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1、Narratology: A Guide to the Theory of NarrativeManfred JahnFull reference: Jahn, Manfred. 2003. Narratology: A Guide to the Theory of Narrative. Part III of Poems, Plays, and Prose: A Guide to the Theory of Literary Genres. English Department, University of Cologne.Version: 1.7.Date: 28 July 2003Thi
2、s page: http:/www.uni-koeln.de/ame02/pppn.htmProject introductory page: http:/www.uni-koeln.de/ame02/ppp.htmEmail: Manfred.JahnUni-Koeln.de. (Comments and questions of common interest will be published on this projects questions and answer page pppq.htm.)Homepage: http:/www.uni-koeln.de/ame02/To fac
3、ilitate global indexing, all paragraphs in this section are labeled N for narratology. If you quote from this document, use paragraph references (e.g., N5.4) rather than page numbers.ContentsN1. Getting startedN2. The narratological framework N2.1 Background and basics N2.2. Narrative genres N2.3. N
4、arrative communication N2.4. Narrative LevelsN3. Narration, Focalization, and Narrative Situations N3.1. Narration (voice) N3.2. Focalization (mood) N3.3. Narrative situationN4. Action, story analysis, tellabilityN5. Tense, Time, and Narrative Modes N5.1. Narrative Tenses N5.2. Time Analysis N5.3. N
5、arrative ModesN6. Setting and fictional spaceN7. Characters and CharacterizationN8. Discourses: representations of speech, thought and consciousnessN9. A Case Study: Alan Sillitoes The Fishing Boat PictureN10. References.N1. Getting startedThis chapter builds a toolbox of basic narratological concep
6、ts and shows how to put it to work in the analysis of fiction. The definitions are based on a number of classical introductions - specifically, Genette (1980 1972; 1988 1983, key terms: voice, homo- and heterodiegetic, focalization); Chatman (1978, key terms: overtness, covertness), Lanser (1981; ke
7、y terms: voice, human limitation, omniscience); Stanzel (1984, key terms: narrative situation, authorial, figural, reflector), and Bal (1985, key term: focalizer). In the later chapters of this script, the toolbox will serve as an organizational framework for contextualizing a large number of more s
8、pecific terms and concepts.N1.1. Normally, the literature department of a bookshop is subdivided into sections that reflect the traditional genres - Poetry, Drama, and Fiction. The texts that one finds in the Fiction department are novels and short stories (short stories are usually published in an
9、anthology or a collection). In order to facilitate comparison, all passages quoted in the following are taken from the first chapters of novels. Thus, as a side effect, this section will also be a survey of representative incipits (beginnings). Hey, thats one technical term out of the way already.Th
10、e foregoing decision to generalize from a single text type is motivated by purely practical reasons. There is nothing logical or necessary about it; indeed, many theorists prefer to kick off with more basic types of narratives, real-world narratives such as anecdotes, news reports, etc., and then wo
11、rk their way up to fiction. Here, however, I suggest doing it the other way round. Novels are an extremely rich and varied medium: everything you can find in other types of narrative you find in the novel; most of what you find in the novel you can find in other types of narrative, whether in nonfic
12、tion, natural narrative, drama, film, etc. So, lets go to the bookshelf, get out a few novels, open them on page 1, and see what we can do to get an analytical grip on them.N1.2. First we must define narrative itself. What are the main ingredients of a narrative? What must a narrative have for it to
13、 count as narrative? For a simple answer let us say that all narratives have a story. But let us immediately add two additional requirements: (1) any kind of story is not enough; let us stipulate that a story must have an action which involves characters; and (2) let us also assume that all stories
14、come with a story-teller. Actually, our preferred term for a story-teller will be narrator. A narrative has a story based on an action caused and experienced by characters, and a narrator who tells it. Indeed, this getting started section will mainly focus on narrators and characters.N1.3. In a real
15、-life face-to-face narrative situation, we have a narrator who is a flesh-and-blood person, somebody who sees us, somebody whom we can see and hear. But what do we know of a textual narrator when all we get is lines of print? Can such a narrator have a voice, and if so, how can it become manifest in
16、 a text? Consider our first excerpt, from the beginning of J.D. Salingers Catcher in the Rye (first published 1951).Chapter OneIf you really want to hear about it, the first thing youll probably want to know is where I was born, and what my lousy childhood was like, and how my parents were occupied
17、and all before they had me, and all that David Copperfield kind of crap, but I dont feel like going into it. In the first place, that stuff bores me, and in the second place, my parents would have about two haemorrhages apiece if I told anything pretty personal about them. They are nice and all - Im
18、 not saying that - but they are also touchy as hell. Besides, Im not going to tell you my whole goddamn autobiography or anything. Ill just tell you about this madman stuff that happened to me around last Christmas before I got pretty run-down and had to come out here and take it easy. (Salinger, Ca
19、tcher in the Rye 5)Even though we cannot actually see or hear the narrator, the text contains a number of elements that project the narrators voice. Clearly, it is not very hard to read out the passage and give it an appropriate intonation. The characteristic voice projected from the text seems to b
20、e voice of a teenage boy, for instance. (If you are familiar with the text you know that the narrator, Holden Caulfield, is actually seventeen.) Much the same happens when you read an email from a friend and her voice projects from some typical expressions - you can almost hear her speak). We will s
21、ay that all novels project a narrative voice, some more distinct, some less, some to a greater, some to a lesser degree. Because a text can project a narrative voice we will also refer to the text as a narrative discourse. (One of the narratological key texts is Genette 1972, a study entitled Narrat
22、ive Discourse; another is Chatman 1978, Story and Discourse. So, we are evidently right on target.) We focus our attention on a novels narrative voice by asking Who speaks? Obviously, the more information we have on a narrator, the more concrete will be our sense of the quality and distinctness of h
23、is or her voice.N1.4. Which textual elements in particular project a narrative voice? Here is an (incomplete) list of the kinds of voice markers to look out for: Content matter - obviously, there are appropriate voices for sad and happy, comic and tragic subjects (though precise type of intonation n
24、ever follows automatically). It is clear, however, that the phrasing my parents would have about two haemorrhages apiece if I told anything pretty personal about them (in the passage qtd above) uses a characteristically vocal rhetoric of exaggeration. Subjective expressions - expressions (or express
25、ivity markers) that indicate the narrators education, his/her beliefs, convictions, interests, values, political and ideological orientation, attitude towards people, events, and things. In Salingers text, we do not only get an idea about the narrators age and background, his discourse is full of va
26、lue judgments, terms of endearment, disparagement, and expletives. In the passage quoted he calls his parents nice and all (the word nice is rendered as italicized emphasis); he does not want to write a goddamn autobiography, he alludes to all that crap and the madman stuff that happened to him, and
27、 so on. Pragmatic signals - expressions that signal the narrators awareness of an audience and the degree of his/her orientation towards it. Storytelling, like speaking in general, takes place in a communicative setting comprising a speaker and an audience (or, a bit more generally, in order to acco
28、unt for written communication as well, an addresser and an addressee). N1.5. Further on pragmatic signals. In the Salinger passage, the narrator frequently addresses an addressee using the second person pronoun (you). Although this is exactly what we expect in ordinary conversational storytelling, i
29、f you look (and listen) closely, you will notice that Holden treats his addressee more as an imagined entity than as somebody who is bodily present. For instance, he is careful to say if you really want to hear about it . youll probably want to know. This rather sounds as if he is addressing somebod
30、y whom he does not know very closely. Nor does the addressee actually say anything. At this point, we cannot tell whether Holden has a particular addressee in mind, or whether he addresses a more general, perhaps merely hypothetical audience. You could be either singular or plural. Some critics assu
31、me that Holdens addressee is a psychiatrist, and here, the place where he can take it easy after all that madman stuff, might well refer to a mental hospital. Frankly, I have forgotten whether the question is ever resolved in the novel. Whatever the answer, it is obvious that it can make a differenc
32、e in principle whether the narrative is uttered as a private or a public communication, to a present or an absent audience.N1.6. Oddly enough, there is one specific audience that neither Holden Caulfield nor any other narrator in fiction can ever be concretely aware of, and that is us, the audience
33、of real readers. We read Salingers novel, not Holdens; as a matter of fact, Holden isnt writing a novel at all, he is telling a tale of personal experience. The novels text projects a narrative voice, but the texts narrator is temporally, spatially, and ontologically distant from us. Ontologically d
34、istant means he belongs to a different world, a fictional world. Fictional means invented, imaginary, not real. The narrator, his/her addressee, the characters in the story - all are fictional beings. Put slightly differently, Holden Caulfield is just a paper being (Barthes) invented by Salinger, th
35、e novels author. And again, Salingers novel is a novel about somebody telling a story of personal experience; Holdens story is the story of that personal experience.Just as it is a good idea not to confuse a narrator (Holden, a fictional being) with the author (Salinger, the real person who earned m
36、oney on the novel), we must not confuse a fictional addressee (the texts you) with ourselves, the real readers. Holden cannot possibly address us because he does not know we exist. Conversely, we cannot talk to Holden (unless we do it in our imagination) because we know he does not exist. By contras
37、t, the relationship between us and authors is real enough. We can write them a letter, we can ask them to sign our copy (if they are still alive). Even when they are dead, readers who appreciate their work ensure their lasting reputation. There are no such points of contact with Holden. The closest
38、analogy to a real-life scenario is when we read a message which was not intended for our eyes, or when we overhear a conversation whose participants are unaware of the fact that we are (illicitly) listening in. Fiction, one might say, offers the gratification of eavesdropping with impunity.N1.7. Wha
39、t we have just established is the standard structure of fictional narrative communication. Participants and levels are usually shown in a Chinese boxes model. Basically, communicative contact is possible between (1) author and reader on the level of nonfictional communication, (2) narrator and audie
40、nce or addressee(s) on the level of fictional mediation, and (3) characters on the level of action. The first level is an extratextual level; levels two and three are intratextual.N1.8. The beginning of Salingers novel projects quite a distinctive narrative voice. Other novels project other kinds of
41、 voices, and sometimes it may be quite difficult to pinpoint their exact quality. What, for instance, do you make of the following incipit to James Gould Cozzenss A Cure of Flesh (first published 1933)?ONETHE snowstorm, which began at dawn on Tuesday, February 17th, and did not stop when darkness ca
42、me, extended all over New England. It covered the state of Connecticut with more than a foot of snow. As early as noon, Tuesday, United States Highway No. 6W, passing through New Winton, had become practically impassable. Wednesday morning the snow-ploughs were out. Thursday was warmer. The thin coa
43、t of snow left by the big scrapers melted off. Thursday night the wind went around west while the surface dried. Friday, under clear, intensely cold skies, US6Ws three lane concrete was clear again from Long Island Sound to the Massachusetts line. (Cozzens, A Cure of Flesh 5)Contrast this narrative
44、discourse to the narrative discourse that we heard in Salingers text. The Salinger passage gave us plenty of information about the pragmatic parameters of the narrative situation: there was an addressee (a you) who was spoken to, we had rich indications of the narrators language and emotional consti
45、tution. None of this is to be found in the present passage. Knowing the rest of the novel, I can tell you that we will never learn the narrators name, he* will never use the first-person pronoun (that is, will never refer to himself), and he will never directly speak to his addressee. Yet we can rec
46、ognize well enough that this is a narrator who begins his narrative with an intelligible exposition of the setting of the story. This is a text which has a function and a purpose and therefore projects a purposeful voice. As a matter of fact, it is difficult to imagine somebody speaking or writing w
47、ithout using any style at all (we will come to such a case, however). In ordinary circumstances, at any rate, one is required to speak co-operatively (as pragmaticists put it) - one selects expressions that are suitable to the purpose in hand, and suitable expressions rely on assumptions about possi
48、ble readers, their informative needs, intellectual capabilities, interests, etc. Speaking, we do that all the time, or at any rate ought to. Approaching the matter from this angle, one can see that Cozzenss narrator presents a sequence of concise and carefully worded statements which very adequately
49、 serve a readers needs. Reading the passage out loud wed probably give it a neutral or matter-of-fact voice. But, of course, a matter-of-fact voice is definitely more than no voice at all. At the same time, compared to Holdens voice, this narrators voice is notably less distinctive.* Lansers rule (N3.1.3.) will be observed throughout - if the narrator is
