Category Archives: A Level Literature in English

Writing About Literature: Guidelines for Literature Papers

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HUNTER COLLEGE READING/WRITING CENTER
WRITING FOR ENGLISH COURSES
The following notes were written by Professor Richard Barickman of the Hunter College Department of English. They have been slightly edited.

 Every essay that offers interpretations of literature is an effort to persuade, not to prove. Whether or not the reader of the essay finally agrees with the writer’s main argument, the essay is effective if it stimulates a thoughtful reconsideration of the work of literature under discussion. This point may become clearer if we compare the interpretation of literature to the interpretation of the U.S. Constitution. The words of Hamlet and the words of the Constitution do not change, but people have always disagreed about what those words mean, and they will continue to disagree so long as both documents seem important. People make passionate and complicated arguments about each document in an effort to reach the truth. But though a person may reach a “workable” truth that convinces a number of people, he or she can never establish an interpretation that will convince everyone. In fact, most people who feel strongly about Hamlet or the Constitution change their opinions over the years. Just as Supreme Court decisions (which are interpretations of the Constitution) have often been in direct conflict with preceding decisions, judgments about literature change as cultural values and interests change. The attainment of a final, absolute truth doesn’t seem likely or even possible. Your aim in an essay about literature is to engage in a process of investigation, commitment, and persuasion which leads to a deeper understanding, a clearer and more intense engagement with a work of literature.

 In fashioning an argument about a work of literature, it is useful to think about three different elements involved in the process:

  • the writer of the essay
  • the reader of the essay
  • the text of the literature

 The most effective essays usually express the strong personal feelings of the writer. But the writer’s main task in writing about literature is not to talk about personal feelings; rather, the writer communicates with the reader in such a way that the reader will be persuaded to see the text in a new and interesting way. The writer should ordinarily deal with the ideas and emotions that the work of literature might arouse in any reader. It may be helpful to think of the reader as another person in the class who has read the text carefully but who may not have noticed the things that you have noticed. Since you can assume that the reader has read the text, you do not usually have to summarize the plot or describe obvious elements of the text, but you cannot assume that the reader agrees with you about even the basic significance of the text. Your experience in discussions of literature should convince you that people often disagree about many issues. However the writer and the reader do at least agree on what words make up the text. Therefore, any debateable issue is usually best presented through reference to specific words, scenes, situations in the text. You will have to decide which of your assertions will be accepted by most readers. For example, depending on your audience, “Ophelia goes mad with grief from Hamlet’s rejection of her and her father’s death” might not require explanation, whereas “Hamlet’s primary motivation is disgust with his own sexual nature” might. Remember that simple assertion of an idea, however powerfully stated, is usually not as persuasive as assertion followed by demonstration.

 An essay of four to six pages (about 1000 to 1500 words) can ordinarily deal effectively with no more than one main controlling argument and two or three subtopics. A topic such as “the interaction of characters in Hamlet” is too broad; “Hamlet’s desire for revenge” is better focused; and “the self-destructive nature of Hamlet’s desire for revenge” is probably best of all.

 Because you can assume that your reader has also read the work of literature you are discussing, you need not summarize the plot of a story or a play or the basic situation of a poem unless you think there is a real problem in understanding this material. Instead, you should move directly to the specific topic your essay will pursue.

 Your main purpose in an essay about literature is to interpret rather than to describe. You should, therefore, include only those features of a work of literature that are necessary to support your specific interpretations. The statement that John Keats died at the age of twenty-five or that he is usually considered one of the great English Romantic poets may be true and interesting but absolutely irrelevant to the particular topic of your essay. Similarly, the statement that a line of verse is in iambic pentameter is relevant only if you use it to make some statement about the impact or meaning of the line. To put it another way, the question is not so much what verse technique is used as how it is used to create a particular impact.

 Because you are writing about literature and about the responses that a number of readers might have to it, you should focus attention directly on the work itself. This means that you should avoid, in most instances, direct references to yourself. “I have chosen to discuss the image of pepperoni pizza in this story” is not nearly so concise, emphatic, or interesting as a direct statement: “The image of pepperoni pizza reveals the narrator’s secret cravings.” The first statement is not only wordier but less informative, and it deflects attention toward you and away from the subject of the essay–the work of literature itself. Furthermore, personal references often lead the writer to make statements which seem arbitrary. “I have chosen to discuss the role the lion plays in Hemingway’s story” does not indicate why that subject is significant for the story or for the reader of the essay. The same sort of problem often occurs when reference is made to the essay itself: “This essay will deal with the role the lion plays…”

 An essay presents the results of your efforts to understand a work of literature, not the process you went through to reach that understanding. It may have taken you three re-readings, a sleepless night, a number of questions and notes that led nowhere, and savage caricatures of your instructor to finally reach a coherent interpretation that seems right to you. This process is very important, but you probably should not include the account of it in your paper. In a personal essay you might write “When I first read this story, I was confused by all the references to animals. After I re-read it, I discovered….” However, in more formal, academic writing, you should probably avoid such a personal tone. You can acknowledge the confusion many readers feel and at the same time focus the essay more clearly by writing, “The story’s references to animals may perplex many readers. But as the story develops, these references form a significant pattern.”

 It is understandable that when we are faced with a complex and baffling work of literature–and when we know the work has been created by a particular person–we have an urge to know what the author really meant. But we usually know very little, if anything, about the lives and aesthetic ideals of the authors whose works we read, so the author’s intentions simply cannot be a part of many of our experiences with literature. And there are problems even when we do have a clear statement of the author’s intention or enough biographical information to make convincing speculations about probable motives. Works of literature often seem to suggest multiple patterns of significance rather than a single meaning that is easily condensed into a direct statement. So any paraphrase of the work’s meaning, even the author’s own paraphrase, may be limited and imperfect. And since creation in any art form involves unconscious as well as conscious motives, the author’s conscious intention is not necessarily a complete or, in some cases, even an accurate guide to the work’s significance. For these reasons, an interpretive essay of this kind must deal primarily with the work itself and the cultural conditions it refers to. If the work is coherent and carefully formed, it will usually reveal its significance through its own structures of language. Information about the author may supplement this primary source of meaning, but it is not ordinarily the key to meaning.

 Most literature doesn’t represent an author’s life directly. It is often a form of pretending, like children’s games or our own fantasy life. The urge to write may spring from a desire to explore experiences and emotions radically different from the author’s personal experiences. (The authors of crime novels are not usually murderers.) So it is best to refer to the person who narrates the poem or story as the “narrator” or the “speaker” rather than the “author” unless you have some very definite knowledge that the author and the speaker are the same.

 Although we usually experience literature as a direct flow of perception from the first word to the last, it is not usually a good idea to follow this sequence in your essay. For one thing, our experience of literature often includes re-reading, pausing to reflect (re-thinking), noticing patterns of action and imagery as we read, and so forth. We don’t, in fact, always read the words in a simple, unbroken sequence. More importantly, following this sequence of “events” in a poem, story, or play is almost never the most concise, clearest, or most interesting way to present your interpretations. If, for instance, you are describing ironic effects in Connell’s story “The Most Dangerous Game,” your best example may occur in the last few paragraphs of the story. This one example may make your point far more effectively than a lengthy discussion of examples of irony beginning with the first one that happens to appear in the story and continuing with the second, the third, and so forth. Again, an essay is an attempt to put a portion of a work of literature into some coherent pattern of meaning (an interpretation), not a record of the process of your own personal reading.

The following guidelines apply not only to essays about literature, but to any persuasive essay.

 As with any essay, a literature essay should have its own logical, coherent, progressive structure of argument. The essay should announce its main subject in a clear and interesting way. The main idea in each paragraph should follow logically from the preceding paragraph’s main ideas and should lead logically to the next paragraph. Transition words and phrases should make this logical progression clear to the reader. For example, the idea that Hamlet is confused might lead to the idea that this confusion is really the result of two conflicting urges: to reveal the truth and to conceal the truth. That idea might lead in turn to the argument that he unconsciously resists the story of his father’s death because it suggests such horrible things about the nature of the world. If your ideas do not form a logical order, the essay needs reorganization before you begin the final draft. You do not have to write an outline before your rough draft, but you should take a few minutes after you have written a rough draft to jot down the sequence of main ideas in your essay.

 An essay’s introduction should arouse the reader’s interest and sharply define the specific issues the essay will deal with. The introduction provides the writer’s contract with the reader; it says, in effect, “This is what you can expect from this essay.” Be careful in your introduction to avoid vagueness or over-abstract generalities: “This story deals with the problems of human civilization.” Introductory statements should be comprehensive but also concise, specific, and lively: “By the end of the story, Rainsford becomes another Zargoff, another civilized murderer. He has adopted his adversary’s brutal attitudes so easily that we are led to question civilization’s claim to control human aggression.”

 The conclusion should return in some way to the main point of the essay. Yet a simple restatement often seems pat, schematic, or simply boring. Try to place the main issues in a different perspective or give them a different emphasis or even show how they might lead to further inquiry. For example, if you had argued the thesis suggested above, you might conclude this way: “Civilization’s claim to control aggressive impulses seems to break down very easily in this test case, but we should remember that Rainsford was already a hunter before he came to the island. Although his example offers a warning, it may be an extreme rather than a typical example of human aggression.” Or you could suggest that the story’s suspenseful method of narration resists the reader’s urge to derive a simple moral from the story, however important the moral dimension of the story may be.

 Sentence style should generally follow standard usage. Careful proofreading can make a substantial difference in the impact you make and in the basic clarity of your presentation. Every error distracts the reader from the persuasive argument you are trying to make. See? Reading the essay aloud will help you spot awkward or nonstandard phrases, typographical errors, etc. Although conversational speech patterns often need to be reshaped before they can be used in formal writing, they are a better standard to follow than the awkward and abstract formalisms that dominate much writing.

 These are only guidelines, not laws or inflexible rules. But before departing from them, make sure you have a good reason for doing so. The best standard of writing is your own common sense. Always ask yourself as you write, “Is this the best way of persuading my reader of the point I am trying to make?”

Conventions for Writing for Literature

  • All events in literature are referred to in the present tense, if they are fictional, even if the piece is written in the past tense. Only use the past tense if referring to events that occur in the past of the piece of literature, or actual historical events.

                        Gatsby is in love with Daisy.

                        Ahab is obsessed with Moby Dick.

                        Prior to the events in the book, Gatsby had been a soldier.

                        Moby Dick had taken Ahab’s leg.

                        F. Scott Fitzgerald wrote during the Jazz Age.

                        Herman Melville wrote Moby Dick during the nineteenth century.

  • Titles of poems, chapters, essays, short stories and articles are placed in quotation marks. Titles of books, plays, movies, newspapers and periodicals are italicized.

                        “A Rose for Emily”

                        Newsweek

                        Moby Dick

                        “Jabberwocky”

                        “Discovering Themes in Poetry”

  • Works of literature that are the subject of an essay must be mentioned (title and author/poet) in the essay’s introduction.

  • Upon first mention, an actual person’s name is always first and last. Subsequent references should be just the last name.

                        First mention:  Sylvia Plath

                        Subsequent mentions: Plath

  • Character names should follow the conventions of the piece.

Jay Gatsby, in The Great Gatsby is referred to by the narrator as “Gatsby” but Tom Buchanan is called “Tom.”  Therefore, in an essay on The Great Gatsby, use the names “Gatsby” and “Tom” to reference these characters.

  • When quoting lines of poetry, line breaks must be preserved with a slash (/).

“Sundays too my father got up early / and put his clothes on in the blueblack cold.”

  • In-text citations appear before periods but after quotation marks since they are part of the sentence but not the quote.

As Laurie Kirszner and Stephen Mandell succinctly put it: “Sometimes the poem’s speaker is anonymous” (834).

  • Question marks are an exception to this rule only if a question is being quoted—in which case the question mark goes within the quotation marks. If however, a quotation is being used in a question posed in an essay, the question mark falls outside the citation, as in any other sentence that contains a citation.

Hamlet is skeptical, perhaps frightened, of his father’s ghost and even asks, “Where wilt thou lead me?” (1).

Why else would Willy be reminded of “another damned-fool appointment” (807)?

Critical Essays I

CRITICAL READING: A GUIDE

A Guide Designed for His Year 1 Students
by Professor John Lye

Copyright John Lye 1996, 1997


This is a guide to what you might look for in analyzing literature, particularly poetry and fiction. An analysis explains what a work of literature means, and how it means it; it is essentially an articulation of and a defense of an interpretation which shows how the resources of literature are used to create the meaningfulness of the text. There are people who resist analysis, believing that it ‘tears apart’ a work of art; however a work of art is an artifice, that is, it is made by someone with an end in view: as a made thing, it can be and should be analyzed as well as appreciated. There are several main reasons for analyzing literature:

  1. The ultimate end of analysis is, first and foremost, a deeper understanding and a fuller appreciation of the literature — you learn to see more, to uncover or create richer, denser, more interesting meanings. I have a brief page on the ideas of depth, complexity and quality as they relate to literature.
  2. Secondly, as literature uses language, images, the essential processes of meaning-making, analysis can lead to a more astute and powerful use of the tools of meaning on the reader’s part.
  3. Thirdly, analysis should also teach us to be aware of the cultural delineations of a work, its ideological aspects. Art is not eternal and timeless but is situated historically, socially, intellectually, written and read at particular times, with particular intents, under particular historical conditions, with particular cultural, personal, gender, racial, class and other perspectives. Through art we can see ideology in operation. This can be of particular use in understanding our own culture and time, but has historical applications as well. See my brief page on ideology for an expansion of this.
  4. A fourth function of analysis is to help us, through close reading and through reflection, understand the way ideas and feelings are talked about in our culture or in other times and cultures — to have a sense both of communities of meaning, and of the different kinds of understanding there can be about matters of importance to human life. Art can give us access to the symbolic worlds of communities: not only to the kinds of ideas they have about life, but also to the way they feel about them, to the ways they imagine them, to the ways they relate them to other aspects of their lives.

    I: Critical Analysis of Poetry

    The process of analyzing a poem

The elements of analysis discussed below are designed to help you identify the ways in which poetry makes its meaning, especially its ‘parts’; they do not give a sense of how one goes about analyzing a poem. It is difficult to give a prescription, as different poems call on different aspects of poetry, different ways of reading, different relationships between feeling, images and meanings, and so forth. My general advice, however, is this:

  1. look at the title
  2. read the poem for the major indicators of its meaning — what aspects of setting, of topic, of voice (the person who is speaking) seem to dominate, to direct your reading?
  3. read the ending of the poem — decide where it ‘gets to’
  4. divide the poem into parts: try to understand what the organization is, how the poem proceeds, and what elements or principles guide this organization (is there a reversal, a climax, a sequence of some kind, sets of oppositions?)
  5. pay attention to the tone of the poem — in brief, its attitude to its subject, as that is revealed in intonation, nuance, the kind of words used, and so forth.
  6. now that you’ve looked at the title, the major indicators of ‘topic’, the ending, the organization, the tone, read the poem out loud, trying to project its meaning in your reading. As you gradually get a sense of how this poem is going, what its point and drift is, start noticing more about how the various elements of the poetry work to create its meaning. This may be as different as the kind of imagery used, or the way it uses oppositions, or the level of realism or symbolism of its use of the natural world.

Reading poetry well is a balance among and conjunction of qualities: experience, attention, engagement with the qualities which make the poem resonant or compelling, close reading of structure and relationships. It’s an acquired talent, you have to learn it. When you do, however, more and more meaning, power and beauty start leaping out at you.

Elements of analysis

Here then are some questions to apply to your analysis in order to see how the poem is making its meaning: they cover
genrethe speakerthe subjectthe structure, settingimagerykey statements,
the sound of the poetrylanguage useintertextuality,
the way the reader is formed by the poemthe poem’s historical placement, and
ideology or ‘world-view’

1. What is the genre, or form, of the poem?

Is it a sonnet, an elegy, a lyric, a narrative, a dramatic monologue, an epistle, an epic (there are many more). Different forms or genres have different subjects, aims, conventions and attributes. A love sonnet, for instance, is going to talk about different aspects of human experience in different ways with different emphases than is a political satire, and our recognition of these attributes of form or genre is part of the meaning of the poem.

2. Who is speaking in the poem?

Please remember that if the voice of the poem says “I”, that doesn’t mean it is the author who is speaking: it is a voice in the poem which speaks. The voice can be undramatized (it’s just a voice, it doesn’t identify itself), or dramatized (the voice says “I”, or the voice is clearly that of a particular persona, a dramatized character).

Identify the voice. What does the voice have to do with what is happening in the poem, what is its attitude, what is the tone of the voice (tone can be viewed as an expression of attitude). How involved in the action or reflection of the poem is the voice? What is the perspective or ‘point of view’ of the speaker? The perspective can be social, intellectual, political, even physical — there are many different perspectives, but they all contribute to the voice’s point of view, which point of view affects how the world of the poem is seen, and how we respond.

3. What is the argument, thesis, or subject of the poem

What, that is to say, is it apparently ‘about’? Start with the basic situation, and move to consider any key statements; any obvious or less obvious conflicts, tensions, ambiguities; key relationships, especially conflicts, parallels, contrasts; any climaxes or problems posed or solved (or not solved); the poem’s tone; the historical, social, and emotional setting.

4. What is the structure of the poem?

There are two basic kinds of structure, formal and thematic.

Formal structure is the way the poem goes together in terms of its component parts: if there are parts — stanza’s, paragraphs or such — then there will be a relation between the parts (for instance the first stanza may give the past, the second the present, the third the future).

Thematic structure, known in respect to fiction as ‘plot’, is the way the argument or presentation of the material of the poem is developed. For instance a poem might state a problem in eight lines, an answer to the problem in the next six; of the eight lines stating the problem, four might provide a concrete example, four a reflection on what the example implies. There may well be very close relations between formal and thematic structure. When looking at thematic structure, you might look for conflicts, ambiguities and uncertainties, the tensions in the poem, as these give clear guides to the direction of meanings in the poem, the poem’s ‘in-tensions’.

5. How does the poem make use of setting?

There is the setting in terms of time and place, and there is the setting in terms of the physical world described in the poem.

In terms of the physical world of the poem, setting can be used for a variety of purposes. A tree might be described in specific detail, a concrete, specific, tree; or it might be used in a more tonal way, to create mood or associations, with say the wind blowing mournfully through the willows; or it might be used as a motif, the tree that reminds me of Kathryn, or of my youthful dreams; or it might be used symbolically, as for instance an image of organic life; or it might be used allegorically, as a representation of the cross of Christ (allegory ties an image or event to a specific interpretation, a doctrine or idea; symbols refer to broader, more generalized meanings).

Consider this a spectrum, from specific, concrete, to abstract, allegorical:
concrete — tonal — connotative — symbolic — allegorical

6. How does the poem use imagery?

“Imagery” refers to any sort of image, and there are two basic kinds. One is the images of the physical setting, described above. The other kind is images as figures of speech, such as metaphors. These figures of speech extend the imaginative range, the complexity and comprehensibility of the subject. They can be very brief, a word or two, a glistening fragment of insight, a chance connection sparked into a blaze (warming or destroying) of understanding; or they can be extended analogies, such as Donne’s ‘conceits’or Milton’s epic similes.

7. Are there key statements or conflicts in the poem that appear to be central to its meaning?

Is the poem direct or indirect in making its meanings? If there are no key statements, are there key or central symbol, repetitions, actions, motifs (recurring images), or the like?

8. How does the sound of the poetry contribute to its meaning?

Pope remarked that “the sound must seem an echo to the sense”: both the rhythm and the sound of the words themselves (individually and as they fit together) contribute to the meaning.

9. Examine the use of language.

What kinds of words are used? How much and to what ends does the poet rely on connotation, or the associations that words have (as “stallion” connotes a certain kind of horse with certain sorts of uses)? Does the poem use puns, double meanings, ambiguities of meaning?

10. Can you see any ways in which the poem refers to, uses or relies on previous writing?

This is known as allusion or intertextuality. When U-2’s Bono writes “I was thirsty and you kissed my lips” in “Trip Through Your Wires,” the meaning of the line is vastly extended if you know that this is a reference to Matthew 25:35 in the Bible, where Jesus says to the saved in explanation of what they did right, “I was thirsty and you wet my lips.”

11. What qualities does the poem evoke in the reader?

What sorts of learning, experience, taste and interest would the ‘ideal’ or ‘good’ reader of this poem have? What can this tell you about what the poem ‘means’ or is about? The idea is that any work of art calls forth certain qualities of response, taste, experience, value, from the reader, and in a sense ‘forms’ the reader of that particular work. This happens through the subject matter, the style, the way the story is told or the scene set, the language, the images, the allusions, all the ways in which we are called by the text to construct meaning. The theorist Wayne Booth calls the reader as evoked or formed by the text the “implied reader.”

12. What is your historical and cultural distance from the poem?

What can you say about the difference between your culture’s (and sub-culture’s) views of the world, your own experiences, on the one hand, and those of the voice, characters, and world of the poem on the other? What is it that you might have to understand better in order to experience the poem the way someone of the same time, class, gender and race might have understood it? Is it possible that your reading might be different from theirs because of your particular social (race, gender, class, etc.) and historical context? What about your world governs the way you see the world of the text? What might this work tell us about the world of its making?

13. What is the world-view and the ideology of the poem?

What are the basic ideas about the world that are expressed? What areas of human experience are seen as important, and what is valuable about them? What areas of human experience or classes of person are ignored or denigrated? A poem about love, for instance, might implicitly or explicitly suggest that individual happiness is the most important thing in the world, and that it can be gained principally through one intimate sexually-based relationship — to the exclusion, say, of problems of social or political injustice, human brokenness and pain, or other demands on us as humans. It might also suggest that the world is a dangerous, uncertain place in which the only sure ground of meaningfulness is to be found in human relationships, or it might suggest on the other hand that human love is grounded in divine love, and in the orderliness and the value of the natural world with all its beauties. What aspects of the human condition are foregrounded, what are suppressed, in the claims that the poem makes by virtue of its inclusions and exclusions, certainties and uncertainties, and depictions of the way the natural and the human world is and works? For a brief elaboration of the concept of ideology, see my page on the subject.

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II: Analyzing fiction

The analysis of fiction has many similarities to the analysis of poetry. As a rule a work of fiction is a narrative, with characters, with a setting, told by a narrator, with some claim to represent ‘the world’ in some fashion.

The topics in this section are plotcharactersettingthe narratorfigurative languagethe way reality is representedthe world-view.

1. Plot.

As a narrative a work of fiction has a certain arrangement of events which are taken to have a relation to one another. This arrangement of events to some end — for instance to create significance, raise the level of generality, extend or complicate the meaning — is known as ‘plot’. Narrative is integral to human experience; we use it constantly to make sense out of our experience, to remember and relate events and significance, and to establish the basic patterns of behaviour of our lives. If there is no apparent relation of events in a story our options are either to declare it to be poorly written or to assume that the lack of relation is thematic, mean to represent the chaotic nature of human experience, a failure in a character’s experience or personality, or the lack of meaningful order in the universe.

In order to establish significance in narrative there will often be coincidence, parallel or contrasting episodes, repetitions of various sorts, including the repetition of challenges, crises, conciliations, episodes, symbols, motifs. The relationship of events in order to create significance is known as the plot.

2. Character.

Characters in a work of fiction are generally designed to open up or explore certain aspects of human experience. Characters often depict particular traits of human nature; they may represent only one or two traits — a greedy old man who has forgotten how to care about others, for instance, or they may represent very complex conflicts, values and emotions. Usually there will be contrasting or parallel characters, and usually there will be a significance to the selection of kinds of characters and to their relation to each other. As in the use of setting, in fact in almost any representation in art, the significance of a character can vary from the particular, the dramatization of a unique individual, to the most general and symbolic, for instance the representation of a’Christ figure’.

3. Setting.

Narrative requires a setting; this as in poetry may vary from the concrete to the general. Often setting will have particular culturally coded significance — a sea-shore has a significance for us different from that of a dirty street corner, for instance, and different situations and significances can be constructed through its use. Settings, like characters, can be used in contrasting and comparative ways to add significance, can be repeated, repeated with variations, and so forth.

4. The Narrator.

A narration requires a narrator, someone (or more than one) who tells the story. This person or persons will see things from a certain perspective, or point of view, in terms of their relation to the events and in terms of their attitude(s) towards the events and characters. A narrator may be external, outside the story, telling it with an ostensibly objective and omniscient voice; or a narrator may be a character (or characters) within the story, telling the story in the first person (either central characters or observer characters, bit players looking in on the scene). First-person characters may be reliable, telling the truth, seeing things right, or they may be unreliable, lacking in perspective or self-knowledge. If a narration by an omniscient external narrator carries us into the thoughts of a character in the story, that character is known as a reflector character: such a character does not know he or she is a character, is unaware of the narration or the narrator. An omniscient, external narrator may achieve the narrative by telling or by showing, and she may keep the reader in a relation of suspense to the story (we know no more than the characters) or in a relation of irony (we know things the characters are unaware of).
In any case, who it is who tells the story, from what perspective, with what sense of distance or closeness, with what possibilities of knowledge, and with what interest, are key issues in the making of meaning in narrative. For a fuller discussion, see my page Narrative point of view: some considerations.

5. Figurative language.

As in poetry, there will be figurative language; as in drama, this language tends to be used to characterize the sensibility and understanding of characters as well as to establish thematic and tonal continuities and significance.

6. Representation of reality.

Fiction generally claims to represent ‘reality’ (this is known as representation or mimesis) in some way; however, because any narrative is presented through the symbols and codes of human meaning and communication systems, fiction cannot represent reality directly, and different narratives and forms of narrative represent different aspects of reality, and represent reality in different ways. A narrative might be very concrete and adhere closely to time and place, representing every-day events; on the other hand it may for instance represent psychological or moral or spiritual aspects through symbols, characters used representatively or symbolically, improbable events, and other devices. In addition you should remember that all narrative requires selection, and therefore it requires exclusion as well, and it requires devices to put the selected elements of experience in meaningful relation to each other (and here we are back to key elements such as coincidence, parallels and opposites, repetitions).

6. World-view.

As narrative represents experience in some way and as it uses cultural codes and language to do so, it inevitably must be read, as poetry, for its structure of values, for its understanding of the world, or world-view, and for its ideological assumptions, what is assumed to be natural and proper. Every narrative communication makes claims, often implicitly, about the nature of the world as the narrator and his or her cultural traditions understand it to be. The kind of writing we call “literature” tends to use cultural codes and to use the structuring devices of narrative with a high degree of intentionality in order to offer a complex understanding of the world. The astute reader of fiction will be aware of the shape of the world that the fiction projects, the structure of values that underlie the fiction (what the fiction explicitly claims and what it implicitly claims through its codes and its ideological understandings); will be aware of the distances and similarities between the world of the fiction and the world that the reader inhabits; and will be aware of the significances of the selections and exclusions of the narrative in representing human experience.

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III: Analysis of Prose in Fiction

Someone is always speaking in a novel — whether it is a narrator who is not a character within the fiction, or a character within the narrative. Consequently both the particular ideas, attitudes, feelings, perspectives of that speaker, and the concerns and attitudes of the novel as a whole, will be presented through the prose The analytical reader needs to understand what information is conveyed and how it is conveyed. The following is a guide to some things to look for, and contains:
A. prosethe languagesentence structureimagery and settingdiscourse features.
B. characterization 
C. genre and tradition

A. The Passage as Prose.

  1. The language:
    1. What kind of language is used? Here are some possibilities:Is the language:
      1. abstract or concrete language
      2. language of emotions or of reason
      3. language of control or language of openness
    2. What are the connotations of the language? How much language is connotative? What areas of experience, feeling, and meaning are evoked? When Conrad writes that a gate was “a neglected gap,” we have to take notice, as a gate is not ordinarily a gap, nor is the issue of neglect or care usually applied to gaps. Conrad intends to imply, to connote, certain qualities through his language use.
    3. How forceful is the language (see also imagery and sentence structure)?
    4. what aspects of feeling are supported or created by the sound of the language?
      1. by the vowel and consonant sounds — soft or hard long or short
      2. by how the words go together — e.g. smoothly, eliding, so that one slides into the other, or separated by your need to move your mouth position.
  2. Sentence structure: Meaning is created by how the sentences sound, by how they are balanced, by the force created by punctuation as well as by language:
    1. by the stresses on words, and the rhythm of the sentence
    2. by the length of the sentence
    3. by whether the sentence has repetitions, parallels, balances and so forth
    4. by the punctuation, and how it makes the sentence sound and flow.
  3. Imagery and setting: Images and use of setting can tell you a great deal about a character, a narrator, a fictional work:
    1. Imagery as figurative language: what sort of metaphors, similes and analogies does the speaker use, and what does that tell you about their outlook and sensibility?
    2. Images as motifs: are their recurring images? What ideas or feelings are aroused by them, what people or events are brought to mind by them?
    3. Imagery as setting: How is the setting used? To create a sense of realism? To create mood? To represent or create a sense of states of mind or feelings? To stand for other things (i.e. symbolic or allegorical — as for instance Wuthering Heights and Thrushcroft Grange in Wuthering Heights might be said to stand for two ways of viewing the world or two different sociological perspectives, and jungle in Heart of Darkness might be said to stand for the primeval past or for the heart of humankind)?
  4. Discourse features
    1. how long does the person speak?
    2. are the sentences logically joined or disjointed, rational or otherwise ordered, or disorderly?
    3. what tone or attitude does the talk seem to have?
    4. does the speaker avoid saying things, deliberately or unconsciously withhold information, communicate by indirection?
    5. to what extent and to what end does the speaker use rhetorical devices such as irony?

B. Characterization The idea here is that the various features of the prose, above, will support features of characterization which we can discuss in somewhat different terms.

  1. What ideas are expressed in the passage, and what do they tell you about the speaker?
  2. What feelings does the speaker express? What does that tell you about them? Are their feelings consistent?
  3. Does the character belong to a particular character type or represent a certain idea, value, quality or attitude?
  4. What is the social status of the character, and how can you tell from how they speak and what they speak about?
  5. What is the sensibility of the speaker? Is the person ironic, witty, alert to the good or attuned to evil in others, optimistic or pessimistic, romantic or not romantic (cynical, or realistic?).
  6. What is the orientation of the person — how aware are they of their own and others’ needs, and of their environments?
  7. How much control over and awareness of her emotions, her thoughts, her language does the speaker have?
  8. How does the narrator characterize the character through comment or through description?

C. Genre & Tradition

Different traditions and genres tend to use language and characters and setting and plot differently, and this may show in individual passages. Is it a satire, a comedy, a tragedy, a romance? Is it a novel of social comment, an exploration of an idea? (There are more kinds.) Is it in a certain sub-genre like a detective novel, science fiction, etc.? Is it an allegory or a satire, is it realistic or more symbolic? How does this genre, sub-genre or tradition tend to use setting, characters, language, mood or tone? Does this one fit in?

IV: Writing an Analytical Essay

Your purpose in writing an analytical essay is to convey your sense of what the text is saying, and how the text creates its meaning — the use of the various aspects and devices mentioned in the previous sections. The simplest way to open your essay is with a statement of what you have decided the meaning of the text, the most sufficient interpretation, is. The body of your essay is then a presentation or ‘defense’ of your interpretation: you demonstrate the ways in which the text makes the meaning you believe it to have. In the conclusion you sum up your findings or recapitulate your argument briefly, and extend the significance of your reading if you wish — this is where you comment on the more general, cultural or moral or technical significance of the theme and techniques of the text. You may begin you essay in other ways — by stating what the main barriers are to an interpretation of the poem or what the main difficulties with arriving at an interpretation are, for instance, and how consequently you intend to deal with the text , or by stating what sorts of options you have in terms of emphases and why you have chosen the one(s) you have chosen. It is important to give the reader a sense of how you are proceeding in the essay and why.

There is no sure-fire formula for essay writing. The form your essay takes will likely vary with the nature of your evidence (quotations from the text, principally, or from other sources), with your sense of how the text is structured and shaped, with your interpretation, and with your sense of what issues are most relevant. Obviously, you will have to make some organizational decisions. In writing on a poem, for example, do you go through a poem stanza by stanza showing how the meaning is developed? If this is your method, be sure you avoid the pitfalls: mere paraphrase, providing an unselective running commentary, and disorganization of kinds of evidence. An alternative approach might focus on the poem aspect by aspect (the point of view, the voice, the setting, and so forth). The pitfalls here are not being able show how the various aspects tie together to create meaning, and assuming that each aspect deserves equal and exhaustive treatment. Fiction is usually analyzed by considering one or more aspects of the work in the categories of theme (ideas, meanings), and/or of fictional techniques (plot, point of view, etc.).

Remember that there are different kinds of literature in each genre, and that different kinds may rely on different devices. A poem may be narrative; it may be a dramatic monologue; it may be a collection of images with no human in sight; it may develop a logical argument; it may work allusively, analogically, symbolically and so forth; it may have a careful stanza-by stanza development, or it may depend on repetitions, images, and so forth. A work of fiction might be allegorical, it might use magical realism, it might concentrate on the effects of the environment, or it might attempt metaphorically to represent the interior lives of characters. Figure out what the main devices and strategies are, and concentrate on them, adding the lesser ones later and not necessarily in full. Try, if you are not sure of your interpretation, starting with the simplest, most obvious situation — two lovers are meeting, say — and add other possible points of meaning as they seem to extend or illuminate the dramatic situation — for instance a storm is threatening, the meeting is seen from only one lover’s point of view, each stanza gives a different meaning to what the significance of physical love might be, and so forth. Always deal with the ‘form’ as well as the ‘content’, however, with how the way something is said shapes what it means. Write what you have to say as clearly and precisely as you can. Have someone proof-read your paper for you for spelling and grammatical errors and for intelligibility.

Roman Life: The Ideal of the State in Shakespeare’s Coriolanus

From Shakespeare as a Dramatic Thinker by Richard G. Moulton. New York, Macmillan. 

The play of Coriolanus is pitched at an early point in the line of historical development: the only ideal here is the ideal of the state, the common life to which all actions must have their reference, while the claims of individuality have just begun to appear as a disturbing force. Thus in relation to this story the antithesis of the outer and inner life becomes the antithesis between pure political principle and that concession to the individual which we call compromise. 

On the surface of the story we have contests of parties, patricians and plebeians. But these are not, like the Whig and Tory, Democrat and Republican, of modem times, organisations contending for different plans of reaching a common good. For both patricians and plebeians there is but one ideal, that of service to the state; and to this ideal the patrician party is wholly devoted, as typified by such leaders as Titus Lartius – ready to lean on one crutch and fight the enemy with the other [I.i.246] – or the incomparable Coriolanus. It is true that at one excited point of the conflict a representative of the plebeians – as if with a sudden insight into the thought of future ages – cries out [III.i.199]:

What is the city but the people?

But in the action of the play this comes only as a wild extravagance, and no representation of the motives actually at work. The plebeians as they appear in this drama have no ideal of their own to set up, but are defaulters to the conception of duty recognised by all. They “cannot rule, nor ever will be ruled”; their “affections are a sick man’s appetite, who desires most that which would increase his evil.” What their scornful opponents say of them harmonises with what their actions show in the story, as we see the mob stealing away at the first word of war, and even those who are equal to fighting the Volscians diverted from valour by the first chance of petty spoil [Compare III.i.40; I.i.255, stage direction]. This single political virtue to which part of the people are untrue is the very point of the famous Fable of the Belly and Members, with which Menenius strikes the key-note of the whole play [I.i, from 92]. The belly and the members are not coordinate limbs of the body; the drift of the parable is that the belly is the state, and the members, so far as they are not serving the belly, are disturbers of the general health of the physical or political body.

Men. Your most grave belly was deliberate, 
Not rash like his accusers, and thus answer’d:
‘True is it, my incorporate friends,’ quoth he, 
That I receive the general food at first, 
Which you do live upon; and fit it is. 
Because I am the store-house and the shop 
Of the whole body: but, if you do remember, 
I send it through the rivers of your blood. 
Even to the court, the heart, to the seat o’ the brain;
And, through the cranks and offices of man, 
The strongest nerves and most inferior veins
From me receive that natural competency 
Whereby they live: and though that all at once,
You, my good friends,’ – this says the belly, mark me, – 

First Cit. Ay, sir; well, well. 

Men. Though all at once cannot 
See what I deliver out to each. 
Yet I can make my audit up, that all 
From me do back receive the flour of all, 
And leave me but the bran.’ What say you to’t? 

First Cit. It was an answer: how apply you this? 

Men. The senators of Rome are this good belly. 
And you the mutinous members: for examine 
Their counsels and their cares, digest things rightly 
Touching the weal o’ the common, you shall find 
No public benefit which you receive 
But it proceeds or comes from them to you
And no way from yourselves. What do you think, 
You, the great toe of this assembly? 
First Cit. I the great toe! why the great toe? 
Men. For that, being one o’ the lowest, basest, poorest, 
Of this most wise rebellion, thou go’st foremost.

What then is the position of the plebeian party in the conflict? They have no political ideal to set up; what they put forward is individuality reduced to its lowest terms – the bare right to exist. It is precisely the story of the petty defaulter and the grand minister of France: the defaulter makes his plea, Il faut vivre; to which the chancellor answers loftily, Monsieur, je n’en vois pas la necessite. So the plebeian mob:

They said they were an-hungry; sigh’d forth proverbs, 
That hunger broke stone walls, that dogs must eat, 
That meat was made for mouths, that the gods sent not 
Corn for the rich men only. [I.i.209]

The claims of the individual life are not exalted into an ideal; they have come in as a disturbing force to the common ideal of the state and its service. The exact situation is that, at the opening of the action, the patricians have compromised with this disturbing claim of the individual; they have ordered distributions of corn as gratuities and not for service done; [III.i, from 120] worse than this, they have created tribunes of the people, [I.i.219] a perpetual mouthpiece for popular claims, and thus a disturbing force to the old single ideal of the state has been admitted within the constitution itself. Nothing but conflict can ensue; and at the height of the conflict the speech of Coriolanus – continued amid interruptions from both sides [III.i.91-171] – brings out clearly how this is a conflict between pure political principle, as Rome had understood it, and compromising recognition of popular demands.

O good, but most unwise patricians! why, 
You grave but reckless senators, have you thus
Given Hydra here to choose an officer. 
That with his peremptory ‘shall,’ being but 
The horn and noise o’ the monster’s, wants not spirit 
To say he’ll turn your current in a ditch, 
And make your channel his? . . . My soul aches 
To know, when two authorities are up. 
Neither supreme, how soon confusion 
May enter ‘twixt the gap of both and take 
The one by the other. . . . They know the corn
Was not our recompense, resting well assured 
They ne’er did service for’t : being pressed to the war,
Even when the navel of the state was touch’d, 
They would not thread the gates. This kind of service 
Did not deserve corn gratis: being i’ the war, 
Their mutinies and revolts, wherein they show’d 
Most valour, spoke not for them: the accusation 
Which they have often made against the senate, 
All cause unborn, could never be the motive 
Of our so frank donation. Well, what then? 
How shall this bisson multitude digest 

 

The senate’s courtesy? Let deeds express
What’s like to be their words: ‘We did request it;
We are the greater poll, and in true fear 
They gave us our demands.’ Therefore, beseech you, –
You, that will be less fearful than discreet;
That love the fundamental part of state 
More than you doubt the change on’t; that prefer 
A noble life before a long, and wish 
To jump a body with a dangerous physic 
That’s sure of death without it, – at once pluck out 
The multitudinous tongue; let them not lick 
The sweet which is their poison. … In a rebellion, 
When what’s not meet, but what must be, was law, 
Then were they chosen : in a better hour. 
Let what is meet be said it must be meet. 
And throw their power i’ the dust.

Around this central idea of principle in conflict with compromise the characters of the drama naturally arrange themselves. Coriolanus himself embodies absolute devotion to principle, the one ideal of service to the state. Panegyric relates prodigies of valour, marvels of self-exposure against odds, which have made Coriolanus the grand hero of the age [E.g. II.ii, from 86]. Yet this is not the fire-eating battle passion of a Hotspur; Coriolanus hates praise, and would rather have his wounds to heal again than hear how he got them [II.ii.73-79].

I have done 
As you have done; that’s what I can: induced 
As you have been ; that’s for my country:
He that has but effected his good will 
Hath overta’en mine act. [I.ix.15]

Still less can this warrior tolerate reward.

He covets less 
Than misery itself would give; rewards
His deeds with doing them, and is content 
To spend the time to end it. [II.ii.130]

The deeds are not actuated by personal ambition: Coriolanus has to be pushed forward by the patricians to office, and “would rather be their servant in his own way than sway with them in theirs.” [II.i.219] From first to last no personal motive can be detected in Coriolanus: he is actuated solely by the passion for service. Hence the injustice of the common interpretation, which in this drama sees pride and its fall. The mistake is an easy one, for ‘proud’ is the epithet for Coriolanus that is heard throughout the story, and even in his own mother’s mouth.

Thy valiantness was mine, thou suck’dst it from me, 
But owe thy pride thyself. [III.ii.129]

Moreover, what we see of outward demeanour in Coriolanus is just the flash of scorn and mocking taunt with which pride expresses itself. Yet, if we force ourselves to do justice to this hero, we must acquit him of the charge of pride. Scorn is the expression of righteous indignation, as well as of personal haughtiness; the honest workman, of the type of Adam Bede, has nothing but scorn for the feckless makeshift throwing down his work the moment the bell rings; and this on a larger scale makes the magnificent warrior in his attitude to the plebeians who claim feed and shirk duty. 

The mother of Coriolanus, we shall see, has an ideal different from that of her son; moreover, she is infected with the spirit of compromise around her, and fails to appreciate the pure stand for principle. Apart from this contempt for half service, where is the pride of Coriolanus to be found? It is not personal pride: for this hero of the battlefield cordially and without a moment’s hesitation places himself under command of an inferior; his enemies the tribunes note this, and wonder how “his insolence can brook to be commanded under Cominius.” [I.i.265] It is not the aristocratic pride that contemns the people as such: this is suggested by an incident in which the people can be seen apart from the plebeian defaulters. [I.ix.79]

Cor. The gods begin to mock me. I, that now 
Refused most princely gifts, am bound to beg 
Of my lord general. 

Com. Take’t; ’tis yours. What is’t?

Cor. I sometime lay here in Corioli 
At a poor man’s house; he used me kindly:
He cried to me; I saw him prisoner:
But then Aufidius was within my view, 
And wrath o’erwhelm’d my pity: I request you 
To give my poor host freedom.

The “noble carelessness” whether the populace love or hate him, the bitter contempt he pours out, are in Coriolanus but the expression of the whole-souled devotion to principle, as against the universal tendency to temporise which he sees around him. [see notes below] His ideal may be the opposite of our modern humanity; but justice forces us to recognise the purest type of a soul in which all personal aims have been merged in the thought of service.

His nature is too noble for the world: 
He would not flatter Neptune for his trident,
Or Jove for his power to thunder. His heart’s his mouth:
What his breast forges, that his tongue must vent. [III.i.255]

It is Coriolanus alone who typifies purity of principle: all the other personages in some form or other exhibit the spirit of compromise. The tribunes, as we have seen, simply give expression to the compromising claims of the individual; their office has been created in a moment of panic, by a patrician party who shrink from carrying their political ideal to its logical conclusion. Aufidius up to a certain point keeps step with Coriolanus: each in his respective state is the absolute devotee of public service, and each recognises the perfection of the other. [E.g. I.i.232-40] But at last the honour of Aufidius begins to be obscured.

Mine emulation
Hath not that honour in’t it had; for where
I thought to crush him in an equal force, 
True sword to sword. Til potch at him some way, 
Or wrath or craft may get him. [I.x.12]

Personal rivalry has here come in as a disturbing force to principle; and, although for a while Aufidius’s honour flames up to its full brightness when Coriolanus surrenders to him, and he delights to exalt his former rival to the command over himself, [IV.v.142] yet Aufidius proves unequal to the strain, and yields to the base envy which plots against a personality acknowledged to be the great bulwark of the Volscian state. [IV.vii.] Even Volumnia must be referred to the same side of the antithesis. In the earlier part of the play not only does the mother of Coriolanus seem the equal of her heroic son, but she is put forward as the fount from which has flowed his public virtue. But as the crisis manifests itself, and the career and even safety of Coriolanus are at stake, Volumnia begins to draw apart from the pure principle of her son, and speaks the language of compromise, bidding him dissemble, and introduce into Rome itself the arts with which he fights Rome’s foes [III.ii, from 41].

If it be honour in our wars to seem 
The same you are not, which, for your best ends, 
You adopt your policy, how is it less or worse, 
That it shall hold companionship in peace 
With honour, as in war, since that to both
It stands in like request ? … It lies you on to speak
To the people ; not by your own instruction. 
Nor by the matter which your heart prompts you,
But with such words that are but rooted in 
Your tongue, though but bastards and syllables 
Of no allowance to your bosom’s truth. 
Now, this no more dishonours you at all
Than to take in a town with gentle words, 
Which else would put you to your fortune and 
The hazard of much blood. 
I would dissemble with my nature, where 
My fortunes and my friends at stake required 
I should do so in honour.

The compromising spirit so clearly described underlies Volumnia’s action in the final crisis. The sympathies of the modern reader are with her, for she represents the modern ideal of patriotism. But, once the ancient point of view has been caught, it must be admitted that from this standpoint even patriotism is a compromise with principle; it is not pure devotion to the ideal of government, but devotion to that particular government with which the individual has been connected by the accident of birth. Coriolanus, as a servant of the Volscian state, exhibits the same absolute fidelity to the public service at all personal cost which once he had cherished for Rome. Volumnia on her knees before the conqueror appears as a force disturbing faithful service by motives of sentiment and passion. 

The action of the play, no less than the character-drawing, is founded on this antithesis of principle and compromise, the state and the individual. The entanglement of the plot lies essentially in the opening situation, and not until the fifth act in the conduct of the hero. In the earlier part all the action serves to display the grandeur of the principal figure; it is not simply service, but magnificent achievement, at the price of infinite self-devotion, with Coriolanus rejecting all reward, and resisting the honours all are thrusting upon him, up to the point where further resistance would be exalting his personal feeling against the public voice. [I.ix.53-60] The patricians insist upon office for their hero: again he resists and prefers to be servant only of the state, once more pushing his resistance to the furthest point to which the individual may oppose the public will. [II.i.218] But just here appears the entanglement which the compromising spirit of the time has admitted into the constitution of Rome; popular claims have won recognition in election to office, and the candidate’s gown is the outward symbol of two incompatible things in conflict, the patrician ideal of the state and the temporising courtship of individual plebeians. 

It may be urged that Coriolanus plays his part as candidate badly; the tribunes point out “with what contempt he wore the humble weed.” But what else could be expected from the situation created against his will for Coriolanus? Principle itself has been arrayed in the garment of compromise.

Why in this woolvish toge should I stand here, 
To beg of Hob and Dick, that do appear, 
Their needless vouches? Custom calls me to’t: 
What custom wills, in all things should we do’t, 
The dust on antique time would lie unswept, 
And mountainous error be too highly heap’d 
For truth to o’er-peer. Rather than fool it so, 
Let the high office and the honour go 
To one that would do thus. [II.iii.122]

The latent conflict works itself out to a sharp crisis: Coriolanus, as we have seen, makes one more stand for pure principle, and would sweep away at a stroke all that has allowed popular claims to interfere with the ideal of the state and the public service. It has become a question of brute force: the hero of the patricians is worsted and receives sentence of banishment. At this height of the struggle [III.iii.120] comes the magnificent stroke with which Shakespeare, in a single flash, presents the whole issue, as Coriolanus hurls against the hubbub of Rome’s confusion the answering taunt —

I BANISH YOU!

Not Rome, but Rome in the hands of the tribunes, is thus addressed: the state has committed political suicide, self-surrendered to the forces that disintegrate it, before Coriolanus abandons it. The principle at stake is not patriotism, which roots the individual to the soil where he has grown; dismissed from the state it has so gloriously served, the life of service is free to transfer itself to another. Coriolanus becomes a Volscian, and, with no popular turbulence to interfere, leads the Volscian armies to victory. This may be called revenge, but it is no less service; and the service is as flawless as in the old days.

Cor. Wife, mother, child, I know not. My affairs
Are servanted to others: though I owe 
My revenge properly, my remission lies 
In Volscian breasts. [V.ii.88, and whole scene.]

A second crisis of the action is made where mother, wife, and child kneel in behalf of Rome before the conqueror. [V.iii] The whole force of kinship and patriotism is concentrated in one motive. But, from the ancient standpoint, kinship and patriotism are an exalted form of individuality: the two sides of the antithesis, the state and the individual, are seen in full conflict. The situation has been created which is so dear to the ancient drama — two opposing moral forces meet in the same personage: the tragic sequel is that the personage is crushed. Volumnia does not see this, and speaks of reconciliation. [V.iii.132]

Vol. If it were so that our request did tend 
To save the Romans, thereby to destroy 
The Volsces whom you serve, you might condemn us, 
As poisonous of your honour: no; our suit 
Is, that you reconcile them.

But her son sees more clearly, and reaUses the bitter irony of the situation. [V.iii.182]

Cor. (After holding her by the hand, silent) O mother, mother! 
What have you done? Behold, the heavens do ope, 
The gods look down, and this unnatural scene 
They laugh at. O my mother, mother! O!
You have won a happy victory to Rome; 
But, for your son, — believe it, O, believe it,
Most dangerously you have with him prevailed, 
If not most mortal to him. But let it come.

Coriolanus understands that a point has been reached where he must make a final choice between principle and compromise: the embodiment of principle chooses compromise, but he knows he is choosing ruin for himself. 

There is yet another turning-point before the action of the play is complete. Coriolanus leading the Volscian army away from Rome gives scope for nemesis: the devotee of principle has surrendered to compromise, and the ruin that follows comes as retribution. But all the while there is by the side of the hero another personality, in which there has been a far worse surrender of honour; Aufidius has yielded to personal rivalry and base envy, and, by slander and secret plotting, at last strikes down Coriolanus on his return. [V.vi] Instantly, to the spectator of the story, nemesis has given place to pathos; the hero falls a wronged man, and his error is forgotten in the thought of his heroism. Even Aufidius has a pang of compunction:

My rage is gone,
And I am struck with sorrow.

And it is a lord of the Volscians who speaks the fitting epitaph for the supreme representative of old Roman honour:

Mourn you for him: let him be regarded 
As the most noble corse that ever herald 
Did follow to his urn. [V.vi.143]

 

How to cite this article: 
Moulton, Richard G. Shakespeare as a Dramatic Thinker. New York: Macmillan, 1921. Shakespeare Online. 2 Aug. 2011. (date when you accessed the information) < http://www.shakespeare-online.com/plays/coriolanus/index.html >.

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Coriolanus and the Emotions of Revenge

7th World Shakespeare Congress, Valencia, short paper session 3.4: Revenge as a Mediterranean Phenomenon Before and After Hamlet.

Charles A. Hallett:
“Anger’s My Meat”: Coriolanus and the Emotions of Revenge

Abstract:
Recently 
Coriolanus has been receiving far more attention than it had formerly been given. Frequently, however, the nature of the hero seems to be misconstrued, largely because two fundamental questions concerning the play are left unasked and therefore unanswered. It may seem obvious that this play should take place in Rome. But the Rome we find in Shakespeare’s drama is not the Rome that Shakespeare found in Plutarch’s Lives. It is his own construction. To understand Coriolanus, we must first grapple with the question, What did the Rome Shakespeare created in Coriolanussymbolize for Shakespeare? Then, turning to Coriolanus himself and seeing that at the crisis of the drama in Act III he undergoes a near-total reversal, from valiant, loyal citizen to vengeful hater of everything Roman, we must ask a further question, Precisely what is it about Rome that now seems so despicable to Coriolanus that he would raze it to the ground? I believe that answers to these two questions may be gained by contrasting Coriolanus with Hamlet. The differences between the worlds of Coriolanus and Hamlet throw light on aspects of Coriolanus that may otherwise remain obscure.

“Anger’s My Meat”: Coriolanus and the Emotions of Revenge
by Charles A. Hallett

Frankly, I am puzzled as to why the theme of revenge in Coriolanus has received so little attention. While I shall be making as strong a distinction as I can between this play and Hamlet, Shakespeare’s one play written in the revenge-tragedy form, yet of all Shakespeare’s other plays (with the possible exception of Titus Andronicus ), there is not one in which the passion of revenge plays a greater role in the catastrophe than it does in Coriolanus. Yet, while the subject of revenge has frequently been explored in plays as diverse as Macbeth, III Henry VI, Winter’s Tale and even Twelfth Night, few have seen fit to examine the dynamics of revenge in Coriolanus, where the entire two final acts are devoted solely to this passion.

It has been stated (I believe accurately) that each of Shakespeare’s plays is sui generis. Where many other playwrights hit a mother lode and mine it until it is dry, each of Shakespeare’s plays is unique. Yet, as widely varied as his characters, plots and themes are, Shakespeare has set at the heart of each of the tragedies one of the limited number of human passions, and that passion–like the mainspring of a watch– drives the action of the play.

But if the number of passions is limited, the causes out of which each passion can arise and the course that each passion can take are as various and numerous as the human beings who feel them. That Shakespeare well knew this is evidenced by the array of different circumstances he depicts as motivating his characters to seek revenge, as well as by the varied means they choose to pursue it. For a multitude of reasons, only a few of which I will list in this paper, Hamlet and Coriolanus, which of all of Shakespeare’s plays are the ones in which revenge is most prominent (again excepting Titus, which I prefer to regard as having been written by the Seventeenth Earl of Oxford), are also, in every other respect, about as different a couple of tragedies as Shakespeare ever penned.

Revenge can take many forms and to better understand why one case, Hamlet’s, for example, is so distinctive from another, say Coriolanus’s, it is necessary to analyze the forces working on the different individuals, first to cause them to desire revenge and, second, to determine what they will accept as satisfying their craving for that “wild kind of justice.”

That Hamlet is set in Elsinore and Coriolanus in Rome may at first glance appear no more significant than the fact that Taming of the Shrew is set in Padua while Two Gentlemen (another play in which I prefer to detect the hand of the Seventeen Earl) is set in Verona. Nothing could be further from the truth. It is hardly an exaggeration to say that the reason the plays are so different is not merely that they are set in different times and places but that they are set in different universes, one Christian and the other pagan. In the one, Shakespeare never for a moment allows us to forget the existence of worlds beyond the visible. Events at Elsinore are constantly being referred to and weighed by standards established for man’s conduct in realms other than the material, the existence of those higher realms being palpable and unquestionable.

If Hamlet seems to wear its Christianity lightly, this is not because it is not a defining element; it is only that the Christian assumptions of the play were both the warp and the woof in the fabric of daily life in Elizabethan England. Shakespeare could and did take them for granted. Pagan Rome, on the other hand, though familiar to scholars to varying degrees, was a world apart to the London theater-going public. If the audience was to know what Shakespeare meant them to see as at stake in the minds of virtuous pagan Romans, he would have to introduce them to his pagan world early in the play. Thus, in Coriolanus, we are quickly made aware of the fact that life in pagan Rome is itself the theme. And the salient feature of Shakespeare’s Rome is its power to encompass and stamp with its character all aspects of life. Rome is the foundation and ordering principle in the lives of all those who would call themselves Roman. In the eyes of its inhabitants, the Rome of Coriolanus has swollen so large in significance as to obscure man’s view of anything beyond the mundane. With the universe contracted to the physical dimensions of Rome and with no other order of being impinging on the material order, Rome paradoxically takes on mythic proportions.

The crucial point is not how accurately Shakespeare depicts life as it was lived in pre-Christian Rome but how aware the viewer must be of the distinction Shakespeare makes between his pagan Rome and, say, his Christian Elsinore. Christians, much like anyone else, develop loyalties to the communities in which they reside. However, the focus of their lives, the orientation of their spiritual being, is not to be found in the ground they tread on or the edifices they live in. Their summum bonum transcends material existence. Every moment of Hamlet is steeped in this assumption. No matter how deep one’s despair, suicide is not an option, because the Everlasting has fixed his canon against it. And if one’s desire to remain faithful to God’s injunctions is not a strong enough deterrent, then fear of the unknown in the afterlife usually is. Ophelia, who dies under questionable circumstances, is denied Christian burial because she may have damned her soul. To save his soul, Claudius would repent, but even to save his soul he will not give up those things he killed to get. Hamlet, ever conscious of souls and their states, stumbles onto the King while the King is at prayer. Hamlet would kill him, but he doesn’t, lest he become the agent that sends Claudius’ soul heavenward.

These and many other elements in Hamlet define the play’s world as Christian. Yet even with all these Christian trappings, Shakespeare is not necessarily saying that the Dane’s belief in the hereafter is true. He might, in fact, have wanted to depict Elsinore at the time of Hamlet as a peculiarly superstitious place. The Ghost makes his meaning abundantly clear: one may argue endlessly about exactly where the Ghost comes from; however, what is not at question is that the Ghost is real and that he comes from somewhere else. The universe of Hamlet is multileveled. And it is this figure from beyond this world that motivates the revenge action of the play.

Not so in Coriolanus. By contrast, the universe of Coriolanus is limited to the mud, bricks, and mortar of Rome. Rome is the defining entity in the lives of all its citizens. Their spiritual atmosphere is the air of Rome, their mental horizons end at the walls of Rome, and their lives end under the soil of Rome. They are born in Rome, they are then shaped by Rome, so that they may serve Rome. They are even to die for Rome, and Rome will then remember them. Rome is their cradle, their world, their grave, and their monument.

Rome’s presence is so palpable in the play that it is felt to be a walking, breathing entity on the stage, which in a way it is, in the character of Volumnia. Much as the Ghost signifies that the world of Hamletreaches out beyond the temporal, Volumnia, with her easy insistence on the primacy of everything Roman, delimits the dimensions of the world of Coriolanus as coincident with the walls of Rome.

If the universes of the plays are spectacularly opposed to one another, the characters of the heroes are no less so. How could it be otherwise? While Hamlet is everything the Renaissance prince ought to be, the soldier, scholar, and courtier, he is first and foremost a man strongly given to introspection, a thinker rather than a doer–a fact highlighted by his more than two hundred lines of soliloquy rich in metaphysical speculation. Coriolanus, though no fool, is primarily a warrior, a man of action little given to inward rumination. He has hardly a reflective moment. When he does speculate, it is on the health and nature of Rome. In fact, he is the quintessential Roman. His virtues are those that Rome instills into her best sons. His fierce, unquestioning and uncompromising loyalty unto death to those principles he recognizes as constituting Romanness are his strength and will become his destruction. When Rome proves to be less consistent in her views and more flexible in her virtues than she has taught him to be, the groundwork is laid for revelations with the most serious consequences. If Rome itself proves no more stable than her mutable plebeians do, how can she demand of her faithful servants a singleness of purpose that she herself lacks? When Coriolanus hears the flower of Roman society advocate the use of hypocrisy because of its expediency, he feels like a deceived lover who has just learned the truth. His idol has betrayed him. Revenge is the only answer to such betrayal.

Let us see how Shakespeare develops this reversal theme in Coriolanus, moving his protagonist from idealistic Roman to disillusioned revenger.

Shakespeare devotes Act I to developing Coriolanus as a paragon among Romans. We learn so much of the training he received and his responses to his lessons that it is almost as if we are witnessing his growth under the watchful eyes of the patricians, all of whom seem to be his mentors. The impression of his youthfulness is enhanced by the fact that everyone around him (except his wife) is so much older. First there is that embodiment of Rome, his mother. Then there is Menenius, whom he regards as a father. Next there are the generals under whom he serves, Lartius and Cominius. He has learned from these to be what Rome needs, a stalwart warrior. Cominius calls him “flower of warriors” (1.6.33). And Lartius, thinking him killed in battle, eulogizes him with “Thou wast a soldier / Even to Cato’s wish” (1.4.58-9). His tutelage is completed at Corioles where his valor earns him the name of Coriolanus.

What, then, are the virtues of the true Roman? To love Rome above all else and be valiant in her defense. Valor is the preeminent virtue.

… The deeds of Coriolanus
Should not be uttered feebly. It is held
That valour is the chiefest virtue and
Most dignifies the haver. If it be
The man I speak of cannot in the world
Be singly counterpoised. (2.2.80-85)

What makes a Roman is not the mere fact of his having been born within the walls of Rome. Coriolanus makes this quite explicit:

I would they were barbarians, as they are,
Though in Rome lettered; not Romans, as they are not,
Though calved i’ th’ porch o’ th’ Capitol. (3.1.237-9)
Romanness, in this play, is something to be achieved. It requires that you understand what she expects of her sons and that you put her before all else, including yourself. As Coriolanus expresses it:

If any think brave death outweighs bad life
And that his country’s dearer than himself;
Let him alone, or so many so minded,
Wave thus to express his disposition,
And follow Martius. (1.6.71-75)
Rome, then, in this play, is the summum bonum. Whereas in Elsinor, actions are constantly being referred to and weighed by standards established for man’s conduct in realms other than the material order, in Rome, Rome itself is all-embracing. There is nothing beyond, no immortal, invisible presence to Whom one can turn for refuge against the slings and arrows of outrageous fortune.

In act II we have the attempt of a grateful Rome to reward her reluctant hero.

… You shall not be
The grave of your deserving. Rome must know
The value of her own. ‘Twere a concealment
Worse than a theft, no less than a traducement,
To hide your doings and to silence that
Which, to the spire and top of praises vouched,
Would seem but modest. (1.9.20-25)
However, all Rome is not unanimous in Coriolanus’s praise. Since he has opposed giving the plebeians their tribunes, the tribunes fear what will happen to them when he becomes consul. So, in act II, the conflict shifts from Rome’s war with external enemies to the discord the tribunes sow within Rome itself by manipulating the opinion of the mutable masses.

Under the watchful eye of his mother and Menenius, Coriolanus reluctantly performs the humiliating ceremony of begging from the plebeians what he has already earned defending Rome on the battlefield. And he is named consul. But the tribunes are not so easily defeated as the Volsces.

There were two classes in Rome. For Coriolanus, the difference between them wasn’t wealth vs. poverty. The distinction was between those who had virtue and those who didn’t. The virtuous could be counted on; they were committed to personal reliability. They adhered to an ethic that placed their personal well being beneath fidelity to an unalterable code of conduct. Consequently, they were reliable, both in peace and war.

You that will be less fearful than discreet,
That love the fundamental part of state
More than you doubt the change on’t, that prefer
A noble life before a long, and wish
To jump a body with a dangerous physic
That’s sure of death without it . . . (3.1.151-56)
These are the people to whom Horace was speaking when he said “Dulce et decorum est pro patria mori.” The other class was the mutable, rank-scented meiny, the “slippery people / Whose love is never linked to the deserver / Till his deserts are past” (Antony & Cleopatra 1.2.186-88; “this common body, / Like to a vagabond flag upon the stream, / Goes to and back, lackeying the varying tide, / To rot itself with motion” (Antony & Cleopatra 1.4.44-47). The members of this second class are incapable of true judgment, because they are guided only by their light, volatile, inconstant opinions.

In the third act, the conflict shifts once again. Coriolanus is now pitted against the other patricians. The entire thrust of the first two acts has been to establish clearly the enormous gap that exists between the contrasted stoical constancy of the patricians and the untrustworthiness of the fickle plebeians. Imagine Coriolanus’s surprise in Act III when his mother and Menenius exhort him to fight fire with fire. If the tribunes are crafty and scheming, if they will use any means to win including lying and rabble-rousing demagoguery, then one must beat them at their own game.

Volumnia tries to ease her son’s over-scrupulous conscience by assuring him that hypocrisy in a good cause is no sin:

… Now it lies you on to speak
To th’ people, not by your own instruction,
Not by th’ matter which your heart prompts you,
But with such words that are but roted in
Your tongue, though but bastards and syllables
Of no allowance to your bosom’s truth. (3.2.52–57)
But those were not the lessons we saw taught and learned in act I. The lesson Coriolanus absorbed then was that the heart of Roman virtue was steadfastness and reliability in the face of shifting circumstances. The cynical realism that his mother suggests he embrace in act III has the unmistakable ring of the Machiavellianism that Coriolanus associates with the tribunes and therefore has no place in his ideal concept of Roman honor:

… Nay, mother,
Where is your ancient courage? You were used
To say extremities was the trier of spirits;
That common chances common men could bear;
That when the sea was calm all boats alike
Showed mastership in floating; fortune’s blows
When most struck home, being gentle wounded craves
A noble cunning. You were used to load me
With precepts that would make invincible
The heart that conned them. (4.1.3-11)
A rift develops between Coriolanus and his mentors.

Coriolanus is often said to be proud, unyielding, and politically rash. His unremitting loyalty to his values hardly wins him the respect that we give to Hamlet for his. Yet more than once Shakespeare depicts Coriolanus keeping faith with the virtue of honor that makes him a citizen of Rome, remaining true to the highest value that Shakespeare’s pagan Rome affords its hero, his heart “invincibly” loyal.

Coriolanus’s is the invincible heart that learned the precepts with a depth of sincerity and commitment absent from those who instructed him. Shakespeare has drawn him of heroic dimensions, with a need to devote his enormous energy to something larger than himself. His virtues, valor, honor, constancy, all presuppose that they will find their expression in the service of a state worthy of Coriolanus’s loyalty. He believes Rome to be such an entity. But suddenly, in act III, Coriolanus finds himself unexpectedly opposed by the other patricians. Unaccountably, they are willing to grant the plebeians the tribunes with whom they will have to divide their power. Coriolanus insists that Rome cannot survive a divided rule:

… This double worship,
Where one part does disdain with cause, the other
Insult without all reason; where gentry, title, wisdom,
Cannot conclude but by the yea and no
Of general ignorance–it must omit
Real necessities, and give way the while
To unstable slightness. (3.1.142-48)

No one denies the accuracy of his appraisal; it is just that he seems not to be dancing to the same music they are hearing. Pragmatism is the order of the day: Salvage what you can lest you lose all. Speaking for the patricians, Volumnia, the image of Rome, puts it bluntly:

You are too absolute. (3.2.39)

 

* * * *

These are the climactic moments out of which the catastrophe will develop. And Shakespeare will work this development through those dramatic techniques he has perfected over his entire career. Primary among these is the use of the reversal. Up to this point, Coriolanus’s enemies have been the patricians’ enemies, too–the Volsces and the tribunes. As the guardian of all he and the patricians regard as Roman, Coriolanus would fight either of these enemies to the death. Rather no Rome than a Rome subjected to any power hostile to its nobility. However, act III calls into question everything that has gone before. Suddenly the patricians are not only advocating compromise with the treacherous tribunes; they will willingly embrace the very tactics that render the tribunes loathsome. Beyond that, his mother upbraids Coriolanus for not acknowledging the expediency of using hypocrisy to deceive the tribunes.

Though this new guidance flies in the face of everything he had previously been taught by these same people, Coriolanus tries to conform to their pleas that he allow his tongue to say things abhorrent to his heart. But the tribunes, better schooled in the devious uses of rhetoric, are too crafty for Coriolanus. They know that he, like Macbeth, is most sensitive concerning what he is proudest of. They call him traitor.

Ironically, Coriolanus is most vulnerable now because in his compliance with his mother’s wishes, he almost feels that he in fact is a traitor. He throws off the cloak of hypocrisy, calls them a “common cry of curs” and answers their sentence of banishment by proclaiming that “I banish you.” Shortly thereafter, he denies his name, while announcing his intention to raze Rome to the ground (5.1.11-15). Baffled by what he perceives as Rome’s abandonment of her fixed place in the firmament and her betrayal of those who placed their faith in her, Coriolanus goes into exile promising to turn the full fury of his revenge on Rome.

What is it that Coriolanus is revenging? Though the passion may be the same as Hamlet’s, the motives are as dissimilar as the worlds the two men inhabit. Suddenly the self-sacrificing hero becomes consumed with thoughts of himself. He has been betrayed, not by the tribunes (they are beneath contempt); he has been betrayed by Rome. He can banish Rome when he goes into exile because the Rome he was faithful to he can no longer associate with the physical Rome.

The ideal Rome his mother had created for him and identified with the walled city he walked, talked, and ate in was supposed to be in opposition to the city the mutable groundlings took for Rome. But his mother had misled him: there was no such place–only in his idealizing imagination. Consequently he offers to join Aufidius against “our dastard nobles, who / Have all forsook me . . . So use it / That my revengeful services may prove / As benefits to thee. For I will fight / Against my cankered country with the spleen / Of all the under fiends” (4.5.78-79, 91-95).

When the Rome that Boethius served turned against him, Boethius found consolation in the fact that this was no more or less than what one should know to expect from the world. It was a conformation that one should be willing to abandon this world for the sake of the next. Such consolation is unavailable to Coriolanus, because the play depicts a world entirely cut off from the transcendent. The distinguishing trait of the world Shakespeare has created in Coriolanus is that man’s moral life is bound up solely with his loyalty to Rome. Virtue here was an unquestioning willingness to subordinate one’s impulses and desires to the needs of Rome. Virtue, then, had nothing to do with achieving salvation for one’s soul but only with the performance of one’s duty.

In the opening act of the play, Coriolanus wholeheartedly embraces the role of valiant warrior because he assumes Rome to be worthy of his allegiance. With Rome having proven false to the very ideals she taught, Coriolanus has nothing to fall back on. He has been stripped of every belief that engendered in him the willing renunciation and sacrifice that made him the epitome of Romanness. The self that had found fulfillment in abnegation now turns inward and focuses its energies on feeding its own hurt. Its food is images of revenge. But not a revenge, as in Hamlet, which the hero only reluctantly takes up because it lays across his path (“O cursed spite, / That ever I was born to set it right!”). Coriolanus’s revenge has more the ring of “How dare they do this to me,” with a very strong emphasis on the “me.” The paradox that sustains the moral life of most communities and characterized the opening of Coriolanus — that the self is healthiest when it is not the subject of its energies — finds a horrible vindication in the spectacle of the self seeking self-justification. Nothing looms so large in the view of the vengeful Coriolanus as his injured self. Nothing is too precious to be sacrificed to its hunger.

This sounds much more like Medea than Hamlet, and for good reason. Coriolanus’s motive for revenge is almost exactly hers. Both gave their unconditional love and devotion to a being they assumed worthy of their deepest reverence. They each had within themselves the resources and needs to prostrate themselves in worshipful adoration before something higher than themselves. The power to conceive of an ideal raised both Coriolanus and Medea to their highest fulfillment. When they found their gods to be idols made of clay, their sense of betrayal knew no limits, their sense of degradation no depths. Each was a person with huge capacities for both good and evil. While they were believers, their self-sacrifice was of the dimensions martyrs are made from. But, discovering the depths of their betrayal, both become aware that all their sacrifices have been mocked. Once thus disillusioned, the offended self becomes enflamed with the sense of injustice and the need for swift revenge.

Sh:in:E
Shakespeare in Europe
University of Basel, Switzerland

 

 

 

 

 

Coriolanus:The End of Absolutism

‘The End of Absolutism’:

Shakespeare’s Coriolanus and the Consensual Nature of the Early Modern State

PAUL CEFALU

LAFAYETTE COLLEGE

 

  1. Some years ago, in the Machiavellian Moment, J.G.A. Pocock described Shakespeare’s Coriolanus as a historically precocious text, one which dramatises humanist republicanism in advance of the emergence of a civic humanist polity in England (Pocock 1975, 349). When viewed in the context of more recent historical and ideological interpretations of the play, Pocock’s view of the exceptional and untimely nature of the play seems quaint. Recent discussions have described Coriolanus as transitional not because it is symptomatically republican at a time when England was residually absolutist, but (more radically and anachronistically) because the play dramatises embryonic capitalism, possessive individualism, or an early modern version of modern-day pragmatism, all despite its early seventeenth-century provenance (Riss, 1992; Engle, 1993). 
  2. In the following pages I evaluate what I argue are transitionalist and capitalist misreadings of Coriolanus, and then attempt to reinterpret the play in the light of recent historical work on the nature of the Tudor-Stuart state, particularly Glenn Burgess’s revisionist account of seventeenth-century ‘absolutism’ and Markku Peltonen’s work on sixteenth-century English republicanism. I argue that most transitionalist readings of the play are based on an unwarranted assumption that the early modern state was an absolutist structure against which Puritan or bourgeois energies were waged throughout the Jacobean era. In an attempt to reverse our impressed beliefs that Jacobean politics was absolutist in nature, revisionist history has described a consensual model of early modern politics, according to which governmental ‘opposition’ was always expressed within the parameters of a consensual understanding between King and commons with respect to the scope of proper state powers. 
  3. I argue that what has been traditionally described as ideological class or status polarization in Coriolanus should be more accurately described as non-ideological conflict. The representation of conflict in the play duplicates the consensual but potentially incommensurate nature of Jacobean statehood, which on the one hand is founded on a Ciceronian form of republicanism (a qualifiedly ethical conception of the state, predominantly concerned with safeguarding private property) but on the other hand is founded on a paternalistic conception of government, which mandates a redistribution of wealth on behalf of the dispossessed. Coriolanus and the Tribunes clash not due to the incompatibility between any fixed ideologies, but rather due to the fundamental ambiguity internal to the state itself: an unresolved tension between negative libertarianism and paternalism which reflects the internal self-fissuring of Jacobean government. Critics who have described Coriolanus as either absolutist or bourgeois individualist, or the Tribunate as the embodiment of medieval organicism, have not accurately described the politics of the play or the nature of early modern government. 

  4. In a recent transitionalist reading of Coriolanus, Arthur Riss draws an analogy between the individualism and acquisitiveness of early modern enclosers and Coriolanus’s urge to enclose his own body: ‘In essence, just as the Midlands Revolt foregrounded the conflict between communal and private notions of the body, Shakespeare in Coriolanus dramatises the conflict between communal and private notions of the body. The movement to enclose land is metaphorically linked to the constitution of the individualistic, enclosed self’ (Riss 1992, 52). For Riss, the representation in the play of individual sovereignty and self-ownership, examples of the emergence of ‘philosophical liberalism’, ‘prompts the assertion of individual rights against the state when the state threatens an individual’s autonomy’ (Riss 1992, 54.) 
  5. It is significant that Riss neither explains how nor under what circumstances liberalism is able to constitute itself during the early modern period, nor how the king’s absolutism figures in the play, given the play’s Republican dispensation. According to Hobbes, Locke, Macpherson and traditional Marxist accounts of absolutism, emergent liberalism is not self-constituting, nor founded on an opposition between the state and various bourgeois elements (enclosers, tenant-farmers, merchants) but rather on an alliance between the state and entrepreneurial forces. The early modern social system shows a non-correspondence between the political formation and the economic base: the state is patriarchal and interventionist, serving to protect individual property rights and functioning as a bulwark against aristocratic encroachments on the one hand and upswelling communal leveling reforms on the other. Nicos Poulantzas writes: ‘The function of the absolutist (transitional) state is precisely not to operate within the limits fixed by an already given mode of production, but to produce not-yet-given relations of production (i.e. capitalist relations) and to put an end to feudal relations of production’ (Poulantzas 1978, 161). Negative libertarianism, which Riss would suggest is prefigured historically by Coriolanus’s tendency toward self-absolutising, is in fact made possible by the early modern state. 1 And enclosure practices themselves were fostered by the sale of land to entrepreneurs throughout the sixteenth and seventeenth centuries by the so-called absolutist state. 2 
  6. Riss’s essay is exemplary of the kind of transitionalist readings that suggest Coriolanus looks away from absolutism and forward to a bourgeois ideal. An essay by Thomas Sorge is exemplary of another kind of transitionalist reading, the nostalgic one, which finds as an alternative to absolutism the idylls of medieval organicism and communitarianism. Describing the social body of the citizens, Sorge writes, ‘Though it is frequently denounced as a monstrosity by its opponents, this newly emerging body has few if any grotesque features. It rather moves within the province of time-worn communal, organic thought, and posits the body analogy in opposition to the Tudor and Jacobean ideology of civil obedience and order’ (Sorge, 1990, 237). Sorge misleadingly describes medieval organicism as an alternative to an absolutist ideology of civil obedience. If one invokes the official ideology of Tudor-Stuart culture, which in Sorge’s reading is ‘civil obedience’, such an ideology should be compared with the corresponding official ideology of medieval society, namely feudalism, which had been in many ways far more exploitative than Tudor-Stuart ‘official’ culture3 But rather than compare two analogous political and economic ideologies, Sorge compares a Tudor-Stuartpolitical and economic ideology with a medieval social form, and hence elides discussion of the exploitative nature of feudalism. Nothing in Coriolanus suggests that the Tribunes look backwards to medieval folk culture and organicism. The Tribunes are concerned with the acquisition and availability of food, and as such any analogy the play draws with the Tribunes and an earlier common culture should logically line up the Tribunes with laboring serfs, constrained by exploitative overlords and subject to arbitrary levies on their products. The classical, slave-bearing past, the feudal, serf-bearing past, and the modern, wage-laboring future are all equally oppressive for the common culture. 4 
  7. Both of the exemplary transitionalist interpretations noted above, the possessive individualist reading and the agrarian-communistic reading, arise because critics have posited unyielding absolutism as a political ideology which is resisted by radical utopian or entrepreneurial ideologies. Revisionist history on the subject of absolutism can help dispense with transitional readings of this sort, for without as a starting point an oppressive form of absolutism, it becomes more difficult to interpret resistance in Coriolanus as the release of anti-absolutising forces, and therefore less valid to impose prophetic or nostalgic myth-narratives onto the play. 
  8. Glenn Burgess has recently shaken the traditional assumption that early seventeenth-century monarchy was either absolutist or arbitrary in nature. Critical of the ‘parliamentary hermeneutic’, which held that forcible resistance was the only effective means of resistance in seventeenth-century politics, Burgess tells us, ‘there is a prima facie case for supposing that ‘absolutism’ is an inadequate term of analysis for early Stuart political thought. It too readily elides differences between things that were kept distinct: between irresistible kings and unlimited kings; even between particular ‘absolute’ powers and a general theory of arbitrary government…the early Stuart ‘free’… ‘imperial’ or absolute monarch was not what we would call an absolute king….We need to look for expressions of the belief that the king was not bound by law, was legally unlimited’ (Burgess 1996, 49). According to Burgess, early modern political culture was beset by conflict, but such conflict was not ideologically grounded: ‘Conflict there undoubtedly was, but…it did not rise from ideological polarization. Early Stuart Englishmen did possess a variety of theoretical perspectives on monarchy, but they also possessed an intellectual framework that united those perspectives into a broadly consensual ‘world view’. The occasional disagreement between divine right monarchy and contractual kingship was not the clash of irreconcilable opponents but a tension within a single intellectual system’ (Burgess 1996, 167-168). 
  9. Markku Peltonen has recently argued that because the Tudor monarchy was not founded on a common theory of government, in which a theory of order and rule of law were presiding features, a number of political vocabularies coexisted, one of which was a vibrant civic republicanism, structured around a ‘prince with a full set of virtues’ (Peltonen 1995, 9). Peltonen spends considerable time outlining the use by English culture of Ciceronian republicanism, suggesting that the classical humanist theory of citizenship flourished alongside a number of political forms, including royalist and common law. According to Peltonen, Ciceronian republicanism, endorsed by writers such as John Baston and Roger Baynes, held that ‘liberty could be realised only if everyone led the civic way of life, was willing to disregard his own private good and to promote wholeheartedly the good of the whole community, without which it was impossible to avoid servitude’ (Peltonen 1995, 163). 
  10. While Peltonen’s work is useful as a critique of univocal theories of early modern statehood, his discussion of the Ciceronian features of Tudor-Stuart departs significantly from recent discussions of Cicero’s views on politics. As Gordon Wood and others have argued, the Ciceronian commonwealth, unlike its Green predecessors, is a non-ethical and non-teleological state form, one predominantly concerned with safeguarding private property rather than producing virtuous citizens. 5 In De Republica Cicero describes the ideal commonwealth as a mixed government (in which the aristocratic element preponderates) whose principle of justice is conceived as proportional rather than absolutist: ‘In a government dominated by the people, even though they be just and self-disciplined, yet their very equality is inequitable in that it does not recognise degrees of merit’ (Cicero 1929, 132). In De Officiis he writes that ‘it is the proper function of citizenship and a city to ensure for everyone a free and unworried guardianship of his possessions….Now no property is private by nature, but rather by long occupation…by victory (when they acquired it in war), or by law, by settlement, by agreement, or by lot’ (Cicero 1991, 9, 95). Consistent with his defense of private property and meritocracy, Cicero encourages cultivation of one’s unique endowments: ‘Everyone, therefore, should acquire knowledge of his own talents, and show himself a sharp judge of his own good qualities and faults (Cicero 1991, 81). Cicero’s tentativeness regarding fair distribution follows logically from his individualistic and meritocractic conception of justice. Distribution should only be undertaken when the outcome will help maintain the well-being of the commonwealth: ‘the law of nature itself, which preserves and maintains that which is beneficial to men, will undoubtedly decree that the necessities of life should be transmitted from an inactive and useless person to someone who is wise, good and brave, who, if he were to die, would greatly detract from the common benefit’ (Cicero 1991, 81). 
  11. Far from imagining a modernday kingdom of ends, Cicero’s distributive ethic is both hierarchical and utilitarian. A.A. Long notes that ‘Cicero construes society normatively as the aggregate of individual interests….Much of his treatment of justice…is suited to his brief as a hard-headed Roman lawyer and conservative opponent of what we would call left-wing politics’ (Long 1992, 234). G.E.M. de St. Croix likewise writes that ‘no surviving Greek writer is quite as explicit about the overriding importance of property rights as Cicero, the earliest known to me in a long line of thinkers, extending into modern times, who have seen the protection of private property rights as the prime function of the state’ (Long 1992, 235). And Neal Wood tells us that ‘Cicero…is the first important social and political thinker to affirm unequivocally that the basic purpose of the state is the protection of private property….Unlike Plato and Aristotle, he does not conceive the state fundamentally in moral terms, that is, as a means of shaping human souls, of creating men of virtue’ (Wood 1988, 132). 
  12. It is important to distinguish whether, as Peltonen argues, English Ciceronianism demands sacrifice on behalf of the state, or whether English Ciceronianism holds that civic virtue is a means to a private end unto itself. Peltonen notes that historians have argued that Ciceronianism had been supplanted by Tacitean pessimism, ‘ethical skepticism’, and self-preservationism by the beginning of the Jacobean period. Peltonen ultimately offers a compromise, arguing that both Ciceronian civic humanism and Tacitean contemplation coexisted during the period: ‘It is clear…that neither the growth of royal absolutism, nor the legal accounts of the freedoms of the Englishmen…nor even Tacitean pessimism and its related insistence on the merits of the contemplative and private life, could completely outweigh traditional Ciceronian humanism and its urging of the merits of the active life’ (Peltonen 1995, 132). 
  13. Peltonen’s account of the opposition between Ciceronian humanism and Tacitean contemplation does not seem to accurately describe the nature of the early Jacobean state. Jacobean politics resembles closely Ciceronian negative libertarianism, the only model of government and society Cicero ever recommended, according to the classical historians cited above. While Peltonen’s treatment of Pocock’s Machiavellian Moment attempts to read back Pocock’s account of Machiavellian democracy into the Elizabethan and Jacobean eras, a more adequate revision of Pocock might read his account of Guicciardini’s form of aristocratic republicanism forward into the Jacobean era, an affiliation which Pocock neglects to explore at length in his classic account of early modern republicanism. Guicciardini writes, consistent with Ciceronianism (and Jacobeanism), that ‘one of the principal fruits to be derived from good government is security for one’s person and one’s possessions, and the ability to dispose of them as one wants…nor can any one feel fully secure who has to rely on the goodwill of others, for true security consists in enjoying a state of affairs where one citizen cannot be injured or hurt by another’ (Guicciardini 1994), 85. For Guicciardini, to a larger extent than for Cicero, this form of negative libertarianism is still integrated with an ethical and honorific political system, since it enables the most virtuous citizens to flourish and assist in the preservation of commonwealth: ‘for if one examines carefully the course of all history, ancient and modern, one finds it is always the virtue of a few people that counts, for only a few are capable of such elevated deeds, and they are the ones gifted by nature with more intelligence and judgement than the others…to encourage and facilitate these men to use their abilities to the good is surely a public benefit’ (Guicciardini 1994, 90). Cicero’s and Guicciardini’s aristocratic republicanism, which upholds the sanctity of private property and the worth of a few worthy citizens against the claims of a sovereign or the common culture, shares much with Jacobean politics and the English forms of republicanism that arise during the civil war years. Nicholas Fuller tersely captures Jacobean negative libertarianism when he tells the House of Commons in 1610 that the individual held ‘an absolute property in goods by the rule of law’ (Sommerville 1986, 151). George Saltern, as J.P. Somerville notes, ‘denied that nature had first established communism: “I cannot agree….that all thinges by the Lawe of nature were common: but as I take it the distinction of the propertied was enacted by almighty God in the beginning, and by him imprinted with other Lawes, in nature”‘ (Sommerville 1986, 161). Specifically regarding the crown’s policy on individual holdings, Parliament held throughout Bates’s case that extra-parliamentary levies and the king’s royal prerogative were constrained by the common law protection of individual property. James Whitelocke, for instance, argued that if the ‘king’s right of imposition were established, the ancient frame of the commonwealth would be much altered and Parliament – ‘the storehouse of our liberties – ‘ would be endangered’ (Sommerville 1986, 153). Importantly, King James himself claimed in a speech to Parliament that ‘if the fundamental Lawes of any Kingdome should be altered, who should discerne what is Meum and Tuum, or how should a King governe….I shall ever be willing to make the reason appeare of all my doings, and rule my actions according to my Lawes’ (Burgess 1996, 152-153). 
  14. One can turn to the historical work of Margaret Judson, Conrad Russell and Burgess for more documentation of the consensual and negative libertarian rather than absolutist nature of Jacobean politics. What we see is an extension of the Ciceronian and Guicciardinian ideal that government should not trespass on individual liberties. When theorising the nature of early modern statehood, however, one should also account for the other face of the Tudor and Stuart politics, the face which expresses itself in England’s elaborate poor law apparatus, work-houses, encouragement for private philanthropy, and taxation on the wealthy to provide for the impotent poor – in short the state’s overarching paternalism and centralization. Beginning with Thomas Cromwell’s poor law bills in the mid-1530’s, legislators mandated that labor should be compulsory and financed by public taxation. In one Elizabethan statute (18, cap. 3) Parliament designated ‘”collectors and governors of the poor,” whose duties were to collect contributions, provide materials, and direct and superintend the employment of the poor in cities and towns’ (Nichols 1898, 167). In another statute (39, cap. 3) churchwardens and four householders in each parish were appointed to be overseers of the poor, to ‘levy the contributions ordered by the justices, and to relieve the impotent poor, and raise stocks of materials for setting the able-bodied poor to work…’ (Nichols 1898, 213). In 1609-10 (7 James) the preamble to a Parliamentary act argued that ‘great sums of money have already been given, and that more is likely to be given in future, to be continually employed in binding out the poorest children’; it further encouraged well-disposed people ‘to [bestow] money to the same good and godly purposes’ (Nichols 1898, 227). A 1623 statute suggested that the people of Wales had attained to a sufficient manner of living that they must ‘pay all duties, mizes, charges, subsidies, and taxations imposed upon or rated upon them for the relief of the poor’ (Nichols 1898, 236). The sum of these acts shows the seventeenth-century supercession of the burdensome compulsory poor rate over private philanthropy, which had been steadily declining throughout the sixteenth century due to inflation and changing conceptions of poverty. By the 1620’s public taxation had supplanted charity as the most effective means of poor relief. 6 
  15. The statutes which document the burden on England’s employed classes to finance Tudor and Stuart paternalism – including the poor rates, the maintenance of the work-house and hospitals, the remuneration to salaried overseers and churchwardens – are all integral features of the paternalist nature of the early modern state. It is important to note that while there is clear evidence of the consensual nature of English politics – that James and Parliament agreed on the inviolability of property, that the king-in-parliament was subject to common law strictures, that divine right was operative in theory but not in a settled state – that neither early seventeenth-century lawyers nor the crown advanced a public doctrine of general welfare that becomes a propagandistic tool used by both King and Parliament throughout the civil war. It is as if paternalistic poor law reform exists as a thing apart from common law politics, as if the two potentially conflictual public policies carry out their mandates in separate spheres, but under one governmental form. As Margaret Judson noted some years ago: ‘Lawyers and judges uttered many remarks concerning general welfare but failed to see that in the integrated state evolving in the Tudor period they must clearly define the relation of the general welfare to the traditional rights of king and subject’ (Judson 1988, 105). I argue below that Coriolanus represents the early modern state in its fullness and contradictoriness: the coexistence of Ciceronian negative libertarianism and a paternalist ideal, an historically accurate representation of the uneasily dualistic nature of early seventeenth-century state policy. 

  16. Coriolanus’s moral outlook is difficult to interpret because at times his conduct seems to be governed by negative libertarianism, but at other times seems to be directed by a selfless devotion to Rome and an organic or telic theory of the state. When he suggests that the citizenry should only receive as much corn as they deserve, he seems to be upholding a meritocractic ideal that reveals his unswerving commitment to the Roman state. He tells the First Senator, ‘them we nourish ‘gainst our Senate / The cockle of rebellion, insolence, sedition, / Which we ourselves have ploughed for, sowed, and / scattered…’ (3.1. 71-3). 7 He then tells Brutus that ‘They know the corn / Was not our recompense, resting well assured / They ne’er did service for’t. Being pressed to th’ war, / Even when the navel of the state was touched, / They would not thread the gates. This kind of service / Did not deserve corn gratis’ (3.1. 122-7). These statements suggest that for Coriolanus each individual’s right to goods and bounty is determined by that individual’s exercise of military valor on Rome’s behalf. 
  17. The Tribunes, of course, interpret Coriolanus’s remarks and conduct as intensely instrumental and unethical. Contemplating whether or not to prosecute charges against Coriolanus, the First Citizen says that Coriolanus ‘pays himself with being proud’ (1.1. 30-31), and then explains Coriolanus’s heroism as follows: ‘Though soft-conscienced / men can be content to say it was for his country, he / did it to please his mother, and to be partly proud…’ (1.1. 34-36). Later in the scene, Brutus says that Coriolanus ‘is grown / Too proud to be so valiant’ (1.1. 256-7). In the second act, Brutus says that ‘He’s poor in no one fault, but stored with all’, to which Sicinius responds, ‘Especially in pride’ (2.1. 17-18). Rather than interpret Coriolanus’s conduct as oriented toward the fulfillment of the Roman state, the Tribunes view Coriolanus as a goal-oriented subject, each of whose acts adds to his previous ‘store’ of pride. 
  18. Coriolanus is a good example of the kind of paradoxical negative libertarian figure Quentin Skinner describes in his essay on early modern republicanism and negative freedom. Typically, negative libertarianism implies – for Hobbes in the seventeenth century and Isaiah Berlin in the twentieth century – that social freedom is a right guaranteed by the state, a right which does not require citizens to be bearers and performers of civic virtues in the Aristotelian polis tradition. In his dismantling of the traditional opposition between on the one hand eudaemonia and human flourishing and on the other unobstructed liberty, Skinner suggests that the early modern period often held that the pursuit of individual interests was compatible with and even presupposed an ethical and organic conception of polity. 
  19. Skinner invokes Machiavelli’s conception of a virtuous polity in order to suggest that, paradoxically, all classical republican theories of citizenship served to maintain each individual’s unobstructed freedom to pursue ‘whatever ends they may choose to set themselves….The continued enjoyment of our personal liberty is only a possibility, according to Machiavelli, for members of self-governing communities in which the will of the body politic determines its own actions, the actions of the community as a whole’ (Skinner 1986, 207). For Skinner, the essence of classical republican theories of citizenship is that a body politic acting according to a general will is the necessary condition for private, undetermined freedom, since an ethical community protects the citizenry from ambitious grandi or conquest by a neighboring community: ‘A readiness to volunteer for active service, to join the armed services, to perform one’s military services, constitutes a necessary condition of maintaining one’s own individual freedom from servitude’ (Skinner 1986, 213). 
  20. Skinner’s argument that classical republicanism actually merged negative freedom and positive virtue, or put positive virtue in the service of negative freedom, helps to explain Coriolanus’s wavering between and ethos of self-sacrifice for Rome and a personal pursuit of glory. Typically negative ‘freedoms’ include unencroachable property rights, civil liberties, as well as protection from violent crime. Coriolanus’s seeming selfless devotion to Rome provides personal freedoms as well, although his personal freedoms are not so much physical goods as psychological states, including reinforcement from Volumnia, a boyish pleasure in sparring with Aufidius, and of course, the overweening pride that so offends the Tribunate. The important idea here is that Skinner’s account of early modern citizenship provides a framework in which to describe Coriolanus’s conduct without describing such conduct as either ideologically and precociously entrepreneurial or, as Jonathan Goldberg argues, absolutist in nature (Goldberg 1989). Coriolanus is, by classical republican and early modern standards, a typical negative libertarian who secures personal freedoms by exploiting a republican system. And Skinner’s argument not only helps explain Coriolanus’s ideals, but also Peltonen’s difficulty in conjoining an honorific late sixteenth and early seventeenth-century ideal of citizenship with Ciceronian negative libertarianism. When a range of Jacobean political theorists, including James, royalist councilors, and Parliamentarians, articulated ethical notions of citizenship, they were simultaneously stressing the importance of early modern negative freedoms. 
  21. But if Coriolanus embodies this paradoxical, negative libertarian ideal, consistent with Jacobean consensualism, the Tribunate embodies a state ideal as well, the paternalist. The Tribunes, in spite of their temperamental treatment of Coriolanus, consistently argue for a fair distribution of goods over and above a system of distribution governed by meritocractic desert. The First Citizen articulates the paternalistic ideal when he complains, ‘If they would yield us but the superfluity while it were wholesome, we might guess they relieved us humanely, but they think we are too dear’ (1.1. 16-18). R.B. Parker rightly notes the ‘echo of Lear’ in the reference to ‘humane’ re-allocation. The paternalist dispensation is, of course, unmeritocractic in conception: ‘humane’ redistribution is justifiable as an affective and moral view of polity, which may have political benefits as unintended consequences of its guiding humanitarianism. Menenius invokes patrician humanitarianism when he reminds the citizens of the guiding influence of the ‘helms o’ th’ state, who care for you like fathers’ (1.1. 73-74), to which the First Citizen responds by listing the anti-humanitarian practices of those who repeal measures taken against the rich and pass statutes to ‘chain up and restrain the poor’ (1.1. 81). 
  22. Given the paternalist face of Jacobean consensualism, the Tribunes’ articulation of such a redistributive ideal should not be interpreted as an ideological stance set in opposition to any number of countervailing early modern ideologies, such as absolutism or (anticipatory) liberalism. As I have noted above, most levels of Jacobean society assumed that the state should promote both negative libertarianism and paternalism. Menenius’s and the Tribunes’ failure to agree on the most efficient delegation of paternalistic policy perhaps reflects the unsettled, although not ideologically embattled, nature of early modern state policy. Elizabethan and Jacobean culture at large believed it was not unduly oppressive in ‘restraining’ the free movement of the underclass and the non-laboring poor, and argued that confinement to work-houses was the most rational anti-poverty measure available, given high employment and the dangers of ‘masterlessness’ (Beier, 1985). The Tribunes’ critique of the settlement laws is actually more prophetic in anticipating the Enlightenment description of the settlement laws as ‘parish serfdom’ than it is reflective of any seventeenth-century, rank-and-file critique of an official ideology. 
  23. It follows that the Tribunate is not a dramatic instance of any early modern common culture or class, but a reflection of an aspect of the very state that one can too easily mistake for an oppositional body which might have been counterposed to the state. When one argues that the Tribunes comprise an exemplary early modern class formation, one inevitably contrives unhistorical parallels between text and context. Consider R.B. Parker’s belief that an exploration of ‘legal antiquarianism…lies behind the play’s pervasive legal terminology and the Tribunes constant appeals to custom and traditional right – neither of which can be found in Plutarch’. But ancient constitutionalism and legal antiquarianism are sources for the kind of negative libertarianism that is concerned primarily with respecting the boundaries of property and goods, the ideal of which Coriolanus and the Senate are the main proponents, not the Tribunes, who holds out for communal redistribution, without consideration of merit. During the Interregnum the Levelers, for instance, rejected immemorialism and common law theory and argued that the people were bounded by the laws which had been imposed upon them by the Norman Conquest, a clear expression of their disdain for legal antiquarianism and artificial reason. 8 
  24. It is worth noting that the preoccupation with custom reflects not so much an opposition between classes but an ambiguity concerning the very nature of custom and its relationship to law during the Jacobean era. Deciding whether or not to beg for the voices of the Tribunes, Coriolanus says, ‘Custom call me to’t. / What custom wills, in all things should we do’t’ (2.3. 113-14). The implication here is that custom demands that Coriolanus simply ask politely for the Tribunes’ voices. But after Coriolanus has achieved the voices, the Second Citizen decides that Coriolanus ‘should have showed us / His marks of merit, wounds received for’s country’ (2.3. 158-9). Sicinius then later says not simply that Coriolanus had breached custom, but that ‘He hath resisted law, / And therefore law shall scorn him further trial / Than the severity of the public power’ (3.1. 269-70). Between the second and third acts, ‘custom’ miraculously transmutes into ‘law’. Throughout the play it is never entirely clear what the proper custom and decorum is which would be required to gain the Tribunes’ voices, and the precision with which everyone describes Coriolanus wounds is apposite to the ambiguity respecting just what he should do with those wounds (conceal them or display them) in order to honor custom and appease the Tribunes. 
  25. Perhaps a contemporary context for the play’s preoccupation with the unclear nature of custom can be found in King James’s 1610 speech to Parliament, delivered around the time Shakespeare wrote the play. In the 1610 speech James tells Parliament that ‘our Common Law hath not a settled Text in all Cases, being chiefly grounded either upon old Customes, or else upon the Reports and Cases of Judges…Yet I wish that some more certaintie were set downe in this case by Parliament…so the people should not depend upon the bare opinions of Judges, and uncertaine Reports’ (Sommerville 1994, 187). The historical coincidence becomes more intriguing when one considers that the unspecified nature of law and custom is probably not a reflection of customary practices specific to the Roman Republic, for the Twelve Tables, written between 445-448 B.C., were meticulously detailed instructions for proper governmental operations and a fair distribution of powers. In any case, if there is a parallel between James’s request that customs be codified and the nature of custom in the play, the parallel suggests not a class tension between opposing ideologies, but simply an ambiguity with respect to the nature of early modern customary law. 

  26. I have been suggesting that the play represents the dualistic nature of the early modern state rather than any rigidified class antagonisms or ideologies. This suggests that Coriolanus’s absolutist personality or unresolved Oedipal pathology does not foster disunity but that disunity is always potentially present given the dualistic nature of seventeenth-century government. But since this involves reading Coriolanus as a ‘normal’ Roman soldier, we should address the psychoanalytic readings of the play, those which trace Coriolanus’s pathological aggression to his relationship with what has been described as a non-nurturing mother. In her influential essay on the play, Janet Adelman argues that Coriolanus’s life is a kind of ‘phallic exhibitionism, devoted to disproving the possibility that he is vulnerable. In the transformation from oral neediness to phallic aggression, anger becomes his meat as well as his mother’s’ (Adelman 1980, 132). For Adelman, Coriolanus’s exhibitionism derives from maternal deprivation: ‘Thrust prematurely from dependence on his mother, forced to feed himself on his own anger, Coriolanus refuses to acknowledge any neediness or dependency'(Adelman 1980, 132). 
  27. Because Adelman’s reading is unhistorical, she does not discuss the Volumnia- Coriolanus relationship in the context of classical theories and practices of child-rearing, much of which show not the exceptional and pathological nature of the Volumnia-Coriolanus relationship, but the normalcy of this sort of relationship throughout the Republic and early Empire. Recent work on Roman mothering has noted the ubiquity of Volumnia-type mothers. In her discussion of late Republican accounts of mothering, Susan Dixon writes that ‘there is little stress in the softer side of such women as Volumnia, Cornelia or Aurelia. Rather, mothers were praised for diverting their sons from unsuitable courses…’ (Dixon 1988, 2). Dixon adds that an identification of a ‘Coriolanus complex’ in Roman men is suspect, that there is ‘no evidence that the Roman aristocracy produced a great proportion of sociopaths’, for ‘ancient authors saw it as appropriate for a mother not only to inspire and foster legitimate ambition but to curb mature excesses in her son much as she might check a youthful zeal for philosophy’ (Dixon 1988, 135, 138). A ‘mother who had been separated from her child after its birth…was still expected to behave dutifully towards the child….This seems to me to differ radically from the prevailing modern view which puts the emphasis on the relationship between mother and infant as the foundation of all subsequent interaction’ (Dixon 1988, 120). 
  28. Another feature of Roman culture which helps us to contextualise the nature of mothering in Coriolanus is the widespread reliance by Roman mothers on wet-nursing in order to raise children. Dixon points out a suggestive epitaph which reads: ‘To Graxia Alexandria, an outstanding example of womanly virtue, who actually reared her children with her own breasts’. In the Tusculan Disputations, Cicero remarked that young children too often ‘have drunk in error with the nurse’s milk’; Quintilian assumed that the nurse is the person with whom the small child will have greatest contact’ (Dixon 1988, 120, 122). Dixon concludes that ‘the Roman mother’s relationship to her young child…was not similar to the modern one. She was not the exclusive formative influence which Sociology and Psychology, developed within a few highly urbanised, wealthy modern countries, assume her to be’ (Dixon 1988, 134). 
  29. Interpreted in historical context, then, Volumnia’s manner of raising Coriolanus seems fairly typical: ‘When yet he was but tender-bodied and the only son of my womb…when for a day of kings’ entreaties a mother should not sell him an hour from her beholding, I, considering how honour would become such a person…was pleased to let him seek danger where he was like to find fame’ (1.3. 5-13). Far from neglecting her son’s emotional needs, she indulges what she sees are his natural inclinations (to ‘let’ him seek danger). The nature of Coriolanus’s character may be interpreted in the light of the description given of his son, young Martius. Valeria says, ‘I looked upon him o’ Wednesday half an hour together: ‘has such a confirmed countenance! I saw him run after a gilded butterfly, and when he caught it he let it go again, and after it again, and over he comes, and up again, catched it again’ (1.3. 61-66). If young Martius does not seem to be unusually deprived of maternal care yet still is described as nearly an exact likeness to his father, how can we explain the similarity between father and son if Volumnia’s non-nurturance of Coriolanus is the cause of his ‘pathology?’ One might respond that young Martius is as bereft of maternal care as Coriolanus, and that he will grow into the pathologies befitting his upbringing, but that would assume, given the normalcy of the mother-child relationships in the play, that all Roman men should develop like Coriolanus, which is at best reductionistic and at worst detracts from the uniqueness of Coriolanus’s nature. 
  30. Rather than describe Volumnia’s role in the play as the source of Coriolanus’s sociopathology, I think it is helpful to consider her character in relation to the incommensurability thesis I have been advancing. With respect to the two axes of early modern statehood – the paternalist axis, which marks subjects as dependent, and the libertarian axis, which marks subjects as autonomous and unconstrained – Volumnia allegorically reproduces in her relationship with Coriolanus an intertwining of both axes, since Coriolanus is both dependent upon and independent of her overarching influence. Volumnia is to Coriolanus as the early modern state is to all its subjects, and as such Volumnia’s conduct as much as the Tribunes’ or Coriolanus’s is structured by the dual nature of early modern politics. Aufidius describes the consequences of Coriolanus’s eventual capitulation to Volumnia as follows: ‘As with a man by his own alms impoisoned, / And with his charity slain’ (5.6. 10-11). Volumnia has allowed one state ideal, the paternalist, (refigured as the maternalist) to impose itself on another, the meritocractic and libertarian, by means of the sacrifice of her effective agent, Coriolanus, for the purpose of maintaining both ideals in precarious balance. During the moment at which Coriolanus extends his paternalistic ‘charity’ to his mother and Rome he has assured the libertarian freedoms of the city at large, even though his charitable gestures will ultimately prove suicidal. 
  31. Interposing on the state’s behalf, Volumnia helps to resolve through the sacrifice of Coriolanus the tension implicit in the play between an expansionist and maintenance goal for the culture. Typically, Republican polities were conceived either as imperialist and expansionist or stable and preservationist, bounded by population constraints and geographical restrictions. For example, the Venetian government served as a model for a preservationist ideology and the Roman for an expansionist one. The suggestion in the play is that ordinary, daily functioning and preservation of the polity can be upset by military conquest, particularly Coriolanus’s disruption of the ordinary workings of the city. Sicinius notes, in a passage already cited, that once Coriolanus is exiled from the city one sees ‘tradesmen singing in their shops and going / About their functions friendly’ (4.6. 7-9). Sicinius adds that ‘Rome / Sits safe and still without him’ (4.6. 37-38). Sicinius does not mention whether or not Coriolanus’s victories have allowed Rome to attain a level of prosperity without which the tradesmen would not be able to prosper in the first place – that is, whether the normal functioning of the city requires the kind of turmoil Coriolanus introduces following conquest on Rome’s behalf. The implication is that the city both gains and suffers at the hands of Coriolanus, and that Coriolanus needs to be contained when the costs of his influence outweigh the benefits. Even here meritocracy and paternalism compress, for the meritocractic ideal allows Coriolanus free play to exercise military virtue, but the paternalist ideal seizes upon that virtue when it is no longer helpful to the working citizenry. 
  32. What seems to make Coriolanus a prophetic (but not transitional) play is that it reveals the fate of individuals who threaten the delicate, consensual nature of English politics. Coriolanus is not the embodiment of Jacobean absolutism, but rather the avatar of Charles, Laud, and Strafford, to the extent that each of these notables requires containment when a skewed pursuit upsets consensus in the settled state. Charles transgresses the common law rights to property; Laud indulges an excessively ‘thorough’ anti-Puritan campaign throughout England; Strafford attempts to impose Anglicanism in Presbyterian Scotland. Coriolanus prefigures all of these historical personages, each of whom is instrumental in advancing the state, but whose excesses are contained when they threaten the precarious balance of English consensualism. 
  33. The play is also prophetic inasmuch as it emphasises the importance in English culture of ministering to the demands of the common culture, a practice which had just begun to show itself in the seventeenth century but which was not really undertaken by any early modern party or class until the civil war years. Prior to 1640, despite anti-enclosure rhetoric and pockets of rebellion like the Midland’s Uprising, the common culture was largely an unthreatening political cipher, demanding little in the way of a vox populi argument made by Parliament or the Crown on its behalf: ‘The idea…that Parliament was responsible to the nation, suggested by comparatively few men in Elizabeth’s reign, quickly developed and matured in the first three decades of the seventeenth century. The parliamentary opposition…used it in the first place to strengthen an argument based on law and right, in the second place to justify an encroachment upon the realms of the king’s absolute power, and in the third place to justify a new and aggressive procedure on the part of the commons’ (Judson 1988, 279). Thus Coke famously said in Parliament in 1621, ‘I will not dispute with my Maister for his words, but when the kinge sayes he can not allowe our liberties of right, this strikes at the roote. We serve here for thousands of tenn thousands’ (Judson 1988, 286). The general welfare argument was used by Parliament against Buckingham in 1626, when Buckingham’s opposition said that his actions ‘assume the Nature of the highest Offences….The Welfare and Safety of the People and State, is the Supreme Law’ (Judson 1988, 292). Such an argument was routinely waged against Parliament in order to marshal support against the Crown and vice versa, with little genuine concern for the common culture. Stone notes that the ‘revolution was certainly not a war of the poor against the rich, for one of its most striking features was the almost total passivity of the rural masses, the copyholders and agricultural labourers’ (Stone 1972, 54). 
  34. I have argued that the point of departure for an analysis of the historical relevance of Coriolanus to early modern English politics is an understanding of the non-absolutist, consensual nature of early modern statehood, particularly the integration within the state platform of both negative libertarianism and paternalist centralization. Rather than interpret the play as an allegorical enactment of historically established party and class antagonisms, which did not in fact exist during the early seventeenth century, the class positions in the play should be seen as two unreified manifestations of the duality of the early modern state. 9 Coriolanus is a thoroughly Jacobean play that reflects consensual politics rather than embattled, transitional ideologies.

Notes

  1. On the non-laissez-faire nature of the early modern state see Shapiro 1986; see also MacPherson 1962.

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  2. See Dobb 1963, especially chapter v.

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  3. For discussions of feudal exploitation see Postan 1972 and Hilton 1990.

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  4. It is surprising that while so many transitionalist readings appropriate Raymond Williams’s distinction between residual and emergent cultures, more do not make reference to Williams’s landmark work, The Country and the City, in which he demystifies sentimentalised accounts of pre-capitalist organicism: ‘Take first the idealization of “natural” or “moral” economy on which so many have relied, as a contrast to the thrusting ruthlessness of the new capitalism….The social order within which this agriculture was practiced was as hard and brutal as anything later experienced. Even if we exclude the wars and brigandage…the uncountable thousands who grew crops and reared beasts only to be looted and burned and led away with tied wrists, this economy…was an order of exploitation of a most thorough going kind: a property in men as well as in land….’ See Williams 1973, 37.

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  5. See Wood 1988, 139. Wood writes that “while Plato and Aristotle maintain quite explicitly that direct economic producers should not rule, they are by no means equally explicit that the primary purpose of the state is the protection of private property. They think that the chief goal of the well-ordered polis is to encourage human beings to fulfill their rational nature by the achievement of true moral virtue’.

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  6. See Hirst 1986, 21. For a general discussion of poverty legislation in England, see Slack 1988.

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  7. All cites taken from William Shakespeare, Coriolanus, ed. R.B. Parker 1994.

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  8. On Leveler anti-Normanism, see Hill 1995.

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  9. On the problem of class formation during the early modern period see Laslett 1984; Wrightson 1982; and Zagorin 1971.

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List of Works Cited

Adelman, Janet. ‘”Anger’s My Meat”: Feeding, Dependency, and Aggression in Coriolanus.’ In Representing Shakespeare: New Psychoanalytic Essays, edited by Murray M. Schwarz and Coppelia Kahn. Baltimore: The Johns Hopkins University Press.

Beier, A.L. 1985. Masterless Men: The Vagrancy Problem in England, 1560-1640. London: Methuen.

Burgess, Glenn. 1996. Absolute Monarchy and the Stuart Constitution. New Haven: Yale University Press.

Cicero, Marcus Tullius. 1991. On Duties, edited by M.T.Griffin and E.M. Atkins. Cambridge: Cambridge University Press.

Cicero, Marcus Tullius. 1929. On The Commonwealth, translated by George Holland Sabine and Stanley Barney Smith. New York: Bobbs-Merrill Company, Inc.

Dixon, Susan. 1988. The Roman Mother. Oklahoma Press.

Dobb, Maurice. 1963. Studies in the Development of Capitalism. New York: International Publishers.

Engle, Lars. 1993. Shakespearean Pragmatism: Market of His Time. Chicago: University of Chicago Press.

Goldberg, Jonathan. 1989. James I and The Politics of Literature. Stanford: Stanford University Press.

Guicciardini, Francesco. 1994. Dialogue on the Government of Florence, edited and translated by Alison Brown. Cambridge: Cambridge University Press.

Hill, Christopher. 1995. Puritanism and Revolution: Studies in Interpretation of the English Revolution of the Seventeenth Century. London: Secker and Warburg.

Hilton, Rodney. 1990. Class Conflict and the Crisis of Feudalism: Essays in Medieval Social History. London: Verso.

Hirst, Derek. 1986. Authority and Conflict in England, 1603-1658. Cambridge: Harvard University Press.

Judson, Margaret. 1988. The Crisis of the Constitution: An Essay in Constitutional and Political Thought in England, 1603-1645. New Haven: Yale University Press.

Laslett, Peter. 1984. The World We Have Lost: England Before the Industrial Age. New York: Charles Scribner’s Sons.

Long, A.A. 1992. ‘Cicero’s Politics in De Officiis.’ In Justice and Generosity: Studies in Hellenistic Social and Political Philosophy. Cambridge: Cambridge University Press.

MacPherson, C.P. 1962. The Political Theory of Possessive Individualism. Oxford: Oxford University Press.

Nichols, Sir George. 1898. A History of the English Poor Law. Volume I. New York: G.P. Putnam’s Sons.

Peltonen, Markku. 1995. Classical Republicanism in English Political Thoughts, 1570-1640. Cambridge: Cambridge University Press.

Pocock, J.G.A. 1975. The Machiavellian Moment: Florentine Political Thought and the Atlantic Republican Tradition. Princeton: Princeton University Press.

Postan, Michael. 1972. The Medieval Economy and Society. Penguin Books.

Poulantzas, Nicos. 1978. Political Power and Social Classes. London: Verso.

Riss, Arthur.1992. ‘The Belly Politic: Coriolanus and the Revolt of Language.’ ELH 59.

Shakespeare, William. 1994. Coriolanus, edited by R.B. Parker. Oxford: Oxford University Press.

Shapiro, Ian. 1986. The Evolution of Rights in Liberal Theory. Cambridge: Cambridge University Press.

Sommerville, J.P. Ed. 1994. King James VI and I: Political Writings. Cambridge: Cambridge University Press.

Sommerville, J.P. 1986. Politics and Ideology in England, 1603-1640. London: Longman.

Sorge, Thomas. 1990. ‘The Failure of Orthodoxy in Coriolanus.’ In Shakespeare Reproduced: The Text in History and Ideology, edited by Jean E. Howard and Marion O’Connor. New York: Routledge.

Stone, Lawrence. 1972. The Causes of the English Revolution, 1529-1642. New York: Harper Torchbooks.

Williams, Raymond. 1973. The Country and The City. New York: Oxford University Press.

Wrightson, Keith. 1982. English Society, 1580-1680. London: Hutchinson.

Zagorin, Perez. 1971. The Court and The Country: The Beginning of the English Revolution. New York: Atheneum.


[Back to Contents] [Back to top of page]


Contents © Copyright Paul Cefalu 2000.
Layout © Copyright Renaissance Forum 2000. ISSN 1362-1149. Volume 4, Number 2, 2000.
Technical Editor: Andrew Butler. Updated 1 August 2000.

Henry IV Part :Shakespeare’s Falstaff as Prody

© Connotations 12.2-3 (2002/2003): 105-125
N.B. For purposes of citation, page numbers of the printed version are inserted in square brackets.

Shakespeare’s Falstaff as Parody

ARTHUR F. KINNEY

I

The Oxford English Dictionary defines parody as “a composition in prose or verse in which the characteristic turns of thought and phrase in an author or class of authors are imitated in such a way as to make them appear ridiculous, especially by applying them to ludicrously inappropriate subjects; an imitation of a work more or less closely modelled on the original, but so turned as to produce a ridiculous effect.” Arguably the most complex and dramatic parody of the English Renaissance is Shakespeare’s King Henry IV, Part 1 , with its central portrait of Falstaff, published in 1598 in a quarto now only a fragment (Q0 or Q1) and—in that same year—Q2, followed by Q3 in 1599; Q4 in 1604; Q5 in 1608; Q6 in the year of Shakespeare’s death, 1613, as if in tribute to him, and Q7, possibly a second tribute, a year before the grand First Folio of 1623. In print—and likely on the stage as well—it was one of Shakespeare’s first big hits, challenged only by Richard III .

For this, Falstaff must be given much of the credit; “No character in all drama has seemed so much a creature of real flesh and blood as this figment of a man’s imagination,” the play’s editor, P. H. Davison, tells us.1 His effect on audiences, and on us, is immense. He is, for instance, Harold Bloom’s favorite character in the whole corpus of Shakespeare except for his rival Hamlet, and he surpasses Hamlet for Bloom in this: “The sage of Eastcheap inhabits Shakespearean histories but treats them like [has the power to transform them into] comedies.”2 [page 106] Scorned by Price Hal in their opening lines together, his sheer vitality and wit make him Harry’s equal and sustain the scene:

Indeed you come near me now, Hal, for we that take purses go by the moon and the seven stars, and not ‘By Phoebus, he, that wand’ring knight so fair.’3 And I prithee, sweet wag, when thou art a king, as God save thy grace—‘majesty’ I should say, for grace thou wilt have none—[…]. Marry then, sweet wag, when thou art king let not us that are squires of the night’s body be called thieves of the day’s beauty. Let us be ‘Diana’s foresters’, ‘gentlemen of the shade’, ‘minions of the moon’, and let men say we be men of good government, being governed, as the sea is, by our noble and chaste mistress the moon, under whose countenance we steal. (1.2.11-15; 20-26)4

His quick repartee is heavily grounded in alliteration, repetition, and classical allusion that characterized euphuism, the sophisticated language of an earlier Elizabethan court; from the start, he is parodic.

Such forceful, clever talent will, however, come to a sad end. While he is a center of 1 Henry IV , balancing the heroic Hotspur as a choice between serviceable action and indulgent sloth as directions for Prince Harry, he will see young Harry only twice in all of 2 Henry IV and, by Henry V , be pushed offstage altogether, his death reported in the earthy London dialect of an Eastcheap hostess, Mistress Quickly:

He’s in Arthur’s bosom, if ever men went to Arthur’s bosom. A made a finer end, and went away an it had been any christom child. A parted ev’n just between twelve and one, ev’n at the turning o’th’tide—for after I saw him fumble with the sheets, and play with flowers, and smile upon his finger’s end, I knew there was but one way. For his nose was as sharp as a pen, and a babbled of green fields. ‘How now, Sir John?’ quoth I. ‘What, man! Be o’ good cheer.’ So a cried out, ‘God, God, God’, three or four times. Now I, to comfort him, bid him a should not think of God; I hoped there was no need to trouble himself with any such thoughts yet. So a bade me lay more clothes on his feet. I put my hand into the bed and felt them, and they were as cold as any stone. Then I felt to his knees, and so up’ard and up’ard, and all was as cold as any stone. ( H5 2.3.9-23)

Falstaff’s death has inspired her too to alliteration and repetition and an allusion to the pseudo-classical King Arthur, but the speech is euphuism flattened out, a paltry imitation, a parody, of Falstaff’s. Still [page 107] it is superior in depth of feeling and insight to Falstaff’s later epitaph, provided on the French battlefield when the Welsh captain Fluellen says to the English captain Gower in a derogatory comparison to Cleitus, the friend of Alexander the Great, that “Harry Monmouth, being in his right wits and his good judgements, turned away the fat knight with the great-belly doublet—he was full of jests and gipes and knaveries and mocks—I have forgot his name” ( H5 4.7.38-42). Mockery (or parody) has reduced the knight who was once the prince’s own companion to solipsism. I want to trace how this happens.

II

To begin, we need to recognize that the name and character of Prince Hal’s fat knight Sir John Fall/staff—what some critics have thought to be a pun on Shake/spear5—is a parody of the historic English past. In the English chronicles, a Sir John Falstolfe is erroneously portrayed as a cowardly commander in the French wars as in Shakespeare’s Henry VI, Part 1 , where his flight results in the wounding and capture of the brave Talbot (1.1.130-40). Even more importantly—and more tellingly—textual traces, such as a reference to Falstaff as “my old lad of the castle” ( 1 Henry IV , 1.2.37), strongly suggest that in an earlier version of the play, the character we know as Falstaff was named Sir John Oldcastle. The historic, authentic Oldcastle (c. 1378-1417), High Sheriff of Herefordshire made Lord Cobham in 1409, was a knight who served Henry IV in war against France and against Wales; according to Holinshed, he was “A valiant capteine and a hardie gentleman” who was “highly in the king’s favour.”6 But he was also a Lollard, part of a splinter religious group seen as forerunners to English Protestantism and advocates of a vernacular Bible and therefore critics of Henry’s Catholic church. Although Henry IV treated Oldcastle at first with tolerance, he later sent him to the Tower of London where he was condemned as a heretic by the Archbishop of Canterbury. Subsequently, Oldcastle escaped and was thought to be leading [page 108] his own forces against Henry when he was captured and, in 1417, hanged in chains and then burned on the gallows.7

Oldcastle’s reputation long outlived the man, although it developed along two opposing paths of tradition. The path of anti-Wycliffite orthodoxy was hostile, promulgated by the poet Hoccleve,8 in popular political verses, and in chronicles from that of Walsingham to that of Polydore Vergil. According to this line of thought, Oldastle was frequently absent from Henry’s wars and thought a coward; his Lollardism was seen as presumptuous and even diabolical, and his friendship with the King restricted to Henry’s unregenerate early years.9 One of Falstaff’s best-known speeches, his self-defense of counterfeiting death on the battlefield to protect himself against further attack, can be seen as a direct parody of the Lollard Oldcastle’s reputed cowardice:

Embowelled? If thou embowel me today, I’ll give you leave to powder me, and eat me too, tomorrow. ‘Sblood, ’twas time to counterfeit, or that hot termagant Scot had paid me, scot and lot [in full] too. Counterfeit? I lie, I am no counterfeit. To die is to be a counterfeit, for he is but the counterfeit of a man who hath not the life of a man. But to counterfeit dying when a man thereby liveth is to be no counterfeit, but the true and perfect image of life indeed. The better part of valour is discretion, in the which better part I have saved my life. Zounds, I am afraid of this gunpowder Percy, though he be dead. How if he should counterfeit too, and rise? By my faith, I am afraid he would prove the better counterfeit. Therefore I’ll make him sure; yea, and I’ll swear I killed him. Why may not he rise as well as I? Nothing confutes me but eyes, and nobody sees me. Therefore, sirrah, [ stabbing HOTSPUR] with a new wound in your thigh, come you along with me. ( 1H4, 5.4.110-25)

Falstaff’s choice here of religious oaths—“Sblood,” “By my faith,” referring to the blood and wound of Christ on the cross—is carried out of the common lexicon of oaths into the vision of the resurrection not of Christ but of Hotspur and, as a consequence, Falstaff will stab him in the thigh, much as Christ was wounded on the Cross. The parodic character Falstaff, that is, uses parodic religious language common to Lollards. Since the Lollard faith was opposed to that of the Catholic church, the formulary they use can be seen as religious parody [page 109] of the dominant faith as well as a part of their own. So a parody of the Catholic tradition is linked to Oldcastle.

The Protestant tradition, though, was more favorable. According to the Tudor Protestant view of Oldcastle, he was an early martyr to their cause. This is the position promulgated by John Bale in his Brefe Chronycle Concernynge [. . .] Syr Iohn Oldcastell (1544), followed by the chronicler Edward Hall and reprinted nearly verbatim by John Foxe in his Actes and Monuments which came eventually to include a long “Defence of the Lord Cobham” and became the basis for a play by Anthony Munday, Michael Drayton, Robert Wilson, and Richard Hathaway. Here Oldcastle becomes a hero, a constant servant of God, a scholar of philosophy and theology and a popular and virtuous leader; and while “his youth was full of wanton wildness before he knew the scriptures,” according to Bale, his conversion made him a candidate for martyrdom.10 In Shakespeare, it is Falstaff who makes himself a ‘martyr’—alongside his trickery on the battlefield, first feigning death and then taking credit for killing the dead Hotspur whom Price Hal has already slain. Falstaff as mocker, but also Falstaff as Shakespeare’s agent for parody, is thus sufficiently complex that he can serve to parody both of the traditions assigned in Shakespeare’s own day to the historic Oldcastle.

But this extended parody is more complicated still. 1 Henry IV was first staged in 1596 when William Brooke, the seventh Lord Cobham, served Elizabeth I as her Lord Chamberlain11 and, until his death in 1597, was not only the Queen’s overseer of court activity but the patron of Shakespeare’s company, the Lord Chamberlain’s Men. Why might Shakespeare initially, at any rate, cut so close to the past quarrels over Cobham’s ancestors? We could argue that it was precisely the Lord Chamberlain’s presence that first suggested itself to Shakespeare as a possible parodic choice within his English chronicle history plays, and that he insisted that this remain apparent when he added the line about “my old lad of the castle” in the first moments of Falstaff and Prince Hal on stage. It is after all, a most peculiar line, for the setting is a tavern in Eastcheap, not a castle, and the topic of conversation, [page 110] highway robbery, hardly the custom of castle conversation. Such a line, with its resonances for any alert reader, moreover, is retained for the first quarto printing in 1598, a year after Lord Cobham’s death. Yet it might have been no safer but just as deliciously parodic in 1598, since Brooke’s son Sir Henry is joined to Falstaff in a private letter from the Earl of Essex in February of that year when young Harry Cobham, of the same given name, is referred to as “S r Io. Falstaff.”12 Much of the real comedy of the Henry IV plays, then, what Harold Bloom sees as its successful marker, is a deliberate, and fairly open, result of Shakespearean parody.

 

III

The early framing of Falstaff within Oldcastle is important, for it contains the various strands of parodic development that multiply as the two-part play of Henry IV progresses. Tightly interwoven, these strands are just what makes Falstaff so robustly comic and universal, yet so pointedly individual, as he is also made a particular representative of a broader political and social commentary of Tudor England through various literary traditions. One such tradition is that of the miles gloriosus , the Plautine braggart soldier that Elizabethans traced back to Plautine farce:

There is Percy. If your father will do me any honour, so; if not, let him kill the next Percy himself. I look to be either earl or duke, I can assure you, ( 5.4.135-37 )

Falstaff tells Prince Hal plainly at the conclusion of the battle of Shrewsbury . Hal is not only incredulous, but plainly corrective. “Why, Percy I killed myself,” he tells Fat Jack, “and saw thee dead.” The exposure of counterfeiting and, in turn, Falstaff’s cowardice, might bring confession from most soldiers, but it hardly penetrates a literary braggart soldier: “Didst thou?” Falstaff replies scornfully. [page 111]

Didst thou? Lord, Lord, how this world is given to lying! I grant you I was down and out of breath, and so was he; but we rose both at an instant, and fought a long hour by Shrewsbury clock. If I may be believed, so; if not, let them that should reward valour bear the sin upon their own heads. I’ll take’t on my death I gave him this wound in the thigh. If the man were alive and would deny it, zounds, I would make him eat a piece of my sword. (5.4.135-46)

Falstaff, unlike the traditional braggart (who brags), claims the other person is lying (not part of the braggart convention). Such a brazen retort, which attempts to turn lying away from the liar, can thus be seen as a parody of the braggart soldier’s pronouncements. Shakespeare shows the barrenness of Falstaff’s denial by giving him the same language he has already used—the wound in the thigh, the expletive “zounds”—so that he displays not only his continual acts of betrayal but also his ignorance of what he says and thus his actual limitation in conceptualization and in language. Falstaff as braggart soldier is given the customary come-uppance through parody of the act and the language that embodies it.

This literary parody is broadened into social commentary. It is an observation J. Dover Wilson made back in 1944 in his justly famous book The Fortunes of Falstaff .

He is the Old Soldier on the make, or in a state of perpetual repair, and Shakespeare exhibits him busy upon a number of disreputable devices for raising money, which were attributed, in whispers, or even at times in printed books, to old soldiers in Elizabeth ‘s reign, most of them connected with the recruitment of troops. For, there being neither standing army nor professional soldiery, an officer of those days, that is a gentlemen bearing Her Majesty’s commission, had to impress his company before he could command it.13

Falstaff is more than a gentleman in 1 Henry IV ; he is a landed knight. When he is asked to recruit troops, he will see it as an opportunity to pocket money for himself even as he seems to aid the King’s cause against the rebellious Percies. His actions begin, however, as a literary parody, for he repeats and mocks an earlier scene, in which Poins [page 112] teaches Falstaff how to combine recruitment and robbery as he sets forth his plan to steal from luckless—and innocent—people performing their well-intentioned religious and commercial duties. “My lads,” Poins says,

tomorrow morning by four o’clock early, at Gads Hill, there are pilgrims going to Canterbury with rich offering, and traders riding to London with fat purses. I have visors for you all; you have horses for yourselves. Gadshill lies tonight in Rochester . I have bespoke supper tomorrow night in Eastcheap. We may do it as secure as sleep. If you will go, I will stuff your purses full of crowns; if you will not, tarry at home and be hanged. (1.2.111-18)

Falstaff is the first eagerly to rise to the bait. “Hear ye, Edward, if I tarry at home and go not, I’ll hang you for going” (1.2.119-20). Robbing for food and drink exposes Falstaff’s self-indulgence as well as his demeaned sense of an adventure, even a campaign, and this should be made clear to him the following morning when Poins and Prince Hal reveal that they have stolen from the thieves, turning those who would steal into those who are stolen from: confidence men to be unconfident, criminals turned into victims.

In this way Falstaff is defeated. But only temporarily. Later he converts Poins’s escapade with Hal into a caper of his own choosing, gathering his own troops for the more serious war through actions that reach out to parody Elizabethan practice. As Wilson puts it, “the favorite way for a captain to make money, one notorious enough to receive special mention in an act of Parliament passed in 1557, was to enroll well-to-do men, known to be reluctant to serve, and then allow them to buy themselves out at the highest price they could be induced to pay” (84-85). Falstaff does precisely this en route to Shrewsbury , but in a language that allows Shakespeare to parody both military language by deflating it and Falstaff’s knightly purpose by deflating that:

If I be not ashamed of my soldiers, I am a soused gurnet [pickled fish] . I have misused the King’s press damnably. I have got in exchange of one hundred [page 113] and fifty soldiers three hundred and odd pounds. I press me none but good householders, yeomen’s sons, enquire me out contracted [engaged to be wed] bachelors, such as had been asked twice on the banns, such a commodity of warm slaves as had as lief hear the devil as a drum, such as fear the report of a caliver worse than a struck fowl or a hurt wild duck. I pressed me none but such toasts and butter [such weaklings], with hearts in their bellies no bigger than pins’ heads, and they have bought out their services; and now my whole charge consists of ensigns, corporals, lieutenants, gentlemen of companies—slaves as ragged as Lazarus in the painted cloth, where the glutton’s dogs licked his sores—and such as indeed were never soldiers, but discarded unjust servingmen, younger sons to younger brothers, revolted tapsters, and ostlers trade-fallen, the cankers of a calm world and a long peace, ten times more dishonourable-ragged than an old feazed ensign, and such have I to fill up the rooms of them as have bought out their services, that you would think that I had a hundred and fifty tattered prodigals lately come from swine-keeping, from eating draff and husks. A mad fellow met me on the way and told me I had unloaded all the gibbets and pressed the dead bodies. No eye hath seen such scarecrows. (4.2.11-34)

This speech parodies religious thought and belief once again: “damnably”; “as ragged as Lazarus”; “prodigals lately come from swine-keeping”; “No eye hath seen.” It not only parodies the Christian life militant but mocks and satirizes the religious-minded Lollard Old­castle who betrayed (and then early on departed from) his King Henry. That Oldcastle may be redefined here as a braggart soldier continues when later Falstaff is so cowardly that he fears danger to his own life while not caring at all for his recruits. On the fields of Shrewsbury , he acknowledges to himself that

Though I could scape shot-free at London , I fear the shot here. Here’s no scoring but upon the pate.—Soft, who are you?—Sir Walter Blunt. There’s honour for you. Here’s no vanity. I am as hot as molten lead, and as heavy too. God keep lead out of me; I need no more weight than mine own bowels. I have led my ragamuffins where they are peppered; there’s not three of my hundred and fifty left alive, and they are for the town’s end, to beg during life. (5.3.30-37)

Joining the name “Blunt” and the personal trait of “honour” in an oxymoronic fashion, Falstaff echoes an earlier scene where honor is not contrasted to vanity , as here—“Vanity of vanities, saith the [page 114] Lord”—but is, rather, made willfully dialogic in such a way as to confirm his cowardice through parodying catechism:

What need I be so forward with him that calls not on me? Well, ’tis no matter; honour pricks me on. Yea, but how if honour prick me off when I come on? How then? Can honour set-to a leg? No. Or an arm? No. Or take away the grief of a wound? No. Honour hath no skill in surgery, then? No. What is honour? A word. What is in that word ‘honour’? Air. A trim reckoning! Who hath it? He that died o’ Wednesday. Doth he feel it? No. Doth he hear it? No. ‘Tis insensible then? Yea, to the dead. But will it not live with the living? No. Why? Detraction will not suffer it. Therefore I’ll none of it. Honour is a mere scutcheon. And so end my catechism. (5.1.128-39)

The sutcheon or heraldic shield of honour is reduced from its aristocratic and military significance to an empty word—a word arguably misused, at that—just as the word honor is reduced through a parody of humanist debate into insignificance much like the humanists’ earlier—and still famous—praise and dispraise of folly written by Erasmus, a wellspring of humanism, of humanist form and humanistic linguistic study. It is a speech that would appeal especially to students at the Inns of Court in their debates and plays, lending it still more parodic significance, while all the time redounding on Oldcastle and on the truth, record and interpretation of chronicle history and its translation through the language of drama and play.

 

IV

“Falstaff is indeed a rich amalgam, a world of comic ingredients,” A. R. Humphreys writes in his New Arden edition of 1 Henry IV ; “Of these the most important is the morality Vice, the ensnarer of youth.”14 He cites references to the morality play idiom—“iniquity, ruffian, vanity in years” (xlii)—and sees in Falstaff three of the seven deadly sins that often accompanied the morality plays so popular in the Tudor England of Shakespeare’s youth: “gluttony, idleness, and lechery” (xlii). It is in this tradition which Shakespeare parodies through Falstaff that we see Fat Jack following a line of predecessors [page 115] of note: he brags like Sensual Appetyte, or Ambidexter in Cambises (1569), or Huanebango in George Peele’s Old Wives Tale ; he resembles Lust, Sturdiness, and Inclination in The Trial of Treasure ; he shares features of Incontinence inThe Longer Thou Livest ; and he has both the greed and cowardly instincts of Dericke in The Famous Victories of Henry V , a popular anonymous play of the 1580s (xli). But it is the Vice of greed that most characterizes Falstaff, and characterizes him most often, in which the literary joke—itself a kind of parody—is that he tempts not Prince Hal but, and repeatedly, himself.

Falstaff’s natural habitat is significant: it is not only Boars Head Tavern, where greed, drunkenness, and lechery seem the order of the day (and night), but Eastcheap, best known to Shakespeare’s audience as the place for meat and drink, what Wilson calls “the London centre at once of butchers and cookshops” (26). He cites as evidence the poet John Lydgate, “writing in the reign of Henry V” the poem London Lyckpenny :

Then I hyed me into Estchepe;
One cryes ‘rybbes of befe and many a pye’;
Pewter pots they clattered on a heap;
There was a harp, pype, and minstrelsy. (26)

When the play’s geography expands, at least by allusion, it still rings this single chord. Hal calls Falstaff a “Manningtree ox with the pudding in his belly,” an ox that is roasted whole with sausage stuffing, a custom at the annual fairs held at Manningtree, Essex. Poins extends allusion to Sir John’s broad (and insatiable) girth by marking the calender: “How doth the Martlemas, your master?” he asks Bardolph.15

Martlemas, the feast of St. Martin , celebrated on November 11, was at the time of year, fodder being scarce, when fattened beasts were killed off and salted down for the winter, the season of huge banquets. “In calling [Falstaff] a ‘Martlemas,’” Wilson notes, “Poins is at once likening [his] enormous proportions to the prodigality of fresh-killed meat which the feast brought, and acclaiming his identity with [page 116] Riot and Festivity in general” (30). Thus Vice slides through parody into a deadly sin and on into the topsy-turvy world of Carnival, Riot at its most extreme in Shakespeare’s culture, a time, Jean E. Howard reminds us, when “rulers are temporarily displaced and the body’s pleasures (eating, drinking, breaking wind, having sex) are celebrated before the arrival of abstemious Lent.”16 Prince Hal would go much farther. He sees Falstaff enjoying Carnival throughout the day and throughout the year. It is the focus of the first lines in the play: “Thou art so fat-witted with drinking of old sack, and unbuttoning thee after supper, and sleeping upon benches after noon ,” he remarks even as they first come on stage,

that thou hast forgotten to demand that truly which thou wouldst truly know. What a devil hast thou to do with the time of the day? Unless hours were cups of sack, and minutes capons, and clocks the tongues of bawds, and dials the signs of leaping-houses [brothels], and the blessed sun himself a fair hot wench in flame-coloured taffeta, I see no reason why thou shouldst be so superfluous to demand the time of the day. (1.2.2-10)

The question had seemed a simple one that the Prince is answering—“Now, Hal, what time of day is it, lad?” (1.2.1)—and it may be this very coziness of the request that prompts Hal’s disdain. But Hal is also ascribing to Falstaff the sins of gluttony and sloth in instructive ways that the knight fails to see but, as audience, we should. By giving Falstaff a seductive rhetoric, Shakespeare is able to extend his complicated parody with undeniable vitality and charm that, in turn, can erode the audience’s sense of right and wrong before Poins clarifies matters by inviting Falstaff to contemplate the Gads Hill robbery the better to feed his ever-present appetite.

Even when the robber Falstaff is robbed in turn by Hal and Poins in disguise, his urgent gluttony remains, transformed into a third deadly sin of pride.

PRINCE HARRY   What’s the matter?
FALSTAFF   What’s the matter? There be four of us here have ta’en a thousand pound this day morning.
PRINCE HARRY   Where is it, Jack, where is it? [page 117]
FALSTAFF   Where is it? Taken from us it is. A hundred upon poor four of us.
PRINCE HARRY   What, a hundred, man?
FALSTAFF   I am a rogue if I were not at half-sword [dueling closely] with a dozen of them, two hours together. I have scaped by miracle. I am eight times thrust through the doublet, four through the hose, my buckler cut through and through, my sword hacked like a handsaw. Ecce signum [Behold the evidence]. I never dealt better since I was a man. All would not do. A plague of all cowards. (2.5.143-56)

The pride of the Vice is what even permits Falstaff to pretend to be King Henry IV—to parody a ruler in meting out justice (on himself) and in advising Hal (in another topsy-turvy act of carnival), excusing and then eulogizing himself as

A goodly, portly man, i’faith, and a corpulent; of a cheerful look, a pleasing eye, and a most noble carriage; and, as I think, his age some fifty, or, by’r Lady, inclining to threescore. And now I remember me, his name is Falstaff. If that man should be lewdly given, he deceiveth me; for, Harry, I see virtue in his looks. If, then, the tree may be known by the fruit, as the fruit by the tree, then peremptorily I speak it—there is virtue in that Falstaff. Him keep with; the rest banish. (2.5.384-91)

Falstaff is tempted to this modulation of euphuism because he buries his ambition in language which, if not always royal, is always identified with the upper class, and might have suggested the aristocratic, courtly language of the original Oldcastle.

 

V

Braggart, Vice, Sin, Carnival: such literary parodies pave the way for the most encompassing literary parody in which Falstaff stars: that on the prodigal son play, the reduction of the morality play by sixteenth-century Tudor humanists into moral interlude. Wilson cites as typical of this form of literature an early specimen, the play Youth written around 1520.

The plot, if plot it can be called, is simplicity itself. The little play opens with a dialogue between Youth and Charity. The young man, heir to his father’s [page 118] land, gives insolent expression to his self-confidence, lustihood, and contempt for spiritual things. Whereupon Charity leaves him, and he is joined by Riot, that is to say wantonness, who presently introduces him to Pride and Lechery. The dialogue then becomes boisterous, and continues in that vein for some time, much no doubt to the enjoyment of the audience. Yet, in the end, Charity reappears with Humility; Youth repents; and the interlude terminates in the most seemly fashion imaginable. (18)

Wilson finds in these lines of Riot “the very note of Falstaff’s gaiety”:

Huffa! Huffa! who calleth after me?
I am Riot full of jollity.
My heart is as light as the wind,
And all on riot is my mind,
Wheresoever I go. (18)

In this play Riot has the quick wit, and quick tongue, of the later Falstaff; he also commits highway robbery; he jests about the deed and invites a young friend to a tavern to enjoy the spoils: “Thou shalt haue a wench to kysse Whansoeuer thou wilte” (19). It is meeting up with Good Counsel that saves Youth at the critical moment, just as it is Prince Hal who attempts (but fruitlessly) to transform Falstaff.

Poins introduces the idea of repentance in 1 Henry IV when he meets Falstaff for the first time in the play—

What says Monsieur Remorse? What says Sir John, sack-and-sugar Jack? How agrees the devil and thee about thy soul, that thou soldest him on Good Friday last, for a cup of Madeira and a cold capon’s leg? (1.2.99-103)—

and it is but a short time later, after he has been exposed in his cowardice at Gads Hill , Kent , and given another chance when he is asked, as a knight, to muster a company of men and prepares them for the Battle of Shrewsbury, that he first admits a sense of guilt:

Bardolph, am I not fallen away vilely since this last action? Do I not bate? Do I not dwindle? Why, my skin hangs about me like an old lady’s loose gown. I am withered like an old apple-john. Well, I’ll repent, and that suddenly, while I am in some liking. I shall be out of heart shortly, and then I shall have no strength to repent. An[d] I have not forgotten what the inside of a [page 119] church is made of, I am a peppercorn, a brewer’s horse—the inside of a church! Company, villainous company, hath been the spoil of me. (3.3.1-9)

But the sheer exuberance of this rhetoric of repentance, and its early association with the need for and absence of sufficient food and drink makes the whole speech suspect. It is, clearly, a parody of repentance. And so it is, predictably, a repentance short-lived.

BARDOLPH   Sir John, you are so fretful you cannot live long.
FALSTAFF   Why, there is it. Come, sing me a bawdy song, make me merry. (3.3.10-12)

It is matched by the false repentance that concludes his part in the play, after Hal has forgiven his lie on the battlefield concerning the death of Hotspur. Alone as he exits, he is considerably more honest with himself and simultaneously more parodic of the repentance play of the humanists:

I’ll follow, as they say, for reward. He that rewards me, God reward him. If I do grow great, I’ll grow less; for I’ll purge, and leave sack, and live cleanly, as a nobleman should do. (5.4.155-157)

Repentance is finally forced on Falstaff; it is not a normal choice, but a legal (and seemingly just) imperative, given by the Lord Chief Justice who, following him, at first admonishes him—“Have you your wits? Know you what ’tis you speak?”—and then sentences him—“Go carry Sir John Falstaff to the Fleet [prison]” ( 2H4 5.5.43-44; 84-85). Yet, like boxes within boxes, this too is parodied by the Epilogue that immediately follows, in which the actor playing Falstaff, Will Kemp, mocks both the literary practice of epilogue and the particular portrayal of Falstaff:

If you look for a good speech now, you undo me; for what I have to say is of mine own making, and what indeed I should say will, I doubt [fear], prove mine own marring […]. Oldcastle died a martyr, and this is not the man. (Epilogue 3-6; 27) [page 120]

Gulling Prince Hal at first, Falstaff in the Epilogue would gull the audience, would gull us. All of what he complexly parodies—braggart soldier, vice, sin, carnival, repentant—he puts back into the framework of Oldcastle, even as he denies it. By recalling Oldcastle, he makes himself, as literary parody, into a historical parody, and the whole exercise of chronicle history plays subject to parody, too.

 

VI

As if in summary of all such parodying, Harold Bloom claims to have seen Falstaff staged as “a cowardly braggart, a sly instigator to vice, a fawner for the Prince’s favor, a besotted old scoundrel” (283). But this is only one of two possible kinds of parody. Matthias Bauer has written to me, electronically, that “There seem to be basically two kinds of parodies, even though the individual text may very well be a mixture: on the one hand, there are texts which look at their models with skepticism and hold them up to ridicule it with regard to its forms, its ideas, or intended effect,” as we have just seen. Referring to Margaret Rose’s work Parody: Ancient, Modern, and Post-Modern , he goes on to say “But then there are the other parodic texts […] in which parody serves to praise or celebrate the model at least as much as to ridicule it.”17 Just so with Falstaff: the very passages we have cited as the first kind of parody are, for some critics at least, clearly parody of the second kind. Thus Anthony Burgess claims in his book on Shakespeare that

The Falstaffian spirit is a great sustainer of civilization. It disappears when the state is too powerful and when people worry too much about their souls [!]. […] There is little of Falstaff’s substance in the world now, and, as the power of the state expands, what is left will be liquidated.18

Bloom agrees.

Falstaff’s irreverence is life-enhancing […]. Falstaff’s festival of language cannot be reduced or melted down. Mind in the largest sense, more even [page 121] than wit, is Falstaff’s greatest power; who can settle which is the more intelligent consciousness, Hamlet’s or Falstaff’s? For all its comprehensiveness, Shakespearean drama is ultimately a theater of mind and what matters most about Falstaff is his vitalization of the intellect, in direct contrast to Hamlet’s conversion of the mind to the vision of annihilation. (282-83)

Indeed, his dynamism and his inventiveness are contagious. Falstaff’s greatest champion, Maurice Morgann, wrote in the later eighteenth century a whole book to defend Falstaff as courageous rather than cowardly, but his strongest and most convincing argument rests not on Falstaff’s actions but on his language:

To me […] it appears that the leading quality in Falstaff’s character, and that from which all the rest take their colour, is a high degree of wit and humour, accompanied with great natural vigour and alacrity of mind. […] Laughter and approbation attend his greatest excesses; and, being governed visibly by no settled bad principle or ill design, fun and humour account for and cover all.19

Style, that is, can override substance. Serious ideas may be diminished or even erased if their examination is funny enough. Seen this way, parody is not a means of translating ideas but a means of overturning them. This is not a matter of means overcoming ends but of means becoming both means and ends, turning upside-down along the way the cherished beliefs in language taught by the humanists who, posing that language should be transparently related to substance, nevertheless saw substance as moral, educative, and finally irrevocable.

It must seem peculiar to us, if not downright wrong, to give to parody such potency. It must seem to others, too, for their ways of justifying their own responses openly display a kind of nervous wriggling. Algernon Charles Swinburne, for instance, sees a morality of the heart and of the imagination, which he assigns to Falstaff, as superior to mere social—and one must read religious—morality when dealing with Falstaff.20 Harold Bloom excuses Falstaff’s magnificent rhetoric because “his magnificent language [fails] to persuade anyone of anything” and so is essentially good harmless fun (275). For the Victorian critic John Bailey, Falstaff’s humour “dissolve[s] morality” [page 122] and, furthermore, teaches us through his amoral wit which makes him a mirror of ourselves: “Not a man of us but is conscious in himself of some seed that might have grown into Falstaff’s joyous and victorious pleasure in the life of the senses. There we feel, but for the grace of God, and but for our own inherent weakness and stupidity, go we,”21 and so his educative effect excuses him. As for A. C. Bradley, the leading Shakespearean critic in the first part of the twentieth century, whom Bloom would revive as such in the first part of the twenty-first, Falstaff

will make truth appear absurd by solemn statements, which he utters with perfect gravity and which he expects nobody to believe; and honour, by demonstrating that it cannot set a leg, and that neither the living nor the dead can possess it; and law, by evading all the attacks of its highest representative and almost forcing him to laugh at his own defeat; and patriotism, by filling his pockets with the bribes offered by competent soldiers who want to escape service, while he takes in their stead the halt and maimed and gaolbirds; and duty, by showing how he labours in his vocation—of thieving; and courage, alike by mocking at his own capture of Colevile and gravely claiming to have killed Hotspur; and war, by offering the Prince his bottle of sack when he is asked for a sword; and religion, by amusing himself with remorse at odd times when he has nothing else to do; and the fear of death, by maintaining perfectly untouched, in the face of immanent peril and even while he feels the fear of death, the very same power of dissolving it in persiflage that he shows when he sits at ease in his inn. These are the wonderful achievements which he performs, not with the sourness of a cynic, but with the gaiety of a boy. And therefore, we praise him, we laud him, for he offends none but the virtuous, and denies that life is real or life is earnest, and delivers us from the oppression of such nightmares, and lifts us into the atmosphere of perfect freedom.22

Bradley casts such a wide net in collecting Falstaff’s humour that he fails to note what gives force to his remarks and fascination to his role: Falstaff’s chief rhetorical technique, like his singularly seductive character, depends on his ingenuity, his resilience. Nowhere is this more evident than when Hal confronts Falstaff with hard evidence that undermines his rhetoric about danger, heroism, and suffering at Gads Hill. [page 123]

PRINCE HARRY   We two saw you four set on four, and bound them, and were masters of their wealth.—Mark now how a plain tale shall put you down.—Then did we two set on you four, and, with a word, outfaced you from your prize, and have it; yea, and can show it you here in the house. And Falstaff, you carried your guts away as nimbly, with as quick dexterity, and roared for mercy, and still run and roared, as ever I heard bull-calf. What a slave art thou, to hack thy sword as thou hast done, and then say it was in fight! What trick, what device, what starting-hole canst thou now find out to hide thee from this open and apparent shame?
POINS   Come, let’s hear, Jack; what trick hast thou now?
FALSTAFF   By the Lord, I knew ye as well as he that made ye. Why, hear you, my masters. Was it for me to kill the heir-apparent? Should I turn upon the true prince? Why, thou knowest I am as valiant as Hercules; but beware instinct. The lion will not touch the true prince—instinct is a great matter. I was now a coward on instinct. I shall think the better of myself and thee during my life—I for a valiant lion, and thou for a true prince. (2.5.234-53)

This particular passage, Wilson recalls, reminded Samuel Johnson in a conversation with Boswell about the comic actor Samuel Foote to remark that “One species of wit he has in an eminent degree, that of escape. You drive him into a corner with both hands; but he’s gone, Sir, when you are thinking you have got him—like an animal that jumps over your head.” Wilson comments, “This exactly describes the kind of wit in which Falstaff excelled, and the game which the Prince and Poins play time and again with him. The quarry always succeeds in evading them; but never does he put his escape-wit to more adroit use than on this occasion. To them the crowning lie is completely unexpected and quite unanswerable” (56). The adroitness must be admired, it is true; there is some cause for seeing initial sentimentality. But a good hard look will show that Falstaff’s wit subscribes not merely to inventiveness but, finally, pays allegiance to solipsism. It is wit which relies on the dictum not of Tudor humanists but of the latter-day Humpty Dumpty: “When I use a word it means just what I choose it to mean.”23 Such solipsism may seem to be its own reward; but it is also its own stark limitation. When denotative words can be [page 124] scrambled into any number of connotative meanings, language ceases to function in any reliable way.

Left to his own device, Falstaff is solipsistic. Shakespeare is not; and what prevents him is the reliance on parody. Parody provides a resource against which a statement (or speech or trait or event) may not merely be comprehended but against which it may be measured. It ties social communication to shared understanding. It gives to the speaker relational significance and definition. Remove such bases for language, and shaping forces—in thought, character, and event as well as in language—become indefinable. This is what captain Fluellen sees and passes along in his conversation with Captain Gower. The “fat knight [who is] full of jests and gipes and knaveries and mocks” slips into solipsism, playing with linguistic signifiers, but in the creation of Falstaff, Shakespeare realizes that parody signifies. It is the underside of parody that renders a character, a speech, utterly blank and useless. The many literary parodies in the Henry IV plays, like the framework of Sir John Oldcastle, are really what has made these plays endure.

University of Massachusetts
Amherst, Massachusetts

 

NOTES

1.P. H. Davidson, “Introduction” to William Shakespeare, The Second Part of King Henry the Fourth (Harmondsworth: Penguin, 1977) 31.

2.Harold Bloom, Shakespeare: The Invention of the Human (New York: Riverhead Books, 1998) 276.

3.Presumambly a line from a contemporary ballad or romance.

4.Citations and quotations are from The Norton Shakespeare , ed. Stephen Greenblatt et al. (New York: Norton, 1997).

5.Bloom 273.

6.Raphael Holinshed, Chronicles of England, Scotlande, and Irelande (1577), III, 62, quoted in the introduction to The First Part of Henry IV , ed. A. R. Humphreys (London: Routledge, 1960) xxxix. Sections of Holinshed, Foxe, and the play by Drayton et al. dealing with Sir John Oldcastle are reprinted most conveniently in [page 125] The First Part of King Henry the Fourth: Texts and Contexts , ed. Barabara Hodgdon (Boston: Bedford Books, 1997) 360-91. Subsequent comments and quotations are from Humphreys .

7.Jean E. Howard in The Norton Shakespeare 1153.

8.See Hoccleve, “Address to Sir John Oldcastle,” Works I: The Minor Poems , EETS, Extra Series lxi (1892) 8-24, as cited in Humphreys xxxix.

9.Humphreys xxxix-xl.

10.Humphreys xl.

11.Howard in The Norton Shakespeare 1152-53.

12.Humphreys xii.

13.J. Dover Wilson, The Fortunes of Falstaff (Cambridge: CUP, 1944) 84.

14.Humphreys xli.

15.Both examples and definitions are from Wilson 30.

16.Howard in The Norton Shakespeare 1154.

17.Matthias Bauer to Arthur Kinney May 28, 2003.

18.Anthony Burgess quoted in Bloom 282.

19.Maurice Morgann, An Essay on the Dramatic Character of Sir John Falstaff (London: T. Boys, 1820) 18, 20.

20.Cited in Bloom 281.

21.Quoted in Wilson 9.

22.Quoted by Bloom 297.

23.Quoted by Bloom 299.

 

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