leaves dancing behind the painted ones.

I suppose the point I’m making in this post is that folklore of a quite specific kind is present in all cohabiting communities, and that we all have objects and pictures that evoke for us things that no one else could ever guess at. What we read, where we’ve been, the things that have happened to us, weave themselves together into stories which get told and retold down the years, until they get lost among fresh skeins of story woven by new generations. Old stories reappear among the new ones, as St Mungo’s does in our pictures, and lend continuity to the narratives we’re part of. And for us, the window painters, fantastic stories (fairy tales, the novels of Cassandra Clare, invented supernatural fauna, the lives of Celtic saints) infuse our local landscape with light, so that we see the fantastic through it, and the tiny details of tree and bird, fish and water, grow magical as a result, capable of coming to life in strange new ways at different times of the day or night.

The greatest miracle of our windows, though, is how they were constructed by a master craftsman using our paintings as a map or blueprint. That’s something only we and the glazier can really appreciate: the amount of trouble he took to select the right textures for the glass he was using in each panel, the thought he gave to the question of how to translate the texture of pen and ink or brushstroke to the glass’s surface, the little inventive touches like a piece of red glass stuck on behind to make the robin’s red breast, the oak leaves created by scraping away the paint from the side panels in Boo’s window. We got the measurements for the middle window slightly wrong, and the glazier had to find ways to make Gracie’s design fit the space precisely. His name is Colin Stevenson, of Stevenson Stained Glass, and he worked on the windows in the evenings from December to late March, after the working day was supposed to be over. The love he put into this process has made itself part of the story they tell, and we’ll think of it every time we look at them.

That’s our contribution to Folklore Thursday’s theme for 25 March 2021, folklore of local places.

 

 

Armour that doesn’t work: an anti-meme in medieval and Renaissance romance

[I wrote this essay for a Festschrift in honour of my DPhil supervisor, Professor Helen Cooper, Medieval into Renaissance: Essays for Helen Cooper, ed. Andrew King and Matthew Woodcock (Woodbridge and Rochester, NY: D S Brewer, 2016); you can find it on pp. 35-54. I place it here in Helen’s honour, with infinite thanks for her patience, scholarship, good humour and support through the difficult years of writing a doctorate.]

One of Helen Cooper’s finest essays concerns the function of magic that doesn’t work in medieval and Renaissance romance.[1] Bringing together her impish sense of humour, her astonishing range of reading and her infectious delight in tracing the mutations of genre in response to cultural change, the essay is a scholarly tour de force, perhaps the most memorable chapter in her celebrated monograph The English Romance in Time. It is particularly suggestive where it draws attention to the moments in medieval romance when the presence of magic serves to focus the reader’s attention on some peculiarly human quality: on selfless love, for instance, as when the imperiled teenage lovers Floris and Blancheflour compete over which of them will bestow on the other the magic ring which is said to preserve its owner’s life; or on stubborn courage, as when an anonymous lover in a tale by Marie de France refuses to drink the magic potion that would help him carry his beloved up a mountain, an act of heroic obstinacy that kills them both.[2] The chapter is not about a ‘meme’, Cooper explains – an idea or theme that survives from generation to generation, mutating in response to the changing pressures of the time. Instead it concerns what she calls a ‘meme that got out of hand’, that of the magical object.[3] All too easily magic can get boring, operating in too predictable a fashion, providing too easy an escape route from a tricky situation. The magic that doesn’t work revitalizes the magical narrative by introducing a crucial element of surprise, disorder, or emotional crisis; and as such it resists replication, since the whole point of it (when well used) is to unsettle the romance reader’s expectations.

Robert Addie as Mordred in Excalibur (1980)

I would like to consider in this essay another recurring theme that has given us some of the most striking passages in medieval and Renaissance romance: that of armour that doesn’t work. For a modern reader, armour is the ultimate emblem of chivalric romance, especially the full plate armour of the fifteenth and sixteenth centuries, as fetishized in the paintings of John William Waterhouse, John Boorman’s film Excalibur, or the BBC TV series Merlin. For the late medieval reader, too, armour or harness that worked was romance incarnate. Someone in the fifteenth or sixteenth century wearing splendid harness instantly displayed his gender, his status, his affiliations (if he wore a coat armour, or if the steel itself bore heraldic devices), and his physical attributes (think of Henry VIII’s expanding girth as recorded in his successive sizes of battle dress). Armour stood for the chivalric code; praying over it was an integral part of a squire’s induction into knighthood.  What you wore in the Middle Ages was, in theory, who you were; and fine armour was at the very apex of the sartorial pyramid.[4]

Sir Galahad, by George Frederick Watts

For all these reasons – because it is so instantly readable in so many ways – armour can be a boring object in romance, especially when its bearer is vying for the position of Number One Knight, so to speak, in the chivalric standings. Under these conditions the armour bearer is like a machine, whose limited functions are always predictable and whose victory always assured. The ultimate example of an armour-bearing machine is of course Sir Galahad, who gallops through the landscape of Malory’s ‘Tale of the Sankgreal’ fulfilling prophesies left and right without any emotional engagement with the men and women he encounters. Galahad is the embodiment of spiritual commitment; he has no personality or history, and when all his deeds have been accomplished his soul is carried up to Heaven by a team of adoring angels, leaving little physical trace behind on the earth he barely touched.[5] In some ways, then, he is the worthy forebear of Spenser’s mechanical man Talus, the metallic dispenser of justice in Book V of The Faerie Queene who signals the poet’s uncomfortable commitment to the Tudor project of subjugating Ireland by force. Talus’s status as what can anachronistically be termed a self-propelled suit of armour conveniently sets him apart from human beings in such a way as to make that project seem (barely) defensible, since though devised by men it is executed by an agent without a soul. Nevertheless, the iron man’s association with the animated statues of Virgilius the Sorcerer or Cornelius Agrippa confirms his ambiguity as a representation of justice.  Virgilius derived his power from the devil and Marlowe assumed, in Doctor Faustus, that Agrippa too was in cahoots with the fiend.[6] Given that Talus is simply an allegorical machine, unsullied by magic, he can in theory be employed by Spenser’s knight of justice, Sir Artegal, without tainting his employer with infernal associations. But the memory of other moving statues would have been hard to shake off for an early modern reader. And there remains the fact that Talus is impossible to like, with his remorseless efficiency, his predictable reactions to every situation, and his utter indifference to the Christian quality of mercy.

This problem of the perfect knight as a soulless machine is brilliantly addressed by Italo Calvino in The Non-existent Knight (Il cavaliere inesistente, 1959), his sparkling tribute to Ariosto and Cervantes.[7] The book’s protagonist, a full-body harness that comes to life by an act of sheer will power, makes himself universally unpopular with his fellow paladins by his rigid adherence to the rules of military and chivalric good conduct. As the book proceeds, however, the knight’s increasing sensitivity to other people’s views of him makes him increasingly likeable, and his posse of followers – the fool Gurduloo, the idealistic female warrior Bradamante, the confused young squire Raimbaud – endow him by proxy with the flesh and emotions he lacks. He becomes the focus of their dreams and passions, the anchor of their identities, no longer merely a metal container for the regulations by which these dreams are rendered manageable by the authorities. Armour requires the flesh to make it move, both emotionally and physically speaking; and codes of conduct, however impractical, give direction to the undirected yearnings of the flesh. Calvino’s story beautifully captures the awkward symbiosis between the organic and the inorganic which is the late medieval and early modern knight.

Flesh, then, is the essential adjunct to the carapace of protective steel, as late Victorian painters such as Waterhouse acknowledged when they surrounded their gleaming knights with voluptuous temptresses. Men, of course, can display their fleshly qualities in romance by defeating powerful opponents without the benefit of armour; this is the homosocial equivalent of the amorous encounters, chaste or unchaste, with which romance women have been traditionally associated. A fine example of such an unarmed hero is the young Sir Perceval de Gallys in the Middle English metrical romance, whose lack of armour serves at first merely to underline his lack of education in chivalry.[8] Wearing only goatskins, young Perceval’s first heroic act is to transfix his father’s killer, a fully armoured knight, with a light Scottish throwing-spear, when the man is foolish enough to raise his visor. But Perceval is an adolescent at the time, and every reader knows from the old stories that he will soon acquire some armour and join his fellow knights at the Table Round. For Perceval, the acquisition of his harness from the slaughtered body of his enemy makes it an emblem of his power and skill, a natural extension of the unusual muscularity of his right arm and torso, his easy mastery over the objects and people he meets on his travels.  But I am concerned in this essay with the knights whose harness proves useless in one way or another after its acquisition; either because the adventure they are on cannot be achieved with the help of steel, or because they are caught without armour through trickery, neglect or betrayal, or because their armour provides inadequate protection – or even because their harness itself is a kind of trap. For these heroes, armour is a difficult affair, never at hand when you need it, not fulfilling its prescribed function when you have it, brittle, permeable or imprisoning rather than impervious, encumbering rather than enabling. And in the adventures they take part in, armour often becomes intriguing in its own right, for a variety of unpredictable reasons.

One twentieth-century embodiment of this difficult relationship to armour is King Pellinore in T. H. White’s novel The Sword in the Stone (1938). Pellinore is an errant knight who is perpetually engaged in the rather pointless pursuit of a friendly creature called the Questing Beast. When the future King Arthur, here known as the Wart, first encounters Pellinore, the boy quickly learns a great deal about the inconvenience of closed helmets for those who wear spectacles (the lenses get ‘completely fogged’[9]), and of armour generally. As the knight explains:

All this beastly amour takes hours to put on. When it is on it’s either frying or freezing, and it gets rusty. You have to sit up all night polishing the stuff. Oh, how Ay do wish Ay had a nice house of my own to live in, a house with beds in it and real pillows and sheets. […] [T]hen Ay would […] throw all this beastly armour out of the window, and let the beastly Beast go and chase itself, that Ay would.[10]

In this passage King Pellinore is a kind of human snail, whose metal shell serves as an uncomfortable substitute for the nice warm house he yearns for. His armour has little value as a means of defence, since the Questing Beast is far too friendly to attack him. Instead it tends to erase the distinction between its bearer and the animal world through which he wanders, exaggerating the limitations of the King’s body by fogging up his spectacles and fraying his temper to the extent that he keeps referring to his equipment as beastly. When the Questing Beast turns up a page or so later, the King’s animal passions get further excited and he promptly forgets the allure of sheets in the thrill of the chase. An unsuccessful fusion of animal unruliness and rigid artifice, of chaos and convention, White’s knight is a direct descendant of Carroll’s White Knight and Cervantes’s Quixote, both of whom are always damaging their elderly bodies precisely because they insist on wearing protective steel. For all three, the harness they wear underscores the limitations of the flesh it encases, as well as the eccentric relationship between that flesh and the code of conduct that the harness represents.

In this as in other ways, armour that doesn’t work has a similar function to magic that doesn’t work, as Cooper describes it. If full plate armour is a kind of meme in late chivalric romance – like the meme of the magic object – then the armour that doesn’t work is designed to circumvent the narrative problems posed by that meme; an ‘anti-meme’, in other words. The romance hero is nearly always one of the greatest fighters of his time, and in full armour his fighting prowess must necessarily render him as indestructible as the owner of an effective charm or talisman – and hence as dull, in terms of the narrative possibilities to which he gives rise. For such a knight to retain his stature as a combatant while engaging in properly perilous adventures, he must be stripped of his protective exoskeleton, deprived of the tools of his trade by one means or other – or those tools must be turned against him, like King Pellinore’s fog-inducing helmet. And the effect of this process of stripping down, deprivation or armorial recalcitrance is to draw attention to the fragile humanness of the romance’s male protagonist.

This may be the central difference between the magic that doesn’t work and the armour that doesn’t work. Cooper’s examples of non-functional magic (and she includes under this rubric magic that might well work but isn’t used, just as the present essay includes functional armour that gets left aside at crucial moments) often serve to demonstrate the spectacularly exceptional nature of the people who fail to use it. It is the exceptional strength of Floris and Blancheflour’s love that prompts a sympathetic king to urge their captor, the Admiral or Emir of Babylon, to spare them. In Marie de France’s tale, it is the refusal of the lover to drink the magic potion that exhibits the exceptional potency of his love, since love alone gives him strength to achieve what no other man has managed by carrying his lady unassisted up a mountain. Armour that doesn’t work, by contrast, tends to underscore the vulnerability of the person it fails, or who fails to wear it. For this reason it becomes one of the defining themes of the late chivalric tradition, when the best writers (Chaucer, Malory, Shakespeare) chose to produce ‘works designed to question their own generic assumptions’ in response to the ‘strong self-consciousness of a genre now passing into its fourth century’, as Cooper reminds us.[11]

These comments on late chivalric romance come from the final chapter of The English Romance in Time, ‘Unhappy Endings’, and armour that doesn’t work is strongly represented here among the romances that choose to resist the genre’s assumption that all its narratives must end well. But like magic that doesn’t work, non-functional armour can be comic too. Inevitably it is Chaucer who provides the best examples of both the comic and tragic aspects of this ‘anti-meme’ (Cooper was always pointing out to me in tutorials that Chaucer provides the best examples of almost anything before the late sixteenth century). In The Canterbury Tales, Sir Thopas exhibits his own and his narrator’s ignorance of the romance tradition by getting caught without his armour when he meets a giant. Any medieval reader would have known that an errant knight should be wearing armour when he seeks adventure, and that if he happens not to be wearing it he should defeat his antagonist regardless, as Perceval beats the Red Knight dressed only in goatskins. But for Chaucer’s narcissistic protagonist, wearing the wrong clothes for any given deed is inexcusable; he must hurry home to arm himself before he can even think of engaging in combat.  When he does so, it is in an elaborate metal and fabric confection which again violates romance conventions, both by its placement in the wrong part of the narrative (he should have armed himself at the beginning) and by the sheer weight of clichés that cluster round it (his coat armour is ‘whit as is a lilye flour’, his fine cypress spear ‘bodeth werre, and nothyng pees’, and so on).[12] The belatedness of Sir Thopas’s arming also confirms his inverted understanding of the chivalric code, which has already been signaled by his plan to marry an elven queen because no mortal woman is worthy of him. After reading this poem it is hard to imagine anyone taking another metrical romance entirely seriously.

At the tragic end of the spectrum, ‘The Knight’s Tale’ provides an example of a yet more radical inversion of the proper order of the chivalric romance narrative and the code to which it theoretically adheres; and it does so largely through the difficult relationship it sketches out between a man and his armour. Like a true romance hero, the protagonist Arcite defeats his friend and rival Palamon in combat, and the tournament in which he achieves this is stuffed to bursting with allusions to armour: from the frantic ‘devisynge of harneys’ that precedes the fighting (line 2496) to King Theseus’s prohibition of certain weapons from the contest itself  (‘ne polax, ne short knyf […] Ne short swerd, for to stoke with poynt bitynge’, lines 2544-6).  As it turns out, however, neither harness nor prohibition offers much protection to the contestants. ‘The helmes they tohewen and toshrede,’ the poet tells us with unnerving relish; ‘Out brest the blood with stierne stremes rede;/ With myghty maces the bones they tobreste’, and it is by the merest chance that no one dies in the melee (lines 2609-2611). When the tournament is over, Arcite takes off his helmet to salute the woman who inspired his triumph; and at once his horse falls over and fatally crushes him. The calamitous effect of this fall on Arcite’s flesh is described in lurid detail, as if to stress the limitations of his strong young body: ‘The pipes of his longes gonne to swelle,/ And every lacerte [muscle] in his brest adoun/ Is shent with venym and corrupcion’ (p. 44, lines 2752-2754).  In this narrative, then, armour and the rules that govern its use represent men’s feeble attempt to take control in a world full of insidious poisons, from the venom of corrupted wounds to the contagion of desire, from the disease of jealousy that sets the knights at odds to the poisonous rivalry of the gods who sponsor each combatant. Theseus does his best to re-impose a sense of order after Arcite’s accident, declaring the tournament a draw and delivering a speech that affirms the continuing stability of creation. But Arcite’s death was not in fact accidental. It was engineered by Venus (or rather by Saturn acting on her behalf), and intended to benefit Palamon, her devoted acolyte. Arcite, by contrast, was an acolyte of Mars, the god of war, who also happens to be Venus’s lover. So the pantheon of pagan gods would seem to be as violently competitive as the knights they sponsor, and as capable of circumventing regulations and breaking alliances. The armour that doesn’t work here serves to point up the limitations of the structures that bind us: above all the kind of structure represented by traditional stories and comforting fictions, the imaginative armour with which we defend to ourselves such slippery concepts as honour and friendship.

The works of Malory, too, offer fine examples of both the comic and tragic aspects of non-functioning armour. On the tragic side, there is the tale of the brothers Balin and Balan, who hack each other to death because each is wearing unfamiliar harness. The final section of ‘The Knight with the Two Swords’ begins with Balin accepting a shield from a stranger knight in place of his own, whereupon a mysterious damsel warns him that ‘ye have put yourself in grete daunger, for by your sheld ye shold have ben knowen’ (p. 56, lines 22-4).  His brother meets him shortly afterwards wearing unmarked red armour, and in the fight that follows both men dismantle each other plate by plate until ‘their hawberkes [were] unnailed, that naked they were on every syde’ (p. 57, lines 12-13).  Mortally wounded, Balan crawls to his brother and takes off his helmet; but he cannot recognize him at first because of the damage he himself inflicted in the battle: he ‘myght not knowe hym by the vysage, it was so ful hewen and bledde’ (p. 57, lines 22-3). As Cooper has argued, part of the power of this denouement springs from the fact that it forms part of a larger narrative with which the medieval reader was well acquainted – the Arthurian cycle – while the knights themselves have no idea what forces drive their fate.[13]  Throughout his adventures, the invincible Balin is helplessly propelled by the machinery of story, unwittingly setting up riddles, problems and conundrums that will only be resolved long after his death by the machine-man Galahad.  The armour that destroys him, then, embodies his entrapment in structures he cannot understand because of his limited vision – the restricted view you get from inside a closed helmet (think of Pellinore’s spectacles). The fact that he cannot recognize his brother, and that his brother cannot recognize him, sums up his condition as an ignorant tool of dispassionate supernatural forces – as represented at Balin’s burial by the sorcerer Merlin, who laughs sardonically as he makes further predictions about the tragic fate of Balin’s sword.

Sir Launcelot and the Witch Hellawes, by Aubrey Beardsley

Malory’s Lancelot, meanwhile, furnishes us with examples of both the comic and tragic aspects of the armour that doesn’t work. Of all the knights in Malory’s pantheon apart from Galahad, Lancelot stands in greatest danger of becoming boring, since he is the best knight in the world and we know in advance the likely outcome of every battle – and hence of every narrative – in which he is involved. For this reason Malory is careful to vary the scenes he selects for inclusion in the parts of his work he devotes to Lancelot; and an inordinate number of these episodes involve non-functional armour. In ‘A Noble Tale of Sir Launcelot du Lake’ the hero is forced to don another man’s armour if he wants adventures; wearing his own means he is avoided like the plague. But some of his best adventures occur when he wears no armour at all. On one occasion, for instance, he finds a pavilion in the forest, lavishly prepared for the reception of a guest. In many romances such a discovery would signal the presence of the supernatural: the pavilion would belong to a fairy or enchantress, as in Sir Launfal, and Lancelot would have to deploy all his knightly self-control to resist the seductions of its owner. It seems only natural, then, to the reader, that on finding the tent he should remove his armour, lie down in the bed and go to sleep; this is what you do in enchanted pavilions. Later, the knight who owns the pavilion comes home and gets into bed. Finding Lancelot between his sheets and assuming him to be his lover, he ‘toke hym in his armys and began to kysse hym’, scratching the sleeping hero with his ‘rough berde’ (p. 153, lines 27-8).  This leads to a brief, fierce swordfight between the two warriors – presumably naked – during which Lancelot wounds the stranger ‘sore nyghe unto the deth’ (p. 153, line 33).  At this point, the men pause to explain themselves to each other. Lancelot then takes the stranger indoors to tend his injuries, and the knight’s lady arrives. The lady is naturally inclined to blame Lancelot for her husband’s injuries; but she soon comes up with a means for him to make amends. He must use his influence at court, she insists, to procure her man a place at the Round Table. In this way Lancelot’s nakedness leaves him exposed to the lady’s judicial expertise, to the extent that he must set aside the usual procedure for admitting knights to that exclusive company and offer a seat at the Round Table to an unproven stranger. What began as an encounter with potential enchantment ends not with a dazzling display of unmatchable swordsmanship but with an out-of-court settlement, a legal compromise; and in this way the episode exposes the absurdity both of chivalric convention and of the narrative traditions Lancelot lives by.

Later in the same book, Lancelot is tricked into removing his armour and climbing a tree to rescue a lady’s falcon. Once he is safely in his breeches and astride a branch, the lady’s husband leaps out of a bush ‘all armed’ (p. 169, line 44), and explains that this was all a plot to get Lancelot into a state of undress so as to enable him to be summarily dispatched. Lancelot disarms the knight with a stick and kills him with his own weapon; but the episode neatly illustrates one of the perils of being a romance hero, which is that the landscape gradually fills up with people who hold a grudge against you, and whose only hope of besting you is by trickery. As a hero you can only trust that your own wiles, or the wiles of some well-disposed passing damsel, will permit you to escape from the tricks to which these grudgers are prepared to resort. And in the last two books of Malory’s work, a deadly web composed of grudges and trickery binds together all the major episodes that feature armour that doesn’t work.

Herbert James Draper, Lancelot and Guinevere

Lancelot’s relationship with armour in these last two books becomes increasingly difficult, as if to emphasize the increasing difficulty of reconciling his duty to King Arthur with his devotion to Arthur’s wife. In the tale of the Fair Maid of Astolat, Lancelot plays his old trick of borrowing armour in order to participate in a tournament. But the armour fails him – he is pierced through the side by his cousin Bors while wearing it; and during his long period of convalescence, necessarily unclothed, his body attracts the devotion of his nurse, the Maid of the title. The borrowed armour has meanwhile got him into trouble with Guinevere, since to complete the disguise he wore a token on his helmet, a red sleeve lent him by the Maid. The sleeve misleads the Queen into thinking he has transferred his affections to another woman, while encouraging the Maid to believe he might eventually fall in love with her. In ‘A Noble Tale of Sir Launcelot du Lake’, Lancelot’s appropriation of Sir Kay’s armour had no serious consequences; it was a game, as were the fights he undertook while bearing it. In the last two books, games turn to earnest, and borrowing armour becomes a problem, which interweaves itself with the personal and political problems that accumulate around the adulterous couple.

Armour is yet more problematic in ‘The Knight of the Cart’. The villain here is a kind of anti-Lancelot, Sir Melliagaunt, who shares his alter ego’s obsession with Guinevere but none of the chivalric qualities by which he justifies that adulterous passion. The difference between the two men can be summed up by their attitudes to armour. Melliagaunt captures the Queen while she is out a-maying with some unarmed knights, who are seriously wounded trying to defend her against the villain’s armed retainers. Lancelot sets out to rescue her, but his horse is shot dead by Melliagaunt’s archers, and as a result his armour ceases to assist him and becomes a burden. He cannot get at the archers because it weighs him down, and when he tries to continue his journey he finds himself ‘sore acombird of hys armoure, hys shylde, and hys speare’ (p. 653, lines 41-2).  Worse still, when he finally arrives at Melliagaunt’s castle – travelling in the requisitioned transport of the title like a prisoner carted off to punishment – the villain refuses to fight him, throwing himself on Guinevere’s mercy. The Queen grants him her protection, and as a result all Lancelot’s skills, as embodied in his harness, are rendered useless. At the end of the first part of this story, Lancelot has been reduced to a state of helpless jealousy, all his efforts to act as the conventional romance hero having been thwarted either by his enemy or by his lover, neither of whom play by the rules a knight’s harness represents. There could be no more devastating exposure of the many chinks in Lancelot’s emotional and physical defences.

Ben Cross as Malagant in First Knight (1995)

Next Melliagaunt succeeds in underscoring the moral link between himself and Lancelot, thus breaking down any clear distinctions that might have been signalled by their different attitudes to armour. The night after arriving at Melliagaunt’s castle, Lancelot disarms himself and slips into Guinevere’s bed, leaving blood on her sheets from a minor injury to his hand. Melliagaunt finds the blood, and accuses Guinevere of infidelity with one of the unarmed knights who were wounded defending her. Lancelot’s discarding of his harness here endangers his knightly colleagues, and he seeks to make up for this lapse by resorting to the chivalric rules of engagement by which he has always lived: rules that require full body armour for their fulfillment. He challenges the villain to trial by combat, as if Lancelot remained the impregnable entity he has always been thanks to his hitherto unquestioned identity as a top romance hero. But God is the ultimate judge in any such trial, ensuring that the fighter with the best cause will emerge triumphant; and in this case, the hero is saddled with a cause which is decidedly questionable.  Guinevere has indeed committed adultery, as Melliagaunt asserts, and Lancelot is forced to equivocate in order to place himself on the side of justice. He therefore challenges his alter ego on the basis, not that Guinevere has not been unfaithful but that she has not slept with any of the knights who were wounded in her defence. This is a blatant prevarication, and its problematic moral status is reflected in the peculiar nature of the trial itself. After a brief bout of hand-to-hand fighting, Melliagaunt surrenders tamely to Lancelot, and chivalry dictates that his opponent must accept his surrender. But Guinevere signals to the hero that her accuser must die, and if Lancelot is to obey her he must once again find a way to circumvent the rules of the judicial game. He persuades Melliagaunt to fight on by offering to disarm his own head and left side to make the contest more even; and he kills the villain, of course, despite this handicap. But the half-armoured state in which he does so confirms his morally compromised position, his susceptibility to the corruption his opponent embraces.  And the disarming of his body on the left side in particular, where the heart is, may be taken to demonstrate the extent to which the desires of that body are undermining his role as a knight.  The whole adventure, in fact, foreshadows the part that will be played by armour in the final book, which tells how Lancelot’s adultery with Guinevere brings about the dissolution of the Round Table and the fall of Arthur.

In this last book, the ‘Morte Arthur’, it is the lack of armour that takes centre stage rather than its failure. When Lancelot is finally caught in flagrante delicto in Guinevere’s bedroom, he blames his resulting predicament on his unarmed state: ‘Alas,’ he complains, ‘in all my lyff thus was I never bestad that I shulde be thus shamefully slayne, for lake of myne armour’ (p. 676, lines 24-5). The sentence recalls the wording of his earlier complaint when trapped up a tree in the story of the falcon: ‘Alas […] that ever a knyght sholde dey wepynles!’ (p. 170, line 17).  But on that occasion Lancelot could have been taken as a representative ‘knyght’, the equivalent of any romance hero trapped by treachery. In Guinevere’s room, by contrast, his situation is unique: he considers it only in the context of his private misfortunes (‘in all my lyff thus was I never bestad’), and sees the situation as ‘shameful’ to himself, not to those who have trapped him. The contrast between the two laments underscores his increasing alienation both from honour or worship and from his fellow knights. He succeeds, of course, in escaping; but he does so by killing one of his comrades of the Round Table, Sir Colgrevaunce, then donning his armour and fighting his way to freedom. The echo here of the many past occasions on which Lancelot borrowed armour serves only to underscore the extent to which what was once a game has become a disaster. And a lack of armour plays a yet more tragic role in the events that unfold in the wake of this episode.

N. C. Wyeth, Lancelot rescues Guinevere

Another knight killed at the door of the Queen’s chamber is Sir Agravain, brother of Gawain, Lancelot’s best friend. It is a measure of Lancelot’s worth that Gawain does not resent his killing. Indeed, Malory fills these late books with loyal friends who refuse to begrudge the hero his unfortunate propensity for causing the deaths of those who love him: the faithful horse in ‘The Knight of the Cart’ which is shot full of arrows by Sir Melliagaunt’s archers, yet continues to follow its master with its guts hanging out; the Maid of Astolat, who dies for love of Lancelot, and her brother Lavayne, who understands why she chose to do so: ‘for sythen I saw first my lorde sir Launcelot I cowde never departe frome hym’ (p. 639, lines 13-14).  Gawain’s younger brother Gareth is another of these paragons of loyalty, who never forgets that Lancelot was the man who made him knight.  He switches to Lancelot’s side in ‘The Great Tournament’ and fights against his brothers on his mentor’s behalf; and when Arthur orders him to accompany Guinevere on her final journey to execution as an adulteress, he refuses to wear his ‘harneyse of warre’ as a token of solidarity with her absent lover (p. 683, line 41).  Inevitably Lancelot rides to her rescue; and inevitably Gareth is killed with his brother Gaheris in the confusion, ‘for they were unarmed and unwares’ (p. 684, line 26).  At this point in the story Lancelot is once again the most efficient of killing machines, as he was before things got complicated. But his repeated compromising of the chivalric code means that his mechanical efficiency is no longer simple. Instead of being deployed in the service of some good cause, his force gets visited on the vulnerable flesh of the men he loves. Even Guinevere suffers from its effects, since the enmity brought about by Gareth’s death – the falling out it occasions between Gawain and Lancelot – is responsible both for her husband’s downfall and for her penitent demise.

Lancelot himself claims it is the brothers’ missing armour that was responsible for their deaths. ‘God wolde,’ he says at one point, that Gareth and Gaheris ‘had ben armed […] for than had they ben on lyve’ (p. 695, lines 41-2).  He duly offers to make reparation by forgoing his warrior status, as embodied in his harness, and walking from end to end of the kingdom ‘in my shearte’, founding religious houses along the way to sing masses for the dead men’s souls (p. 696, line 14). But Gawain, too, has by this stage become machine-like – welded, so to speak, into his martial persona. War against Lancelot is the only reparation he will accept. And since everyone knows by now that Lancelot will be victorious in any conflict, the reader sees at once that this mechanical insistence on revenge will usher in the end of Arthur’s reign. Malory has reversed the machinery of the romance narrative so that it destroys its most efficient components, the iron-clad knights; and it is the armour that doesn’t work which is largely responsible for changing the function of the armour that does, from protective covering to engine of (self) destruction.

Interestingly, what brings about this major change in the function of armour is a change in the form of Malory’s evolving Arthurian narrative. Many of his earlier works consist of a succession of largely disconnected episodes, such as ‘A Noble Tale of Sir Launcelot du Lake’, with its errant structure neatly but loosely bound together by certain recurrent themes: the tricks Lancelot has to play to get a fight, the tricks played on him to render him vulnerable. But the episodes in the laterBook of Launcelot and Guinevere’ are woven together by tangled chains of cause and effect. The consequences of each episode get played out in the next; and the final book, theMorte Arthur’ itself, is more tightly woven still, with each tale emerging organically from its predecessor. It is as if armour can only remain impervious in episodic narratives. Where one adventure has few links to the next, the simplicity of armour’s function as an emblem of the knightly ideal can be sustained, or can readily be recovered when that function has been compromised. But where competing allegiances – to friend and lover, to King and Queen, to knightly honour and a jealous mistress – get carried over from one episode to the next, armour too becomes permeable. In Malory’s interlinked narratives, harness loses its singular purpose and becomes instead, in its uneasy relationship with the flesh it covers (or fails to cover), an increasingly sophisticated device for undermining its bearer’s pretensions to honour, for exposing the fissures and flaws in his logic, the anarchic passions he seeks to hide or suppress.

Gawain and the Green Knight, illustration from original manuscript

The most sophisticated medieval study of the armour that doesn’t work is Sir Gawain and the Green Knight; and here too it is the structure of the narrative that renders that armour problematic, as it accumulates associations through the successive sections or ‘fits’ of the poem. In the opening scene at Arthur’s court, where the mysterious Green Knight invites one of the king’s champions to strike off his head with an axe, the poet makes much of the stranger’s unarmed status: ‘Whe[th]er hade he no helme ne hawbergh nau[th]er,/ Ne no pysan ne no plate [th]at pented to armes’.  The Green Knight’s armourlessness is notable because he possesses a body so eminently suited to martial exploits (‘Hit semed as no mon my[gh]t/ Under his dynttez dry[gh]e’), and because the giant axe he carries underscores the violent nature of the strange game he proposes.[14] The relationship between flesh and steel, then, is implicitly foregrounded from the moment he rides into the court; and when Sir Gawain takes up his challenge, the blow he aims at the Green Knight’s neck constitutes perhaps the most graphic encounter between flesh and steel in English literature: ‘[th]e scharp of [th]e schalk schyndered [th]e bones,/ And schrank [th]ur[gh] [th]e schyire grece, and schade hit in twynne,/ [Th]at [th]e bit of [th]e broun stel bot on [th]e grounde’ (lines 424-6). And flesh and steel continue to dominate the poem. The Green Knight survives the blow, by supernatural means, and leaves the court; Gawain sets off to find him the following year, as the game dictates; and his journey begins, as in all proper romances (though not that of Sir Thopas), with a ritual arming, described in loving detail as the knight’s servants assemble his harness piece by piece around his torso, limbs and head. But even as this physical armour is assembled the reader is aware that it will prove useless, since the encounter Gawain has agreed to entails exposing his own ‘naked’ neck to the Green Knight’s axe. And that approaching moment of nakedness is recalled again and again throughout Gawain’s journey.

It is invoked in the physical rigours of his passage through wintry landscape, during which armour provides no protection against the cold: ‘Ner slayn wyth [th]e slete he sleped in his yrnes/ Mo ny[gh]tez [th]en innoghe in naked rokkez’ (my emphasis) (lines 729-30). It is recalled, too, in the Christmas game Gawain plays while staying at Bertilak’s castle. Each day Bertilak goes hunting while his guest remains at home, and at the end of the day they agree to exchange whatever they have obtained in their respective activities. This second contest, like the Green Knight’s, involves the conspicuous juxtaposition of flesh and steel: the lavish descriptions of Bertilak’s wife, who seeks to seduce her guest in her husband’s absence, being interlaced with passages that describe the mangling and butchering of animal flesh with steel on Bertilak’s hunting expeditions. And as the game goes on, the final encounter between flesh and steel at the Green Knight’s chapel draws steadily closer, until it hardly seems surprising when on his final day at the castle Gawain succumbs – not to the lady’s seduction, but to her offer of additional armour. The armour, however, is not metal, since we already know that metal is useless. Instead she offers him a girdle, whose virtue, she claims, is to protect its wearer so that ‘no ha[th]el vnder heuen tohewe hym [th]at my[gh]t,/ For he my[gh]t not be slayn for sly[gh]t vpon er[th]e’ (lines 1853-4). Gawain accepts the gift and does not declare it to Bertilak that evening, thus violating the terms of the game they have been playing; and next morning he ties it on over his harness like an extra layer of proofing. He never, however, wholly trusts in its protection – witness the flinch he gives when the Green Knight raises his axe. After all, the green girdle represents the love of the body, which is intimately connected through food, drink, desire and clothing with the beasts and growing plants in the world around it; and flesh is frail as grass, as the Bible reminds us.[15] The body’s frailty could not be better suggested than by the contrast between the soft silk girdle and the iron plates it binds, or between the fatty tissue of a man’s exposed neck and the steel blade that nicks it. The girdle confirms Gawain’s humanity, and as such it serves a similar purpose to the armour that doesn’t work which he is wearing, and which he knows full well will do him no good when he meets his enemy.

Michael Smith, Gawain and the Green Knight, linocut available for purchase

In tying on the girdle over his harness, as Cooper points out in The English Romance in Time, Gawain compromises the symbolic function of that armour in an effort to supplement its function as protection.[16] This symbolic function is indicated by the device he wears on his coat armour: a pentangle that stands for five interlinked virtues, each virtue possessing five aspects, together making up the combined qualities to which a knight is expected to aspire. In tying on the girdle, Cooper points out, Gawain obscures the ‘endeles knot’ of the pentangle with a lace which has two distinct ends (‘pendauntez’, line 2038) and which is also tied in a ‘knot’ (line 2376). As a man who knows he has an end – the death that awaits all mortals – Gawain shares with his readers the wish to defer it for as long as possible. He is not made of metal, and metal in any case has been inescapably connected with mortality throughout the poem. Most commentators agree with the Green Knight that Gawain’s love of life, as embodied in the girdle, makes him more, not less, attractive.[17]

Gawain’s useless armour, which gets trumped by a band of green silk, foreshadows the many varieties of non-functioning armour in the sixteenth century. Spenser, whose iron man Talus embodied the grimmer connotations of fully functional armour, opens The Faerie Queene with the portrait of a young knight whose ancient armour does not quite suit him, as if to alert us to the complex relationship between physical, spiritual and political struggle that the poem explores. In the first stanza we read about the ‘cruell markes of many a bloody fielde’ with which Redcrosse’s arms are covered, together with the paradox that ‘armes till that time did he never wield’; and Redcrosse certainly does not find it easy to acclimatize himself to his antique equipment.[18] At the half way point of the first book we find him cavorting with the sorceress Duessa, ‘Pourd out in loosnesse on the grassy grownd’ (I.vii.6), just at the moment when a ferocious giant happens by. Sir Thopas, too, met a giant when he was unarmed, but unlike Chaucer’s hero Redcrosse never gets time to dress for the occasion. ‘Ere he could his armour on him dight’ the knight finds himself the giant’s prisoner (I.vii.8), and has to be rescued by a better-furnished hero, Prince Arthur, whose worth is signaled by his ‘glitterand armour’ (I.vii.29). This hero, too, has something in common with Sir Thopas – he serves a fairy queen – but fortunately his excellent dress sense is better matched by his prowess and he slays the giant with ease (Sir Thopas never even gets close to his). The whole of Spenser’s poem, in fact, is populated by people whose outward garb bears a difficult relationship with their inward qualities, or lack of them, and by the time the reader meets Redcrosse’s rescuer Arthur she has become well used to scrutinizing the verbal and emblematic context of each character’s first appearance in the poem before passing judgement on them.

Redcrosse slaying the dragon, from the frontispiece to the first edition of The Faerie Queene

Even after his rescue by Arthur, who ought to have furnished him with a good example of a knight whose inward qualities match his harness, Redcrosse’s armour remains a problem to him. His climactic fight sees him face a dragon whose scales resemble a ‘plated cote of stele’ (I.xi.9), and whose weaponry (the fire he breathes, his claws, the stings in his tail) render armour a hindrance rather than a help to his antagonist. Finding himself ‘seard’ through his metal covering (I.xi.26), Redcrosse seeks to remove it and unlace his helmet.  Soon afterwards the monster pierces his shoulder with its stings, then grips his shield so fiercely he is forced to cut off its claw, which remains attached to the shield, much to the knight’s annoyance. In his ‘Letter to Ralegh’ Spenser explains that the ancient armour Redcrosse wears is the armour of Christ described by Saint Paul in Ephesians 6:10-18; but its emblematic associations (the breastplate of righteousness, the shield of faith, the helmet of salvation) keep breaking down in this encounter, and the steel has to be reinforced with further injections of allegory – water from the well of life, balm from the tree of life – whose exact significance (baptism? Eucharist?) has never quite been settled. The intense pain Redcrosse endures in his battle with an enemy who is as well armoured as himself tends to overwhelm the allegorical function of his harness, and only the spiritual remedies applied to his scorched and damaged flesh can restore him to his symbolic identity as the champion of holiness.

Lorna Hutson has written brilliantly about how the feats of physical combat that had been central to medieval romance were displaced in many Tudor romances by verbal combat, in which the hero displays his prowess through eloquence rather than force.[19] It is for this reason, perhaps – the widespread emphasis on debate, and in particular the orator’s skill in arguing on both sides of any given question – that there are so many examples of armour that doesn’t work throughout the period: from the armour borne by Parthenia in Sidney’s New Arcadia, which she dons not to avenge her dead husband but to share his fate; to the borrowed armour worn by the hero to hide his identity in Robert Greene’s Gwydonius, which means that he nearly kills his own father in the romance’s climactic fight; or the poisoned helmet put on by Duke Brachiano in John Webster’s tragedy The White Devil. In each of these cases the tools of defence are transformed into agents of destruction – much as Redcrosse’s armour becomes a furnace when he fights the dragon.  The analogy with the way a skilful orator could deploy the same material to argue against a cause he had just been defending is irresistible.

Troilus, Cressida and Pandarus, Act 4 scene 2, by J. Coughlan

The most sophisticated post-medieval treatment of this anti-meme occurs in Shakespeare’s most knotty play, Troilus and Cressida. Like The Faerie Queene the play can be read as a response to Chaucer, though it also recalls the other English-language versions of the Trojan War that had circulated since the Middle Ages. By the sixteenth century Troy was best known, perhaps, as the focus of a conflict about which radically different accounts had been written, some biased towards the Greek perspective, others towards the Trojan. Debate, then, and many forms of falsification were inseparably attached to the Trojan myth, as we learn from the early fifteenth-century romance The Destruction of Troy: ‘sum poyetis full prist [th]at put hom [th]erto/ With fablis and falshed fayned [th]ere speche,/ And made more of [th]at mater [th]an hom maister were’.[20] And armour was the theme of one of the most celebrated debates of the conflict: the quarrel between Ulysses and Ajax over which of them should inherit the arms of Achilles, as described by Ovid in the thirteenth book of the Metamorphoses. Ulysses won those arms with his crafty tongue, a result that led to the suicide of Ajax; and in the process Ajax’s claim that Ulysses was dedicated to undermining his Greek comrades as much as his Trojan enemies was lent a large measure of credibility.

Shakespeare’s play is full of similar debates, between purported friends as well as deadly enemies. The Trojans squabble over whether they should continue to keep Helen from the Greeks; the Greeks contend over whether she is worth fighting for, and over how to maintain discipline in the ranks of the pan-Hellenic army. Caught up in these controversies, armour finally loses the chivalric connotations it possessed in romance, becoming instead a potent weapon in the war of words, fought out in a period of stalemate between the Greeks and Trojans when other forms of fighting have been temporarily suspended. Shakespeare punctuates this, one of his most verbally inventive plays, with allusions to armour, and these become increasingly contaminated by the anxieties and inconsistencies of the armour-bearers as the play wears on.

The performance opens with a ‘Prologue arm’d’, who delivers his speech clad in protective steel. His appearance may have resembled that of the actors illustrated in Henry Peacham’s near-contemporary sketch of a scene from Titus Andronicus: a peculiar fusion of ancient and modern costume, with Elizabethan vambraces and legharness tacked on to Graeco-Roman cuirasses.[21] The Prologue’s harness is, however, no sign of heroism, as it was for Shakespeare’s Henry V when he wore it at Agincourt. Instead it betrays his lack of ‘confidence’ in the play itself, an uncertainty that stems in part from his ignorance about which side the audience will favour in this particular version of the Trojan war: ‘Like, or find fault,’ he tells us, ‘do as your pleasures are:/ Now good, or bad, ’tis but the chance of war’ (Prologue, 30-1).[22] In these lines, as in the play that follows, values have become contingent, the quality of ‘goodness’ being assigned to whichever side emerges victorious from the conflict, while ‘badness’ is used to brand their defeated enemies regardless of any merits they might have had. Under such circumstances, armour is a political weapon, a means of gaining the upper hand in the confusion of battle. Its links with knightly honour have been severed, and with them the romance presumption that a common code of conduct binds together the men who sport it.

Theo Ogundipe as Ajax and Daniel Hawksford as Hector in 2018 RSC production

The first scene of the play confirms the central part that will be played by armour in the action that follows. Angered, we learn, by a recent defeat at the hands of Ajax, the Trojan hero Hector has ‘chid’ his wife that morning and ‘struck his armourer’ before going to battle (1.2.6). His chiding of Andromache, taken together with the blow against a nameless technician, points to the culture of violence that underpins the Trojan claim to be waging war for the best of reasons: in defence of honour and the women they love. Helen may be the official cause of the Trojan War, but she is in reality no more than an excuse to engage in the testosterone-fueled grapplings that define a young man’s standing in a warrior culture. To drive the point home, Shakespeare later makes Hector use Andromache as an excuse for a return match against Ajax, offering to engage in single combat with any Greek who refuses to acknowledge her as ‘a lady wiser, fairer, truer,/ Than ever Greek did couple in his arms’ (1.3.274-5). The terms of this challenge effectively explode the Trojan claim that Helen is worth fighting for (if Hector is right, she is neither as ‘fair’ nor as ‘true’ as his Trojan wife). This fact, however, is mentioned by nobody; and this is because everyone knows full well that the claim for Andromache’s pre-eminence among women has been swiftly cooked up for the single purpose of restoring Hector’s pre-eminence among fighting men. The real motive for the single combat is made clear when Hector enters the Greek camp, as enemies on both sides eye up each others’ muscles and embrace with more than soldierly enthusiasm. Men are far more interested in their own masculinity than in the women they claim as prizes; and this fact is reflected in the tendency of that most masculine of costumes, armour, to get caught up in the rampant infidelities of its bearers.

Ulysses, for instance, deploys armour prominently in his bid to set his fellow Greeks against each other, while ostensibly inciting them to honourable action. When he informs the Greek commanders that Achilles and Patroclus have been undermining their authority among their men, he reinforces the claim by re-enacting one of the scenes Patroclus is supposed to have acted for Achilles’s pleasure: a mocking imitation of the aged warrior Nestor ‘Arming to answer in a night alarm’, where the coughing and spitting old man ‘with a palsy fumbling on his gorget/ Shake[s] in and out the rivet’ (1.3.171-5). Whether or not Ulysses is telling the truth about Patroclus, his performance in front of Nestor of Nestor’s own ineptitude with his armour is clearly more subversive of the old man’s authority than any performance that may have taken place in Achilles’s tent. Later, when Ulysses urges Achilles himself to return to military action after an extended hiatus, he tells him that only ‘Perseverance’ will maintain his heroic status in the public eye: ‘to have done is to hang/ Quite out of fashion, like a rusty mail/ In monumental mockery’ (3.3.150-3). In saying so, Ulysses encourages Achilles to break his promise to the Trojan princess Polyxena, whom he loves, and who has made him swear he will not harm her fellow citizens. This is, then, another treacherous invocation of armour on Ulysses’ part. And when Achilles’s ‘rusty mail’ does indeed go to war, first enclosing the body of Patroclus (who dies in it), then on Achilles’s own body as he seeks revenge for Patroclus’s death, it is more a monument to his serial faithlessness than to his valour.  Achilles has betrayed Polyxena with his male lover Patroclus, betrayed the Greeks by making a promise to Polyxena, and betrayed Polyxena by going to war and breaking his promise. When he finally fights Hector in Act Five, the Greek hero is out of condition and unused to wearing armour or carrying weapons (‘my arms are out of use’, 5.6.16), and it is this that leads him to his final act of betrayal: to have the ‘unarm’d’ Hector slain by his men-at-arms, the Myrmidons, instead of fighting him hand to hand (5.8.9).

Hector, meanwhile, has a passion for armour that amounts to infidelity, not only to his wife Andromache but to the values he purports to be defending. In the central scene of the play, Act 3 scene 1 – our only extended encounter with Helen, the woman whose ‘worth’ is cited by both Greeks and Trojans as justification for their conflict – Paris exhorts his purloined lover to encourage Hector to keep fighting by indulging in a little erotic dalliance with his equipment:

Sweet Helen, I must woo you
To help unarm our Hector. His stubborn buckles,
With these your white enchanting fingers touch’d,
Shall more obey than to the edge of steel
Or force of Greekish sinews: you shall do more
Than all the island kings – disarm great Hector. (3.1.145-50)

Peter Paul Rubens, Achilles Kills Hector

Paris’s request links the act of disarming with a whole sequence of infidelities: Helen’s to her husband Menelaus; his own to Helen in encouraging her to seduce his brother; and Hector’s to Andromache in being aroused by Helen’s ‘white enchanting fingers’. Later, it is Hector’s armour that points up his forgetfulness of the value he earlier attached to his wife Andromache. When she begs him ‘Unarm, unarm, and do not fight today’ (5.3.3) – convinced by many omens that he will die if he ignores her warning – he threatens to ‘offend’ her, for the second time in the play, if she does not lay off (5.3.4). It seems appropriate, then, that armour should also prove his undoing. His last act of war is to pursue a weaponless soldier because he admires his harness (‘I like thy armour well’, 5.6.28). This is another mark of Hector’s inconsistency; he earlier told Troilus that he would never kill a helpless enemy because of his commitment to the rules of ‘fair play’. When he kills the fleeing soldier for the sake of his outer covering he describes him as a ‘putrefied core’ concealed in ‘goodly armour’ (5.8.1-2); and it is not entirely clear here whether he means that all mortal flesh is effectively putrid or that this soldier in particular was diseased, perhaps with syphilis, another mark of infidelity. There is certainly something rotten about Achilles’s actions when he catches Hector ‘unarm’d’ beside the victim’s body. The Greek hero orders his Myrmidons to kill him, which is bad enough; but he then dresses up the unequal contest in a garb of ‘fair play’, by ordering them to spread the word that Achilles killed the Trojan champion in equal combat: ‘On, Myrmidons, and cry you all amain/ “Achilles hath the mighty Hector slain”’ (5.8.13-14). In this scene the audience sees history being written; and it looks very much like a scam, fronted by the ‘goodly armour’ that conceals the cross-infected rottenness of the flesh within.

Shakespeare’s play completes the process of conceptually disengaging armour from its bearer and investing it with a grotesque life of its own; a process that had been steadily at work over the preceding two centuries. There are other manifestations of this process, some contemporary with this one, which would be worth holding up as exemplary representations of the complex relationship between human flesh and the rigid social, cultural and moral carapaces we don in a vain attempt to contain and define it. The most notable of these is the armour of Quixote. The inadequacy of this ancestral iron shell (most notably the various home-made helmets with which he seeks to complete it) reflects the weakness of the bearer’s ageing brain; but it also embodies his infectious delight in the imaginative glamour bestowed on the world by a romance sensibility, and his determination to invest the world with that glamour whatever the cost to his unguarded head. What is evident, however, is that armour that doesn’t work deserves the same close attention Cooper gave to non-functional magic; and that it has enabled equally startling transformations, down the years, of the romance tradition. It is time to polish up the rusty mail.[23]

John Waterhouse, La Belle Dame Sans Merci

Notes

[1] Cooper, Romance, ch. 3: ‘Magic that doesn’t work’.

[2] Cooper, Romance, pp. 148-51.

[3] Cooper, Romance, p. 138.

[4] My knowledge of medieval armour depends largely on two sources: Claude Blair’s European Armour circa 1066 to circa 1700 (London, 1958); and the kindness of Dr Ralph Moffat, Curator of European Arms and Armour at the Kelvingrove Museum, Glasgow. Warm thanks to Ralph for showing me round the museum’s remarkable collection and providing me with an invaluable reading list.

[5] ‘And so suddeynly departed hys soule to Jesu Cryste, and a grete multitude of angels bare hit up to hevyn evyn in the sight of hys two felowis’: Sir Thomas Malory, Works, ed. Eugène Vinaver (Oxford, 1977), p. 607, lines 6-8. All references are to this edition.

[6] See [Anon.], Virgilius (Antwerp, 1518), sigs. A5v-A6v; Marlowe, Doctor Faustus, eds. David Bevington and Eric Rasmussen (Manchester and New York, 1993), A-Text, I. i. 102-168. For Agrippa’s moving statues, see Three Books of Occult Philosophy Written by Henry Cornelius Agrippa, trans. J.F. (London, 1651), pp. 77-8.

[7] Italo Calvino, Our Ancestors, trans. Archibald Colquhoun (London, 1980), pp. 285-382.

[8] Sir Perceval of Galles, in Middle English Metrical Romances, ed. Walter Hoyt French and Charles Brockway Hale, 2 vols. (New York, 1930), 2: 530-603.

[9] T.H. White, The Sword in the Stone (London, 1959), p. 26.

[10] White, Sword in the Stone, p. 30.

[11] Cooper, Romance, p. 363.

[12] Sir Thopas, in Geoffrey Chaucer, Works, ed. F.N. Robinson, 2nd edn. (Oxford, 1977), p. 166, lines 867 and 882. All references are to this edition.

[13] Cooper, Romance, pp. 367-9.

[14] Sir Gawain and the Green Knight, ed. J.R.R. Tolkien and E.V. Gordon, 2nd edn., ed. Norman Davis (Oxford, 1979), lines 201-4. All references are to this edition.

[15] Isaiah 40:6 and 1 Peter 1:24.

[16] Cooper, Romance, p. 160.

[17] Cooper, Romance, p. 52.

[18] Spenser, Faerie Queene, I.i.1. All references are to this edition.

[19] See The Usurer’s Daughter: Male Friendship and Fictions of Women in Sixteenth-Century England (London, 1994).

[20] Middle English Metrical Romances, ed. French and Hale, p. 811, lines 33-5.

[21] The sketch is reproduced in The Norton Shakespeare, ed. Stephen Greenblatt, et al., 2nd edn. (London, 2008), p. 89.

[22] All references to Troilus and Cressida are taken from Kenneth Palmer’s edition for the Arden Shakespeare (London, 1982).

[23] My thanks to Matthew Woodcock for his comments on this essay. He asked me a number of excellent questions I have no space to answer here, among them ‘do you have a sense of when the “armour that doesn’t work” anti-meme develops’? The fact that Beowulf is the first example I can think of (the episode in which the hero’s specially-forged iron shield fails him in his fight against the dragon, of course, but more interestingly the whole notion that Beowulf has never managed to fight with weapons because they have always failed him) suggests to me that it is as old as armour itself.

On Alasdair Gray

I knew Alasdair Gray. During his lifetime I was always aware that typing those words would one day come to seem momentous, like saying I knew William Blake or Ursula Le Guin. The seed of this momentousness was sown the moment I arrived in Glasgow and read his fantastic novel Lanark as a guide to the city. There could be no better guide, since it covers everything: Glasgow’s architecture and inhabitants, its place in the British Empire and hence the world, its place in the spiritual universe, the quality of its light, the various kinds of illnesses it suffers from (turning into a salamander being the least of them), and the fact that living there made one complicit with the conditions that cause its ills – as well as with the glories and wonders it is full of. Not long after my arrival at the University of Glasgow in 1992 I found myself teaching the novel of his I love most, Poor Things, which is about a woman who may or may not have been cobbled together, Frankenstein style, by an eccentric surgeon. The book made Glasgow into Frankenstein’s creature, and Scotland too, and the British Empire, and the world. Local things became universal in Gray’s writing, more explicitly than in the work of anyone else I can think of except James Joyce, and this made me proud to be a citizen of the city he lived in.

I met him through a mutual friend, the critic and poet Philip Hobsbaum, founder of a series of influential writer’s groups in Belfast, London and Glasgow. Alasdair was a regular visitor to his house in Oban Drive, and on one occasion he bought a drawing made by my daughter, who was in Primary School at the time. He paid her a pound for it, I think, and said it was an investment for the future, since she was bound to become a famous artist, and he could then sell it for a vast profit. In one gesture, the man summed himself up: a lifelong agitator for decent wages for artists and other workers; a visionary who was always looking to the future, not least in the way he pictured Scotland as an independent socialist republic; a warm and gentle human being who respected and spoke to everyone, though he also seemed profoundly shy. I say ‘seemed’ because his shyness didn’t make him shy away from (for example) public speaking at demonstrations or conversations with strangers, at least in my experience. That said, I didn’t speak to him as often or for as long as I would have liked to. I always felt I shouldn’t take up too many minutes of his astonishingly creative time.

One story I heard from the Hobsbaums, among many others, concerned Alasdair’s creation of one of his finest murals in the front room of Philip’s wife Rosemary, who then lived in West Prince’s Street, a slightly shabby address in Glasgow’s West End. Alasdair had been enjoying himself one evening, to the extent that he cut himself somehow without noticing and left a smear of blood on the living room wall. He liked the shape made by the blood, which resembled the body of a whale, and later came back with his paints and started to sketch out a gigantic mural depicting one of his favourite characters, the reluctant prophet Jonah who was swallowed by one of the great leviathans of the sea. He painted and painted for weeks until the mural was complete. A few years later, Rosemary sold the flat and moved somewhere else, and the new owner wallpapered over the mural. I can’t say I altogether blame them, because it did take up the whole of one wall of the main room in a small apartment, and it was hard to appreciate the picture as a whole because the room was too small to stand back from the painting far enough to see it entire. A few years after that another new owner removed the wallpaper and found the mural underneath, badly damaged by glue. She got in touch with Alasdair to say she’d found it, and Alasdair agreed to come and restore it, entirely free of charge. When the restoration was finished the owner made the painting available to be seen by the public for Doors Open Day, the date in September when the public are invited into private buildings throughout the UK to which they do not normally have access. I saw it then, was blown away by it, and was delighted when it found its way into that beautiful volume Alasdair Gray: A Life in Pictures (I’d give you the page number but the book is in my office at work, inaccessible because of the lockdown). Alasdair fought all his life to achieve fair play for workers, including artists like himself, but his generosity was boundless, and he could spend many hours of his precious time making art for little or nothing, as a gift, a promise, an uninvited prophetic vision.

Charles Wilson Lecture Theatre, University of Glasgow

A few years after meeting him I was lucky enough to work with Alasdair when he came to work at the University of Glasgow as Professor of Creative Writing. Actually the Professorship was another Frankenstein’s creature, having been cobbled together from three entities: the novelist James Kelman, the poet Tom Leonard, and Gray. They had grand designs, which the university was not in the end able to fulfil. One of them was to buy the former church on University Avenue which is now the Charles Wilson Lecture Theatre, and turn the building into a state-of-the-art centre for creative writing, equipped with the latest IT technology, film studios, performing spaces, etc. etc., and attended by around 20 hand-picked students every year, the best and brightest of applicants to the MLitt programme, as it was then. I don’t think the vision was altogether serious, in that nobody thought it could really happen, but it was an authentic representation of the place the arts should occupy in a healthy society from the Professors’ point of view. The most memorable moment of the Professors’ brief tenure as a trio, from my own point of view, was an Away Day in a certain Scottish rural village, organised by the then Head of English Literature, Susan Castillo, to make plans for the future of creative writing at Glasgow. It was attended by my friends Willy Maley and Adam Piette as well as Susan, and the three professors stayed with us in the big hotel that dominates the village. At one point during the proceedings we found ourselves in the village pub. The conversation carried on far into the night in front of the fire, with round after round arriving at the table and the visions of possible futures getting more elaborate and ambitious with every passing hour. I think the doors were locked at one point, but I can’t be sure. We reeled back to the hotel by starlight, and when I woke up in the morning the whole thing seemed to have been a dream; but it was one of those dreams you had in Alasdair’s company – and in Jim’s and Tom’s too – which contained the seeds of political action driven by the engine of the imagination. In Alasdair’s company you too had visions, and carried them home with you to nourish after your time with him was over.

I also remember Jim, Tom and Alasdair reading to students during an occupation. If you approached them to support you in what they considered an important cause they were always available, always committed, always able to find a way to use their art on your behalf.

On two occasions I myself approached Alasdair to ask his opinion of other writer-artists whose work I liked, and thought he might like too. The first was Alfred Kubin, the Austrian printmaker, illustrator and novelist, whose book The Other Side I’ve loved since being introduced to it by one of my university tutors, Christopher Butler. Alasdair took it away, read it carefully, and wrote me a note about it in his unique and beautiful handwriting. He didn’t like the novel, which seemed to him to be about a man who created a perfect replica of a town in the Austro-Hungarian empire for no better reason than a kind of misplaced nostalgia; the illustrations, too, he considered blurrily impressionistic, without style or focus. These are my words, not his; I still have the note, but that too is locked away in my office; when I can get back in there I’ll type it out in full below. The point is that he didn’t think much of art that didn’t engage with politics. An artist should be committed, the three professors told us often, and by that they meant as much committed to social transformation as to their art. Alasdair’s understanding of commitment was pretty broad, I think, but didn’t embrace the construction of what amounted to an imaginary theme-park for the perpetuation of inequalities.

The second time I approached him for comment on a writer-artist was when I went to look for him at the Òran Mór – the former church, now entertainment venue, where for many years he could be found working on his biggest and most ambitious mural – to ask if he would provide me with a quotation for the cover of my edition of the Collected Poems of Mervyn Peake. I found him at the bar, asked him my question, and watched him consider it carefully for several minutes. Eventually he gave his answer. No, he said, he couldn’t possibly provide an encomium for a writer-artist who did not dedicate his work to a worthwhile cause. And having issued this declaration of his own integrity – perhaps with slight reluctance – he suddenly burst into verse. He was quoting verbatim, from memory, a poem from Peake’s first novel, Titus Groan. I think this was the stanza, with its chorus:

In dark alcoves I have lingered
Conscious of dead dynasties.
I have lingered in blue cellars
And in hollow trunks of trees.
Many a traveller by moonlight
Passing by a winding stair
Or a cold and crumbling archway
Has been shocked to find me there.

I have longed for thee, my Only,
Hark! The footsteps of the Groan!
Lingering is so very lonely
When one lingers all alone.

Gray, it seemed, loved Mervyn Peake – or at least liked his work enough to memorize a poem from it (Edwin Morgan liked it too). I was enchanted, both by the refusal and by the revelation, and have never forgotten the experience of listening to Alasdair’s voice rising over the hubbub of conversation at the bar as he intoned the words he considered too frivolous to be written about, but by no means too frivolous to be internalised, to be made part of himself. From such contradictions geniuses are made.

Those are my words about Alasdair Gray, written on the inaugural Gray Day, when his friends and fans gather together to remember a remarkable creator – or maker, the word he would rather use. My memories may be faulty, but they’re mine, for what they’re worth, and you’re welcome to them.

Magic Houses at a Time of Covid

Howl’s Moving Castle, from the Studio Ghibli Movie

At a time of Covid, fantasy has provided a refuge for the housebound, a means of travelling vicariously to lands free from disease where social distancing is either entirely absent or a function of plot, not necessity. As we read in the beleaguered safety of our beds, or curled up under blankets on a shabby sofa, or stretched out on patches of grass between forbidding banks of Victorian tenement blocks, it would hardly be surprising if our attention had been drawn with unusual persistence to fantasy’s obsession with houses. This, then, is a wandering meditation on the magic houses of fantasy fiction, which begins with ordinary buildings made bizarre – interspersed with some very strange dwelling places indeed – and ends with a series of domiciles that succeed in domesticating the odd, the wayward and the impossible, recognizing these as in effect the conditions under which we have lived in the long decades since the Second World War. Brace yourselves. As the Wizard Howl observes in Diana Wynne Jones’s Howl’s Moving Castle (which is where we end), ‘It should be hair-raising’.

The Domestic Roots of Fantasy

Fantasy fiction begins and ends with the domestic house, no matter how far it strays in between. The foundational epic of the modern fantasy tradition, The Lord of the Rings (1954-5), has its roots in a house buried in the ground, and this homely structure provides the epic’s preface or springboard – The Hobbit (1937) – with its much-loved opening paragraph:

In a hole in the ground there lived a hobbit. Not a nasty, dirty, wet hole, filled with the ends of worms and an oozy smell, nor yet a dry, bare, sandy hole with nothing in it to sit down on or to eat: it was a hobbit-hole, and that means comfort.

Tolkien’s own picture of Bilbo’s Hobbit Hole

Here the hobbit’s underground dwelling invokes comfort, stability, security, a place of one’s own with literal roots, perhaps with a room of one’s own inside it to read or write in – the room, for instance, where Bilbo Baggins later writes his memoirs, which Tolkien imagines as blossoming into the book of family records from which The Lord of the Rings is taken. But a hobbit’s house is also a kind of adventure in itself, with its tunnel-shaped hall lined with circular doors leading to innumerable rooms, which by the end of the novel are reputed to be filled with treasure. All those doors make it a place for adventures to start from; each of them might serve as the portal for a different quest, and Bilbo’s own quest is full of equally magical houses, from the Last Homely House with its mischievous, diminutive elves – rebranded as Rivendell in The Lord of the Rings – to Beorn’s wooden hall at the edge of Mirkwood, outside whose doors and windows hosts of bears go snuffling at night, or the Wood King’s underground house in Mirkwood itself, or the cavernous halls of the dragon Smaug, which were once the halls of the Dwarf King Thorin Oakenshield and his ancestors, and which thus provide a disturbing illustration of how adventures can infiltrate and destroy the family home. Many of these houses are variations on the hobbit’s hole, fulfilling the promise of adventure hidden in its many unvisited rooms and subterranean location. Bilbo’s hole was invaded by dwarves in the opening chapter, and it continues to occupy his thoughts through all the chapters that follow, providing both a parallel and a contrast to the many houses he visits before his adventures end. That’s the key to the allure of fantasy: in most cases a house something like the place where the reader sits when she begins to read, and to which she returns after dipping her toe into the perilous streams that run through the forests of romance, remains central to the reading experience from start to finish. And fantasy’s acknowledgment of the house’s importance to the reader’s experience, with its strangenesses, its precariousness when disaster strikes, the dangers it contains as well as its attractions, has helped to make fantasy the genre of choice for the shielding citizens of the Covid crisis.

That other foundational epic of modern fantasy, C S Lewis’s sequence of Narnian chronicles (1950-56), also begins in a house which is both a comfort and an adventure: the old Professor’s home in the West of England. This building is ancient and interesting enough to warrant visits from curious sightseers, while also being filled with mysterious rooms containing suits of armour, libraries, or wardrobes made of wood from another dimension. Lewis tells us, O bliss! that there are masses of other stories to be told about the building, some of them even stranger than the one we are about to read, and the very fact that he does not hint at what these stories might be invests the house with an imaginative potency that confirms it as the starting place for unnumbered potential narratives: a Wood Between the Worlds to match the one in The Magician’s Nephew. Like Bilbo’s hobbit-hole, the Professor’s house is full of doors that might easily open onto alternative novels containing different universes, and there are books that quite deliberately mimic the experience of opening another one of these doors – such as James Treadwell’s Advent (2012), which takes as its central location a house in the West Country that bears a curious resemblance to the Professor’s residence at a later, more dilapidated stage of its long existence. Lewis’s own The Voyage of the Dawn Treader (1952) – the third of the Narnian chronicles to be published – contains a house that shares the mood and mode of the Professor’s mansion, with mirrors, decorations and books in it that seem as quasi-sentient and portal-esque as the famous wardrobe. In it, Lucy engages in an act of reading that confirms the link between houses and books in fantasy fiction: houses are places to be read as well as to read in, and books are capacious annexes of the houses, flats or rented rooms we occupy.

Deborah Kerr in The Innocents, dir. Jack Clayton, based on The Turn of the Screw

Lewis and Tolkien share their interest in domestic settings with some of the crucial taproot texts of fantasy fiction. The Grimm brothers recognized the house as a site of storytelling when they dubbed their great collection of fairy stories the Household Tales for Children (Kinder- und Hausmärchen, 1812). William Morris’s late romances (1888-98) constructed themselves around a succession of strange houses, described with the kind of loving attention to detail one would expect from an interior designer, while Dickens consciously invoked the Grimms when he dubbed the magazine he founded Household Words (1850-8). In the days of the Grimms and Dickens and Morris, fantastic stories were a winter activity, the outcome of long hours of darkness confined to the house, crowded round a fire. Christmas, coming as it did just after the winter solstice, was story season. Many of these stories summoned up ghosts, as Henry James suggests in the opening sentence of his great novella The Turn of the Screw (1898): ‘The story had held us, round the fire, sufficiently breathless, but except the obvious remark that it was gruesome, as, on Christmas Eve in an old house, a strange tale should essentially be, I remember no comment uttered till somebody happened to say that it was the only case he had met in which such a visitation had fallen on a child’. The rest of the book gives another example of a child being haunted or possessed – or rather two children, which gives an extra ‘turn of the screw’ to the delicious torment inflicted on the listener by the unrelated story mentioned in the opening sentence. And the screw is tightened further still by the setting of James’s ghost story largely in summer, with its apparitions manifesting themselves in glaring sunlight and in the expansive grounds of Bly House as much as among its twilit staircases, ponderous dining rooms and gloomy bedrooms. James extends the hauntings of Christmas through every season, suffusing every corner of the country house and its estate with their gruesome strangeness.

Dickens, of course, produced a series of Christmas fantasies, the most celebrated of which – A Christmas Carol (1843) – begins by bringing the house itself alive at the darkest time of year, in a grotesque pastiche of the new life promised by Christ’s nativity. When the knocker on Scrooge’s door metamorphoses into the face of his business partner, Jacob Marley – who is ‘dead as a doornail’, as the saying goes – it is just one example of the many moments in the book when inanimate objects acquire vitality. Indeed, Dickens’s energetic narrator is inclined to see life in all sorts of places where others don’t; such as in doornails (‘I don’t mean to say that I know, of my own knowledge, what there is particularly dead about a door-nail’), or old sayings like this that have had the life leeched out of them by repetition. The whole of his book, then, becomes a competition between his tendency to bring things to life and Scrooge’s efforts to deaden and dull them. By the time Scrooge slams his door after seeing Marley’s face – waking echoes in every part of the building it serves, so that ‘Every room above, and every cask in the wine-merchant’s cellars below, appeared to have a separate peal of echoes of its own’ – Dickens has already animated a succession of other buildings, along with all the objects in them, to an extent that challenges the limitations of Scrooge’s narrow understanding of what’s possible. ‘Phantom’ houses have been glimpsed through the fog near Scrooge’s office, like supernumerary ghosts awaiting the protagonist’s trial and conversion. The bell in the church tower has peeped down ‘slily’ at Scrooge as he makes his way home, vibrating as though its bronze ‘teeth were chattering in its frozen head’. And the house that encloses Scrooge’s apartment has been described as so out-of-place in the yard it occupies that the narrator needs to give it a biographical back story to account for its presence there: ‘a lowering pile of [a] building up a yard, where it had so little business to be, that one could scarcely help fancying it must have run there when it was a young house, playing at hide-and-seek with other houses, and forgotten the way out again’. Scrooge himself has no truck with such anthropomorphic antics as Dickens plays with the buildings and objects in this list. His medium, or so he imagines, is the deadness of doornails and the frostiness that brings about and attends the end of life: ‘He carried his own low temperature always about with him; he iced his office in the dog-days; and didn’t thaw it one degree at Christmas’. Yet Scrooge is mistaken, since his symbiotic relationship with the buildings he occupies – his office as well as his suite of rooms – seems to extend his chilly influence into the surrounding streets, like a malignant form of life. As a result, the conversion of Scrooge becomes a question of the conversion of an entire city, the City of London, where the vigorous good cheer of Scrooge’s nephew joins the narrator in a war of attrition against his uncle’s tendency to frosty immobility, seeking to unlock what the old man locks, to warm what he freezes, and to animate what he seeks to render lifeless.

Things and buildings support the narrator and nephew in their efforts by opening up and acquiring flexibility despite all Scrooge’s attempts to shut them down and make them rigid. Bolted and fastened doors give way before the Ghost of Christmas Present, who can accommodate his size to any dwelling in existence, so that he ‘stood beneath a low roof quite as gracefully and like a supernatural creature, as it was possible he could have done in any lofty hall’. In this the Ghost embodies the life of houses at Christmas time, which are always releasing and admitting new occupants as if their walls could expand, contract and dissolve at need. The festive permeability of buildings is enacted when the house fronts seem to disintegrate as Scrooge passes them in company with the Ghost, enabling the ill-matched pair to see ‘the brightness of the roaring fires in kitchens, parlours, and all sorts of rooms’, as if through the hinged facade of a doll’s house. Scrooge’s conversion involves a similar architectural dissolution. As the novel goes on he finds that he can go everywhere, through doors and walls and windows like a genial spirit himself, in anticipation of his closing promise to live simultaneously in Times Past and Present and to Come, in defiance of the Victorian laws of physics. In the final pages of the book, ‘He went to church, and walked about the streets, and watched the people hurrying to and fro, and patted children on the head, and questioned beggars, and looked down into the kitchens of houses, and up to the windows, and found that everything could yield him pleasure’; and by the final paragraph he has become an embodiment not just of his own ‘good old city’ but of ‘any other good old city, town, or borough, in the good old world’. National and local boundaries cannot contain him any more than walls can – and the same can be said of Dickens’s story, which has burst out of the architecture of its pages and transformed itself into films and TV serials, inspired as much by the vivid original illustrations of John Leech as by Dickens’s words.

In freeing himself from the confinements of architecture, Ebenezer returns to the condition he inhabited in his boyhood when he first read fantastic stories, such as the tales from the Arabian Nights. The first image shown him by the Ghost of Christmas Past is that of the schoolhouse where he read them, ‘a large house, but one of broken fortunes; for the spacious offices were little used, their walls were damp and mossy, their windows broken, and their gates decayed’. Here in a ‘long, bare, melancholy room’, Ebenezer sees himself as a lonely boy being visited by different phantoms, whose presence makes the walls of the broken building melt away: ‘a man, in foreign garments […] stood outside the window, with an axe stuck in his belt, and leading by the bridle an ass laden with wood’. The man reveals himself as Ali Baba, and is swiftly followed by the medieval romance heroes Valentine and Orson, followed in their turn by Robinson Crusoe, Friday, and the desert island on which they were marooned. Stories animate the dead of winter, bringing a tropical or Orientalist warmth to dilapidated houses, and A Christmas Carol re-enacts this process for a Victorian readership by warming up the bodily tenement occupied by the old man’s chilly soul. Reading fantasy for Scrooge was salvation in his youth, and reading Scrooge’s adventures enables the reader to participate in his salvation. In the process the houses of London are saved too, and rendered integral parts of the salvific narrative.

Going back to the early modern birth of the fantastic – when a change of faith opened up the possibility of appropriating the imaginary of the supplanted Catholic religion – Richard Johnson, author of The History of Tom Thumb the Little (1621), opens his book with an invocation of the house as the location for similar reviving or regenerative stories:

The ancient Tales of Tom Thumbe in the olden time, have beene the onely revivers of drouzy age at midnight; old and young have with his Tales chim’d Mattens till the Cocks crow in the morning; Batchelors and Maides with his Tales have compassed the Christmas fire-blocke, till the Curfew Bell rings candle out; the old Shepheard and the young Plow boy after their dayes labour, have carold out a Tale of Tom Thumbe to make them merry with: and who but little Tom, hath made long nights seeme short, and heavy toyles easie?

Alexey Repolsky Illustration of Tom Thumb

Johnson’s marvelous opening paragraph, a rival to Tolkien’s in its evocativeness, invites us to concentrate on the odd community that inhabits many houses: old, middle-aged, young, workers and unemployed, married and single, whose diverse concerns must be somehow unified by the tales told round the ‘Christmas fire-blocke’. The selection of a tiny person for a hero is an obvious way to unite this diverse audience, because everyone has been tiny in their time, and tininess makes the sort of housebound existence that dominates the lives of the very young and the very old as exciting and dangerous as the adventures of the fit and strong beyond the building’s walls. Mary Norton understood this when she wrote The Borrowers (1952), which is set in a house occupied by a prosperous invalid and her housekeeper, and where a young boy, also an invalid, comes across a family of tiny people – the titular Borrowers – for whom the stairs are even harder to negotiate than they are for a normal-sized child with damaged lungs, or an elderly woman with arthritic limbs. Clocks, dressers, fireplaces, stairs and cabinets become in this book the site of perilous quests; floorboards for giants become ceilings for midgets; the garden and the fields beyond it become a limitless wilderness where predators roam. All through, there is a recognition of the way houses have been transformed by the recent war into unstable structures liable to instant demolition, hiding places for fugitives from unnamable terrors, decaying memorials to stable times long left behind. No wonder the book was so easily transferrable from one culture to another, being rewritten and reimagined as well as translated for the benefit of various countries shattered by conflict. In Japan (for instance) Norton’s book transformed itself into The Secret of the Blue Glass by Tomiko Inui in 1967, a book as haunted by the Second World War as its British counterpart; and the Studio Ghibli film adaptation of Norton’s novel, The Secret World of Arrietty (2010), transforms Norton’s English house once again, this time into a Japanese building left over from an earlier epoch, marooned by modernization in the selfsame suburb of Tokyo where Studio Ghibli is located. Similar suburbs provide the setting for the struggle between human lives and the lives of other, more fragile creatures in earlier Studio Ghibli movies, including Pom Poko (1994), where the other lives are those of tanuki or raccoon dogs, and Whisper of the Heart (1995), where the other lives are those of cats, cicadas and adolescents, the latter of whom occupy a border between the human and the non-human through the liveliness and flexibility of their imaginations. Raccoons, cats and adolescents populate The Secret World of Arrietty, too, converting the house and garden the Borrowers occupy into a junkyard each of whose elements can be put to an utterly different use from the one intended for it by its first makers. Even the doll’s house that was built for Borrowers by the elderly owner’s ancestors (a detail not present in the book) proves in the end not a dwelling-place for them but a much-needed catalyst for their departure from the building, as a human boy befriended by Arrietty transfers the tiny furniture from the doll’s house to the Borrowers’ refuge under the floorboards, and in doing so inadvertently reveals their hiding-place to the malicious housekeeper. A household kettle becomes the ship that aids their escape. Migrating populations, both human and animal, can find houses and their contents threatening, and the film ends with a dilemma, not having found a stable way for humans, Borrowers and wild animals to co-exist in the architecture of late capitalism.

Fantasy Houses and the Gothic

Raymond McGrath’s map of Malplaquet, drawn for Mistress Masham’s Repose

Fantasy could be said to have arisen at a time in history when the British became fascinated by domestic architecture. The early modern period, when Richard Johnson was writing his stories of Tom Thumb, was not particularly interested in the house as object – at least in literature. The human being rather than the human dwelling place was the focus of its interest, even if Edmund Spenser succeeded in reimagining the human body and brain as a mighty building in The Faerie Queene (his account of the House of Alma – the house of the soul – contains an early representation of the imagination itself in the form of Phantastes, a madman who bedaubs the walls of the house’s tower or head with images spawned by his own ravings). People enjoyed designing houses but don’t seem to have spent much time writing about them. Even the Country House poem, such as Marvell’s wonderfully weird ‘Upon Appleton House’ (1651), is more concerned with the estates it celebrates than with the buildings that preside over the surrounding fields, farms, forests and lakes (though Marvell’s poem does contain a memorable house that adapts itself to its owner as a turtle’s shell adapts itself to the growing reptile, its walls and ceilings expanding and contracting as the giant-spirited General Fairfax marches restlessly from room to room). The House of Solomon in Bacon’s New Atlantis (1627) is more of an intellectual system than a habitation, while the houses in More’s Utopia (1516) – which provided Bacon with his model – are strictly functional, being transferred from one set of occupants to another at regular intervals, and so never invested with any distinctive aura or personality. Houses themselves began to be an object of imaginative attention in the eighteenth century, when reforms in farming led to radical changes in the structure of rural estates, while country people displaced by the same reforms crowded into cities, necessitating a radical shake-up of urban building practices. T. H. White paid charming homage to this epoch of experimental housing design in another post-war masterpiece, Mistress Masham’s Repose (1946), where a small girl finds a colony of Lilliputians (or rather Blefuscans) on an island in the grounds of her ancestral home, a Palladian mansion called Malplaquet. Through them she learns how not to tyrannize over people smaller and weaker than herself, unlike the dictators of the 30s and 40s, or British landlords at the time of the agricultural revolution, or the girl’s grown-up guardians, who plot to steal Malplaquet from her for their own enrichment. Margaret Irwin paid similar homage to eighteenth-century housing innovations in her adult novel She Wished for Company (1924), in which a woman of the 1920s, alienated by the frenetic bustle of the modern metropolis, finds herself drawn back, both spiritually and physically, to the time when idealized homes were being constructed by the ruling classes as a model of the happy class relations they hoped to achieve in their private territories. Irwin identifies the end of this Palladian dream with the outbreak of the French Revolution; but in Britain it was the industrial revolution that exposed its fragility, its ghostly tendency to melt into air like the ‘cloud-capped towers and gorgeous palaces’ of Prospero’s island.

The industrial revolution quickly triggered a series of mass migrations, with cities expanding to ten or more times their former size in a matter of decades, and a radical rethinking of the basic nature of the house itself. New means had to be found to cram as many dwellings as possible into a limited area, and even greater ingenuity had to be applied to the question of providing these houses with adequate sewerage and other kinds of infrastructure. Social mobility brought vast sections of the population into proximity with strangers, disrupting ancient communities, creating new ones, and inspiring sometimes bizarre and unnerving efforts to render the expanding suburbs humane as well as habitable. The design of domestic buildings became increasingly inventive as the century wore on, and increasingly fanciful. By the 1890s the English suburbs were filled with terraced houses that wittily mimicked the styling of Elizabethan or Jacobean rural cottages or manor houses, as if in a bid to transplant the half imaginary, newly marginalized rural idyll into the urban centre of the British Empire. Social classes found themselves squeezed up against each other in adjacent streets. The middle classes aspired to associate themselves with the aristocracy, but also feared slipping swiftly down the social scale into poverty, and the geographical proximity of both alternatives in the shape of working-class and upper-class districts intensified their sense of being unsure of their own identity (does a ‘middle’ class, defined by its positioning between clearly defined upper and lower classes, in fact have any identity at all?). Their houses expressed both their aspirations and their fears, their fanciful prettiness or elegance pointing upwards towards the possibility of ascent to wealth and power, their identikit similarity indicating the likelihood of decline into anonymity. Victorian houses were oxymorons, announcing their link with a long, proud national past while at the same time self-evidently serving the purposes of the most rapid and radical set of social mutations in human history. They were fantasies, proclaiming an impossibly comfortable fusion of old and new, while actively drawing attention to the radical disparities between them.

This revolution in housing found literary expression in the Gothic mode, where domestic buildings are always dangerous, especially when imbued with recollections of an older, supposedly more stable social order. At the climax of the first Gothic novel, Horace Walpole’s The Castle of Otranto (1764), one wall of the titular fortress suddenly collapses to let in a giant, anticipating the total collapse of Edgar Allan Poe’s outmoded House of Usher (1839), along with the aristocratic way of life it represents. Otranto and Usher demonstrate how unwise it is to live in large, isolated, poorly-maintained ancient buildings, whose hidden cellars, unoccupied bedrooms and forgotten chambers provide the perfect setting for clandestine violence, and whose joists and lintels are no longer equal to the task of sustaining the weight of feudal history. The late Victorian Gothic story, meanwhile, takes particular aim at houses that have been rented or temporarily occupied by migrants. Dracula (1897) begins with a visit by an estate agent to an ancient, dilapidated castle in Transylvania, and the rest of the novel is dominated by the Count’s forlorn attempt to transfer his eccentric household to urban England, mirroring the urbanization of the industrial world and the opportunities this affords for illicit nocturnal feasting. Edith Nesbit’s ghost story ‘Man-Size in Marble’ (1887) opens with a couple’s lengthy search for a country residence which is ‘sanitary and picturesque’ as well as affordable (impossible combination!), and like most such searches for perfect real estate this one turns out to be doomed – though in a much more drastic way than is usual with house-hunting. Her first great children’s fantasy, Five Children and It (1902), similarly starts with a change of residence from city to country; indeed, many of her stories and novels open with a house move, with all the economic and social changes this entails. The Governess in The Turn of the Screw is a stranger in a country house, like Jane Eyre before her, and her inferiority complex when faced with the magnificence of Bly may help to explain the speed with which she comes to see its youngest occupants as haunted. Walter de la Mare’s ‘Out of the Deep’ ascribes appalling supernatural powers to a simple bell-pull in a newly inherited house, while Edith Wharton’s ‘The Lady’s Maid’s Bell’ does something similar, this time from the point of view of a newly appointed servant.

At times of war, meanwhile, every house is a strange one; and Doris Lessing described the twentieth century in Shikasta (1979) as the Century of Destruction, when houses were visited by violence on an industrial scale. Elizabeth Bowen’s Second World War story collection The Demon Lover (1945) is full of buildings rendered unstable by bombing; in one story a bomb-blast hurls a home-owner into the past, while another sees the emergence of an alternative city from the bombed-out ruins of the metropolis as a whole, named ‘Mysterious Kor’ after the subterranean home of Rider Haggard’s immortal Ayesha in She and its sequel. Bowen’s story contains an echo of one of the great architectural ghost stories of the late Victorian period, Margaret Oliphant’s novella A Beleaguered City (1900), in which an entire city’s population become migrants, driven from their houses by the appalling presence there of the unseen dead – disembodied judges of the people’s inability to live well together in an urban context. In these last two stories, ‘Mysterious Kor’ and A Beleaguered City, the house opens out to encompass the city of which it is part, and the city becomes a representative of all modern cities, as London does in the final paragraphs of A Christmas Carol; so that we readers find ourselves connected to something larger, stranger and more unsettling through the simple act of sitting in our living room or bedroom, envisioning a boundary-dissolving strangeness we have never experienced except in our heads and hearts.

The metamorphosis of Victorian housing confirms that the domestic environment is an intensely political space. When H. G. Wells wanted to describe the Victorian social attitudes from which the twentieth-century petit bourgeoisie sought to liberate itself in his Edwardian novel Tono-bungay (1909), he used the model of a country house to sum up the entire class system. For Wells’s protagonist as a child, Bladesover House is ‘a little working-model—and not so very little either—of the whole world’, occupied by a population in which ‘every human being had a “place”’, and it’s only with adolescence that he comes to realize that the Bladesover ‘system’ of rigid class distinctions, as he calls it, has fallen into decay like the wizened old ladies who ruled the Bladesover estate in his youth. Yet class structures can long outlast the physical structures that once contained them. Wells’s Gothic science fiction novel The Time Machine (1895) anticipates the messing with time and space that would take place in twentieth-century physics, using the medium of the Time Traveller’s house as a way to embody the experience of moving forward through history at a rapidly accelerating speed:

As I put on pace, night followed day like the flapping of a black wing. The dim suggestion of the laboratory seemed presently to fall away from me, and I saw the sun hopping swiftly across the sky, leaping it every minute, and every minute marking a day. I supposed the laboratory had been destroyed and I had come into the open air. I had a dim impression of scaffolding, but I was already going too fast to be conscious of any moving things.

Yet when his journey comes to an end, many thousands of years in the future, the architecture of the class system has consolidated itself at the expense of domestic architecture, with two distinct species inhabiting separate communal dwelling spaces, one above and one below ground, as belated embodiments of the working and ruling classes of the nineteenth century – though the subterranean working classes now have the upper hand. And the persistence of the Victorian class system is again embodied in houses in two of the great Gothic fantasy novels of the late twentieth century. In Angela Carter’s The Magic Toyshop (1967), the insistently working-class toymaker Philip Flower takes a perverse revenge on the children of his middle-class brother by trapping them in a Victorian household that incorporates the toyshop of the title, where he seeks to transform the children into puppets or toys, submitting them to an oppressive patriarchal regime that rejects all the social developments that have taken place between the death of Queen Victoria and the mid-to-late 1960s, when the novel is set. And in Alasdair Gray’s Poor Things (1992) a large Glasgow house in Park Circus gives shelter and a political education to a late Victorian working-class woman, who may or may not have been manually constructed, like the house she lives in, by a clever middle-class man with a gift for surgery. Bella Baxter or Victoria McCandless, as the woman is called at different times, undergoes an education in the nature of the class system at the hands of her mentor, Godwin Baxter, through the medium of a doll’s house, which must surely be a nod to Bladesover House in Tono-bungay:

See me open the hinged front door of this big doll’s house and fold it back. Look into all the rooms. […] The servants live mostly in the basement and attics: the coldest and most crowded floors with the smallest rooms. Their body heat, while they sleep, keeps their employers in the central floors more snug. […] Tell me, Bella, what the scullery-maid and the master’s daughter have in common, apart from their similar ages and bodies and this house.”

“Both are used by other people,” I said. “They are allowed to decide nothing for themselves.”

“You see?” cried Baxter delightedly. “You know that at once because you remember your early education. Never forget it, Bella. Most people in England, and Scotland too, are taught not to know it at all – are taught to be tools.” (pp. 262-3)

Alasdair Gray’s mural at Hillhead Subway Station

The doll’s house here embodies complicity, the problem Gray wrestled with throughout his career as a writer-artist. Whatever your politics (so the thinking goes), no matter how fiercely you uphold revolutionary principles, the building you live in has the shape and machinery of the class system built into it, as does the city that building occupies, its infrastructure depending on inequalities of pay and status which cannot be overthrown except by a radical reconstruction of the city itself and each of the houses it contains. Everyone who lives in a house, then, can be seen as complicit, despite themselves, in the economic and social system that brought that building into being, or that lets the building continue to function as a domestic mechanism. As a result, studying your house can be a means to understand the economic and social processes you live by – something Baxter demonstrates when he explains the design of the doll’s house to his student. And Alasdair Gray, too, took the notion of using houses as a means of education more seriously than most. Throughout his career he designed murals and mosaics that now bedeck buildings throughout Glasgow and the West of Scotland, from a private flat in West Prince’s Street, which houses his mural of the Book of Jonah, to the entrance of Hillhead Subway Station, the Oran Mor Bar on Byres Road, the Ubiquitous Chip Restaurant in Ashton Lane, and the café at Palacerigg Country Park. Each mural or mosaic tells a tale, for the most part a political one. Meanwhile his books are designed like murals or mosaics, with decorations from jacket to index, a typography devised by Alasdair himself, and a place on the shelves of many homes in Glasgow and elsewhere, from which they invoke the spirit of place by bearing his motto: ‘Work as if you lived in the early days of a better nation’, or a better world, or a house that has been decorated in anticipation of both. Gray’s buildings and books invoke the spirit of that other great writer-designer, William Morris, and the species of practical political dreaming he invented.

Magic Houses in Victorian Children’s Fiction

The King of the Golden River, illustration by Richard Doyle

Poor Things and The Magic Toyshop pay homage to the Victorian Gothic tradition, invoking its continued domination of twentieth-century culture long after the regime that brought it into being has become redundant. Children’s literature – as Nesbit’s Five Children and It suggests – owes a great deal to the Gothic tradition in its attitude to houses. In their Children’s Fantasy Literature: An Introduction (2016), Michael Levy and Farah Mendlesohn rightly contend that Victorian fantasy fiction for children was obsessed with domestic architecture; but for them, houses are fundamentally safe spaces and their use is designed to contain and control the children whose adventures take place within their walls:

Perhaps the most striking aspect of mid to late nineteenth-century children’s fantasy is the degree to which the fantasies can seem contained and bounded. Furthermore this containment is presented as desirable. Colin Manlove argues that the character of British fairy tale gave to British children’s fantasy one of its major characteristics, domesticity […] ‘House-based action’ is a striking feature of nineteenth-century fantasy: it can be argued that even Never-Never Land is situated in the bedroom.

However, the eye-deceiving shiftiness of houses – their tendency to imply the presence of bounds and orders and systems which dissolve, collapse and reassert themselves under the pressure of changing times – is as present in fantasy fiction for children as it is in adult fantasy. John Ruskin’s The King of the Golden River – first written in 1841 and published nine or ten years later – is a case in point. Despite being among the first ‘literary’ fairy tales written in English, Ruskin’s story is set in Germany, home of the Gothic, in a rural house much like the ones in the Household Tales of the Brothers Grimm. Like many Grimm households, this cottage is the locus of systemic abuse, where the youngest member of a family, twelve-year-old Gluck, is treated by his older brothers as an unwaged labourer or slave, controlled by the threat of violence. The house, meanwhile, is used as a tool to support the brothers’ obsession with accumulating wealth at the expense of their neighbours. Gluck is strictly forbidden to let strangers into the building when his brothers Schwartz and Hans are away from home, and he believes the pair will kill him if he disobeys. Its walls, doors and windows operate as impermeable barriers between the rich and the folk they feed on, obstructions to hospitality, giving and lending of all kinds. So when a diminutive, rain-soaked stranger taps on the front door seeking shelter, the boy has to inform him through the window that he can’t come in. And when Gluck finally relents and allows the stranger to share fire, food and shelter, his gesture is quickly reversed when Schwartz and Hans get home and tell the little man to go away. The man consents, but promises to visit again at midnight; and sure enough when the clock strikes twelve he reappears, mounted on a magical cloud of foam, having blown off the roof to effect his entrance. As it turns out, he is none other than the South West Wind, and his second appearance effectively demolishes the physical and verbal obstructions Fritz and Hans have erected to distinguish themselves from the world they see as hostile competition in their lifelong quest for capital.

The King of the Golden River, illustration by Arthur Rackham

The rest of the story dedicates itself to the further demolition of these obstructions, setting against the fortress-household of Schwartz and Hans the benign influence of the free-flowing wind and the mountain valley in which the house is situated. This is called the Valley of Treasure, formed by the passage of the Golden River, and both names conjure up hard objects made of precious metal, usually stored in windowless vaults protected by guards. But the valley’s treasure is its fertility, which is quickly blasted by the vengeful Wind, and the Golden River gets its name from the play of light on its rushing waters. The Wind dims the light, too, thus revealing to the brothers how their fortune relies not on rigid architectural structures but on wayward natural forces they can’t control. Their concern with material things is based on an arbitrary set of values, which is informed in turn by a certain way of seeing the world, and of interpreting what they see in very limited terms. Later, the three brothers – Hans, Schwartz and Gluck – are sent on a quest to restore their fortunes by the titular King of the Golden River, a kind of shape-changing elf; and the success of the youngest brother in this quest depends on the difference between the way he looks at things and the way his brothers see them. When they go up the valley to pour holy water in the Golden River, as the King instructs them, Hans and Schwartz are unable to fix their eyes on anything except their economic objective, despite the glorious alpine scenery they must pass through in order to reach it. Ruskin describes this scenery with the kind of meticulous precision he brought to his watercolour sketches of buildings and landscapes:

Level lines of dewy mist lay stretched along the valley, out of which rose the massy mountains, their lower cliffs in pale grey shadow, hardly distinguishable from the floating vapour but gradually ascending till they caught the sunlight, which ran in sharp touches of ruddy colour along the angular crags, and pierced, in long, level rays, through their fringes of spearlike pine. Far above shot up red, splintered masses of castellated rock, jagged and shivered into myriads of fantastic forms, with here and there a streak of sunlit snow traced down their chasms like a line of forked lightning; and far beyond and far above all these, fainter than the morning cloud but purer and changeless, slept, in the blue sky, the utmost peaks of the eternal snow.

The brothers’ indifference to these constantly changing effects of light on stone and snow extends to the presence in it of desperate people who need their help: an old man, a parched child, a dog dying of thirst, to whom they refuse even a drop of their holy water. Gluck’s responsiveness, on the other hand, to the effects of light on the mountains finds a correlative in his responsiveness to the material needs of the people he meets en route to the river. Ruskin effectively reverses in this story the concepts of substance – a term associated by capitalists with economic prosperity – and insubstantiality, pointing up the false human consciousness that bestows value on material possessions (such as real estate) while dismissing humans themselves as valueless. The materialism of Hans and Schwartz leads in the end to their being turned to unchanging stone by one of the people they neglected, the dying dog, who turns out to be the King of the Golden River in animal form; while the same dignitary ensures that Gluck’s name fulfils its promise of bringing him lasting happiness. Hans and Schwartz are reduced to the component materials of the house they made their fortress, while Gluck returns to live in the Valley of Treasure, restored to its former prosperity by the impact of his attitude to his fellow valley-dwellers, his benevolent way of seeing. Ruskin’s light tale, then, is designed to carry political weight as both a celebration and democratization of what he thought of as the proper artistic perspective, and the power of this perspective to drive social change, as the power of the Golden River drives the prosperity of the valley it waters. There couldn’t be a much more explicit illustration of Tolkien’s notion of recovery, the ability to see the natural world and its population in a fresh new light, as a child might see them. And there couldn’t be a much more lucid exposition of the political applications of that recovery, either, or a clearer foreshadowing of Ruskin’s account of the politics of the household in his socio-economic manifesto Unto This Last (1861).

The brother’s house in The King of the Golden River suffers a partial collapse because of its impractical rigidity, like the Castle of Otranto or the House of Usher. Other fairy tale houses of the period undergo more subtle forms of destabilization. Frances Browne’s much-reprinted fairy tale collection, Granny’s Wonderful Chair (1856), for instance, concerns itself with the mobility of populations and its impact on domestic buildings and their occupants. A frame narrative tells of a little girl called Snowflower who lives with her Grandmother in a cottage that closely resembles the domestic buildings in Donegal, where Browne grew up and from which she migrated during the Hunger. It is a house that melds with the local fauna and flora to such an extent that there seems to be no barrier between the interior and the outside of the building, in sharp contrast to the house in Ruskin’s story:

[It was] a little cottage built of peat, and thatched with reeds, on the edge of a great forest; tall trees sheltered its back from the north wind; the mid-day sun made its front warm and cheerful; swallows built in the eaves; daisies grew thick at the door; but there were none in all that country poorer than Snowflower and her grandmother. A cat and two hens were all their live-stock: their bed was dry grass, and the only good piece of furniture in the cottage was a great arm-chair with wheels on its feet, a black velvet cushion, and many curious carvings of flowers and fawns on its dark oaken back.

This one ‘good piece of furniture’ turns out to be magic, and to be good in more ways than one: aesthetically attractive, useful and instructive, it tells marvellous stories about faraway places very different from Snowflower’s home. And it is also geographically mobile, like the population of rural Ireland in the middle of the nineteenth century. When the Grandmother leaves the cottage to go on a long journey, and the food begins to run out, the chair magically transports Snowflower to the palace of King Winwealth where food is plentiful and shelter can be found, however grudgingly it’s offered. Here the little girl earns a living by instructing the chair to tell its stories to the King; and as story follows story through the collection, Snowflower is rewarded with a succession of promotions to better and better locations in the royal building: from a dusty corner in the worst kitchen to a pallet in the best kitchen, a bed in the servant’s hall, the housekeeper’s parlour, a ‘wainscot chamber’ and finally ‘one of the best chambers of the palace’. She is granted these rewards because each story reminds the King of the halcyon days of his youth, when he ruled alongside his intelligent and imaginative brother, Prince Wisewit. Each story, too, tells of traffic between cottages and royal palaces, between the houses of the peasantry and the houses of the governing classes; from ‘The Christmas Cuckoo’, in which two poor cobblers travel from a ‘hut built of clay and wattles’ to the king’s residence and back again, finding the hut a more congenial home than the palace (at least in times of prosperity); to ‘The Story of Merrymind’, in which a vagrant boy with a broken fiddle transforms an entire kingdom obsessed with constant labour and amassing huge profits, thanks to a chance encounter in a ruined cottage. Like Ruskin’s King of the Golden River ‘The Story of Merrymind’ celebrates the power of aesthetic participation – in this case, the performance of music and storytelling – to lighten the heavy business of work and change dreary or squalid buildings into pleasant homes. The inhabitants of the ruined cottage who help young Merrymind effect this change are the so-called ‘night-spinners’: ‘two fair maidens, all in white spinning on silver wheels, and singing together a blithe and pleasant tune like the larks on May-morning’. Light-hearted, light-clothed, high-spirited young women, their work and the ‘blithe’ music they sing to accompany it is considered of no worth by their profit-minded compatriots. But thanks to their song-driven spinning, the boy Merrymind gets golden strings for his violin; thanks to his violin the ruler of the work-obsessed country, Dame Dreary, learns to dance again; and thanks to her dancing the spell that kept the country in bondage to labour is broken, and the land itself restored to its original identity. It becomes a place where the night-spinners ‘spun golden threads by the hearth of every cottage’, where the people ‘wore homespun, and drank out of horn’ but ‘had merry times’, where ‘there were May-games, harvest-homes and Christmas cheer among them’, and ‘Shepherds piped on the hill-sides, reapers sang in the fields, and laughter came with the red firelight out of every house in the evening’. Attention to the marginalised economies of small buildings, with the industries they harbour such as spinning and smallhold farming, and the popular artistry they encourage such as storytelling and singing, keeps a country alive and well in a world increasingly given over to alienated labour. And Browne’s fiction implies in particular that her own country of Ireland could regain its lost national identity by paying the same close attention to its marginalised communities, and to its popular culture as embodied in her fairy stories.

The houses of Lewis Carroll are more fluid even than Browne’s cottages and palaces, and their fluidity derives from the changing bodies rather than the developing imaginations of their occupants. Radically detached from the social, political, religious or economic grand narratives to which other Victorian buildings pay tribute, they dedicate themselves instead to exacerbating the monstrous difficulty of accommodating a growing child’s body and mind within the architectural and ideological limits of a conventional middle-class home. Alice’s Adventures in Wonderland (1865) opens with the representation of a book very unlike the novel itself, as young Alice’s older sister reads to her from a volume which seems to have been written from the exclusive perspective of a third-person omniscient narrator, unembellished by dialogue or decoration: ‘“and what is the use of a book,”’ Alice thinks to herself, ‘“without pictures or conversations [in it]?”’ As a result of the volume’s drab uniformity the girl’s attention strays from the rational route it’s expected to follow, and the rest of the novel can be read as an extended distraction from and commentary on the various official discourses which are supposed to shape her. Alice finds herself chasing a white rabbit down a hole which transforms itself into a vertical house, whose curved walls are ‘filled with cupboards and book-shelves’ with here and there among them ‘maps and pictures hung upon pegs’, in homage to the conventional techniques used to store the brain of a growing child with appropriate knowledge. But the circularity of the house’s walls, together with its uncertain depth, make any attempt to systematically organise this knowledge decidedly awkward – as does the difficulty of picking out any particular object from the shelves when one is falling rapidly past them.

Alice in Wonderland, illustration by John Tenniel

Carroll’s own mind tended to stray from the systematic method of developing and organizing narratives as represented by shelves and maps. In his prologue to Sylvie and Bruno (1889) he explains how his fanciful work, such as the ballad The Hunting of the Snark (1874-6), sprang from ‘random flashes of thought – as being suggested by the book one was reading, or struck out from the “flint” of one’s own mind by the “steel” of a friend’s conversation’. It also contains certain passages ‘which occurred in dreams, and which I cannot trace to any antecedent cause whatever’. The structure of the subterranean house in which Alice finds herself proves as unruly as Carroll’s procedure in assembling his narratives. The girl’s attempts to open and pass through one of its doors into a beautiful garden are constantly thwarted, while the interior spaces she wanders through exist in a state of constant flux, often thanks to her own repeated changes of size. The hall with the door to the garden in it gets suddenly filled with water when Alice grows to gigantic proportions and begins to cry. The white rabbit’s house (when she eventually finds it) shrinks to the size of a hutch as she grows again, and she has to put its architectural features to unusual uses, sticking her foot up the chimney and her arm out of the window in a quest for additional space. Later, the house of the Duchess to which the rabbit was hurrying when she first saw him turns out to be full not of aristocratic decorum but of pepper, broken crockery, and babies who refuse to keep the same shape from one moment to the next. Outside and inside flow together, as rabbit burrows become well-furnished wells, treacle wells become domestic houses, front halls become high seas, al fresco tea parties take place in perpetuity thanks to a broken watch, croquet parties happen near the seashore, and the seashore transforms itself first into a schoolroom and then a courthouse. Alice’s social role flows too, from schoolchild to maid to nanny to lady-in-waiting to schoolchild again to prisoner-in-the-dock. The constant fluctuation of houses, bodies and roles in the book is recorded in a giddily fluctuating language, where the meanings of words and the logic of sentences constantly intersect, hurling the reader from one train of associations to another. Most disturbingly of all, perhaps, every architectural, horticultural and linguistic space in the book plays its part in a judicial process which is wholly arbitrary, punctuated by shrill cries of ‘Off with his head’ or the barks of a terrier who plans to act as judge, jury and executioner for an unfortunate mouse.

Alice in Wonderland, from the movie by Jan Svenkmajer

In this narrative, then, the faculty of judgement, understanding or reason, as depicted by Spenser in the House of Alma, has been utterly overwhelmed by Phantastes, the untrammelled fancy, who has continued the process of breaking down the boundaries between the domestic house and the outside world which he began in The Faerie Queene. And yet the book is funny, coherent and compulsively readable despite its refusal to follow familiar patterns of cause and effect, or proposition, proof and conclusion. This is because its representation of the abrupt and bizarre transformations being imposed on the Victorian population, as embodied by Alice, through the combined agencies of industrialization and free market capitalism, is defused by the affectionate tribute it pays to its feisty heroine. Alice refuses to let herself be crushed by the various monsters she encounters – in marked contrast to the unfortunate teenager Conrad in The Castle of Otranto, who got himself crushed by a giant flying helmet. It’s a testament to Alice’s resilience that she is able to wake from her dream, at the end of the novel, quite unmarked (it seems) by the traumatic experiences to which she has been subjected. In the Alice books, a new generation in the shape of a young girl comes to understand fantasy as the medium she lives in – the stuff and substance of the Victorian epoch – and shows herself entirely capable of keeping herself afloat in it, as she kept herself afloat in the sea of tears.

Plural Magic Houses of the Twentieth Century

Alice’s experience with houses, as represented both in the mutating rooms and gardens of Alice in Wonderland and the house of mirrors in Through the Looking Glass, provides the template for the plural magic houses of the twentieth century. The most fascinating of modern fantastic houses embody the increasing mobility of twentieth-century populations, the increasingly rapid social changes taking place within and around them, and the ingenious techniques house-dwellers and house-designers have discovered for replicating Alice’s resilience in the face of these challenges. But where Scrooge, Dracula, Gluck, Alice and the rest often feel like strangers in the bizarre domestic spaces they inhabit, and their post-Victorian descendants – Melanie in The Magic Toyshop, Bella Baxter in Poor Things – share their unease in these unsettling enclosures, many residents of magic houses in the later twentieth century seem to have become somehow naturalised to the wayward structures that surround them.

Three examples will suffice to illustrate the strange plurality of these houses, their capacity to embody several identities at once, and the remarkable adaptability of their occupants. The first is the apartment in Doris Lessing’s The Memoirs of a Survivor (1974), from which the unnamed narrator watches closely as the city outside breaks down, filling with refugees, travellers, gangs, radical communes, and groups of aggressive feral children. Each change in the city outside finds its reflection within the narrator’s apartment walls, in her relationship with her cohabitants – a teenage girl called Emily and her pet, a strange yellow cat-dog by the name of Hugo. Emily teaches the narrator how to interact with the new societies springing up in rapid succession beyond her front door, while the narrator teaches Emily that older people can have a productive understanding of and scepticism about radical change, and Hugo teaches them both that they are animals, and so have needs very similar to his, no matter how grandiose their hopes and fears for the society they are part of. Furniture and household objects are requisitioned for new uses, new members of the household community come and go, the building that houses the apartment changes into a vertical city in itself, whose economy reproduces in miniature the new economy of barter, adaptation and recycling that has sprung up all over the decaying city as a whole. And meanwhile…

Julie Christie in David Gladwell’s movie of The Memoirs of a Survivor

Meanwhile, behind the walls of the narrator’s apartment another space begins to reveal itself, a space in which she sees reflected in alternative forms the personal, social and environmental crises taking place in the city and in her own household. Passing through the wall of her living room, at times she finds herself in rooms that reproduce the experiences of Emily and her mother in childhood and young adulthood, experiences that have conditioned Emily’s emotional response to the current social collapse, partly inhibiting her power to rise above the continual crisis of the day-to-day. At other times the narrator finds herself wandering through her living room wall into a wholly different set of rooms: rooms in which are played out in alternative terms – through games, images concrete and abstract, gardens, experimental architectural and artistic structures – scenarios that suggest alternative, healthier ways of living, utopian escape routes from the ecological and socio-political nightmare that is eating up the city from inside. The narrator’s work as a householder, a survivor intimately concerned with the nitty gritty of living from day to day, gives her the wherewithal to understand the utopian possibilities enshrined in these scenarios, so that in the end she can lead Emily, Hugo and the rest through the wall of her apartment towards the possibilities they represent. At this point, the dissolving mirror of Alice Through the Looking Glass becomes not a wayward reflection of the insanities of contemporary culture but a portal to a new kind of future, a migratory corridor to hope. And the seeds of this future have been planted by simple house-dwellers in our own timeline, cultivators of the friendships, observations, interactions, affections, careful thought and ingenious solutions that might one day bring such a future about, if we can find a way to break through the brick and plaster that hems us in.

The Memoirs of a Survivor is full of references to the children’s fantasies that have shaped so many voracious readers, from its obvious allusions to Alice in Wonderland and Through the Looking Glass to the presence in it of Emily’s boyfriend Gerald, who is both Peter Pan, with his gang of murderous Lost Boys, and the Pied Piper, who leads populations of unsuspecting children to potential destruction. The implication is, I think, that these children’s fantasies can have two alternative functions: to keep us trapped, through continual nostalgic return to their familiar contours, in a mindset of the sort Carter’s Philip Flower seeks to cultivate in the children in his Magic Toyshop, a condition of arrested development, of perpetual Victorian infancy, unable or unwilling to imagine better ways to exist than the ones that have been handed down to us; or to assure us that we can think outside the domestic box, somehow dream our way through innovations in our daily living to a worldwide state of collaboration and mutual support. Something similar can be said about John Crowley’s seminal fantasy Little, Big, or the Fairies’ Parliament (1981), which contains one of the most intriguing magic houses of the twentieth century, the house called Edgewood, which is a portal to fairyland, to Alice’s Wonderland, and to the new place radical reformers and revolutionaries dream of, which has its roots in the distant past.

Edgewood is the home of the Drinkwater family, constructed by the nineteenth-century architect John Drinkwater as a set of interlocking samples of the domestic styles he can offer potential customers. As a result, it is a house which is ‘all fronts’, designed ‘so people could come and look at it, from any side, and choose which kind of house they wanted; that’s why the inside is so crazy’. This is how the architect’s great-granddaughter, Daily Alice, explains the building to her future husband, Smoky Barnable, and when he expresses incomprehension she proceeds to show him what she means:

He looked where she pointed, along the back front. It was a severe, classical façade softened by ivy, its gray stone stained as though by dark tears; tall, arched windows; symmetrical detail he recognised as the classical Orders; rustications, columns, plinths. Someone was looking out one tall window with an air of melancholy. ‘Now come on.’ She led him by the hand along that front, and as they passed, it seemed to fold like scenery; what had looked flat became out-thrust; what stuck out folded in; pillars turned pilasters and disappeared. Like one of those ripply pictures children play with, where a face turns from grim to grin as you move it, the back front altered, and when they reached the opposite wall and turned to look back, the house became cheerful and mock-Tudor, with deep curling eaves and clustered chimneys like comic hats.

Inside this plural house whose ‘crazy’ interior combines all the different styles performed by its multiple façades, Drinkwater’s family lives through the alternative history they call the Tale, in which the things humans dream of awake or asleep are real and have a direct and indirect impact on politics, economics, society, culture. Daily Alice is the grown-up descendant of Carroll’s Alice, her height, quiet self-confidence and strength affirming her importance in a world that has not yet learned to recognise it. She and her family exist in communion with the fairies of Europe, who followed the Drinkwaters from the Old World to the New, enabling ancient narratives involving their ancestors to continue to work themselves out in their descendants’ words and actions. Here they found Edgewood, with its innovative fusion of familiar architectural elements into a new kind of complexity, the ideal centre from which to begin their secret invasion of the rational and mundane. From it other magical spaces emerge, such as Old Law Farm in the nearby city: an urban version of Edgewood, made of the space formed by a city block whose interior has been opened up to become a single communal space, within which an urban farm has been created, superintended by a helpful brownie and pervaded by supernatural manifestations.

Edgewood functions, too, as a looking-glass for those who seek to recognize the operation of myth and legend in modern times, so that when the Emperor Frederick Barbarossa returns, as legend says he will, he can be recognised by the Drinkwaters and their relations in the person of a modern politician known as the Tyrant, whose agenda seems to be to advance the fairies’ cause at the expense of the unsuspecting human inhabitants of the New World. Edgewood, in other words – and Old Law Farm, and any other outposts of its arcane aesthetic – dedicates itself to reading the world in multiple terms, from the terms provided by folk wisdom and ancestral beliefs to the arcane terms of the Tarot pack, astrology, and other forms of occult knowledge. For the Drinkwater family who built it, the world cannot be properly understood in the crude terms dictated by late capitalism or science. Alternative means of understanding it have been provided by books of magic, picture books, fairy tales, and even the history-cum-guidebook written by Edgewood’s builder, John Drinkwater, Architecture of Country Houses (1880). Only a comprehensive view of things provided by combining all these different forms of understanding can properly describe the patterns being created by everyday events. And the best means of achieving such a view is to inhabit the domestic space with due attention to its complexities: the way houses are able to accommodate multiple personalities with diverse interests, different kinds of imaginative energy, alternative historical perspectives (based on their different ages or their varying levels of awareness of their family’s past), rival aesthetic tastes, and so on. For Crowley, as for the Drinkwaters, a house can be the model for a new society, and the presence of Old Law Farm in the city – Edgewood’s outpost and double – affirms the possibility of extending this new society to entire urban and national communities.

The chief attraction of Edgewood is the absence from it of a patriarch or tyrant. John Drinkwater built it largely to the specifications of his clairvoyant wife, Violet Bramble, who could commune with the fairies while he could not. Variations on this couple’s relationship coexist through the lives of their descendants, some of whom see the world in material terms, some of whom are deeply familiar with the supernatural, but all of whom are willing to recognise and support the alternative perspectives of their spouses, children, friends and odd relations. The importance of the house to achieving this psychological cooperation is reinforced by some of its occupants’ interest in the early modern Art of Memory, which encouraged those who wished to remember certain things with absolute accuracy to map the contents of their minds onto the architecture of a familiar building, usually their home. All the Drinkwaters effectively use the same building as their Memory Mansion, the structure onto which they map their minds. The building is of course Edgewood, but each of them reads the building differently, and as a result the house is enriched, becoming the ultimate working model of happy coexistence in a modern world where such models are in short supply. Edgewood’s enrichment via the presence in it of so many forms of imaginative and intellectual eccentricity – marginalised thinking, which may be one way of accounting for the building’s name – means that when at last the Drinkwater family and their associates move on from the house, travelling into the depths of the fairyland they have helped to sustain into the twentieth century, the house takes on a mythical status. Buried in the heart of ever-expanding woodlands (Crowley’s America undergoes a collapse like Lessing’s Britain, and a similar reversion to wildness), its many lights blazing thanks to the efficiency of its occult lighting system, Edgewood becomes an enduring symbol of hope, a hope which gets clearly articulated in the many fantastic stories that spin themselves around it. But unlike most such myths:

It could be found. There it was: at the end of a neglected drive, in a soft rain, not what had been expected at all and however long-sought always come upon unexpectedly, for all its lights; sagging porch steps to go up, and a door to go in by. Small animals who thought the place theirs, long in possession, sharing only with the wind and the weather. On the floor of the library, by a certain chair, face down at a certain page, a heavy book spine-broken and warped by dampness. And many other rooms, their windows filled with the rainy gardens, the Park, the aged trees indifferent and only growing older. And then many doors to choose from, a juncture of corridors, each one leading away, each ending in a door that could be gone out by; evening falling early, and a forgetfulness with it, which way was the way in, which now the way out?

The house’s many corridors here deny the notion of forward progress; instead it celebrates the multidirectional mazes constructed by the meeting of many hearts and minds, the concept of community that so often gets lost in the face of geographical mobility and social change.

The third twentieth-century magic house can be found in Diana Wynne Jones’s novel for children Howl’s Moving Castle (1986). This is a house which in a number of ways is the opposite of Edgewood. Where Edgewood is larger on the inside than it is on the outside, like many magic houses, Howl’s Moving Castle is much smaller, its modest two-up two-down internal construction belying its forbidding external appearance as a wizard’s fortress, tall, black and grim. Where Edgewood is widely regarded as unique, the moving castle is unexpectedly ordinary, despite its magical properties; its life revolves around the daily rituals of cooking, cleaning, sleeping, arguing. Where Edgewood is old and full of close relatives whose story stretches back through generations, the castle has been recently constructed to shelter Howl and his extended family, whose component members – the old woman Sophie, the demon Calcifer, the apprentice Michael, and later a dog who is also a man – are connected not by a common ancestry but by common needs, many of them generated by their disconnection from their blood relatives. And where Edgewood is firmly rooted in a certain place – an estate on the edge of woods, not far from the City – the Moving Castle is always shifting from place to place, both literally, in that it can propel itself round the landscape by demonic magic, and metaphorically, in that its owner has many functions: as local magic-worker, king’s sorcerer, faithless lover, no-good brother, and so on. The castle contains the tools of each of these trades, has a magic front door that opens onto locations associated with each of them, and provides shelter from the consequences of Howl’s actions in each role. Like Edgewood, then, it is a complex space where many functions and narratives interpenetrate; yet it is a small and ordinary space in appearance, the kind of space a reader might really occupy, a proper domestic sphere, unlike most of the magic houses we have looked at till now.

What interests Diana Wynne Jones is the house as the starting point of all adventures – its domestic function as a catalyst as well as a material and emotional launching pad for social and political action. The events that take place in the Moving Castle’s modest front room drive all the action in the novel, from the threat posed to the land of Ingary – where the castle is mostly located – by a malicious sorceress called the Witch of the Waste, to the threat of war that is brewing in the background as the citizens of the country go about their daily business. Howl’s magic, which is involved in both these national crises, is rooted in his contract with the demon Calcifer, who occupies the house’s hearth and lends it the mobility that gives it its name. Also in the hearth, we learn in the end, resides Howl’s heart, which binds the contract, so that Howl’s emotional life – a whirlwind affair that involves successive romantic entanglements, multiple parallel jobs, and many complex relationships with his various friends and relations – has a direct effect both on conditions within the castle and in the land beyond. The novel’s protagonist Sophie, too – a young woman transformed into an old one by the jealous Witch’s curse – similarly has a direct effect on the wellbeing of the nation, by virtue of her instant impact on the guardian of Howl’s heart, the demon Calcifer, and on Howl himself. As the book goes on she finds herself having interviews with the King, fighting the Witch in the wasteland where her own castle is located, and stimulating Howl to put his magic to useful and attractive purposes – greening the desert, correcting the effects of curses, and fighting the Witch with the help of Sophie and the various allies she has attracted to the castle’s front room. Sophie sees herself as the embodiment of the Victorian view of the woman as the Angel of the House, tied to the hearth by bonds of duty as well as affection. Wynne Jones demonstrates that such a role is a massive one, linking its occupant by elaborate threads to almost every conceivable aspect of the world outside her home’s front door.

At the same time, Wynne Jones is interested in the extent to which these powers of the domestic house and its keeper – the person who keeps it running smoothly, so often a woman – have been occluded or hidden away by history, storytelling convention, language, and the trappings of social custom. The power of Howl’s Moving Castle is carefully concealed thanks to Howl’s determination to hide it; this is why the castle is always shifting from place to place, in a futile bid to evade responsibility by making it seem unconnected to any given location it settles in, its occupants unattached to any local or national population or concern. The same motive has led Howl to conceal the source of his magic, the heart that binds him to the demon Calcifer – and with it his genuine care and affection for his fellow creatures. As well as concealing the source of his power and his sense of duty and affection from others, Howl seeks to hide them from himself, by living like an adolescent in a building that he never bothers to clean, and by refusing to allow Sophie – when she arrives by chance at his front door and decides to move in as his cleaning lady – to come near his bedroom, with its thick patina of dust and its unruly swarms of spiders. Sophie shares Howl’s impulse to conceal her own powers, to hide her own feelings, to evade her responsibility for other people, despite the centrality of all these things to her personality and actions. Her transformation into an old woman is worked at first by a wicked Witch, but it merely confirms Sophie’s view of herself, and she reinforces it with increasing determination as the novel goes on – in the process transforming herself into a witch very nearly as powerful as the woman who changed her. Sophie’s strenuous evasion of herself is what makes the castle her natural home, the location where evasions can be most successfully carried out, thanks to its construction as Howl’s hideout and protective shield.

The nature of a house and its occupants can be disguised or altered by many other kinds of movement besides traversing the ground: by being tidied up or redecorated, for instance, or by having its contents shifted around, or even by being moved from one building to another (after all, the same household with the same possessions in two different buildings makes these in effect the selfsame building, for all the minor distinctions between them in terms of location and internal geography). Disguise, in fact, can become material change, and the castle is always moving in the sense that changes are always taking place within its walls: new occupants arriving in the shape of Calcifer, Michael, Sophie, the dog; new problems throwing its occupants into frenzied new activities; new moods covering its floors and walls with heaps of magic slime, the physical manifestation of Howl’s periodic bouts of depression. Putting on clothes can be a disguise – like the magic cloaks donned by Sophie and Michael when they leave the house, which transform them into a large red-bearded man and an ungainly horse. But clothes can also effect change, attracting people to their wearers, for example – as one of Howl’s enchanted suits can do – or in the case of seven-league boots, enabling the wearer to cover many miles at a single stride. And people can be disguised or changed by other people’s view of them. People can assume us to be what we are not, based on appearance combined with prejudice: an old woman instead of a young one, a wicked magician instead of a generous local benefactor, a scary scarecrow or a dumb dog instead of a decent human being, and so on; and we can respond to these perceptions of us by taking on some of the characteristics that have been assigned to us. In other words, we are all performing feats of magic every day, transforming ourselves and other people by every trick of the eye or mind we have at our disposal. And the house is the potent hub within which our capacity for magic germinates, and where its operations are at their most powerful.

Wynne Jones’s method for drawing attention to the magic potential of the house is by two gestures of estrangement, performed at the beginning and in the middle of her novel. To begin with, she sets her book in the land of Ingary, ‘where such things as seven-league boots and cloaks of invisibility really exist’, and where ‘it is quite a misfortune to be born the eldest of three’, because in fairy tales the eldest child is always destined to fail, the youngest to succeed, if all three set out to seek their fortunes. This is the first gesture of estrangement: in Ingary fantasies are real and magic operates in the everyday. And it emerges that there are positives and negatives to living in a fantasy world like this – just as there are to living in the ‘real’ world of the reader. On the one hand, vast distances may be covered in an instant, thanks to those magic boots, and bodily limitations overcome with ease, thanks to that magic cloak. On the other hand, certain narrative rules (such as the rule of three) impose themselves like locks on the population, and it requires real ingenuity – and a lot of good luck – to work your way around them. The protagonist, Sophie, finds that her mind and body are cramped and distorted by her assumption that thanks to fairy tale logic she can never get anywhere as the eldest of three; so when the witch turns her into an old lady it seems only to fulfil a destiny she has already assumed to be hers: to age without noticing, and to achieve nothing in the process. Yet the limitations of being an old lady turn out to be not so extreme as Sophie expected. She can speak her mind freely, she doesn’t worry so much about what other people think, she is no longer afraid – or not as much and not as often – and she has certain powers she never suspected, above all the power of talking life into things, such as household objects, clothing, buildings, even people. As the book goes on, Sophie transforms the house she arrives at – the moving castle of the title – thanks to her energetic acting, thinking, dreaming and talking; and in the process she becomes a powerful sorceress herself, without even noticing the transformation. And she gradually accumulates a rich community of her own, an eccentric but affectionate composite family, an extensive network of friends, relations, contacts and allies. If magic in the land of Ingary is everyday, the everyday too is clearly magic, and astounding things can be accomplished within the confines of a modest building.

Portmeirion, Wales

The other gesture of estrangement is the unexpected appearance in the middle of the book of suburban Wales. One of the multiple locations to which the magic front door of the castle leads is the Welsh housing estate where Howl’s sister lives – part of the community where Howl was born and bred, and from which he departed for the magic land of Ingary, in defiance of his sister’s expectation that he take on a well-paid job and thus enhance his family’s wealth and reputation. This wholly conventional Welsh setting, ruled by expectations as strong as those of a fairy tale, is a magic place for Sophie Hatter when she visits it in the exact centre of the novel. Upstairs in the suburban house of Howl’s cross sister is a room where her son plays computer games with his friends, unconcerned by anything beyond the enchanted circle of their gaming:

Sophie was not even sure the two boys crouched over the various magic boxes on a big table by the window would have looked up even for an army with a brass band. The main magic box had a glass front like the one downstairs, but it seemed to be showing writing and diagrams more than pictures. All the boxes grew on long, floppy white stalks that appeared to be rooted in the wall at one side of the room.

Before he leaves the house, Howl gives his nephew a new game – presumably created in Ingary by magic – which reproduces the conditions surrounding Howl’s moving castle, and presumably bears some resemblance to the text-based game by Roberta Williams, ‘Wizard and the Princess’ (1980). As the boys start to play it, the opening text reads: ‘You are in an enchanted castle with four doors. Each opens on a different dimension. In Dimension One the castle is moving constantly and may arrive at a hazard at any time’. In Wales, in other words, life in the castle is a fantasy, something that does not and cannot exist except in a narrative fit for children, adolescents and adult dreamers. At the same time, certain residents of Ingary are Welsh. Howl is one of them (his original name is Howell), and another is a wizard called Suliman, his original name Sullivan having been rendered exotically oriental in a bid to make him seem more suitable to his new role (names, too, are agents of disguise and change in Wynne Jones’s novel). Meanwhile, the demon of the Witch of the Waste is hidden in Wales, in the shape of Miss Angorian, the local English teacher. Miss Angorian sets homework for Howl’s nephew which consists of an analysis of John Donne’s poem ‘Song: Go and Catch a Falling Star’. But the analysis is not easy, given Miss Angorian’s own straddling of different dimensions. In Wales the poem is nothing but a list of impossibilities: ‘Go and catch a falling star, / Get with child a mandrake root, / Tell me where all past years are, / Or who cleft the Devil’s foot’. In Ingary, by contrast, everything it describes can actually happen, so that its misogynistic climax – whereby Donne declares that it is just as impossible that a woman can be both faithful and attractive – must automatically be discredited. In Ingary the poem is also efficacious in another way, in that it serves as a curse on Howl, drawing him into the toils of the Witch of the Waste and leading to the showdown at the end of the novel, which unexpectedly takes place in the castle’s front room – the sort of location where English homework might be completed, and where the apprentice Michael carries out the homework assigned him by his teacher, Howl.

For Wynne Jones, in other words, the house or home is interpenetrated by wonders, which are constantly disrupting and overturning conventions and other forms of expectation. No one gifted with mobility need feel trapped in any house, since it is the beginning of every journey as well as its destination. No one need feel bored by being enclosed by its four solid walls, since alternative worlds can be imagined, constructed and interacted with inside their confines. The houses we live in are magical places, whether they’re in housing estates, on open moorland or above a hat shop – like the house from which Sophie sets out on her adventures and to which she returns when the moving castle is magically fused with it. Houses are strange spaces, always surprising us with the incidents, moods and activities they can accommodate. And houses are also political spaces, as every fantasy writer from Ruskin to Brown to Stoker to Crowley has never ceased to remind us. We should delight in them and nurture them as best we can, since they form an integral part of our identity. And we should ensure that decent housing is available to all – in this world as well as in the many dimensions of the fantastic.

Charles W. Stewart, Steerpike surveying Gormenghast

 

 

 

Stepping out of the Shadow: Goro Miyazaki’s Tales from Earthsea

[My blog this year ends as it began, with anime. This essay was first published in Foundation: The International Review of Science Fiction, Vol. 37, no. 103 (Summer 2008), pp. 53-72. It was written in a white heat, as soon as the film came out in the UK. Ursula Le Guin didn’t like either the movie or my discussion of it, though she enjoyed the other essay I published in Foundation. Her dislike of the film was shared by many, but I still think it’s an honest movie with a fascinating relationship to its source material, both in Le Guin’s great story cycle and in anime.]

Tales from Earthsea was forged in a spirit of contention.[1]  Goro Miyazaki’s famous father Hayao made it clear that he did not want his son to direct it.[2]  Ursula K. Le Guin, on whose Earthsea books the film is based, expressed her disappointment with it on her website.[3]  And Japanese filmgoers – who made it the fourth highest-grossing movie of 2006 – found themselves fiercely divided as to its merits.[4]  Disagreement dogged the project from inception to release; and much of this disagreement seems to have sprung from the decision of Toshio Suzuki, president and chief producer of Studio Ghibli, to name Goro as its director, despite his total lack of experience or training in the art of film-making.

Miyazaki Goro

The film anticipates these divisions from its opening sequence.  The captain of a ship labouring in heavy seas appeals for help to his weatherworker, one of those trained wizards of Le Guin’s Earthsea whose power consists in learning the ‘true names’ of things and thus gaining a degree of control over them.  But the weatherworker’s powers desert him and he cannot calm the waves.  We are in a world where age-old certainties have crumbled and been replaced with an inner turmoil that keeps breaking out in bloodshed.  Soon afterwards, a pair of dragons fight to the death in territory not their own (they have flown farther East than ever before in living memory – a detail picked up from the third and fifth books of Le Guin’s Earthsea sequence).[5]  And in the following scene a boy kills his royal father for no reason.  Toppling to the palace floor, the dying king calls out his son’s name, Arren, as he dies.  Generation is at war with generation, and the only communication between them is a name thrown into the dark after the retreating footsteps of a teenage assassin: a name unattached to any visible body, as if to symbolize the predicament of Earthsea, where names have begun to lose their meanings.

The murder

For readers of Le Guin – and Le Guin herself – this unmotivated murder seems to be the most disturbing aspect of the film.  This is partly because it has no equivalent in the books (in The Farthest Shore Prince Arren leaves home with his father’s blessing);[6] and partly because we are never given the comfort of an explanation for it.  Our hope for an explanation reaches its height much later in the movie, when Arren discusses the murder with a girl called Therru.  Given that Therru’s parents abused and tried to kill her – a violent past she carries about with her in the visible form of a burn-mark across her face – she naturally assumes that the prince’s deed was an act of revenge for similar abuse.  But no: his father, Arren tells her, was a ‘great man’, whose qualities made the youngster feel inadequate (though he never claims that this is why he stabbed him).  Dissatisfied with this half-hearted effort to supply the prince with motivation, the audience casts about for a better way of accounting for the killing.  By the end of the film, for instance, we might assume the king’s assassination to be one more sign of the universal malaise brought to Earthsea by the deadly magic of the corrupt witch/wizard Kumo or Cob.  But Arren himself never seeks refuge from responsibility by claiming any such thing, and at the end of the film he sets off on the journey home to Enlad to face the consequences of what he has done: consequences we can only assume to be dire ones.  Debates about the film’s quality (as against the identity of its director) tend to centre on the question of why Goro Miyazaki chose to introduce the startling new element of parricide into Le Guin’s series, and on the extent to which viewers find themselves satisfied by any possible answers to this question.

Ursula K Le Guin

Le Guin was clearly not satisfied by any explanation on offer.  For her, the excitement of the film was ‘maintained by violence, to a degree that I find to be deeply untrue to the spirit of the books’; and this reliance on violence to stimulate the audience’s attention is a widespread phenomenon in modern fantasy, ‘literary or governmental’, which offers ‘killing people’ as a solution to the ‘so-called war between good and evil’.[7]  She regrets that the reason for Arren’s initial act of violence is so belatedly and so tersely given, and concludes that ‘the darkness within us can’t be done away with by swinging a magic sword’, while lamenting the fact that in the film ‘evil has been comfortably externalized in a villain, the wizard Kumo/Cob, who can simply be killed, thus solving all problems’.  Interestingly, her objections to the movie are couched in terms of a malaise in the ‘real’ world not unlike the kind that pervades Goro Miyazaki’s Earthsea: a malaise in this case sustained by the propagandistic simplifications of the War on Terror, which is represented as a ‘war between good and evil’ where evil can be ‘comfortably externalized in a villain’ – Saddam or Osama – and ‘killed’ with every pseudo-magic weapon at the disposal of the Good Guys.[8]

Cob and Therru

Le Guin’s objections are understandable, but do the film less than justice.  For one thing, the level of violence it contains is no higher than that found in the Earthsea books.  Every violent act in the film has its equivalent in Le Guin’s series, with the sole exception of the killing of Arren’s father.[9]  In addition, the film-makers eschew simplicity as strenuously as she does, and seem to view physical assault with equal distaste.  The wizard Kumo/Cob is precisely not killed with a blow of Arren’s magic sword.  His identity as an arch self-deceiver is merely made manifest by the blow, as he loses his wizard’s staff and with it his ability to sustain his youthful appearance; but his strength remains undiminished by the loss.  Indeed, one might question whether Cob is actually ‘killed’ at all.  As he staggers towards the dragon Therru/Tehanu in his final moments, he clearly sees her as possessed of the eternal life he craves, since she has just revived from apparent death by strangulation.  He begs her to bestow that life on him, and she gives it him in a puff of breath.  But a dragon’s breath is made of fire; so he is destroyed by what he asked for.  The implication is that it’s his craving for an artificial extension of his earthly existence that kills him, rather than an act of violence on his enemies’ part.  And his death precisely does not ‘solve all problems’.  Arren must still return to Enlad to face trial for murder.  And before this happens, as the last few wordless scenes of the film remind us, the ploughing of a field must be completed and it must be sown with seed, or there will be no harvest.

Le Guin’s view of the film has some intriguing affinities with Goro’s account of his own early response to the Earthsea books.  He first came across them, he tells us in his blog, as a High School student in the early 80s, when he found himself identifying enthusiastically with the ambitious young wizard Ged of the first book, A Wizard of Earthsea (1968), quite against the grain of the book’s insistence that Ged is a surly teenager who is himself responsible for calling up the Shadow he must confront at the climax of the narrative.[10]  Re-reading the book in his late thirties, Goro tells us, he found his sympathies changed.  Now he identified not with Ged but with the older generation, those patient sages who are always telling the boy to have patience, to do only what he must, to learn thoroughly the way things work before seeking to control them.  In other words, in the process of revisiting the Earthsea books Goro’s own mind became a site of generational conflict, where his younger self as reader existed in radical opposition to the readings of his older self.  And Goro went on to make his film the site of a similar conflict, capable both of being read as Le Guin reads it and mined for a subtler reading.

Young Prince Arren behaves at several points in the movie as if he were just the sort of brainless sword-wielding hero Le Guin takes him to be.  With reckless abandon he attacks a band of slavers who are about to rape Therru, declaring as he does so that ‘life is nothing to me’ – a position traditional romances might well acclaim in their protagonists.  Later, he thrusts himself in front of the farmer Tenar when she is confronted by the same thugs, attempting no doubt to shield her from harm as (male) heroes are always expected to shield women on such occasions.  Later still, he overcomes the thugs a third and final time before striking off Cob’s hand with a blow of his father’s sword – an action which in a conventional epic would signal the transference of patriarchal power from one generation to the next.  But the briefest reappraisal of these incidents demonstrates their undercutting of the tradition of patriarchal romance they invoke.  Having been rescued, Therru contemptuously dismisses Arren as a boy with a dangerous disregard for what she holds most precious: life and all its complex processes.  Tenar responds to Arren’s effort to shield her by thrusting herself in front of him: it is not for him, she implies, to decide whose life is worth saving and whose worth casting away.  And the climactic confrontation between Arren and Cob rapidly transforms itself into a confrontation between Therru and Cob, as Therru, like Tenar, interposes herself between the warring males.  While allowing Arren to go through the motions of heroism, Goro never permits his audience to relax with the notion of Arren as hero; and his chief means of ensuring that they never do so is to cast over him the shadow of his father’s death.

Arren’s mask

This shadow takes the form of a grotesque ‘mask’ of aggression that distorts the boy’s face at key moments in the narrative; an expression of gleeful malevolence as disturbing as it is unexpected.  This mask first appears when he attacks the thugs who attacked Therru, and its appearance reminds us that he is capable of atrocities quite as appalling as anything done by the slavers.  After all, he has killed the king.  The menace of Arren’s facial expression is driven home when the chief of the thugs threatens to cut the girl’s throat if the prince approaches: Arren tells him to go ahead, and his contempt for the girl’s life as well as his own terrifies the gang into beating a retreat, aware that they have lost their only bargaining chip against him – the assumption that he is more humane than they are.  Later, the expression returns to the boy’s face in the sequence where he assaults a second father-figure, Sparrowhawk (Haitaka), with a sword he has borrowed from a third, Cob.  Here it is clearly linked with the problematic patriarchal heritage he has grown up in, where a son’s independence must show itself through violence, and where the logical target of that violence is the father who stands in the way of his child’s development.  It’s hardly surprising, then, that the mask is absent when Arren engages in his final act of violence: the attack on Cob in defence of Sparrowhawk and Tenar.  After all, this time it was Therru who urged him to fight.  But it’s also hardly surprising if his violence should prove ineffectual.  By this stage in the narrative, assaults on father-figures have been shown to have nothing heroic about them, as each one in succession awakens echoes of that first, shocking act of parricide.  The last step in Arren’s redemption must not replicate the crime that put him in need of redemption in the first place.  Violence is Cob’s tool, and cannot logically be used to destroy what the wizard stands for.     

Horus, Prince of the Sun/Little Norse Prince

The young prince could be said, then, to represent a memory of the traditional hero; the remains of a simple form of narrative that concerns itself with what Le Guin calls ‘the so-called war between good and evil’, and that has been rendered obsolete by the sophisticated appropriation of its terms by unscrupulous politicians.  His status as a memory is confirmed by the style of the character drawing in Tales from Earthsea.  Le Guin felt that ‘the animation of this quickly made film… does not have the delicate accuracy of Totoro or the powerful and splendid richness of detail of Spirited Away’.[11]  But Goro’s rejection of ‘delicate accuracy’ and ‘richness of detail’ is no accident.  It stems from a stylistic decision he took in consultation with the animators: a decision to emulate the techniques of Japanese animation from before Hayao Miyazaki founded Studio Ghibli, as Goro explains in detail in his blog.[12]  The film’s characters have the stocky simplicity – most notably in the rendering of the legs and feet – of Goro’s favourite animé, The Little Norse Prince of 1968, directed by his father’s friend and collaborator Isao Takahata.[13]  It is as if the new director is announcing a return to first principles not unlike that advocated by the Victorian pre-Raphaelites, or the Modernists of the early twentieth century.[14]  To find a style of his own he must wind the clock back to Takahata’s first full-length feature, which was also the first animated movie to be made in Japan, and the first of many projects on which Takahata and Hayao Miyazaki worked together.  In The Little Norse Prince, as in Tales from Earthsea, humanity is threatened by a powerful demon-magician, whose spells disrupt the order of the seasons just as Cob’s interrupt the ploughing and sowing of the fields of Goro’s Earthsea.[15]  Scenes from the old film are echoed in the new: notably Arren’s encounter with ravenous wolf-like beasts, which recalls the Norse Prince’s running battles with the demon’s ‘grey wolves’ and has no equivalent in Le Guin’s series.  The affectionate relationship between humans and animals elsewhere in Goro’s film recalls the central role played by animal companions in Takahata’s; Goro’s investment of Cob with the power of flight might remind his viewers of the disconcerting aerial mobility of Takahata’s demon; and the dream-sequences in Goro’s film echo the expressionistic visionary scenes with which Takahata punctuates his narrative.  Arren himself is an older version of Horus/Hols, the young hero of The Little Norse Prince, with the same shock of black hair and perpetual frown.

The magic sword

Above all, the importance of Arren’s sword in Tales from Earthsea derives from Takahata’s narrative, not Le Guin’s.  Prince Horus/Hols pulls an old damaged sword from the shoulder of a giant, and spends most of the movie trying to find a way to re-forge it; and he only succeeds when the whole community of Northmen collaborates in its forging.  In Goro’s film, the wizard Sparrowhawk reminds Arren that his name means ‘Sword’, and the boy always carries his father’s sword with him (as indeed he does in The Farthest Shore).[16]  But the weapon was not handed to Goro’s Arren in a symbolic gesture of legitimate succession.  Instead we watch him snatch it from the dying king after he has stabbed him, and for most of the film he is unable to draw it from its scabbard.  At a moment of crisis in Cob’s castle, Therru urges him to unsheathe it in order to save Sparrowhawk and Tenar, who are about to be executed by Cob.  Arren responds with the hackneyed view that he is ‘not worthy’ to wield his father’s weapon, a sentiment Therru dismisses as the irrelevance it is, while she weeps over the scabbard in frustration at the prince’s self-imposed impotence.  Then abruptly she announces that she knows the boy’s ‘true name’: the name all inhabitants of Earthsea must keep secret from any but their most trusted friend, since knowledge of it puts them at the mercy of the knower.[17]  By speaking it, she releases him from his obsession with the stolen blade.  His real identity is not Arren, meaning sword, but Lebannen, a word that refers only to himself.  So it is fitting, once again, that the moment when he succeeds in drawing the weapon during the final confrontation with Cob should prove less than decisive in the struggle against the wizard; much less decisive than the fact that Therru is with him in that confrontation.  Arren and Therru combine to overcome the wizard, and as in The Little Norse Prince, by this stage the sword has come to symbolize not the handing down of paternal power but the coming together of people who were once divided.  It was Therru’s tear falling on the scabbard, we might imagine, that loosened it in its sheath and made it functional; and it is Therru’s passion for life that finishes the demolition of Cob which the sword began.

Dragons in the east

But the choice of a pre-Ghibli style for this movie may have another rationale besides a wish to pay homage to The Little Norse Prince.  The project of bringing Le Guin’s Earthsea books to the screen had been cherished by Goro’s father, Hayao, since before the studio’s foundation; in fact, since before he directed his second feature, Nausicaa (1984), whose success enabled him to launch the Ghibli studios.[18]  One can see what appealed to Hayao about the books.  The notion of the young wizard who spends his time, in the first book, struggling against his own shadowy alter-ego instead of an external enemy, could only delight a director who has consistently worked against the notion that evil can be ‘comfortably externalized in a villain’.  As early as Nausicaa, Hayao refused to demonize the giant bugs of the poisoned forest that threatens the survival of mankind; instead he traced the source of the forest’s threat to toxins unleashed by humans themselves.  And after Laputa: The Castle in the Sky (1986) there ceased to be any outright villains at all in Hayao’s films.  Again: the ‘balance’ that must be observed by wizards in the Earthsea books would appeal to a director whose ecological convictions form only part of a larger philosophy of maintaining social and psychological equilibrium among the inhabitants of a fragile environment (think of the urgent struggle, in Nausicaa and Princess Mononoke (1997), to find a modus vivendi between humans and the forest they fear but also need).  Again: the opportunities for representing flight offered by the Earthsea books would no doubt have enthused a director who is celebrated for the aerial sequences in his films.  From the hawks into which Sparrowhawk transforms himself in the first volume to the dragon that carries Sparrowhawk and Arren to Roke in the third, flying stands for a kind of freedom in the works of Le Guin, as it does in Hayao’s movies.  Even the fierce attack on the values of capitalism in The Farthest Shore perfectly matches Hayao’s political convictions, as does Le Guin’s respect for the worth of ordinary domestic and agricultural labour and her consistent opposition to violence.  The self-consciously old-fashioned style of Goro’s film pays indirect homage to the film Hayao might have made in the early 1980s, if he could have got the rights to what was then the Earthsea trilogy.

But Goro’s film could never have been anything like that unmade film of the 1980s; because by the time he took his seat in the director’s chair a lot more had happened to the Earthsea series than a change of perspective in Goro himself.  Three more Earthsea books had appeared in print, two of which (Tehanu  (1990) and The Other Wind (2002)) took up the story of Sparrowhawk and Arren where it left off at the end of The Farthest Shore (1973), while radically rewriting Earthsea.  In Tehanu Le Guin unleashed the full force of her anger on the patriarchy that she herself had permitted to take control of her imagined archipelago.  The first three books gave male wizards an absolute monopoly over ‘serious’ magic, relegating only petty forms of conjuring to the despised female witches.[19]  And women played only a peripheral role in the plots of the first and third novels; while even the heroine of the second, Tenar, only plays Ariadne to Sparrowhawk’s Theseus (or so some readers have assumed).  Furthermore, in addition to confronting Le Guin’s own imaginative injustices, Tehanu introduced the concept that human beings and dragons were once the same species, and that the great divorce between them occurred at a time when men and women chose to devote themselves to possessions – lands, knowledge, things that could be passed from one generation to another – while dragons grew wedded to wildness and freedom.[20]  The divorce between humans and dragons resembles the divorce between men’s and women’s social roles in a patriarchal culture: and Tehanu and the books that follow hold out hope that this divorce, like that between humans and dragons, may undergo some sort of metamorphosis – though nothing so glib as an undoing.  In the years, then, when Goro was changing as a reader of the first three Earthsea books, Le Guin was changing as a writer; so that nothing about the project of filming Earthsea could remain altogether faithful to his father’s vision.

Therru at sunset (1)

In 2006, even a film based on the third book of the series, The Farthest Shore, could hardly remain untouched by the backward-reaching shadow of the books that follow it.  Women could no longer remain peripheral, and Le Guin’s discoveries about dragons could scarcely be ignored.  The violence Goro does to the plots of the Earthsea sequence no more than matches the violence done by the sequence to itself.  How, for instance, could Sparrowhawk remain the saviour of Earthsea, as he was in that third novel, in a world where the traditional notion of male heroism has been so totally supplanted by the quieter heroism of women as it is in Tehanu?  Goro’s response to this problem is to bring a character from Tehanu – Tehanu herself, whose use-name is Therru – back in time to the events of The Farthest Shore, and to make her the same age as Arren in the earlier novel.  This enables Therru to confront and undermine Arren’s individualistic, violence-fuelled notion of his own heroism at each stage of the narrative, refusing ever to let him succumb to the narcissistic self-infatuation that drives Cob.

Therru and Tenar

But this is only one of many unsettling changes Goro makes to the chronology and geography of Earthsea.  Another is his transference of Tenar’s farm from Gont, the most frequently revisited of the islands of Earthsea in the novels, to Wathort, which Le Guin’s readers visit only in The Farthest Shore and whose inhabitants traffic in human flesh.  The effect of this is to destabilize Earthsea – to pluck it from the rock on which it was founded.  Gont is the place in which Le Guin’s sequence has its deepest roots, as she shows in her short story ‘The Bones of the Earth’, where an elderly wizard plunges into the ground to soothe the quaking roots of Gont Mountain.[21]  Le Guin set Tehanu on Gont because Gont was where the Earthsea stories began, and it was there that the mighty work of re-imagining that world must also start.  By shifting Tenar’s farm to Wathort, Goro sets it at the epicentre of Cob’s bid to unbalance Earthsea; and in the process he unsettles Le Guin’s universe, which is one of the things that unsettles lovers of her books as they watch the film.

Arren at the fountain

The third change Goro has made is to conflate the first and third books of Le Guin’s sequence so that the shadow that pursues Sparrowhawk in the first novel becomes the shadow of Prince Arren, Sparrowhawk’s companion in the third.  Goro’s shadow springs directly from Arren’s state of mind after he has murdered his father.  It first manifests itself as a sense of dread that seizes the prince on the night when he first meets Sparrowhawk.  The dread intensifies in Hort Town, when the boy sees a fountain take on the appearance of the dead king; and reaches its climax in a nightmare he suffers at the farm of Tenar, where Sparrowhawk turns into Arren’s father, then into a monstrous tar-covered replica of Arren himself.  On waking the boy decides to leave the farm, convinced that if he stays he will be visited once again by the rage that made him a parricide; and shortly afterwards he meets the doppelganger from his nightmare and flees from it in terror, certain of its malevolence.  The doppelganger’s eyes are hidden, much like those of Therru, who often conceals her eyes behind a protective fringe of hair; and Arren’s terror of it makes us anticipate something terrible if ever they should be revealed.  But when the shadow does push aside its fringe – at the point when it stoops over the boy’s body, after he has fled into a swamp and half drowned himself in an effort to escape – it reveals the large, vulnerable child’s eyes that are ubiquitous in early anime.  And when it speaks to Therru at the gate of Cob’s castle, the air of malevolence that formerly surrounded it dispels at once.  With gentle courtesy it explains its nature to her, identifying itself not with the rage that drove Arren to murder, but with the princely qualities he flung aside when he fled his father’s court.  Arren himself, in fact, is the shadow – as the dark clothes he wears throughout the film should tell us – while the brightly-clothed doppelganger from his dreams represents the bright possibilities he rejected.  And his double is alive in a way that Arren is not.  After speaking to Therru at the castle gate it embraces her like a lover and whispers Arren’s true name in her ear, before melting away as her face turns crimson with blushes.  At this stage in the film, it can approach Therru with a confidence and openness the prince can only dream of; but it also gives her the ammunition she needs (Arren’s true name) to free him from his self-made prison and recall him to full participation in the business of living.

Arren’s nightmare

The role of the doppelganger in the movie, then, is quite different from that of the shadow in A Wizard of Earthsea.  In the book, the creature is a non-being summoned by the adolescent Sparrowhawk from the land of the dead, in an arrogant and self-destructive gesture, as a demonstration of his skill in working magic.  It has a ‘blind unformed snout without lips or ears or eyes’, and it stands both for an ‘ancient darkness’ that seeks to engulf the wizard, and for the young man’s own worst aspect: his self-segregation from the community of Earthsea, his immaturity as a social animal.[22]  Sparrowhawk can only defeat it when he accepts help from someone else – his best friend Vetch; after which he can embrace the shadow like another friend, hugging it to him in dreadful intimacy and whispering its true name (his own) in its ear as he does so.  Goro’s shadow is not Le Guin’s, but it is just as carefully conceived.  His Arren has rejected the role that made him part of society, his role as a prince; and by rejecting that role he has rejected life of any kind, as he showed when he stabbed his father.  It is fitting, then, that his shadow should be a lively, colourful one, capable of bringing colour to Therru’s face.  And it is fitting, too, that Arren’s return to life should involve Therru as a mediator between his living self (the doppelganger) and its fearful, violent, self-segregating twin – the boy whose adventures we have followed throughout the film.

This change is in any case imposed on Goro by the backward-reaching shadow of Tehanu, which questions the terms on which Sparrowhawk pursues and defeats his shadow-self in A Wizard of Earthsea.  One of the steps Sparrowhawk takes towards his victory in the earlier novel is when he becomes sensitized to the beauty of a young farm-girl, Yarrow, whom he meets just before his climactic confrontation with ‘ancient darkness’.[23]  The implication is that he at last recognizes himself to be  part of a community – no isolated island, but an element in the interconnected archipelago of humanity – and so can permit himself to be emotionally drawn to a fellow human being for the first time in his life.  But in A Wizard of Earthsea this understanding can never bear fruit in a fully-fledged partnership, because Sparrowhawk is a wizard, and wizards, like priests, are celibate.  Only in Tehanu, after Sparrowhawk has lost his wizardly status, is he permitted to take a sexual partner – Tenar; and in the process the lost balance between the genders in Earthsea begins to be restored.  Therru in Goro’s film is in one sense another Yarrow, and Arren a Sparrowhawk who has the potential to form a permanent bond with the girl he loves, as Sparrowhawk could not.

Therru at sunset (2)

But Therru is more than Yarrow.  At the beginning of the movie, the old wizard Root reminds the King of Enlad that humans and dragons were once a single species; a fact that does not figure in the first three books of the Earthsea sequence.  And Goro’s Therru is closely linked with dragons.  Soon after the prince has rescued her from the slavers he falls asleep and dreams that a dragon is approaching from the sky.   We learn later that this is an aspect of Therru herself, who is a throwback to an earlier phase in the world’s history, a being as much dragon as girl.  Her dragon nature betrays itself in her temperament.  Goro’s dragons crackle with fire as if on the verge of disintegrating under its force, flecks of flame spilling from their mouths while their bodies undulate in the serpentine motions familiar from the river-dragon sequences in Spirited Away.  Therru too is fiery: her angry response, first to Arren’s rescue of her and later to his intrusion on her privacy at Tenar’s farm (‘Why are you here?’ she snaps, ‘to hurt me?’) is an apt emotional counterpart to the physical form she is capable of assuming.  And she makes, too, a perfect foil to the often sullen Arren, whose intervals of passivity (he passes out several times in the movie, and grows tired when he walks long distances or works on the farm) identify him as her opposite, as limp and frail as she is energetic.  Arren is in fact Therru’s shadow, so that the reunion of shadow and substance that occurs at the end, when he rides to safety from Cob’s collapsing castle cradled on the forearms of her dragon-self, represents the righting of an imbalance that has been obvious from the moment the youngsters met.

Arren and Sparrowhawk

Once Therru has been recognized as Arren’s inverted double, it soon becomes apparent that the film’s narrative is structured around a series of doubles or opposites.  Tenar is Sparrowhawk’s opposite, her blond hair and blue eyes identifying her as of a different ethnic group from the rest of the dark-haired, dark-skinned inhabitants of Earthsea – as she is in the books.  Her stability, cultivating the farm, contrasts with Sparrowhawk’s flightiness, associated throughout the film with the hawk from which he gets his use-name, and which appears in his company whenever he enters the narrative.  This flightiness manifests itself most amusingly when the Archmage gallops off in the middle of ploughing a field to fetch Arren’s sword from Hort Town; a mission Tenar rightly sees as having little point to it.  The Archmage, meanwhile, is the inverted double of Arren’s father.  His paternal relationship to the prince is driven home repeatedly, as he blends with the murdered king in Arren’s dreams, instructs the boy in a fatherly way about the ‘Balance’ on which Earthsea depends, rides to rescue him when he is in danger, and becomes the target of the boy’s aggression in Cob’s castle.  But he differs from Arren’s father in his sense of responsibility for his young protégé; a sense that tells him that he ought to stay close to the boy, even though (as his flightiness dictates) he is always leaving him.  On one occasion when he leaves Arren by himself in Hort Town, where he is captured by slavers, Sparrowhawk first rescues the boy, then apologizes for having put him in a position where he needed rescuing.  In contrast to this, Goro is careful to place Arren at an insurmountable distance from his father at the beginning of the film.  We see the King of Enlad marching through his palace surrounded by nobles and advisers, his attention fixed on affairs of state, while two women vainly seek to catch his attention.  When at last one of his advisers is persuaded to listen, the women tell him that the prince is missing.  At this point, Goro gives us a fleeting glimpse of a strong character who never appears in the books: Prince Arren’s mother.  The queen tells the women that the king is too busy to be troubled with the matter of his son’s disappearance, and that Arren is in any case of age to look after himself.  The royal family at the film’s opening, then, has no warmth at all, no mutual interest, no coherence; and it is this incoherence that presumably, by some dreadful logic, drives Arren to murder.    

Arren’s mother, like his father, has a double in the film.  The queen’s inverted double is Tenar, who gives up her bed to the sick boy after his rescue from the slavers, invites him to join her in her farm-work, and compliments him on his unexpected aptitude as a labourer.  Like the mother, she acknowledges Arren’s manhood (how good it is to have men about the place, she says, to help in the fields); but she does so by including him in her affairs, not by barring him from adult company.  And at moments of crisis – as when Cob’s henchmen burst in through the gates – she shows a protectiveness which Arren’s mother haughtily rejects.

Sparrowhawk and Tenar

In fact, the dysfunctional royal family as a whole has an inverted double in the awkward family group that begins to form at Tenar’s homestead.  This is a family of four, unrelated by blood or marriage, whose focus is the supper table.  After the arrival of Sparrowhawk and Arren at the farm, this table is a place of enforced and unwelcome proximity, where the youngsters Arren and Therru radiate mutual hostility while the substitute ‘parents’ Tenar and Sparrowhawk exchange uneasy glances.  But by the end of the movie the same table has become a place of celebration, concerned as much with laughter as with nourishment.  At one point in between these two contrasting supper scenes, Sparrowhawk tells Arren that human beings must learn with difficulty to do what wind and leaf and whale do naturally; and the whole film could be said to concern itself with the task of achieving a ‘natural’ domestic harmony at mealtimes.  The heroic scale of that task can be measured by recalling the state of the royal family at the start.

The fusion of two adults (Tenar and Sparrowhawk) and two teenagers (Therru and Arren) into a harmonious family unit also combines two more sets of doubles.  Therru, who is part dragon, quickly forms a bond with Sparrowhawk, whose name allies him to another creature of the air – a bird – and whose addiction to wandering identifies him as a lover of the freedom enjoyed by dragons.  Therru calls him ‘Hawk’ (‘Taka’) when she meets him; and later she sings a song about a hawk, in which she wishes for a companion who will understand and perhaps mitigate her loneliness.  Sparrowhawk would seem well suited to this role, if he could be persuaded to stick around long enough to assume it.  Arren, meanwhile, bonds with the farmer Tenar.  When Sparrowhawk takes off for the town, the boy stays behind to help with the ploughing, and it is at this point that Tenar recognizes him as a potential co-worker.  So the new family created at the end of the film joins together two freedom-lovers and two lovers of the land, symbolically healing the rift between humans and dragons, the beings of earth and air, which was explained by the old wizard Root in conversation with the King of Enlad.

Slave

There is another, easily overlooked double in the movie.  When he first enters Hort Town, Arren sees a slave-wagon going by, and when he glances in through the barred rear window he sees a youngster of indeterminate sex who looks just like him, forlornly awaiting his/her entry into a life of forced labour.  Later in the movie, when Cob’s henchman Hare (Usagi) has seized Arren and thrown him into an identical wagon, we glimpse the prince through the barred window at the rear of the wagon in a precise reiteration of the earlier scene.  The identical appearance of slave and captive prince suggests another function for the simplified character drawing selected by Goro.  The people in the film often bear a close resemblance to one another; and because of their physical resemblance it’s impossible to see Arren’s situation as unique.  At one point, indeed, Sparrowhawk insists in divesting the prince of the principal token of his uniqueness.  He buys him a cloak to cover up his princely clothes, and those clothes are later stolen from him by Hare and replaced with the sombre garments of a slave.  In an interview, Goro explained the thinking behind this homogenising of Arren and his people. ‘I didn’t want to make a fantasy with a main character who is just a prince,’ he pointed out.  ‘Arren is a prince but then he has a problem and that problem can be related to many young people in Japan…  In today’s Japan, the young people are being choked.  They don’t see hope in the future, life isn’t that beautiful anymore.  They feel… oppressed and that oppression comes from their own parents’.[24]  Arren and the anonymous slave are related; and both share with Therru a sense that their generation has been stifled and betrayed by the one before.  In Therru’s case and the slave’s, that betrayal is real enough: the first has been abused by her parents, the second deprived of liberty.  But Arren’s situation is closer to that of the young people of Goro’s Japan, in that he cannot define the exact nature of the oppression that has been visited on him.  The removal of this weight of oppression at the end of the film is symbolized once again through clothing: the new-made family sits by the fire sewing a new set of garments for the prince, garments suitable for farm-work or a journey.  Here at last Arren’s physical resemblance to his people accords with his situation and his state of mind, as he immerses himself in the healthy work of an ordinary subject, which can be carried out only with the support and respect of peers.              

Cob

Among all the proliferating doubles in this movie, the evil wizard Cob is the most profligate in the range of roles he duplicates or inverts.  His ability to do so is enhanced by his indeterminate gender; in the English version of the film he is voiced by a man, in the Japanese by a woman, and his Japanese name Kumo (which can mean ‘spider’, like the English word ‘cob’) is used both for men and women.  At one point or another Cob acts as a double for almost everyone in the narrative, insinuating himself into all the different social positions that might have been used to help integrate Arren into the communal life of Earthsea.  If the changing constitution of the supper table in the film suggests that life is about learning to work and play together in fruitful co-operation, Cob’s contradictory desire is to make himself the centre of all affections, the sole beneficiary of all labour.  His white, mask-like face identifies him as an actor, with the classical actor’s gift of taking on male or female roles at will.  At various points he substitutes himself for Arren’s shadow (he snatches the boy from the shadow’s grasp when he carries him to his castle); for Arren’s mother, tending the boy in his own bedchamber as Tenar did in hers; for his lover, stooping over the prince’s prone body to offer him pleasure in the form of a cup that stains his lips purple; and for his father, as he stands by Arren with proprietary arrogance, looking down on Sparrowhawk as if to note the Archmage’s reaction to his successful seduction of his adoptive son.  Cob can fly like a dragon or a hawk – like Therru or Sparrowhawk; yet he is also associated with a single fixed location, as Tenar is – his castle.  What he represents, then, is a pastiche of the Balance or Equilibrium, the reconciliation of many complementary qualities and functions that characterizes what is ‘well and rightly done’ in Sparrrowhawk’s philosophy.  He is everyone’s shadow, as the dragon-Therru recognizes at the end of the film when she dismisses him to the darkness he came from.  ‘Shadow’ she calls him, even as she snuffs him out in a blaze of light.[25]

Shipwrecks

Shadows have no substance of their own, and Cob’s existence is sustained by draining substance from every other inhabitant of Earthsea; a process so self-centred that it upsets all balance.   Goro, who is an architect as well as a landscape gardener, conceives this loss of balance in spatial terms, and depicts it in the many broken buildings that lie scattered through his movie.  We first meet Sparrowhawk as he moors his boat in a dilapidated harbour; and when he sets out on foot to seek the source of Earthsea’s sickness, he passes further ruins: the hulks of giant ships left high and dry on land; the empty shells of farms; the decayed and decadent city of Hort Town, whose inhabitants dwell in the shattered remains of what looks like an ancient Greek civilization.  At the entrance to Hort Town, a gigantic disintegrating gateway frames a market-place where slaves are bartered, as though liberty has been lost along with architectural coherence.  Later, Therru’s near rape takes place in a courtyard full of classical columns, where the masked henchmen of Cob – slave-traders in his service – seek to combine pleasure with the sickening business they live by, as they chase the girl between surviving fragments of a long-lost feat of structural engineering, hoping to violate her before they sell her.  All these ruins find their source and culmination in Cob’s castle, which is itself reduced to ruin in a series of spectacular collapses at the end of the film.  A spiral staircase falls away as Arren runs up a tower in pursuit of the fleeing wizard.  The summit of the tower is then demolished in an earthquake unleashed by Cob’s magic, concentric shock-waves tearing the stones apart so that Arren has to scrabble for purchase at the tower’s edge.  If Goro contrived to upset Le Guin’s admirers by destabilizing her Earthsea books, one wonders if he set out to destabilize himself in this climactic sequence, which is crammed with images of balance precariously maintained, perverse embodiments of an architect’s worst nightmare.

At one point Therru leaps from a flight of stairs to the top of a narrow wall.  She is steadied by Arren, but not before she has almost unbalanced the prince and knocked them both into the courtyard far below.  During the first fight between Arren and Cob, Sparrowhawk stands nearby, hands tied, at the edge of another precipitous drop – the mode of execution chosen for him by his shadowy alter-ego.  The second fight with Cob is more vertiginous still, as the top of the tower falls to pieces under the fighters’ feet.  And after Cob’s death, Arren deliberately abandons all balance and leaps from the tilting tower in the ultimate gesture of trust.  His conviction that Therru in her dragon-form will catch him before he hits the ground marks the final step of his restoration to inward balance: his acceptance that his equilibrium as a man can only be maintained by acknowledging his dependence on others.  Central to all this drama of balance and imbalance is the castle: a building designed to protect its occupant, to keep his enemies at bay and to intimidate his subjects.  Therru and Arren must find their way through this castle to rescue Sparrowhawk and Tenar – entering it (in Therru’s case) by an unguarded gate, proceeding through it by unorthodox routes, evading its points of weakness or collapse and finally abandoning it as they fly away together to a life beyond its gloomy confines.  Dismantling old frameworks – narratives or buildings – is not necessarily destructive, Goro implies; it may even be necessary.  But it is deeply disconcerting, and he is not afraid to show this in the most graphic terms imaginable.

Hort Town at sunset

If ruins stand for the loss of balance in Cob’s new order, the ultimate effect of that loss of balance is symbolized in the film by a succession of sunsets.  Goro has chosen a rich palette of colour with which to paint the landscapes of his movie, in contrast to the subtler tones favoured by Hayao in most of his films; and the raison d’etre for this palette is the sunsets which punctuate its narrative, harbingers of the total darkness into which Cob seeks to plunge Earthsea.  Sparrowhawk first meets Arren at close of day, and gives him shelter from the darkness by his fire.  Evening falls again after their arrival at Hort Town, where Arren falls asleep alone, watching the sunset on the harbour steps; this is where the slavers catch him.  It’s evening time, again, when he decides to leave Tenar’s farm and strike out on his own; the shadow finds him at sundown and chases him into the marsh, where he nearly drowns.  Sunset represents the moment of balance between night and day; and each of Goro’s sunsets – most notably the one Arren watches from Hort Town – occur in a setting where another binary is present: that of land and sea, which gives Le Guin’s and Goro’s worlds their names, and which gives the sunsets their magnificence.  Once sunsets begin to dominate this landscape at the expense of sunrises, Earthsea as a whole will lose its balance and be reduced to the foul black tarry substance that is always linked with Cob.

Arren and Therru at sunset

The same setting of land and sea provides the backdrop for the two most striking dawns in the film, both of which are viewed from Cob’s castle.  The first is the vision of sunrise granted to the two teenagers when Therru presents Arren with the gift of her true name, as she struggles to arouse him from his lethargy in time to rescue Sparrowhawk and Tenar.  As soon as she names herself as ‘Tehanu’, the walls of the castle fall away and the youngsters find themselves standing on a pinnacle beside the open sea, with the sun rising behind them.  As the sun rises, a dragon rises too: the dragon-self invoked by Therru’s true name, which flies up over the young couple, after which the walls of the castle suddenly close in again and they return to the urgent task in hand.  The scene echoes the dazzlingly-drawn moment earlier in the film when Sparrowhawk rescues Arren from the slavers’ wagon.  He does so in a blaze of light much like a dawn, and all forms of bondage melt away before his brightness.  And a similar scene is recalled by Tenar at her farm, when she tells Arren of the moment when Sparrowhawk rescued her from the tombs of Atuan (the movie makes it a one-sided rescue, although in Le Guin’s book the rescue is mutual – Sparrowhawk needs Tenar as much as she needs him).[26]  As Tenar recalls this incident, the screen dissolves into a whiteness that leads us to expect a re-enactment of the past; instead we are shown Sparrowhawk riding into town in his quest to find Arren’s lost sword.  The re-enactment of the rescue takes place much later, and involves the liberation of both Sparrowhawk and Tenar from Cob’s castle and the installation of a new generation at the centre of the story of Earthsea.

Sparrowhawk at Cob’s castle

Sparrowhawk is lured to Cob’s castle by the capture of Tenar, who remarks as she is shoved into the castle’s lowest dungeon that the place reminds her of Atuan; ‘so many memories’, she adds, invoking the sense of a lost but constantly resurfacing past with which the film is imbued.  Sparrowhawk duly comes for her, in another breathtaking juxtaposition of light and darkness: the sequence in which he rides through the night towards Cob’s castle with his staff blazing is one of the most memorable in the movie.  But his intended re-enactment of Tenar’s rescue never takes place.  Instead, the Archmage comes face to face with a murderous Arren, seduced by Cob into trying to kill his friend as he killed his father; and this encounter ends with Sparrowhawk imprisoned alongside the woman he meant to save.  All hope lies now with the younger generation: and their fulfilment of that hope takes place in the context of an actual sunrise, as prefigured by the vision they had when they exchanged true names.  Cob comments on the rising of the sun as he watches Therru rising from the dead after he has strangled her.  And when she gets to her feet amidst the wreckage of the castle tower, demolished by Cob in a bid to annihilate the youngsters who defy him; and when she changes into her dragon-self, again as the vision predicted; we might register, consciously or otherwise, that in destroying his own castle Cob has effectively completed the picture painted by the vision.  He himself has brought about the melting of the walls of his own tyranny.  His desperate attempts to hold back the course of time, to delay his own aging by adopting an immaculate mask – in contrast to the time-ravaged faces of Sparrowhawk and Therru, both of whom have been scarred by their histories – together with his efforts to enlist the next generation in defence of his position, when he caused Arren to fight Sparrowhawk; all his struggles have merely created the conditions for their termination.  His plot to seize sole power ends with him begging for assistance from the person in all Earthsea he most despises – the girl he left out of all his schemes.  And his collapse leaves the next generation free to fly clear of the oppressive ruins of his aborted future.

Only Yesterday, dir. Takahata Isao

Much of this imagery of solipsism supplanted by co-operation, of a selfish element in the older generation overthrown by a mutually supportive younger one, of a dysfunctional, distant family replaced by a new, affectionate familial community, has clearly been carefully thought through by Goro in his courageous struggle to achieve a style of his own in the face of his father’s astonishing artistic achievements.  It’s clear, too, that his vision of the perfect community owes much to Isao Takahata, whose hymns to agricultural solidarity – Only Yesterday (1991), Pom Poko (1994), the desperate efforts to find nourishment that dominate the waking lives of the child-heroes in The Grave of the Fireflies (1988) – had their origins in the humble strife-torn village defended by Hols/Horus in The Little Lost Prince.  Despite its initial hostility to him, Hols ends by forging the village into a community, much as Therru ends by transforming Tenar’s farm into a family homestead; and Goro’s repeated acknowledgement of Takahata’s influence invites his interested viewers to follow up the thematic and visual links between their works as I have done earlier in this essay.

The hazia pedlar

It’s trickier, though, to determine how far Goro might have intended the more disturbing transformations he has effected to his father’s cinematic legacy.  Although the drawing of the characters recalls the pre-Ghibli tradition of anime, many of the characters’ faces are strongly reminiscent of specific types in Miyazaki movies, as if Goro is keen to embed the history of his father’s work in his production.  At Hort Town, Arren meets a small warty man whose face is closely modelled on that of the amoral mercenary-monk in Princess Mononoke.  But whereas in that film the monk had the glamorous villain’s role of tracking down the Spirit of the Forest, in this film he is reduced to a drug-pusher, whose attempt to persuade Arren to sample his wares is foiled by Sparrowhawk – and who at once turns vicious in a way the monk never did.  Hare/Usagi, the leader of Cob’s henchmen, has a face that recalls a long line of comic villains in Hayao’s movies, from the despicable Count in The Castle of Cagliostro (1979) to the skyborne pirate family in Laputa and the bungling sky-pirates in Porco Rosso (1992).  In this film, however, the comic villain is a would-be rapist and a slave trader, terrorizing his men and the island’s population, while acting with grovelling subservience in the presence of his master.  As if to emphasize his degeneracy, he wears a helmet whose goggle-visor recalls the 1920s headgear worn by all the pilots in Porco Rosso; his cowardice looks all the more pronounced when compared to the dashing aerial antics of his predecessors.   His subordinates who drive the slave-wagon in which Arren is transported look like members of the pirate families in Hayao’s work; but their consent to the slave trade represents a level of villainy to which the pirates never descend.  The old women who visit Tenar at her farm to ask for medicine for a sick child bear some physical similarity to the strong old women who crop up everywhere in Hayao’s work, from the mother of the pirates in Laputa to the indomitable Sophie in Howl’s Moving Castle (2004).  But in this film they have become sneaks and hypocrites, betraying Tenar to Hare in hope of financial gain, despite the fact that she has been supplying them with medicine free of charge.  In every case, the charming if sometimes unprincipled characters in Hayao’s oeuvre who are summoned up by the faces of Goro’s minor players find themselves diminished and darkened in Tales from Earthsea, condemned to play wholly despicable roles where in earlier Ghibli films they were always redeemable.  Obviously Goro’s world will require far more drastic remedial surgery than Hayao’s, if it is ever to regain the balance it has forfeited.

Cob’s eyes (1)

The most direct allusion to a specific Hayao character, or rather creature, comes at the end, when Cob loses his staff and with it the magical control of his body that sustained his youthful appearance.  Cob is at once devitalized, dragging himself up the steps of the castle with the painful laboriousness of old age, white-haired and round-shouldered.  One is reminded of the many moments of physical debility that afflicted young Arren throughout the film – his exhaustion and his fainting fits – and one imagines that these had their source in Cob’s pernicious influence over Earthsea.  But when Cob reaches the top of the tower a more drastic change comes over him.  His legs shrink and his arms extend until they are grotesquely long and boneless.  Proportioned like this, Cob resembles one of the flying robots in Laputa, charged with protecting the ancient skyborne castle of the movie’s title, which is both a deadly weapon and a heavenly garden.  These robots themselves began as weapons, capable of demolishing even the monstrous gunship that attempts to take charge of the Castle in the Sky; but some of them have achieved redemption, converting themselves to gardeners who tend the rich vegetation that has taken over the ruins of the aerial fortress.  The robotic Cob, by contrast, is concerned only with self-preservation.  His lack of eyes at this stage in the movie (a grotesque detail taken from The Farthest Shore) means that he is unable to see anything but what’s inside him – and that is emptiness, as we learn from the occasional close-up.  Where the robots existed to interact with others – even if in acts of aggression – Cob is incapable of doing so; and this makes him infantile in his final moments, cackling over the seeming death of Therru, begging whiningly for life from her when she revives.

Cob’s eyes (2)

Cob, then, becomes childish as the children in the movie grow up.  And the pain involved in the process of growing is powerfully evoked in the painful sight of well-loved characters from our filmgoing past – the lovable rogues and tender robots of the earlier Ghibli movies – diminished, darkened, humiliated and finally displaced at the moment when the new generation comes into its own.  In his final moments, Cob’s grotesque eyelessness recalls the moments in the film when we could not see the eyes of the youngsters: Arren and Therru, whose eyes are veiled by their hair when they feel angry or alienated, and Arren’s doppelganger, whose invisible eyes confirm Arren’s unwillingness to confront it rather than any inherent hostility in the doppelganger itself.  Each of these youngsters, however, can unveil their eyes when they choose to communicate.  Cob cannot; and this fixes him in a permanent state of adolescent egotism, a state which he seeks to impose on Arren too, and on the rest of Earthsea, from which the magic is draining away as it strives to rid itself of the responsibility and hurt that comes with adulthood.     

In his fusion of age and youth, then, as in other things, Cob is a distortion of the community of four that forms in the film’s last sequence.  Arren’s and Therru’s new family represents a fruitful combination of young and old, as against the wizard’s poisonous compound of immaturity and senility.  In the last few shots, the teenagers work shoulder to shoulder with Tenar and Sparrowhawk on the farm, sowing the new-ploughed land with seed, laughing together at supper, sitting in the evenings contentedly at work on the clothes and equipment Arren will need on his journey back to Enlad.  And when Arren goes to face the consequences of the murder he committed, he does not go alone.  Sparrowhawk goes with him as his advocate and guide; and they wear the clothes and equipment fashioned by their farming community in those evenings of contentment.  In Hayao’s films as well as Goro’s, families are things you work on.  Think of Chihiro in Spirited Away (2001), scrubbing at the floors of a witch’s Bathhouse so as to win back her parents; or Satsuki and Mei in My Neighbour Totoro (1988), labouring to make an old house ready to receive their sick mother, or setting out on the long journey to the hospital carrying the good food they think will cure her.  Goro has not broken Hayao’s world, any more than he has betrayed the imaginative vision of Ursula K. Le Guin.  He has chosen the difficult route of telling his tale from Earthsea rather differently from the way either of them would have told it.  But for those who are willing to look closely at what he has done both to Earthsea and to Ghibli, the prospect of further difficult films from Goro is a welcome one.

Arren faces Therru in dragon form

NOTES

1. Tales from Earthsea is known in Japanese as Gedo Senki.  The only version I could watch before writing this essay in October 2007 was the dubbed one released in the UK in 2007; names are therefore given as in the dubbed version, with Japanese equivalents in brackets.  I am grateful to Yushin Toda both for nourishing my enthusiasm for Japanese culture over the last couple of decades and for answering my questions as the essay reached its final draft.

2. On Goro Miyazaki’s relationship with his father see Animé News Network, ‘Taipei International Book Exhibition: Meet and Greet with Goro Miyazaki’, by Chih-Chieh Chang.

3. See Ursula K. Le Guin’s official website, ‘Gedo Senki: A First Response to “Gedo Senki”, the Earthsea film made by Goro Miyazaki for Studio Ghibli.  Written for my fans in Japan who are writing me about the movie, and for fans elsewhere who may be curious about it’   (www.ursulakleguin.com/GedoSenkiResponse.html, accessed 21. 9. 07).

4. On the success of Tales from Earthsea at the box office see the Wikipedia entry Tales from Earthsea, ‘Reaction and box office’ (en.wikipedia.org/wiki/Tales_from_Earthsea%28anime%29, accessed 21. 9. 07).  On the divisions over the film among Japanese audiences, see Ursula K. Le Guin’s official website, ‘Gedo Senki: Responses from Correspondents’ (www.ursulakleguin.com/GedoSenkiCorrespondents.html, accessed 21. 9. 07).   

5. See Ursula K. Le Guin, The Farthest Shore, in The Earthsea Quartet (Harmondsworth: Penguin, 1993), p. 475; The Other Wind (London: Orion, 2002), p. 94 ff.

6. See Le Guin, The Farthest Shore, in The Earthsea Quartet, p. 324.

7. Le Guin, ‘A First Response to “Gedo Senki”’.

8. Interestingly, too, Goro speaks of his film as a response to a universal malaise among young people in Japan (I discuss this later in the essay).  See Peter van der Lugt, ‘Gedo Senki at Venice International Film Festival’, an interview with Goro Miyazaki on the website ‘GhibliWorld.com’ (www.ghibliworld.com/gedosenkiatviff2006.html, accessed 21. 9. 07).

9. Indeed, the defeat of Cob is a good deal more violent in The Farthest Shore than it is in Tales from Earthsea.  He is first ‘crushed and burned’ by the dying dragon Orm Embar, then crawls in this shattered state into the land of the dead, where he is attacked again and again by Arren with his sword (‘The blade made a great wound, severing Cob’s spine… a rage of loathing swelled up in Arren, a berserk fury, and swinging up the sword he struck again with it, a full terrible downward blow’).  Arren’s attack is as ineffectual in the book as it is in the film.  For Goro’s feelings on aggression, see his blog entry for 17th January 2006 (Goro Miyazaki’s Blog Translation, translated by Paul Barnier, The Hayao Miyazaki Web): ‘even for the purpose of defeating evil, I don’t want to make magic an instrument of violence’.

10. On Goro’s initial response to the Earthsea books, compared with his response on re-reading them, see his blog entries for 14th-22nd December 2005.

11. Le Guin, ‘A First Response to “Gedo Senki”’.

12. For a detailed discussion of this decision, see Goro’s blog entries for 27 February 2006-7 March 2006.

13. Goro tells us that The Little Norse Prince is his favourite animated movie in his interview with Peter van der Lugt, ‘Gedo Senki at Venice International Film Festival’.  The film is also known as Horus Prince of the Sun.  Goro discusses it often in his account of the ‘simple’ visual style of Tales from Earthsea: see his blog entries for 27 February-7 March 2006.

14. The analogy he makes is with the European neo-classicists of the eighteenth century; see his blog entry for 28 February 2006.

15. The version of Little Norse Prince discussed here was released on DVD by Optimum Asia in 2005.

16. For Le Guin’s description of the sword see The Farthest Shore, in The Earthsea Quartet, pp. 328-9.

17. Le Guin discusses names in general in A Wizard of Earthsea, in The Earthsea Quartet, pp. 50-2; and names and friendship on pp. 70-1.  See also her early short story, ‘The Rule of Names’, in The Wind’s Twelve Quarters, 2 vols. (London etc.: Granada, 1978), vol. 1, pp.82-93, and her late novella ‘Dragonfly’ in Tales from Earthsea (New York: Ace Books, 2002), pp. 209-79.

18. On Hayao Miyazaki’s long-term fascination with Earthsea, see for instance Kaleem Aftab, ‘A feud that animated Japanese film’, The Independent, August 10, 2007, at http://findarticles.com/p/articles/mi_qn4158/is_20070810/ai_n19478963/pg_1, accessed 23. 9. 07.

19. See Le Guin, A Wizard of Earthsea, in The Earthsea Quartet, p. 16: ‘There is a saying on Gont, Weak as woman’s magic, and there is another saying, Wicked as woman’s magic’.

20. See Le Guin, Tehanu, The Earthsea Quartet, pp. 488-93.

21. Le Guin, ‘The Bones of the Earth’, Tales from Earthsea, pp. 151-171.

22. Le Guin, A Wizard of Earthsea, in The Earthsea Quartet, p. 164.

23. See Le Guin, A Wizard of Earthsea, in The Earthsea Quartet, pp. 143-152.

24. Peter van der Lugt, ‘Gedo Senki at Venice International Film Festival’.

25. In fact, the film makes it unclear whether the dragon-Tehanu burns Cob with its breath or whether he undergoes some sort of spontaneous combustion.  Once again, the violence of Cob’s death is not the point.

26. See Le Guin, The Tombs of Atuan, in The Earthsea Quartet, pp. 272-3.