Guanio-Uluru, L. - Ethics and Form in Fantasy Literature. Tolkien, Rowling and Meyer

Ethics and Form in Fantasy Literature
Ethics and Form in Fantasy

Literature
Tolkien, Rowling and Meyer
Lykke Guanio-Uluru
Lykke Guanio-Uluru 2015
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Paul and Julian this is for you.
Contents
Acknowledgements ix
Acronyms x
1 Introduction 1
The primary authors and texts 2
Tolkien: The Silmarillion and The Lord of the Rings 2
Rowling: the Harry Potterr series 4
Meyer: the Twilight series 5
Analytical aims and methodology 6
Fantasy as genre 12
Narrative ethics and fantasy 15
Fantasy, psychology and iconic mimesis 17
Fantasy as contemporary trend 19
Part I Quest Fantasy
2 Ethics and Form in The Lord of the Rings 25
Narrative voice and perspective 25
Progression in The Lord of the Rings 31
Middle-earth: views of good and evil 40
Boethius, Manes, Augustine and Plato 41
Genesis in The Silmarillion 43
Old Norse myth and Judeo-Christian beliefs 45
Fertility myths 49
The mastery of Bombadil 54
The significance of the tree 60
Characters deliberations: situations of choice 65
The Middle-earth notion of virtue 73
The role of emotion 75
Completion in The Lord of the Rings 79
3 Ethics and Form in Harry Potterr 85
Context and criticism 85
Ironic distance: the narrator and focalization 89
Progression in the Harry Potter series 94
Progression in Deathly Hallows 100
Good and evil in Harry Potterr 108
vii
viii Contents
Evil is unfeeling: caring is good 109

The soul: fragmented or whole? 116
Blood myths and the vampire 121
Transformations: shape-shifting, metamorphosis, rebirth 122
Moral reasoning 128
Dumbledore 128
Harrys moral choice 133
Ethical re-definition 136
Completion in Harry Potterr 140
4 Ethics and Form in the Quest-Fantasy 145
Prophecies and wise old men 145
Morality: nature and culture 150
Phronesis and character 154
Archetypes, ethics and narrative form 157
Part II Paranormal Romance
5 Ethics and Form in Twilight 161
Critical history and analytical aims 161
The paranormal romance subgenre 163
Narrative voice and focalization 166
Progression in Twilight 172
Good and evil in Twilight: ethical parameters 182
Russet and white 189
Bellas pro-death and pro-life choices 194
Vampire ethics 197
Taking life literally or not 201
Gender change: Bella and Orlando 206
Completion in Twilight 214
6 Comparisons and Conclusion 219
Harry Potter and Twilight 220
The vampire: blood and soul 220
Mind control 223
Love 224
Shape-shifting and metamorphosis 227
The Lord of the Rings, Harry Potter and Twilight 230
Male and Female Coming-of-Age Stories 230
Conclusion 232
Notes 234
Bibliography 243
Index 253
Acknowledgements
My thanks to the Faculty of Humanities, the Department of Literature,

Area Studies and European Languages (ILOS) and the Ethics Programme
at the University of Oslo, Norway for funding the research that forms
the basis of this book. I further thank all those affiliated with the Ethics
Programme between 2008 and 2014 for professional and social input,
and for providing an inspirational environment in which to develop
the ideas presented here. I am grateful to Timothy Chappell, Nomy
Arpaly, Jakob Elster, Lene Bomann Larsen and Julia Annas for inspiring
courses and lectures.
Particular thanks to Jakob Lothe for his consistently constructive
feedback during the writing and revision of this text, and for his general
benevolence, and to Jakob Elster for his clear and precise feedback on
theoretical ethics. Thanks are additionally due to all those affiliated with
the Nordic Network of Narrative Studies for engaging conferences and
professional input, with a special thanks to James Phelan for clarifying
discussion on the concept of implied author. I am also grateful to Nils
Ivar Agy and Mathias Sagdahl for insightful comments to my chapter
on The Lord of the Rings, as I am to Hallvard Fossheim for feedback on
the analysis of Twilight and for interesting discussions on the nature of
the soul. I further thank Henrik Syse, Maria Nikolajeva and Leona Toker
for their valuable comments on the first part of this book and for their
encouragement of my research and writing. Thanks to Einar Bjorvand
for proofreading the manuscript and to Palgrave Macmillans reader for
useful suggestions any errors remain my own.
My gratitude also to Paula Kennedy and Peter Cary at Palgrave
Macmillan, and more generally to everyone who has in any way helped
develop this project.
Lykke Guanio-Uluru
University of Oslo
April 2015
ix
Acronyms
Primary texts
LotR: The Lord of the Rings

PS: Harry Potter and the Philosophers Stone
CS: Harry Potter and the Chamber of Secrets
PA: Harry Potter and the Prisoner of Azkaban
GF: Harry Potter and the Goblet of Fire
OP: Harry Potter and the Order of the Phoenix
HBP: Harry Potter and the Half-Blood Prince
DH: Harry Potter and the Deathly Hallows
T: Twilight
NM: New Moon
E: Eclipse
BD: Breaking Dawn
MS: Midnight Sun (partial draft)
Secondary sources
S: The Silmarillion
OFS: On Fairy Stories, Tolkien.
CCC: The Catechism of the Catholic Church
OAB: Orlando: A Biography, V. Woolf.
References to The Lord of the Rings are from the Harper Collins 50th
Anniversary Edition (2005). All the Harry Potterr books referenced are
from the British Bloomsbury editions (19972007). References to the
Twilight series (20052008) are from the 2010 Atom paperback edition.
x
1
Introduction
The initial motivation for undertaking the research presented in this

book is an interest in best-selling ethics: the ethical patterns of mean-
ing embedded in best-selling literature. Due to the commercial success
of fantasy literature over the past two decades, this genre has been
chosen as a point of departure for the investigation of best-selling eth-
ics here presented. The enormous popularity of fantasy texts such as
J. R. R. Tolkiens The Lord of the Rings, J. K. Rowlings Harry Potterr series,
and Stephenie Meyers Twilight series makes their reflection (or refrac-
tion) of cultural values relevant to understanding contemporary
Western society, and the persuasiveness of these texts suggests that their
formative ethical influence is significant, perhaps globally.
Works by Tolkien, Rowling and Meyer are chosen on the basis of their
viral appeal, but also since their texts, and the success of their texts,
have acted as catalysts in the development and commercialization of
fantasy as a genre. Gaining momentum since the 1990s, fantasy has
become the single most popular generic category within both fiction
and film. In 2008, 39 out of 40 of the top-grossing films worldwide
were fantasy or science fiction films (Mendlesohn and James, 2009,
p. 1). Following Peter Jacksons The Lord of the Rings film trilogy (200103),
the literary version of J. R. R. Tolkiens text has sold over 150 million
copies in total (Wagner, 2007). J. K. Rowlings Harry Potterr series has
sold an estimated 450 million copies (BBC News, 2011), making it
the worlds best-selling book series. Meyers Twilight series belongs to the
fantasy subgenre of paranormal romance, which grew in popularity in
the 1990s and developed into a publishing category of its own in the
2000s. In 2007, 243 paranormal romances were published (in addition
to 460 fantasy titles), making up nearly a third of the texts published
within the genre that year (Mendlesohn and James, 2009, p. 198).
1
2 Ethics and Form in Fantasy Literature
By October 2010, Meyers series alone had sold 116 million copies
world-wide ((Publishers Weekly, 2010).1
Ever since Vladimir Propps influential study The Morphology of the
Folktale (1968 [1928]), and fortified by Joseph Campbells equally
authoritative The Hero with a Thousand Faces (1973 [1949]), fantasy texts
have typically been analysed with reference to their story skeleton and
their structural patterns, emphasizing common features between texts.
In this book, while noting such structural features, a literary gaze is
brought to three best-selling fantasy texts, paying attention to their
unique ethical agendas. Part I examines the quest fantasy, which in
many ways represents the prototypical narrative form within the genre
of fantasy literature. Based on analysis of The Lord of the Rings and Harry
Potter,
r as well as on comparison between them, a new way of looking
at the relationship between ethics and form in the quest-fantasy is sug-
gested, linking each texts structural features to their respective ethical
agendas.
Turning to the subgenre of paranormal romance, Part II analyses
Stephenie Meyers Twilight series. Drawing on James Phelans concept
of position,2 textual causes for the pronounced split in allegiance within
Twilight readership between Team Edward and Team Jacob propo-
nents are examined. While showing that the text can accommodate a
range of different readings, the chapter also discusses the contradictory
gender criticism the series has garnered.
The last and concluding chapter contains comparisons between all
the primary texts. Noting similarities in the way that the discourse
on value is structured in Harry Potterr and Twilight, the chapter also
highlights how their ethical visions are opposed in many respects. A
comparison of all three primary texts as gendered coming-of-age stories
underlines their individual formulation of value, even as they all draw
on a common language of shared narrative structures and tropes.
The primary authors and texts
Tolkien: The Silmarillion and The Lord of the Rings

Tolkien started inventing his mythological realm of Middle-earth in
1917, after serving as a soldier in the trenches of the Somme during
World War I. He gradually invented several languages and a mythol-
ogy, both from sheer linguistic delight and in an attempt to reconstruct
ancient gaps in English history. He began writing the story of The Lord
of the Rings in December 1937. Working steadily, interrupted by other
duties and the strains of World War II, it took him until October 1949
Introduction 3
to complete the entire manuscript (Scull and Hammond, 2006, p. 540).

Publication was further delayed due to paper shortages after the
war. The last volume of The Lord of the Rings was published in 1955.
Consequently, the two World Wars form an important backdrop for
Tolkiens work both with the mythology of Middle-earth, a version of
which was published posthumously as The Silmarillion in 1977, and
with The Lord of the Rings, which tells the story of the War of the Ring.
Tolkien aligned with his modernist context in that his work took a
new form: in retrospect The Lord of the Rings has come to be regarded
as formative of the genre of modern fantasy fiction.3 Moreover, in so
far as the fantastic is unrealistic, fantasy as a genre represents a break
with realism. The development of this new genre thus parallels the
break away from representative realism that is a distinguishing feature
of modernist art. Critic Tom Shippey (2003) has convincingly shown
how Tolkien pondered place names in his vicinity, as well as the cul-
tural ideas embedded in ancient word forms, surviving fragments of
poetry, nursery rhymes and characters from fairy tales and used them
all, distilled through the filter of philology, as elements of his stories.
Often, characters or settings in Middle-earth are Tolkiens imaginative
solutions to philological puzzles.4 Thus, Tolkien took familiar represen-
tations and imaginatively put them together in a new way. He made it
new, however, not by breaking with tradition as did other modern-
ists, but by embracing it all the way back to its linguistic roots.
Tolkiens greater legendarium available as an edited text in The
Silmarillion provides the historical and contextual backdrop for the
War of the Ring as narrated in The Lord of the Rings. This book adopts
the established practice of using The Silmarillion when referring to the
published book and The Silmarillion when referring to the full body
of, sometimes contradictory, texts that Tolkien devised as versions of his
mythology. In this book The Silmarillion5 is read as integrated into the
narrative purpose of The Lord of the Rings.
Stylistically, The Lord of the Rings is written in prosimetrum, with
alternating passages of prose, poetry, songs and verse, so that the prose
text is broken into smaller fragments, juxtaposing different types of tell-
ing. Arguably, this makes the narrative voice more complex. The Lord
of the Rings was intended by Tolkien as a one-volume text, containing
six books. Due to the expense of paper in post-war Britain, it was first
published in three volumes, still leading a number of people mistakenly
to refer to it as a trilogy.
Chapter 2 argues that by aid of the concept of focalization6 the influ-
ences of two mythologies, Old Norse mythology and Judeo-Christian
belief, may be discerned in different parts of The Lord of the Rings.

Common to both these systems of belief is the symbolic importance of
the tree. In Christianity several trees are central; particularly the Tree of
Knowledge, the tree of the Cross and the tree in the New Jerusalem. The
Tree of Knowledge is the means by which Adam and Eve become mor-
tal. In Old Norse mythology, the life-tree Yggdrasil connects the nine
worlds and so structures the cosmos. This book argues that the tree fig-
ures as an important connective symbol both in Tolkiens Middle-earth
mythology (as laid out in The Silmarillion), and in The Lord of the Rings.
Rowling: the Harry Potterr series

The first Harry Potterr novel arrived in British bookstores on 26 June
1997. When Goblet of Fire (2000) was released, the novels had already
been on the New York Times best seller list for 80 weeks, rotating in
the top three positions for several of those weeks a state of affairs
that eventually led The New York Times to split its list into Best Sellers
and Childrens Best Sellers (Anelli, 2008, pp. 72, 74). Rowlings personal
rags-to-riches story is now a popular legend of its own. The last book in
the series, The Deathly Hallows, was published in July 2007.
An important factor in the astonishing popularity of the Harry Potter
books was the development of computers, and, particularly, of the
Internet. Between 1989 and 1999 the Internets user base tripled (Anelli,
2008, p. 88). At the same time, the first fan sites developed and these
sites frequently became devoted to all things Potter, as teenagers were
in the forefront of assimilating the new technology (Anelli, 2008, p. 89).
Thus three elements combined to boost the phenomenon: age, techno-
logy and timing.
Warner Brothers has made a series of block-buster Harry Potter mov-
ies from 2001 to 2011 that undoubtedly have furthered the sales of the
novels. At the time of writing, three further films from the Potter-verse
are planned (Tartaglione, 2013), based on Rowlings Fantastic Beasts and
Where to Find Them (2001). A Harry Potterr theme park opened in Florida
in 2010, and Rowling still communicates interactively with her fan-
base on www.pottermore.com, disclosing new information about her
fictional universe. Although The Lord of the Rings has been turned into
film (an animation by Bakshi in 1978 and the far more successful film
trilogy by Peter Jackson from 2001 to 2003), these adaptations have
impacted the scholarly interpretation of Tolkiens novel far less, as by
2001 almost 50 years of Tolkien criticism had accumulated. By contrast,
the first Harry Potterr film was made only four years after the publication
of the first novel and six years before the completion of the last book.
Introduction 5
Consequently, from 2001 to 2007 there were parallel releases of new

books and films, making it hard to dissociate the actors faces from ones
interpretation of the literary character, and making the Potter phenom-
enon more entwined with the literary texts themselves particularly
as Rowling has played an active part in the adaptation process from
books to films.7 While early academic work was focused on the literary
texts, later criticism tends to concentrate on the Potter fan community
(Mendlesohn and James, 2009, p. 176). Returning to the literary text,
this book examines textual causes for the diverse readings and value
controversies the series has generated.
Fantasy is often accused of being formula fiction, and John Granger
has claimed that all the seven Harry Potter books follow a ten stage pat-
tern of the heros journey, but that this formula is overlaid by another
superstructure: that of a seven stage alchemical process (Granger, 2008a,
pp. 223, 27). This books chapter 3 argues that as the protagonist
develops and matures so does the narrative complexity of the stories so
that the books effectively develop from a childrens fantasy story in the
first volume toward the complexity of a modern adult novel in volume
seven. The series generic and narrative intricacy creates a necessity for
re-reading, and its ethical complexity is a main reason for the divergent
readings that have been made of its value propositions.
Meyer: the Twilight series

For the sake of clarity, this book uses Twilight to refer to the series as a
whole, and Twilightt when referring to the first book in the series. Meyer
has revealed that Twilightt was inspired by a vivid dream about two
people in intense conversation in a meadow (Meyer, 2013c). In Meyers
dream, the couple was discussing the problems inherent in the fact
that they were falling in love. The woman was physically plain, while
the man was a fantastically beautiful, sparkly vampire, driven frantic
by the scent of her blood, and struggling not to give in to his instinct
of instantly killing her. Waking up from the dream, Meyer wrote down
what she could remember, and this recollection later formed the basis
of chapter 13 in Twilight,t Confessions (Meyer, 2013c).
Meyers literary agent pitched the story for publishing as a three-book
deal. For her sequels, Meyer outlined what later became Breaking Dawn.
However, her publisher demanded two sequels featuring Edward and
Bella in college as fulfilment of the three-book deal (Granger, 2010,
p. 118). Consequently, Meyer wrote New Moon and Eclipse, leading up
to her own originally imagined finale that eventually was published
as Breaking Dawn in 2008. The saga as a whole has spent more than
235 weeks on the New York Times best-seller list for Childrens Series
Books (Grossman, 2009b), and a series of successful film adaptations
were released yearly from 2008 to 2012.
This book argues that the publishing history of Twilight is part of the
reason why the series is aesthetically flawed, since New Moon and Eclipse
build up reader involvement that Meyers implied author in Breaking
Dawn does not fully deliver on, particularly in relation to the character
of Jacob Black. However, without the two intermediary books, Twilight
would undoubtedly be more one-dimensional and, therefore, less ethi-
cally interesting.
This analysis of Twilight is angled towards its ethical aspects. A blank
spot in Twilightt criticism that this book seeks to address, is to narratively
account for its divided readership: why has the series attracted a reader-
ship that is either pro-Edward or pro-Jacob? The position argued here is
that the root of this division is a difference in the ethical position taken
by respective readers a position that partly hinges on the extent to
which a reader ethically aligns with Bella as a focal character.
Analytical aims and methodology
The aim of this book is to give a literary analysis of the ethical argu-
ments8 and structures of valuing in the three widely popular fantasy
texts J. R. R. Tolkiens The Lord of the Rings, J. K. Rowlings Harry Potter
series, and Stephenie Meyers Twilight series, and compare them to each
other. The ethical aspects of the texts are explored along three axes.
The first axis is a rhetorical analysis of the single ethical universe of
each text based on James Phelans rhetorical theory of narrative that
serves to identify what issues are ethically salient within the text itself,
drawing particularly on Phelans concept of progression.9 The second
axis draws on the concepts of philosophical ethical theory to link the
ethical universe of each text with a wider and contemporary ethical
context.10 The third axis is a set of questions posed to each text in order
to facilitate their comparison: What are the distinguishing character-
istics of good and evil in each narrative, and how is the reader guided
to perceive these characteristics? What is the role of moral emotions,
norms and rules in the theory of right action that guides the characters
in their situations of choice, and how does the narrative presentation
influence the reader to side in the moral decision-making process?
The analysis is further focused on the relationship between ethics and
aesthetics. Aesthetics is here primarily understood as narrative aesthet-
ics, involving an emphasis on form, structure and imagery in the wide
Introduction 7
sense of that term.11 Ethics deals with values with assessments of

what is right or wrong, good or bad. In this book, ethics is understood
both according to the rhetorical theory of narrative and in relation to
theoretical ethics. This means that in the literary analysis, the ethical
arguments furthered by the implied author are regarded as developing
their force through the narratives form, so that the ethical is aestheti-
cally formulated and accentuated.
Relying on the contested concept of implied author requires a brief
presentation of my theoretical justification for this position. The implied
author has been described by Wayne C. Booth as an implied version of
the real author who chooses, consciously or unconsciously, what we
read; we infer him as an ideal, literary, created version of the real man;
he is the sum of his own choices (Booth, 1983, pp. 745). Thus, as
Ansgar Nnning notes, Booth does not regard the implied author
as a technical or formal device, but as the source of the beliefs, norms
and purposes of the text [and as] the origins of its meaning (Nnning,
2008, p. 239). Nnning has raised the objection that there is a tension
inherent in Booths formulations of the concept between the definition
of the implied author as the structure of the texts norms (located in the
text itself) and the conception of the implied author as the addresser
in the communication model of narrative (Nnning, 1997). Dan Shen
locates the inconsistencies instead in critical misinterpretation of what
she regards as Booths quite logical and coherent descriptions of the
concept. She usefully distinguishes between the encoding (author)
and the decoding (implied) aspects of the concept (Shen, 2008, p. 2),
where the encoding consists in the author writing in a certain manner
and the decoding consists in the readers inferences of all the choices
made by the implied author the person who has written the text in a
certain manner (Shen, 2008, p. 2).
Building on Shen, Booth, and James Phelans rhetorical theory of
narrative, this book regards the implied author as having an encoding
aspect (Shen, 2008), defined as constituting a streamlined version of
the real author, an actual or purported subset of the real authors capaci-
ties, traits, attitudes, beliefs, values, and other properties that play an
active role in the construction of the particular text (Phelan, 2005,
p. 45), and a decoding aspect (Shen, 2008) that consists of the real
readers intuitive apprehension of a completed artistic whole (Booth,
1988, p. 73). Thus, the ethos of an individual text is here regarded as
devised by the implied author, constrained by textual demands and
not necessarily congruent with the ethos embodied or advocated by
the flesh-and blood author in his or her real life. The implied author is
apprehended and to an extent co-created by the real reader based both

on textual clues and the knowledge and inclinations of the real reader.
This means that the real authors extra-textual remarks and interpreta-
tions of his or her text in this context are secondary in importance
to the interpretation constructed in the encounter between text and
reader, as the ethical aspects of the work are regarded as embedded
in the completed artistic whole of the text itself and realized in the
encounter with the reader.
In this book the narrator is treated as the communicative instru-
ment of the implied author. I follow Phelans (2005) argument that the
implied author is necessary to account for both irony and the manipula-
tion of unreliable narrators, because the reliability of the narrators state-
ments can only be gauged against the elusive standard of the implied
author. The debate over the implied author and the critical debate
over the positioning of the implied reader as a text-internal or text-
external instance12 demonstrates the difficulty in capturing theoreti-
cally the complex process of the real readers interaction with narrative.
There does seem to be a persistent difficulty inherent in the concept of
implied author: it is hard to draw any definite line between where the
text ends and where the readers apprehension of it begins, as in prac-
tice the (re-)construction of the implied authors intentions is inevitably
made by the real reader. Regarding the primary texts through the con-
cept of implied author has led me to read The Silmarillion as entwined in
the rhetorical purpose of The Lord of the Rings, to pinpoint instances of
irony in the Harry Potterr novels which complicate the ethical analysis of
the series, and to ask whether the implied author of Twilight prompts the
reader in Breaking Dawn to disagree with the choices and evaluations of
the texts main narrator-focalizer Isabella Swan.
Philosophical ethical theory is also brought to bear on this analysis
of the primary texts. The focus on the narrative aspects and qualities of
the texts as the primary source of its ethical force and argument means
that there is a limit to how far the abstraction towards ethical theory
is taken. The texts are not approached with any a priori definition of
good and evil. Rather, the analysis seeks to locate the internal system of
valuing of each text in order to determine what is considered good and
evil (or given a positive or negative value connotation within the text)
on the terms established by the texts themselves. Additionally, generic
form may morph ethical content, due for instance to issues of the
paranarratable.13 This means that the values emerging in the narrative
analysis of the texts may differ from the range of values expressed in
the contemporary context from which the narratives arose. However,
Introduction 9
this book proposes that aspects of the selected texts still serve as indicators
of (some of) the implicit values of their respective eras.14
As the flesh-and-blood reader constructing both the implied author
and the implied reader of my primary texts based on textual evidence,
I find it pertinent to distinguish between two different forms of read-
ing. When one engages with the texts as literary experience, they all
convey distinct emotional qualities. The Lord of the Rings is deliber-
ately composed using distinct linguistic registers, all with their unique
tones. The Harry Potterr series, particularly in the early books, is marked
by an infectious sparkly wit, while Twilight draws on the rhetorics of
both horror and romance to hook readers into its plot. These distinct
emotional tones of the narratives are not experienced as strongly when
engaging in and with academic criticism of the texts, and it is hard to
see how rational analysis could sustain them. Although the immediate
emotional intensity that the reading experience itself provides is dif-
fused by academic analysis and scrutiny, this emotional dimension is an
important facet of the analysis of the texts, since they are formative of a
readers ethical and aesthetic judgements of any given text.15
Since this book also draws on theoretical ethics, the emotional quali-
ties of the narratives take on further significance. This is because within
certain branches of moral philosophy, literatures aesthetic features tend
to be regarded as either superfluous to ethical discussion, or downright
detrimental. In the Republic, Plato famously argues that poetry is mor-
ally harmful because it is twice removed from the truth, or the real.
For Plato, actuality is only an imitation of a deeper reality (that of the
Forms), and so poetry is the imitation of an imitation (Plato, 2000,
Republic, Part X). Gregory Currie has since argued that the detrimental
effects of literature on ethical ability are further enhanced by literatures
tendency to affect us emotionally, and to distract us through aesthetic
complexity.16 Such scepticism about the usefulness of literature to ethics
has led moral philosophers who align their views with those of Plato to
dismiss literature as a medium of ethical reflection and learning.
Unlike Plato, Aristotle in his Poetics considers poetry able to move
the reader towards the real in its capacity to present the general and the
universal. In his view, the difference between poetry and history is that
history relates actual events, or particulars, while poetry relates more of
the probable and thus is a representation of the laws governing actuality
(Aristotle, 1995, pp. 601). Consequently, most literary theorists and
moral philosophers who tend to use literary examples in their discussions
back their views with reference to the Aristotelian tradition. This holds
true for Martha Nussbaum, who has argued for the inclusion of literature
into moral philosophy on the grounds that (certain) novels show us the
worth and richness of plural qualitative thinking and engender in their
reader a richly qualitative kind of seeing (Nussbaum, 1990, p. 36). In
Nussbaums view, they do this by providing the reader with a sort of ethi-
cal exercise that is denied in the constructed and simplified case stories
of moral philosophical discourse, where the morally salient features of a
situation have already been selected and carefully pointed out. In con-
trast, literature provides the reader with descriptions of situations that are
more like life, and where the reader actively has to assess what the salient
ethical features of each situation are as well as how they connect with
(the descriptions of) other situations. Leaning on Aristotle, Nussbaum
emphasizes the role of emotion and intuition in moral decision making.
Given that every situation and each moral choice in certain ways are
unique, in Nussbaums view the virtuous person ought to develop his
or her sensibilities in order to be able to skilfully improvise in the actual
circumstances that life presents from moment to moment in the mould
of an accomplished jazz musician (Nussbaum, 1990, p. 94).
Nussbaum has been criticized for arguing rather one-sidedly that
good literature does us [morally] good a claim there is no clear
empirical proof to back up (Shusterman, 2003, p. 220). This book aligns
rather with Phelans view that literary texts may be ethically commend-
able but also ethically questionable, and that a clear view of a texts ethi-
cal communication is facilitated by careful rhetorical analysis of each
single text on its own terms. Placing his own project in relation to the
literary approach developed by the Neo-Aristotelians at the University
of Chicago in the mid-twentieth century, Phelan formulates two impor-
tant principles of his approach: (1) the a posteriori principle (derived
from Aristotles poetics), which involves a reasoning back from effects
to causes and secures respect for the concrete details of its object, and
(2) a recognition of a feed-back loop among readerly response (effects),
textual phenomena (their causes), and authorial agency (the causes
of the textual causes) (Phelan, 2007, p. 85) which leads to a heuristic
movement between these. These two principles are also central to the
methodology of this book.
Philosophical theories that are non-Aristotelian in their origin, and
therefore more sceptical towards the ethical role of literature are also
important to this study, however. As a way of reconciling such theo-
ries with a narrative approach to ethics, Timothy Chappells approach
is useful. He regards moral theory as having three predilections: that
there is no question of context, that ethics should be like science, and
that moral theory can capture everything (Chappell, 2009, p. 189).
Introduction 11
These features (a systematizing of reason into as general maxims as

possible, with minimal complexity) that Chappell cites as an impor-
tant aspect of most moral theories serve to distinguish the ethical
discourse within ethical theory from the reflection on ethical issues
that takes a literary form. Literary discourse tends to be marked by
aesthetic and cognitive complexity (Locatelli, 2008, p. 21), and also
tends to invite its readers to display what Locatelli terms readerly
hospitality, defined as a readiness to have ones purposes reshaped
by the work to which one is responding (Locatelli, 2008, p. 31). Thus,
a reader of literature most often reads with an aim or desire of being
movedd or affected, also emotionally, whereas ethical theory is designed
to move and affect most prominently the intellectt of the reader. Due
to such differences, this book does not expect the theories of right
action that it seeks to analyse within the primary texts to display the
same degree of systematized reason and minimal complexity as does
an ethical theory, even if the moral reasoning of characters may be
inspired by or to an extent congruent with moral principles outlined
in such systematized theories of right action. Nor does it expect such
systematized moral theory to capture all facets of the ethical discourse
within the primary texts. This book, therefore, draws on specific ethi-
cal theories in the analysis when the narrative situation actualizes a
discussion that a specific theory is apt to handle or elucidate. Inspired
by Chappell, this book holds that in the texts reality (as in ours) the
data of moral experience may be messy, so that no single theory can
account for them all (Chappell, 2009, p. 195). All the same, theoreti-
cal ethics is helpful in the relevant context for thinking about ethical
issues, for clarifying their assumptions, and for discerning different
ethical positions and options a process that thereby helps relate
the ethics of the primary texts to a larger (theoretical) field of ethical
discourse.
The primary texts together make up around 7,000 pages. The sheer
bulk of text analysed has made it necessary to focus the discussion of
narrative and theoretical ethics on the protagonists of each work, and to
concentrate on aspects of the narratives and the narration that emerge
as salient relative to the three analytical axes. The narratives have been
approached with an aim to pin-point what elements of the text may
sway a reader in one or another direction of interpretation in terms
of values. The reading presented here should be considered an avail-
able reading rather than a correctt reading (if such a thing exists), and a
contribution to the ongoing debate and critical discussion of the value
aspects of these popular texts.
Fantasy as genre
This book pays attention both to conscious ethical arguments in the

texts and to the more subconscious positions of valuing in which
these ethical arguments are embedded. Such attention to subconscious
ethics has its roots in fantasy as a genre. According to John Clute, fan-
tasy is an extraordinarily porous term, and has been used to designate
vast deposits of story, which within a given culture or historical period
is deemed unrealistic (Clute and Grant, 1999, p. 337). The broader term
of the fantastic encompasses allegory, dark fantasy, fairy tale, fabula-
tion, animal tales, horror, folktales, science fiction, supernatural fic-
tion, surrealism and more. Thus, as Clute points out, fantasys specific
location in the spectrum of the fantastic is a matter of constant critical
speculation (Clute and Grant, 1999, p. 337). In fact, one of the central
critical concerns within the relatively young academic discipline of
fantasy theory has been to come up with a workable genre definition.
In 1928 Propp described 31 structural elements or functions that
he found to unfold in a series of movements within all folktales. Propp
defined a function as an act of a character, defined from the point of
view of its significance for the course of the action (Propp, 1968 [1928],
p. 21). Furthermore, he regarded these functions as independent of
how, and by whom, they were fulfilled. In his structural description of
fantasy, Clute builds on Propps notion of character functions divided
into movements, but renames Propps movements wrongness,17 thin-
g 18 recognition19 and healingg or return.20 Clutes movements have later
ning,
been developed by Farah Mendlesohn into four classificatory fuzzy sets
of fantasy: portal-quest fantasy, immersive fantasy, intrusion fantasyy and
liminal fantasy, each emphasizing one of these movements, based on
the rhetorical structure of each set (Mendlesohn, 2008, p. xiv). The term
fuzzy set is borrowed from Brian Atteberys Strategies of Fantasy (1992),
in which he launched the now fairly widely accepted idea that fantasy
can be defined through significant examples of what best represents it.
To Attebery, Tolkiens The Lord of the Rings sits at the centre of fantasy
literature as its most prototypical text, both due to its popularity and to
its formative influence on the genre.
Clute defines fantasy thus:
A fantasy text is a self-coherent narrative. When set in this world, it

tells a story which is impossible in the world as we perceive it; when set
in an otherworld, that otherworld will be impossible, though stories
set there will be possible in its terms. (Clute and Grant, 1999, p. 338)
Introduction 13
This definition distinguishes fantasy from dream tales, surrealism and

postmodernist texts, all of which may use the fantastic, but which,
significantly for Clute, decline to take on the nature of story. Clute
understands story as connectiveness, in the sense that narrative con-
sequences follow from narrative beginnings (Clute and Grant, 1999,
p. 338). For him, story is central to fantasy literature, and it is what sets
fantasy apart from modernist novels like Joyces Ulysses, from absurdist
fantasy and fabulism, and from magic realism of the kind developed
by Gabriel Garcia Marquez. Clute further distinguishes fantasy from
supernatural fictions, and from horror, which may end abruptly before
resolution is achieved something which to Clute runs counter to the
demand for closure that helps define fantasy. Thus, it is through discard-
ing Clutes emphasis on connective story that Farah Mendlesohn opens
up her definitional range of fantasy to include horror, magic realism and
postmodern texts that fail to provide this level of closure. Mendlesohns
much broader definition of fantasy includes science fiction (immersive
fantasy), horror (intrusion fantasy) and texts that need contain no
magic and which are open and polysemic in nature (liminal fantasy).
Mendlesohn approaches texts of the fantastic through an analysis
of their rhetorical structure and the positioning of the implied reader.
For Mendlesohn, the readers response to any fantasy text is fashioned
above all by the degree of success with which the author delivers on the
readers expectation which is in turn shaped by recognition of these
categories. Mendlesohn claims to have been surprised by the apparent
rigidity of ideological apparatus that surrounds the forms she identifies
(Mendlesohn, 2008, p. 273), and stresses that a great deal of her book
is about how particular rhetorics deliberately or unavoidably support
ideological positions, and in so doing shape character, or affect the
construction and narration of story (Mendlesohn, 2008, p. xvi). While
Mendlesohns discussion of form and ideology in fantasy is useful to
this study, her view of an unavoidable link between narrative form and
ideology stands in marked contrast to Phelans position:
The one theoretical generalization I would offer is that there is no

one-to-one correspondence between any specific formal feature of
a narrative and any effect, including the placement of a narrative
along the fiction / non-fiction spectrum. Effects, whether cogni-
tive, emotive, or ethical, always have multiple causes because effects
always depend on both microlevel (e.g., diction and syntax) and
macrolevel features (e.g., the pattern of the progression, the genre of
the narrative). (Phelan, 2005, p. 68)
Drawing on the narrative methodology of Phelan, this book consequently

questions Mendlesohns belief that the relationship between ethics and
rhetorical form in fantasy literature is rigid. It suggests that individual
texts tend to rely on dynamic combinations of formal patterns accord-
ing to their ethical agenda rather than stay confined to any single and
static formal or ideological template.
Classing The Lord of the Rings as portal-quest fantasy, Mendlesohn
concedes that this text begins and ends as immersive fantasy, with a
portal-quest fantasy section in the middle (Mendlesohn, 2008, p. 31).
However, she makes no attempt to rhetorically examine what happens
to the moral sermon21 of the portal-quest fantasy when it is bracketed
by fantasy in the immersive style. This is surprising, due to the strong
link she forges between narrative structure, reader positioning and
ideology. Mendlesohn further notes that the Harry Potterr novels are
unusual in that they start out as intrusion fantasy that turns into classi-
cal portal-quest fantasy (Mendlesohn, 2008, p. 114). In other words she
contends that both texts display a blending of rhetorical forms, even as
she underlines that the portal-quest fantasy is a closed narrative form
(Mendlesohn, 2008, p. 32) that insists on a monosemic understand-
ing of the [invented] world (Mendlesohn, 2008, p. 36). In Rhetorics of
Fantasyy Mendlesohn makes no mention of the Twilight series, which in
this book is read more specifically as the Template Dark Fantasy subset
of paranormal romance (see Chapter 5).
The concept of genre has been subject to critical scrutiny within liter-
ary criticism lately. Mendlesohn, building on Atteberys notion of the
fuzzy set, uses a model of genre that has been developed within cogni-
tive psychology; that of classes defined by prototypical cases, but with
fuzzy boundaries (Frow, 2010, p. 54). As Frow notes, the judgement we
make of a literary text is as much pragmatic as it is conceptual, a mat-
ter of how we wish to contextualize these texts and the uses we wish
to make of them (Frow, 2010, p. 54). What remains true for all of the
primary texts in this book is that they frequently are read as compounds
of various genres or subgenres. What they also have in common is that
they are all usually classed as novels. Consequently, the primary texts
in this study are regarded as generically characterized by what Mikhail
Bakhtin has termed heteroglossia or multi-voicedness: The novel can
be defined as a diversity of social speech types (sometimes even a diver-
sity of languages) and a diversity of individual voices, artistically organ-
ized (Bakhtin, 1981, p. 262). The formal complexity of my primary
texts, the authors of which at times deliberately play with generic forms
and expectations, makes it sensible to regard them as novels and as
Introduction 15
marked by the dialogic complexity characteristic of this genre. With the

term artistically organized, Bakhtin also acknowledges a rhetorical posi-
tion akin to the one defined in Booths decoding aspect of the implied
author (Shen, 2008): These heterogeneous stylistic unities, upon enter-
ing the novel, combine to form a structured artistic system, and are
subordinated to the higher stylistic unity of the work as a whole, a unity
that cannot be identified with any one of the unities subordinated to it
(Bakhtin, 1981, p. 262). The concept of multivoicedness is thus com-
patible with an analytical emphasis on the implied author. Relying on
Bakhtins definition of the novel as characterized by heteroglossia, I pay
particular attention to narrative voice, which in Phelans conception
also has an ethical dimension in that it can refer to the synthesis of a
speakers style, tone and values (Phelan, 2005, p. 219).
Narrative ethics and fantasy
This books emphasis on the relationship between ethics and form

means that it is useful to angle a brief survey of the historical discourse
on fantasy in relation to Lisbeth Korthals Altes definitions of the three
dominant strands of narrative ethics that have developed within literary
criticism since the 1980s, namely: 1) pragmatist and rhetorical ethics, 2)
ethics of alterity and 3) political approaches (Altes, 2008, p. 143).
Early fantasy theorist and writer George MacDonald regarded fairy
tales as containing layer upon layer of significance inscribed in them
by God. Consequently, they had the power like nature to touch the
soul of the reader like the wind touches the Aeolian harp (MacDonald,
1893). On this view, the source of ethical norms is God, both within
the tale and within the reader. J. R. R. Tolkien in many ways echoes
MacDonalds views on fairy tales in his essay On Fairy Stories, where
he regards the invention of fairy stories as sub-creation: a parallel,
on the human level, to Gods creative power (Tolkien, 2008a [1947]).
For Tolkien, proper fairy tales affirm, through their happy ending, the
Christian message of hope represented by the true fairy story of Christ.
Mapping MacDonalds and Tolkiens views on ethics onto the three
ethical approaches outlined by Altes, it would be closest to, although
not overlapping with, the pragmatist and rhetorical approach, rep-
resented by philosophers like Alasdair MacIntyre, Richard Rorty, and
Martha Nussbaum, and by literary theorists like Wayne C. Booth and
James Phelan (Altes, 2008, p. 143). On the rhetorical view, narrative is a
form of communication. In this critical approach the text is construed
as the meeting ground between the ethos of the implied author and the
ethos of the real reader. This type of ethical engagement with literature
builds on notions of virtues, shared values and vocabularies (Altes,
2008, p. 144).
The branch of narrative ethics that Altes terms ethics of alterity is
represented by theorists like Emmanuel Levinas, Joseph Hillis Miller
and Jacques Derrida. The critique levelled at the pragmatist approach
to narrative ethics by those who seek to describe and develop an ethics
of alterity, is that ethical discourse based on an assumption of common
values may mask deep differences. Chapter 3 of this book argues that
the ethical and narrative construction of the Harry Potterr series encour-
ages a Derridiean type of deconstructive reading that privileges unde-
cidability over moral judgement. On the surface, deconstruction seems
opposed to moral philosophy in that it aims to subvert the traditional
pillars of ethics: the autonomous subject, meaning and truth. Joseph
Hillis Miller in particular has countered this claim against deconstruc-
tionist criticism by defining ethics as reflection on and respect for
alterity (Altes, 2008, p. 144). Within fantasy theory, both Tzvedan
Todorov and Rosemary Jackson display concern with notions of alter-
ity. Todorov (1975 [1970]) identifies themes of the self, which basically
structure the relation between mental and physical reality and has to
do with how we perceive the world, and themes of the other, which
deal with desire and its prevention, and via desire with the libido and
the unconscious. (The other in these themes of the other is basically the
feminine.) Rosemary Jackson (1981) regards Todorovs failure to con-
sider psychological explanations to the fantastic as a weakness in his
approach. For Jackson, issues of the self and the other are represented
by two different myth-structures, the Frankenstein-myth, where the
attacking evil is self-created, and the Dracula-myth, in which evil is
the other, coming from the outside to infect the self.
In the emphasis on difference, there is a degree of overlap between
political approaches to narrative ethics and ethics of alterity. Within
feminist and queer theory, narrative is regarded as an instrument for the
invention of new gender roles or a celebration of sexual alterity. Altes
notes that what these theorists have in common, also with post-colonial
theorists like Homi Bahbha and Gayatri Spivak, is that they all tend to
defend conceptions of ethics that promote specific emancipatory politi-
cal agendas (Altes, 2008, p. 145). In this focus on normativity, they are
closer to traditional morality than to Derridean uncertainty. Virginia
Woolfs liminal fantasy Orlando, marked by its feminist agenda and
briefly analysed in this book relative to Twilight, can be placed within
a political approach to narrative ethics.
Introduction 17
Research on the Holocaust is another strand of political approaches to

narrative ethics. Survivors narratives, or testimonies, are an important
part of such literary research. A fantasy critic who has seen a connection
between the rise of fantasy as a genre and horrific cultural occurrences
such as the Holocaust is Thomas Alan Shippey. Referring to works
by George Orwell, William Golding, Kurt Vonnegut, Ursula Le Guin
and Thomas Pynchon, he suggests that the genre of fantasy arose as a
response to new and extreme confrontations with evil experienced in
the twentieth century, such as the Somme, Dresden, Guernca, industri-
alized warfare, the atomic bomb, and genocide. In Shippeys view, these
different authors were all led to develop their own images and theories
of evil (Shippey, 2001, p. xxx), their responses arising from a deep psy-
chological need to come to terms with shocking personal experiences.
Thus, to Shippey, fantasy as a genre relates in particular to observations
of, and ethical and aesthetic reflection around, the phenomenon of
collective evil.
While the narrative of The Lord of the Rings is anchored in a situ-
ation of total war, genocide becomes a central theme in Harry Potter
as Voldemort instigates his campaign to eradicate mud-bloods. In
Twilight, territorial disputes and issues of land rights feature as a signifi-
cant part of the plot. Thus, in all three narratives, as in any real readers
reality, ethical choices are not simply a consequence of an individuals
actions and ethical deliberation. As is highlighted by Shippeys concep-
tion of fantasy as a response to collective acts of evil, individual actions,
choices and deliberations always arise out of, and are a response to, a
social and temporal ethical context. Individual ethical choice is always
embedded in, and to a degree constrained by, the deeper fabric of ones
society and culture. Furthermore, as Iris Murdoch has stressed; rather
than purely rational creatures, in view of our complex psychology
human beings are obscure systems of energy out of which choices and
visible acts will emerge at intervals in ways which are often unclear
(Murdoch, 2001 [1970], p. 53). Fantasy literature seems to tap into such
obscure psychological patterns and movements of will in ways that
many readers find intuitively meaningful.
Fantasy, psychology and iconic mimesis
As Kathryn Hume (1984) has noted, the Western narrative tradition has
been discussed in mimetic terms ever since Plato and Aristotles decla-
ration that the essence of literature is imitation. Due to this historical
bias towards the mimetic aspects of literature, the richness of fantasy as
a literary impulse has not been fully explored, Hume holds. She further
observes that Socrates repudiation of fantastical elements in literature
deflected inquiry away from the relationship between fantasy and the
unconscious, thus discouraging systematic analysis in that direction
until psychoanalysis (Hume, 1984, p. 7). This is important because
unlike the mimetic, fantasy seems to have its roots in the unconscious,
something that Rosemary Jackson clearly realized in basing her theory
of fantasy on Freuds notion of the uncanny. However, the unconscious
has also been largely ignored within theoretical ethics: Nomy Arpaly, in
inquiring into moral agency, observes that unconscious issues pertain-
ing to moral agency are not often dealt with by philosophers, in spite
of their acknowledgement that unconscious mechanisms do exist and
do influence moral agency:
No contemporary philosopher I know of, moral psychologists

included, denies that we have beliefs and desires (plans, memories,
etc.) of which we are not aware, that we act on them frequently, or
that we make many inferences each day without drawing a syllogism
on a mental blackboard. There is, however, some tension between
the prevalence of garden-variety unconscious influences and the
emphasis in the writing of some philosophers on the importance of
the first-person perspective to moral psychology the very perspec-
tive that the discovery of the unconscious showed to be somewhat
less trustworthy than it once seemed. (Arpaly, 2003, p. 17)
In response to the writings of Iris Murdoch, this last point has long
since been embraced by critics exploring the relationship between lit-
erature and moral philosophy, as Leona Toker notes in her introduction
to Commitment in Reflection (Toker, 1994, p. xvii).
In Humes view, it is fantasy that gives literature its power to purvey a
sense of meaning to its readers, when fantasy is considered a legitimate
response to reality, and to our demand that reality should be meaning-
ful. This relationship between fantasy and patterns of meaning has
been touched upon also by Brian Attebery, who offers a useful way of
regarding the relationship between fantasy and mimesis by drawing on
Charles Sander Pierces notion of icon:
Fantastic literature is full of loaded images, concrete emblems of

problematic or valuable psychological and social phenomena. The
combination of such images into a narrative order is an attempt to
achieve iconic representation, so that the narrative can, like the city
Introduction 19
map, give us new insights into the phenomena it makes reference to.
(Attebery, 1992, p. 7)
Atteberys notion of fantasy as mimetic in an iconic sense is useful to

the discussion in this book because it offers a notion of the mimesis
of fantasy that takes into account its archetypal roots. In the primary
texts a few central symbols or icons crystallized in the process of analy-
sis as narratively formative.
Attebery stresses that the first fantastic literature was collective, its
symbols shared by entire cultures (Attebery, 1992, p. 8); a state of affairs
that resonates powerfully with the recent global cultural phenomenon
created by the Harry Potterr series, The Lord of the Rings and Twilight.
His claim that the fantasy formula is a synthesis of cultural myths
with more universal story archetypes, and therefore may be analysed
to reveal widespread cultural values and assumptions (Attebery 1992,
p. 9),22 ties in with the research of Marie-Louise von Franz, who has
analysed hundreds of fairy tales from around the world. Von Franz
claims that fairy tales are the purest and simplest expression of collec-
tive unconscious psychic processes; in contrast to legends, myths, or
any other more elaborate mythological material, in which there is an
overlay of cultural material (Von Franz, 1996, p. 1). She thus regards
fairy tales as an expression of collective unconscious psychic processes.
In line with Atteberys view that fantastic literature frequently refers to
or imitates dreaming (Attebery, 1992, p. 7), this leads to the suggestion
that at least part of the mimesis in fantasy literature (which draws heav-
ily on fairy tale archetypes and patterns) is the mimesis of subconscious
patterns. Unlike von Franz, who seeks primarily the unconscious mate-
rial, and also unlike most ethical theorists, who have tended to seek
primarily the conscious material, this book aims to be aware of both
levels in considering the dynamics of value that unfold in the chosen
texts. Here, focus on the unconscious aspects of the texts consists in:
a) a generic awareness that fantasy fiction has archetypal roots stretch-
ing back through fairy tale and myth: material that holds unconscious
resonance for most people, and b) a concern to take into account the
central icons or symbolic features of each text when analysing what
they are about.
Fantasy as contemporary trend
With the rising popularity and prominence of genre fiction in the

twentieth century, it appears that the long held scholarly view of
fantasy as marginal literature is changing. Ursula Le Guin has pre-

sented a view of fantasy literature as a deep current in narrative fiction
gaining momentum in recent years (Le Guin, 2004, pp. 423). A similar
view is argued by historian Michael Saler (2012), who suggests that
Max Webers influential description in 1917 of a disenchanted West
has overly coloured the perspective of Western historians for nearly a
century leading them to disregard and marginalize the role of magic
and the occult in their descriptions of modernity (Saler, 2012, p. 12).
His argument can be linked to similar propositions made within the
research field of contemporary religion and popular culture, which
discusses the re-enchantment of the West (Partridge, 2004), and post-
secularism (King, 2009).
Saler views the modern mode of inhabiting imaginary worlds as
originating in the literary genre of the New Romance that developed in
Britain in the 1880s23 with the expressed intention of combining the
objective style of realism with the fantastic content of romance (Saler,
2012, p. 59). The objective style of realism was achieved by adoption
of the rhetoric of fact-based science through the inclusion into the
fictional text of maps, footnotes, glossaries, photographs and appendi-
ces (Saler, 2012, p. 15). Readers of The Lord of the Rings will certainly
find this description familiar. Central concepts for Saler are animistic
reason, which aims at reconciling reason with the imagination, and
ironic imagination a double-minded consciousness that permits
emotional immersion in, and rational reflection on, imaginary worlds,
yielding a form of modern enchantment that delights without delud-
ing (Saler, 2012, p. 30). For Saler, Fictionalism is a broader turn in
Western culture in which experience is understood in terms of con-
tingent and provisional narratives: an outlook of as if (Saler, 2012,
p. 27). In this book, the primary value of Salers approach lies with
its explanatory power relative to the contemporary habit of increas-
ingly and communally inhabiting imaginary worlds now frequently
as transmedia24 experiences. On this view, the recent and astounding
popularity of works such as The Lord of the Rings, Twilight, and Harry
Potterr is regarded as an effect of deeper and on-going trends in Western
culture,25 and thereby as reasonable rather than surprising. Such a posi-
tion is formulated also by Tom Boellstorff (2010), who explicitly links
the development of virtual worlds to fantasy literature, highlighting
Tolkiens importance. With reference back to Tolkiens conception of
secondary worlds developed in On Fairy Stories, Boellstorff notes
that The Lord of the Rings was a major inspiration for the Dungeons
Introduction 21
and Dragons role-playing game () which was crucial to the devel-

opment of video games and virtual worlds (Boellstorff, 2010, p. 38).
Thus, both in their adaptability to different media and by formulating
viable secondary worlds, fantasy narratives have played and play an
important part in the assimilation and development of contemporary
virtual worlds and their values.
Part I
Quest Fantasy
2
Ethics and Form in The Lord
of the Rings
Rhetorically, the The Lord of the Rings seems to insist on being read in
conjunction with the Silmarillion material from Tolkiens greater leg-
endarium. For reasons specified in Chapter 1 this book draws primarily
on the version of Tolkiens mythology presented in The Silmarillion.
Contextual information from the publication history of The Lord of the
Rings underscores the necessity of reading these texts together: Tolkien
broke his longstanding agreement for publication with Allen & Unwin
on the prospect of having The Silmarillion and The Lord of the Rings
jointly published (Scull and Hammond, 2006, p. 542). Drawing on the
theoretical and methodological basis presented in the Introduction,
this chapter gives a literary analysis of ethical aspects of The Lord of
the Rings.1
Narrative voice and perspective
A central voice in The Lord of the Rings is the narrator. In the prologue,
the narrator marks his temporal distance from the narrated events by
saying that Those days, the Third Age of Middle-earth, are now long
past, and the shape of all lands has been changed (LotR 2). The narrator
is cast in the role of historian, framing the narrative as a past-event his-
torical account. This situates him somewhere in the future with respect
to the narrated events perhaps in the Fourth Age, the Age of Men,
and allows him to regard the narrated events in a historical context. It
also enables him to furnish the reader with anthropological informa-
tion concerning the racial and cultural characteristics of hobbits. This
last point underscores the narrators position as that of a scientist and
scholar, implying a certain claim on rendering the tale from an objec-
tive, disinterested view of events. He also carefully outlines his historical
25
sources, which are mainly first-hand witness accounts from the War of
the Ring:
This account of the end of the Third Age is drawn mainly from
the Red Book of Westmarch.2 () It was in origin Bilbos private
diary, which he took with him to Rivendell. Frodo brought it back
to the Shire, together with many loose leaves of notes, and during
S.R 14201 he nearly filled its pages with his account of the War.
But annexed to it, and preserved with it, probably in a single red
case, were the three large volumes, bound in red leather, that Bilbo
gave him as a parting gift. To these four volumes there was added in
Westmarch a fifth containing commentaries, genealogies, and vari-
ous other matter concerning the hobbit members of the Fellowship.
(LotR 14)
The reader further learns in this prologue that both Merry and Pippin
kept libraries at their homes, and that Merry wrote several books on the
history of Rohan and Eriador, as well as a book discussing the differ-
ences between the various calendars of the peoples of Middle-earth. He
was assisted in this by the sons of Elrond, who remained in Rivendell.
Pippin also collected many manuscripts from Gondor concerning the
histories of Elendil, Nmenor and the rising of Sauron. Adding to this
detailed information in the prologue, towards the end of the narrative
the reader learns that Frodo presents Sam with the Red Book after hav-
ing written his own account of the War of the Ring within it, and says
that the last pages are for Sam to fill. This comprehensive account of
source material represents the narrator as a meticulous scholar, con-
cerned to account for and render his sources accurately. In addition
to commending his reliability, it also accounts for the focalization of
the various parts of the tale, which is seen through the eyes of Frodo,
Pippin, Merry and Sam in the nature of first hand witnessing. It fur-
ther builds the credibility of the historical comments of the narrator
who places the witness accounts of the War in a larger framework and
context.
The narrators voice and focalization further function as devices for
colouring the readers value judgements of the story, since the narrators
voice throughout is firmly anchored on the side of good. Due to the
nature of the historical source material, the subjects of the focalization
of the War of the Ring are the Fellowship of the Ring; and particularly
the four hobbits. The reader gets little information about the delib-
erations, thoughts and intentions of the Enemy which save for the
Ethics and Form in The Lord of the Rings 27
overheard bickering of Orcs is always focalized by the narrator, the

hobbits and the Fellowship of the Ring.
Through the use of this form of historic narration the recounting of
events as having occurred at specific times on a historical continuum
the narrator establishes his fictional tale as real. The appendices with
maps, family trees, calendars and linguistic information all take part
in making the mythical realm of Middle-earth seem solid, well estab-
lished and believable. This emphasis on factual information serves to
heighten the impact of the tale on the reader, both in terms of closeness
of identification as well as in terms of the readers investment in the
facts of the fictional world. In Phelans terminology, this prologue fore-
grounds the mimetic3 components of the narrative, in order to engage
the readers interest in the characters as possible people. A strong
narrative identification on the part of the reader would underscore the
tendency of the reader to carry over to his or her own life the implica-
tions of any value-lessons purported by the tale.
The focalization of different parts of the narrative is important to
consider in the interpretation of the value system invoked by a nar-
rative as a whole. In The Lord of the Rings the focalization shifts as the
story progresses. Books I and II, The Fellowship of the Ring, g are primar-
ily focalized through Frodo, and the reader follows him as he inherits
the Ring, learns of its true nature and sets out on the quest to destroy
it. How much the reader has become invested in Frodo as the filtering
consciousness of the tale only becomes evident when a distinct coun-
terview is set up in the narration: first through Frodos encounter with
Tom Bombadil, and later through the contrasting outlook of Sam, who,
like Bombadil but unlike Frodo, is able to see through the Rings illusory
projections of total power.
Furthermore, as the Fellowship splits up, there is an increase in the
number of perceiving entities or focalizers. These focalization shifts
are sustained for the duration of up to a book or longer, so that they are
significant in the organizingg of the narrative as a whole by creating a
branching out of the narratives form. In Book III the narrative follows
Aragorn, Legolas and Gimli as they array Boromir for his boat funeral
and pursue the Orcs that captured Merry and Pippin. The reader then
follows Merry and Pippin as they are captured by Orcs, escape and meet
Treebeard the Ent, and eventually as they reunite with Aragorn, Legolas
and Gimli and compare notes in Sarumans stronghold Isengard, which
has been demolished by the Ents. In Book IV the narrative traces Frodo
and Sam as they journey toward Mt Doom guided by Gollum / Smagol.
During this book the focalization shifts from Frodo to Sam. This is
signalled in the opening sentence of Book IV: Well, master, were in a

fix and no mistake, said Sam Gamgee (LotR 603).
This shift could be justified in terms of the detailed information pro-
vided regarding the narrators source material: as Frodo seems to grow
steadily wearier and more introvert during the progression through
Mordor, Sams detailed account of that leg of the journey would be more
interesting and comprehensive as a historical source. Thus one learns of
the ways in which Sams views differ from those of his master: in Sams
misgivings towards Gollum, for example (he does not share Frodos pity
for Gollum and several times votes for killing him), or in Sams belief that
his Elvish rope untied itself as he called to it (Frodo sees this as accidental).
Sams strong fascination with, and admiration for, Elves associates him
with hope and faith where Frodo, who has essentially lost all hope, is car-
ried along above all by a dogged sense of duty. Consequently, the shift in
focalization from Frodo to Sam also serves to deepen and elaborate both
characters in contrasting their opinions and views. Sam represents the
practical and down to earth reactions, but also has a greater curiosity about
magic.4 He is portrayed as a more folksy kind of hobbit than his Master
Frodo, who is described by Sams father as a very nice well-spoken gentle-
hobbit (LotR 22), clearly signalling the class difference between the two.
His lower social standing does not indicate that Sam lacks nobility of
spirit: the reader is several times privy to Sams deliberations regarding
the supply of food and water, and learns that he deprives himself of
both in order to keep Frodo going on larger rations. Even as Book IV is
mainly focalized through Sam, so the reader sees and knows pretty much
what Sam sees and knows, there are passages where the narrator discloses
himself: The Hobbits were now wholly in the hands of Gollum. They
did not know, and could not guess in that misty light, that they were in
fact just within the northern borders of the marshes, the main expanse
of which lay south of them (LotR 625). This remark by the narrator fur-
ther complicates the narrative picture, as it cannot wholly be explained
within the framework of the historical sources given above. It is hard to
see how Sam or Frodo could have provided the information about being
in fact just within the northern borders of the marshes even in retro-
spect, since the narrator claims that they did not know where they were
at the time and if they guessed about it later, the in fact indicates a
superior kind of certainty, compared to the probably such a guess would
entail. Drawing on the terminology developed by Genette (1983), the
perspective in the remark quoted above approaches the omniscient view
characteristic of zero focalization. The effect of this is that the narrator as
a filtering consciousness in this instance is backgrounded.
The historical type of narration used in the prologue is the first indi-
cator that the narrators scope goes beyond the perspectives of hobbits.
Setting, time lapses and local facts and customs are typically narrated in
this way. Through being able to give an account of hobbit history and
custom the narrator signals a vaster frame of reference that encompasses
the world and views of hobbits: the larger context that the hobbit realm
is embedded in. The narrators remark quoted above signals something
more than a historians view, however, and is related to the mythologi-
cal dimension of a sense of destiny or divine presence that is at a deeper
plane again, as it is presented as the shaping force of the events of the
historical context. Thus the scope and values of the narrator go beyond
that of hobbits to include a sense not only of the whole history of
Middle-earth, but also of the deeper forces shaping that history.
Should one attribute this sense of a divine or supernatural force,
which is important to the overall patterns of value presented through
this novel, to the narrator of the tale? Upon scrutiny, it is a perspec-
tive shared by the implied author. But it is important to distinguish
between two embedded levels: while the narrators historical point of
perception is not fully available to the hobbit protagonists as the story
unfolds, the sense of a supernatural agency or presence is one also
experienced and commented upon by the characters (as in Gandalfs
remark that Frodo was meant to have the Ring: LotR 151). This sense of
a divine will or destiny seems to be shared both by the narrator and his
historical informants, thus serving to unify on a cosmological level the
experiences of the characters and the historically removed narration of
these experiences. The sense of a divine presence serves as a common
world view between the characters in the diegesis and the extra-diegetic
narrator, and so in this instance the narrative distance signalled by the
narrator is reduced or eliminated a reduction that must be regarded as
the value communication of the implied author.
The large canvas of the historical frame narrator of The Lord of the
Rings enables the implied author to position the events in the story-
world in relation to the larger context of a (largely mythical) past. This
narrative strategy enables him to infuse the text with a richness and
complexity that it would be difficult to achieve coherently in another
way. At the same time the mythological dimension becomes a link
between the multiple temporal perspectives represented by the time of
narration (the narrators position), the time of the narrated events (the
position of the characters in the story world) and the common mythical
past linking and giving directional order both to the Third and (future)
Fourth Age.
A further point to consider in The Lord of the Rings, both as a narrative

tool and in relation to the value arguments of the text, is the narrators
frequent use of reported speech, intermingled with quotations of songs
and the exclamations of characters in various tongues; all of which
considerably increases the number of voices in the tale. This narrative
technique resembles the form of an opera or musical, where the narra-
tion is interrupted or carried foreword by musical themes. Knowing that
Tolkien was deeply interested in the musicality and sounds of language,
the intended effect might be read as that of adding to the aesthetic
enjoyment of the reader.5 Carl Phelpstead has explored the formal
similarities between The Lord of the Rings and Old Icelandic sagas in
the mixing of verse and prose. He notes that Tolkien was familiar with
prosimetric writings in other languages besides Old Norse-Icelandic:
Latin and early Irish are the two most obviously relevant literatures
(Phelpstead, 2008). The concept of prosimetrum pertains not only to
the subject of style but also to form. How is prosimetrum related to nar-
rative levels and to the texts ethical impact? First, the insertion of songs
and verse leads to a plurification of voice and to complication both in
answering the question who speaks?, and in the dimension of narrative
time. Second, through the mixing of prose and verse the text alludes to
multiple textual traditions with their own implicit value connotations,
thus setting up intertextual reverberations that affect the readers value
judgements. Michael D. C. Drout has argued, for instance, that in his
description of Denethor Tolkien alludes stylistically and thematically to
Shakespeares King Learr (Drout, 2004, p. 155). Drout further holds that
the diversity of Tolkiens stylistic means, ranging from colloquialisms
through Anglo-Saxon and archaic forms to the use of biblical syntax is
not bad style but an effective means of narrating a complicated web of
differing cultures and moralities, each reflected and carried through the
lexical choices made. Remembering that Tolkien was an accomplished
philologist, such a reading is convincing. With reference to the use
of prosimetrum in relation to the subject of voice and narrative time,
consider as an example the way the news of Saurons fall reaches Minas
Tirith. Minas Tirith has nearly been destroyed by the Enemy, and the
captains of the West have all gone on a desperate mission to assail the
Black Gate. News of the victory comes in the form of an eagle, carrying
messages from the Lords of the West:
Sing now, ye people of the Tower of Anor,

For the Realm of Sauron is ended for ever,
and the Dark Tower is thrown down. (LotR 963)
Who is speaking here? Does the voice belong to the Lords of the West
who have sent a winged messenger? With the clear biblical allusions,
both in the choice of a winged messenger and in the prose style, which
in the third verse especially parallels the twenty-third psalm, the verse
creates an allusion to the voice of God and the message thus invokes
the good news of the New Testament, which also heralds the end of
evil and a new King. In this manner, these compound references serve
to convey also the message of the implied author an instance that is
linked to the overall perspective of the text rather than to the historical
narrator or any of the characters in the story world.
Even a brief interpretive sketch like this shows the complexities of a
narrative value analysis, since the texts ethical and aesthetic effects on
the reader are a compound of lexical, stylistic, inter-textual, thematic
and narrative means. Arguably, The Lord of the Rings displays an intensi-
fied heteroglossia through the narrators use of prosimetrum, through
the reliance on oral narrative and reported speech, and through the
implied authors use of multiple languages (some of which are his own
invention) to characterize different peoples and cultures all of which
result in considerable stylistic complexity and a plurification of the nar-
rative voice.
Given that this text displays such a plurality of voices, and by impli-
cation of values, how may the reader discern its value premises? In this
book, in terms of its rhetorics, and by regarding the text as the communi-
cation of the implied author, the instance who orchestrates the novels
many voices. Furthermore, emphasis is placed on central symbols, since
the reader is aided in fusing the multiple voices of Middle-earth through
the elaboration of certain recurring symbols and archetypes.
Progression in The Lord of the Rings
Phelan (2007) outlines a model for analysing the way in which the
aesthetics of a narratives progression influences the ethical judgement
of the reader. He scales the progression in terms of beginning, middle
and end each of which has four components: two relative to textual
dynamics and two relative to what he calls readerly dynamics. The
textual dynamics relate to various ways in which expositions provide
information about the narrative, character, setting and events, and to
turning points in the text with regard to the progression of its main
conflict(s). The readerly dynamics are concerned with the rhetorical
transactions between implied author and narrator on the one hand
and between real and implied reader (what Phelan terms authorial
audience) on the other. Readerly dynamics deal also with the real and
ideal readers evolving hypothesis about the direction of the narrative,
as well as the readers response to the narratives resolution and his or
her overall evaluation of the narrative. Phelan notes that the specifics
of any given progression are themselves determined by the overall pur-
pose of the individual narrative (Phelan, 2007, p. 21).
The exposition (which is everything that provides information about
the narrative, the characters, the setting and events (Phelan, 2007, p. 17),
including such things as the title page, illustrations, epigraphs, preludes
and authors and editors introductions) serves to orient the reader in
his or her encounter with the narrative. Notably, the fiftieth anniversary
edition of The Lord of the Rings has a front page in gold, embossed with
silver letters spelling out the title and the name of the author. The front
page further carries an illustration, made by Tolkien, of a ring encircling
a red eye. The ring is enclosed in a circle of fiery red script. Surrounding
the central and larger ring are three lesser rings set with gems. The qual-
ity of the cover, with its gold background and silver letters, as well as the
mention of a fiftieth anniversary all herald celebration. The choice of
gold and silver has the connotation of something precious: having read
Tolkiens narrative we appreciate how accurately the front page reflects
key elements of the story. The red eye is the eye of Sauron the Lord of
the Rings encircled by the One Ring of Power, continuously referred to
by Gollum as my precious, with the fiery letters of the Rings inscrip-
tion around it, as well as the three Elven rings, symbolizing Saurons
chief opponents in the story. This edition certainly communicates to
the reader that the book contains something valuable also in the sense
that the story has lived to be cherished for 50 years and warrants an
anniversary issue. The inside flap of the cover contains the inscription
of the Ring translated into English, a brief summary of the Rings origin
and of the nature of Frodos perilous quest to destroy it. This definitely
cues the reader to anticipate and more easily recognize the launch: the
introduction of the main track of progression in the story.
The front matter also includes a poem about the Rings of Power, a
table of contents, a note on the text by Tolkien scholar Douglas A.
Anderson, a note on the fiftieth anniversary edition by Tolkien schol-
ars Wayne G. Hammond and Christina Scull, and Tolkiens foreword
to the second edition. The notes and the foreword all serve to impress
upon the reader the care that has been taken to present the text accu-
rately and to remove inconsistencies. These notes also serve to anchor
the narrative within an existing body of scholarly research, giving it an
added stamp of seriousness, weight and authority.
The narrative proper begins with a prologue in which the hobbits as

a race are focalized by the narrator. As mentioned, the narrator clearly
signals his temporal distance from the narrated events, while his atti-
tudinal distance is less marked, as he appears to share the belief of the
story-world characters in a supernatural force that is the mover and
shaper of both common history and individual destiny. The prologue
serves to establish some basic facts about the story world, and posits
Bilbos story, told in The Hobbit,
t as a precursor to the events in The Lord
of the Rings: it was Bilbo who found the Ring while he was lost for a
while in the black orc-mines deep under the mountains (LotR 11),
where he first encountered Gollum.
In the opening sentence of the prologue the narrator states that This
book is largely concerned with Hobbits, and from its pages a reader may
discover much of their character and a little of their history (LotR 1).
With the emphasis on history and on maintaining and developing a
detailed historical account and perspective, this remark seems curious,
and, therefore, requires consideration. On reflection, the historical
perspective is linked to the history of the whole of Middle-earth, and
what one learns about hobbits is related to the fact that the part of this
history rendered in The Lord of the Rings is the story of Middle-earth
focalized through its hobbit protagonists. The narrator thus considers
it a more reliable source of information about hobbit character than
about hobbit history. This indicates an emphasis on the constitution of
character on the part of the narrator (but also signals his view of their
outlook as more limited than his own). This impression is enhanced by
his subsequent characterization of hobbits as a race. They are described
as an unobtrusive but very ancient people that are good-natured
rather than beautiful () with mouths apt to laughter and as being
fond of simple jests at all times (LotR 12). The narrator further claims
that the hobbits do not and did not understand or like machines more
complicated than a forge-bellows, a water-mill, or a hand-loom, and
adds that in spite of later estrangement hobbits are relatives of ours:
far nearer to us than Elves, or even than Dwarves (LotR 2). These last
remarks dissociate hobbits from the love of mechanized devices that
represent one of the distinguishing marks of evil in the tale, and associ-
ate them with humans.
In making the hobbits character and the hobbits close relationship
to humans the narrative point of departure for his epic narrative about
the battle between good and evil forces, the narrator of The Lord of
the Rings indicates a concern for virtue ethical questions. He evidently
thinks it important that the reader understands certain things about
hobbit character before being introduced to the events presented in The

Lord of the Rings. The narrator draws attention to the constitution (and
also the moral constitution) of hobbits, and so invites the reader to pon-
der, as the story progresses, how the hobbits character stands up to and
is influenced by the epic struggles at hand. Through the detailed and
generally benevolent description of hobbits in the prologue, the narra-
tor sets up a sympathetic resonance in the reader in relation to hobbits.
This cues the reader that good in the story is what is good or beneficial
to hobbits, and that evil is what threatens the shy and peaceful hobbit
way of life. This sympathetic resonance in the reader is strengthened
by repeated reference to the closeness in kind of men and hobbits as
hobbits in the Third Age liked and disliked much the same things as
Men did (LotR 2). Stressing these links and similarities between the
two races, the narrator implies that what affects hobbits could, or
even should, affect humans also, and that the predicament of hobbits,
therefore, ought to concern the reader. In this way, the prologue serves
as the initiation of the narrative, which presents the initial rhetorical
transactions between implied author and narrator, on the one hand,
and between the real and implied reader on the other. The discrepancy
between the narrators role as a historian, and his main concern, which
is with (moral) character rather than primarily with historical facts, sig-
nals that the narrator here functions as the communicative instrument
of the implied author. By casting the narrator as a historian, the implied
author also indicates that the scope of his concerns go beyond the tell-
ing of the story about the War of the Ring.
In the first chapter Bilbo and Frodo are focalized both by the nar-
rator and by a fellow hobbit narrating through reported speech. Bilbo
is described as peculiar by the narrator (LotR 22) and both Bilbo and
Frodo are regarded as queer by several character-narrators, establish-
ing a psychological distance between them and the general report on
hobbits made in the prologue. Moreover, the psychological correlation
between the narrator and hobbit society underlines the assertion that
Bilbo and Frodo stand out psychologically. On the basis of the nar-
rators disclosure of his historical sources in the prologue, this seems
curious: do Bilbo and Frodo see themselves as queer? (With respect
to the narrators information in the prologue, they are the most likely
historical sources of this account.) Bilbo and Frodo are here focalized
by hobbit society does the narrator have other (historical) informants
on hobbit society that he has failed to disclose? Or are Bilbo and Frodo
aware of the talk of their hobbit peers, and have considered it signifi-
cant information when recounting a story about a major war? Unless
this is the case, this slant in the description of the protagonists seems
to violate the picture the narrator paints of himself in the prologue as a
historian who is painstakingly accurate in his rendering of his sources.
It displays him rather as someone who, though claiming to be accurate,
takes poetic licence in the telling. In the terminology of Phelan, this
section signals the beginningg of the narrative as it introduces instabilities
(unstable relationships) between characters: there is instability between
Bilbo and Frodo on the one hand and their fellow hobbits on the other.
This instability has to do with their bachelor status (family is generally
very important to hobbits), their fortune, their love of foreign languages
and culture, and, more implicitly, with their possession of the magical
Ring. The beginning of a narrative both sets the narrative in motion and
gives it a particular direction. The instability between the hobbits is a
local instability, (whose resolution does not signal the completeness of
the progression: Phelan, 2007, p. 16), which also is part of the initia-
tion. The global instabilities (which provide the main track of the pro-
gression and must be resolved for the narrative to attain completeness:
Phelan, 2007, p. 16), are introduced through Bilbos reluctance to part
with the Ring, causing him to view his friend Gandalf with mistrust,
and Frodos subsequent discovery of the history of the Ring in chapter
two, combined with rumours of strange things happening in the world
outside (LotR 43). Gandalf returns to warn Frodo of the unwholesome
power (LotR 48) of the Ring, proving to him by test of fire that it is
Saurons Ring of Power, and claiming that Frodo was meant to have it
(LotR 56). He also tells Frodo that the only way to destroy the Ring is to
cast it into the Cracks of Doom, and Frodo consequently understands
that as Ring-keeper he must go into exile in order to protect his fellow
hobbits in the Shire.
Phelan sets the boundary between the beginning and the middle
of the narrative at the launch, which is the revelation of the first set
of global instabilities in the narrative (Phelan, 2007, p. 17). Thus the
launch in The Lord of the Rings comes relatively early. Arguably, the launch
is concluded in Rivendell, in the second chapter of Book II, as Frodo
accepts the burden of becoming Ring-bearer and taking the Ring to
the Cracks of Doom: I will take the Ring, he said, though I do not
know the way (LotR 270). The second clause in Frodos statement sig-
nals that assistance will be an important requirement in order for the
protagonist to succeed with his task: no quest-hero is complete without
helpers. This point in the narrative also signals the entrance the point
where the authorial audience has formed a hypothesis of the direction
and purpose of the narrative as a whole.6
In one sense, the quest starts twice, and first as Frodo acquires the task
of removing the Ring from the Shire, setting out on a journey fraught
with peril towards the council in Rivendell. His helpers on this lag of the
journey are Sam, Merry, Pippin, Fatty Bolger and eventually Aragorn,
without whom they would not even have reached Rivendell. The jour-
ney from the Shire to Rivendell, and the encounters with the Elves and
the Black Riders on the way there, serve to inform more precisely both
the hobbit protagonists and the reader about what is at stake, as well
as the risk involved in Frodos decision to become Ring-bearer. The second
start to the quest is signalled by Frodos acceptance of the monumental
task of destroying the Ring, and with the appointment of further helpers
on the quest: the Fellowship of the Ring. Due to the first warm-up quest,
the reader now has a better understanding of the nature of the real quest,
and has developed a deeper sympathy for, and engagement with, the
well-being of the protagonists.
This initial journey between the Shire and Rivendell also serves to set
up a contrast between the Dark Riders of the Enemy and the light of
the High Elves, as the darkness and frightening presence of these evil
servants of Sauron are contrasted with the light and wisdom of Elves.
First the hobbits are rescued by a company of High Elves who are also
on their way to Rivendell. Their language is described as fair by the
narrator (LotR 79), and the same adjective is used by Frodo in the next
paragraph: Few of that fairest folk are ever seen in the Shire. Fair
means beautiful/ light/ just/ clear/ untarnished, and so all these quali-
ties are emphasized by this double reference. During this encounter, the
hobbits could see the starlight glimmering in their hair and in their
eyes. They bore no lights, yet as they walked a shimmer () seemed to
fall about their feet (LotR 80). The light of the Elves saves them from a
Black Rider, and they get food, a nights safe sleep and advice on their
journey.
Their next encounter with Elves is with Glorfindel sent form
Rivendell to assist them. He rides a white horse, gleaming in the
shadows (LotR 209). Remembering that Sauron dwells in Mordor,
the Land of Shadows, the recurrent emphasis on Elves as light sets them
up as Saurons chief opponents: only light can conquer shadow, and no
shadow can live in the light. Glorfindel is described thus: his golden
hair flowed shimmering in the wind of his speed. To Frodo it appeared
that a white light was shining through the form and raiment of the
rider, as if through a thin veil (LotR 209). Here Glorfindels resem-
blance to pure light is made quite explicit, associating the Elves with
the primal light. Contrasting the Elves with the Black Riders, there is an
emphasis here on the derived or secondary nature of evil, since evil is

characterized as lack of light. These passages, combined with Sams awe
of Elves, serve to further cue the reader about the nature and qualities of
good and evil in the tale.
The development of the global instabilities and tensions is, appropri-
ately in this case, termed the voyage, which in Phelans model belongs
to the middle of the narrative. The exposition of the middle section
contains information on the setting, the characters and events; in this
tale the chapter The Council of Elrond counts as exposition to the
voyage. Here all the participants in the Fellowship of the Ring, as well
as their opponents, are introduced, and the global politics of Middle-
earth is outlined. In this section, Gandalfs position and authority
is fully displayed for the first time by Elronds words: these things it is
the part of Gandalf to make clear; and I call upon him last, for it is the
place of honour, and in all this matter he has been the chief (LotR 250).
Since the reader is given no reason to mistrust Gandalf, his description
of the greater picture of the goings on in Middle-earth and the nature of
the quest is accepted at face value. He narrates at length the story
of the Ring, and tells of Gollums obsession with his precious, of
Saurons search to retrieve it, and of Sarumans treachery, and again holds
that their only option is throwing the Ring into the Cracks of Doom to
destroy it, since it will morally corrupt all who wield it. The reader has
heard parts of this account before, and this fuller version only fills out
the picture around known elements of the story. Only Boromir argues
against the destruction of the Ring a signal of his later betrayal of
the Fellowship. Boromirs desire for power and his scepticism towards
Aragorns claim to be the heir of Isildur also foreshadows his father
Denethors later refusal to accept Aragorn as the rightful king of Gondor
and thereby furnishes the tale with another set of global instabilities.
The voyage constitutes the larger bulk of this narrative, lasting up
until Sams and Frodos arrival at the Cracks of Doom. The voyage
serves to develop the readers hypothesis of the configuration of the
whole narrative, and the development of the global instabilities and
tensions during the voyage serves to cue the readers interpretation of
the narratives ending. The most significant developments in the global
instabilities in the course of the voyage are the loss of Gandalf (which
forces Aragorn to step forward as their guide and introduces dissent
and uncertainty among the Fellowship); the meeting with Galadriel in
Lothlrien (which shows the members of the Fellowship their deepest
fears and desires, and adds to the central symbol of the tree its close
association with Elves and light); Boromirs attempt to take the Ring
and Frodos subsequent departure from the Fellowship (which results in

the branching out of the narrative perspective); Gollums tailing of Sam
and Frodo and their taming of Smagol (which develops Frodos ability
for compassion); Merrys and Pippins encounters with the Ents (which
leads to the downfall of Saruman) and with Thoden and Denethor
(which pits the culture in Rohan against the one in Gondor); Sams res-
cue of Frodo in the Orc tower with the aid of Galadriels phial (which
together with the shift in focalization underscores Sams role as hero
and displays the power of Elvish light); and the attack of the Lords of
the West on the Black Gate of Mordor (which provides the distraction
of Sauron required for Sam and Frodo to reach the Cracks of Doom and
underscores the importance and value of self-sacrifice).
The interaction, the ongoing communicative exchanges in the middle
section of the narrative between implied author, narrator and audience,
has effects on the readers developing responses to the characters and
events, and to the ongoing relationship between narrator and implied
author (Phelan, 2007, p. 20). Consequently, the reader may ask: what
are the ethical and aesthetic effects of the branching out of the narrative
form, created by the increased number of significant focalizers that are
introduced in Book III? Book IV follows Sam and Frodo, but is focal-
ized through Sam, and in Book V the narrative is focalized alternately
through Merry and Pippin. This branching out of the focalization makes
it possible for the narrator to trace the events of the War of the Ring
through the eyes of all four hobbits while effectively keeping up the
narrative pace. It is an elegant way of narrating the tale, and generates
suspense, since the parties of the Fellowship are divided and ignorant of
each others fates. The separate chains of events are linked by the histori-
cal frame narrators presentation of these lines of events along the axis of
linear time. This function of the narrator is highly important, since the
whole conflict is developed as a race against time: what small chance the
Company has lies in speed and timing. Book I is a race between the four
hobbits and the Black Riders. In Book II suspense is linked above all to
ignorance (on the part of the hobbits) of the scope of the Enemys threat,
and to their apparent smallness in the face of their task. This is why
Gandalf, their guide and chief source of wisdom, has to die in Book II.
Consequently, Book II revolves around choice of direction: how to
accomplish the quest. In Book III, suspense is generated by the narrators
interrelation of the separate strands of story established by focalizing
the War of the Ring through the four hobbit protagonists. Relating this
to the value communication of the implied author, there is thus a fore-
grounding of hobbits as the perceiving consciousnesses in the tale.
A significant narrative change in Book IV is the shift in focalization

from Frodo to Sam. This shift also signals the shift from Frodo to Sam
as the main hero of the tale. Considering that Frodo to some extent will
fail morally at the end of the quest (in claiming the Ring for himself)
this shift seems necessary: in this way the subject of the focalization
remains firmly and unambiguously anchored on the side of good. In
Book V the narrative branches established in Book III are continued and
developed. Merry and Pippin have pledged to serve the king of Rohan
and the steward of Gondor respectively. In this manner, the reader can
follow from ground level the preparations for war in Rohan and the
race of the Rohirrim to come to the rescue of Gondor seen through the
eyes of Merry, paralleled with the descriptions of events in Minas Tirith
and the desperate wait for enforcements as seen through the eyes of
Pippin interchanged with the narration of Frodos and Sams labori-
ous journey toward Mordor. The narration shifting between Merry and
Pippin culminates in the terrible battle of the Pelennor Fields, after
which the Company (except Frodo and Sam, who follow their own
course towards Mt Doom) is reunited in Minas Tirith. The narrative sus-
pense in this book revolves around the question will Gondor fall? and
is developed through the race of Aragorn along the Paths of the Dead,
and that of Merry and the Rohirrim towards Minas Tirith.
In Book VI the narrative suspense is generated mainly by Sams and
Frodos efforts to reach Mt Doom in order to destroy the Ring. Frodo
has been captured by Orcs, and must be rescued by Sam in order to
continue. So dependent does Frodo become upon Sam in Book VI that
Sam literally has to carry him up the side of Mt Doom. In a desperate
attempt to draw Saurons attention away from the Ring-bearer and his
quest, the rest of the Company has set out on a sacrificial journey of
their own to challenge the Dark Lord head-on by the Black Gate the
entrance to Mordor. They are thus poised on the brink of doom, but res-
cued as the Ring is destroyed and Saurons powers collapse. This signals
the narrative arrival, which is the resolution, in whole or in part, of the
global instabilities and tensions.
In the rest of Book VI the pace slows down in comparison to the
action-packed narration of the war. It deals chiefly with the tying up of
loose ends as the four hobbits retrace their path back to the Shire, thus
providing closure. Having them return to the Shire effectively displays
the extent of their growth in the course of the quest: they have out-
evolved their fellow hobbits, and the powerful wizard Saruman (though
weakened by his previous defeat) is no longer any match for them. In
this last part of the story, Frodo briefly reclaims the ground as the tales
moral hero through his insistence on sparing the lives also of their
adversaries. This gains him the respect even of Saruman:
Saruman rose to his feet, and stared at Frodo. There was a strange look
in his eyes of mingled wonder and respect and hatred. You have grown,
Halfling, he said. Yes, you have grown very much. You are wise, and
cruel. You have robbed my revenge of sweetness (LotR 1019)
Frodo departs for the Grey Havens with Gandalf and the High Elves car-
rying Galadriels phial: this signals loss of light from Middle-earth. Sam
gets to stay and enjoy the fruits of the victory, before passing to the Grey
Havens at the end of his life. In this sense Sam gets the best of both
worlds. The concluding exchanges among narrator, implied author
and audiences, the farewell, may be the poignant sadness of Frodos
departure from Middle-earth, focalized through Sam. Alternatively the
farewell takes place in the Appendices, where the historical voice of
the frame narrator returns with more background information on the
rulers, languages and peoples of Middle-earth, as well as on the love
story of Aragorn and Arwen, making more explicit an important aspect
of Aragorns motivation for engaging in the War to secure Arwens
hand in marriage. Their relationship underscores the theme developed
through Sams relationship to Frodo that of the importance of love as
a moral motivation in the fight against evil.
The conclusion of the readers evolving responses to the whole narra-
tive is termed completion by Phelan. The responses include the readers
ethical and aesthetic judgements of the narrative as a whole. Completion
in The Lord of the Rings is discussed toward the end of this chapter.
Middle-earth: views of good and evil
During the hobbits initial journey between the Shire and Rivendell a
contrast is set up between the Dark Riders of the Enemy and the pure
light of the High Elves. While the benevolent and beautiful Elves are
associated with primal light, evil (in the form of the Black Riders and
the Shadow) is characterized as lack of lightt and as darkness, thus
emphasizing the derived or secondary nature of evil. Additionally,
however, the Ruling Ring is described by Gandalf as all-powerful in its
ability to morally corrupt its bearer. Consequently, evil seems to be cast
simultaneously as supremely powerful and as ultimately powerless.
Tom Shippey (2001) has described this tension running through
the narrative between two views on evil as a contrast between the
Boethian view (that evil is only the absence of good, a shadow) and the
Manichean view (that evil does exist and has to be dutifully resisted and
fought by all virtuous means). Houghton and Keesee (2005) have argued
that the view of evil developed in The Lord of the Rings is consistent with
the Augustinian view of evil, inspired by Neo-Platonism. The next sec-
tion examines these positions, arguing that the tension inherent in the
text can be traced back to differences in the two divergent world views
upon which Tolkien has based his creation of Middle-earth: the values
expressed in Old Norse mythology and the beliefs upheld by the Judeo-
Christian tradition.
Boethius, Manes, Augustine and Plato

Shippey finds persuasive arguments for the Manichean view, which
sees the world as a struggle between the two opposing forces of good
and evil, in Frodos uses of the Ring, especially on Amon Hen: The
two powers strove in him. For a moment, perfectly balanced between
their piercing points, he writhed, tormented. Suddenly he was aware of
himself again, Frodo, neither the Voice nor the Eye: free to choose, and
with one remaining instant in which to do so (LotR 401). Elaborating
on what he means by the Boethian view of evil with an example from
Orc-conversation, Shippey holds that Orcs have a clear idea of what
is admirable and what is contemptible behaviour, which is exactly the
same as ours, since they cannot revoke moral law by creating a counter-
morality based on evil (Shippey, 2001, p. 133). For Shippey, Orcs thus
clearly and deliberately dramatize what he terms the Boethian view:
that evil is just an absence and the shadow of the good (Shippey, 2001,
p. 133). Shippey contends that this contradiction between evil as an
absence (the Shadow) and evil as a force (the Dark Power) drives
much of the plot in The Lord of the Rings (Shippey, 2001, p. 136).
The notion of aesthetics complicates Shippeys contention that Orcs
can recognize the morally good. One may raise doubt about this claim,
since the notion of good and evil that is developed in The Lord of the
Rings has strong aesthetic components: while what is beautiful in most
instances coincides with what is morally good, what is evil is good that
has been distorted and so made aesthetically inferior. This perspective
is again related to the high moral standing of Elves in the narrative,
through their association with light, and their functions as light-bearers
and beautifiers of Middle-earth. It echoes Tolkiens creation myth in The
Silmarillion, where the Supreme Creator is associated with harmony and
evil with dissonance. Consequently aesthetics (in the sense also of that
which is pleasing to the senses) is intertwined with moral judgement
and approbation in the story world, while one persistent point in the
characterization of Orcs is that they are too crude to appreciate such
aesthetic qualities.
Houghton and Keesee examine both Augustines and Boethius views
of evil in order to back their claim that what Shippey reads as a tension
between a Boethian and a Manichean view of evil manifest in The Lord
of the Rings is in fact a vision of evil that is consistent with one tradition:
the Augustinian view of evil, inspired by Neo-Platonism.7 They stress
that Augustine frames his argument in terms of corruption; a descrip-
tion of evil that fits well with the moral corruption undergone by those
characters in The Lord of the Rings that come under the evil influence
of the Ring. According to Houghton and Keesee, Augustine argues that
because to be corrupted is to lose some good, and because if something
cannot be corrupted further it has either become incorruptible or ceased
to exist, then whatever exists is in some degree good. Hence evil (as a
Platonic idea) is not an existing substance. An objection to this line of
reasoning is that if the view of evil in The Lord of the Rings does indeed
conform to Augustines theory of evil as corruption, then Sauron must
also to a certain extent (however small) still be good during the War of
the Ring, as he is sent back into the void and ceases to exist only when
the Ring is destroyed. What this small share of goodness might con-
sist in the narrative is silent about, since Sauron is presented as pure
and disembodied evil. According to Houghton and Keesee, Boethius
combines elements from both Plato and Augustine, and arrives at this
line of argument: if God is omnipotent and cannot do evil, then evil
is nothing, since God who can do all things cannot do this (Houghton
and Keesee, 2005, p. 135). They admit, however, that their distinction
from Shippeys description of evil in The Lord of the Rings is somewhat
Scholastic.
The reference back to Plato and the Neo-Platonic tradition seems
particularly relevant to the plot in the Lord of the Rings that may also be
regarded as an imaginative exploration of the story in Platos Republic
about a magical ring, the Ring of Gyges, which renders the bearer invis-
ible and which thus functions as a moral test. In his dialogues, Plato
posed this question: if a man did not have to fear the consequences of his
actions would he act morally or from self-interest? The answer provided
by the character of Glaucon is that morality is a social construction,8
and that if sanction evaporated, so would virtuous character. The Lord of
the Rings also contains a magical ring making the bearer invisible, and
here too it functions as a test of moral stamina or virtue. The implied
authors answer to whether there is such a thing as virtue differs from
that presented by Glaucon, however, in that central characters in The

Lord of the Rings remain virtuous even while tempted by power.
Genesis in The Silmarillion

Arguably, the dialectic between good and evil that marks Middle-earth
is a result of its genesis. The Silmarillion traces a mythology for Earth
(Tolkiens Middle-earth is the Earth proper, set in a fictional era) that
spans from the creation of this world as a symphony (orchestrated by Eru
through a class of angelic beings, the Ainur) through its initial popula-
tion by the Valar, and later by the Children of God Elves, and men.
This body of legend covers three Ages: the First, Second and Third Age,
which are subsequently further and further removed from the light and
brilliance of the God-light. In the first Age some of the Ainur take bod-
ies and descend to Earth as the Valar to prepare it for the coming of the
Children of God. They engage in what Tolkien elsewhere (in On Fairy-
Stories) terms sub-creation and infuse the natural environment of the
planet with their light and consciousness. This knowledge is important
in order to appreciate how geographical places are invested with good or
evil consciousness in The Lord of the Rings. Furthermore, The Silmarillion
is based on the lore of the Elves, and tells how Eru (or Illvatar), who
was in the beginning, made the Ainur of his thought. The Ainur then
made a great music before him. In this Music the World was begun;
for Ilvatar made visible the song of the Ainur, and they beheld it
as a light in the darkness. And many among them became enam-
oured of its beauty, and of its history which they saw beginning and
unfolding as in a vision. Therefore Ilvatar gave to their vision Being,
and set it amid the Void, and the Secret Flame was sent to burn at the
heart of the World; and it was called E. (S 15)9
Middle-earth was thus created by the song of the Ainur; beings

sprung from the thought of Eru. The song was made visible as light
a light that was translated into the unfolding history of Middle-earth.
Whereas the Ainur were created from Erus thoughts, Elves and men
were created by Eru through the Music of the Ainur. It is told that Eru
alone created Elves and men as the equals of the Ainur. Dwarfs, on the
other hand, were created by one of the Valar (Aul) in secret because he
became impatient in his anticipation of the arrival of the Children of
God (S 37). According to Elven lore, the Orcs are Elves that were caught
and corrupted by Melkor (the Valar who rebelled against Eru) by slow
arts of cruelty (S 47).10
In The Silmarillion the reader learns that Elves are bound to follow
the divine music of the Ainur that shaped the world (S 35). Therefore, the
destiny of the Elves is bound up with this music. Men, on the other
hand, are given the gift of free will, even though Eru knows that they
will not use it in harmony. By compound references a connection is
established between the morality of Melkor and that of men: Eru asserts
that all the (inharmonious) deeds of men will, like the dissonance of
Melkor, in the end testify to his glory. Simultaneously, the Elves hold
men to resemble Melkor. The different natures of Elves and men makes
plain the poignant grief associated with the departure of the Elves from
Middle-earth at the end of The Lord of the Rings: with the Elves go the
beauty and greater bliss that was Erus gift to Elves, ushering in the Age
of Men who seem to be more like Melkor. A prediction is implied here
that the Fourth Age of Middle-earth will be one lacking in harmony,
beauty and bliss, where men forge their destiny with a short-sightedness
derived from their mortality, and a lack of care for this world because
the hearts of men seek beyond the world and find no rest therein
(S 35). In this sense, Tolkiens mythology seems to progress toward a
dystopian rather than utopian vision of the world; unless all eventually
is turned to good by Eru.
Although both Melkor (and by extension Sauron) and men are asso-
ciated with dissonance, the dissonance of each is of a different kind:
Melkor is not in harmony with the world because he seeks to control it,
and even Erus designs with it, whereas men are not in harmony with
the world because they remain unsettled within it, as they are destined
to seek beyond the world (rather than to infuse it with beauty as is the
lot of the Elves). These different roles and purposes of different races
and beings suggest that what is considered good or evil for each will
vary in accordance with Erus designs, so that evil to the Elves is par-
ticularly that which is ugly, dissonant, sorrowful, and destructive of the
Earth (to which their life-span is tied). To men, evil is particularly any-
thing that inhibits their freedom to shape and choose their destiny. The
close relationship between men and hobbits stressed in the prologue
means that the ethical responsibilities and even the ethical responses of
hobbits and men are comparable; and also seems to imply that hobbits,
like men, have free will.
The different God-given predispositions of the different races of
Middle-earth bring to mind Aristotles notion of telos, in which
growth and change is determined by an inner principle. To Aristotle,
this inner principle of man is reason. The inner principle of Elves, the
way they fulfil their function in creation and live their lives well, is
by sub-creating beauty in the world. The inner principle of men in

Middle-earth, what sets them apart from Elves and Dwarfs, would be
the exercise of their free will. On this line of thinking, Saurons thwart-
ing of the inner principle of Elves by turning them into coarse and
ugly Orcs is a strong violation of their telos. The notion of natural
law, or a moral order inscribed in nature, forms part of the description
of good and evil in The Lord of the Rings.11
From the First Age of E there was a struggle between the Valar and
Morgoth, as the latter strove continually to undo the good works of the
Valar in order to gain world dominion. Morgoth is described as hav-
ing grown dark as the Night of the Void (S 28), and in his scheming
against the Valar having hid in the darkness, underground. This asso-
ciation between Morgoth and the darkness sets up a binary opposition
between Eru, the primal Light, and Morgoth, his contester, which as we
have seen, is replicated in The Lord of the Rings in the binary opposition
between the pure light of the High Elves on the one hand and the Dark
Riders and the Land of Shadow on the other. The theme of supreme
power opposed by usurpers and abusers of power consequently has a
vast historical and mythological backdrop by the time it appears in
The Lord of the Rings. Evils desire for coercive power is epitomized in
the inscription on the Ring of Power: One Ring to rule them all, One Ring
to find them, One Ring to bring them all and in the darkness bind them.
Old Norse myth and Judeo-Christian beliefs

It is widely acknowledged that Tolkiens mythology was inspired by
Anglo-Saxon myth, as conceived in Old English epic poetry most
famously Beowulf,f which Tolkien both taught and translated. And while
The Lord of the Rings was created as a sequel to The Hobbit,
t Shippey,
on philological grounds, considers The Hobbit as the asterisk reality12
of the Elder Edda (upon which the Prose Edda and the Poetic Edda are
probably built). Thus, arguably, the mythological description of evil
found in the Prose Edda becomes relevant as a premise for the discus-
sion of good and evil in The Lord of the Rings. The account of genesis
found in The Prose Edda tells of the void, Ginnungagap, which existed
before the world was created. There is such a notion of the Void in
The Silmarillion as well; this is where Eru shows the Ainur the shape
of the music they have made (S 6). What first existed according to
Old Norse mythology was a region called Muspell, where Surt (Black
One) waits with a flaming sword to defeat the gods and burn eve-
rything when the end of the world comes (Sturluson, 2005, p. 13).
Niflheim (Dark World), which contained the Helgrind (Gates of Hel),
was made long before the earth was created (Sturluson, 2005, p. 12). In
Niflheim flowed many rivers, which froze to ice in the northern part of
Ginnungagap. The southern part was lighted by sparks and embers from
Muspellsheim. Here the ice thawed and from these flowing drops the
first life sprang: Ymir, the frost giant. Consequently, in Norse mytho-
logy life emerged from darkness and fire, in the thawing of the ice: an
explanation that would seem plausible in a wintery climate. Notably,
the frost giants are characterized as evil (Sturluson, 2005, p. 14), so that
darkness and evil are primary (in order of creation) in this mythology,
rather than, as in Christian belief, light and goodness. In fact, the world
is in several stages fashioned from Ymir, who is considered evil; to some
degree this must imply that the world is evil also.
According to Norse myth, mankind was created by the sons of Bor,
and was fashioned out of two trees. The three sons each gave them
breath and life, intelligence and movement, speech, hearing and sight.
They were also furnished with clothes and given names. The man
was called Ask (Ash) and the woman was called Embla (Elm or Vine)
(Sturluson, 2005, p. 18). Several echoes of this myth are observable
in The Lord of the Rings: both the Elves in Lothlrien and the Ents are
in different ways tree-people. The Ents are quite literally trees given
movement and speech, sight and hearing. The myth about the Ents and
the Entwives further echoes the Old Norse creation myth where human
beings were fashioned from two trees, a male and a female.13 The Prose
Edda tells that the sons of Bor set apart a section of the world for man-
kind to live in, protected from the frost-giants by a great wall fashioned
from Ymirs eyelashes. This place was called Midgard (Middle-earth)
(Sturluson, 2005, p. 17). It is also said that the gods created Asgard
for themselves. Odin had a high tower there, called Hildskjlf (Watch-
tower): when Odin sat in his high seat, he could see through all worlds
and into all mens doings (Sturluson, 2005, p. 18). This image of a
watchful eye (Odin had only one eye) is certainly familiar to readers of
The Lord of the Rings, and a similar symbolism is used in different scenes
throughout the narrative: Saurons red eye watching all of Middle-earth
from Mordor, Saruman looking into his Palantr (which means far-
seer) from his tower in Orthanc, Denethor gazing into his from Minas
Tirith, as well as Frodo and Aragorn having far-seeing visions on Amon
Hen (Hill of Sight, Hill of the Eye). It should be clear by now how much
of the suggestive symbolism contained in Old Norse mythology Tolkien
has utilized in his creation of Middle-earth.
The idea that knowledge involves peril echoes the Christian fable
about the Tree of Knowledge in the Garden of Eden, which, simply put,
teaches that ignorance (and obedience) is bliss. This moral lesson is

demonstrated through Pippins experiences when he steals the Palantr
and looks into it in order to gain knowledge after the firm refusal of this
request by Gandalf, and the similar destructive aspects of Denethors
search for knowledge through another Palantr, which leads to his sui-
cide. According to Genesis (Chapters 2 and 3), God banished Adam and
Eve from the Garden of Eden when they disobeyed him and ate fruit
from the Tree of Knowledge,14 so that they would not eat from the Tree
of Life as well and become immortal. This fusion of images from Old
Norse myth with a Christian ethical vision serves to demonstrate the
implied authors project in The Lord of the Rings: to amalgamate some-
thing of the (heroic) boldness permeating the Norse vision of life with
the ideal of compassion and self-sacrifice on which the Christian faith
is based.
What connects these two world views is the symbol of the tree that
figures as an important connective symbol in many myths and religions
around the world. In Hindu mythology, the ashvattha tree (Sacred Fig)
has its roots in the heavens and is a tree of eternal life. In Buddhist
texts, there is the Bodhi tree under which Buddha meditated and gained
enlightenment. In Old Norse mythology, the Yggdrasil Ash is the world
tree, inhabited by eight different creatures and linking several realms.
In the poem Grmisml Odin claims that Yggdrasil suffers deeply as
deer bite its boughs and worms gnaw on its roots, while it is rotting
on the inside (Sturluson, 2005, p. 27). These complaints bring to mind
Tom Bombadils talk to the hobbits he lays bare the hearts of trees
and their thoughts (LotR 130) and shows them that the trees in the
Old Forest are filled with vengeance towards other creatures because
they are constantly being gnawed and bit without being able to defend
themselves: that is, they suffer much like Yggdrasil. Only six lines later
Tom describes the Old Willow, saying that his heart was rotten (LotR
130). These compound references are hardly accidental. This episode in
the Old Forest, where the thoughts of trees are represented, is, moreo-
ver, an important preparation for the readers acceptance of the walking
and talking Ents later in the narrative.
An interesting point arises when one considers the focalization of
the Old Norse myth versus the Christian account of mans fall: the
myth about Yggdrasil is seen from the view-point of the tree, which
suffers. This focalization through trees is paralleled by the episode in
the Old Forest when Tom Bombadil translates the thoughts of trees for
the hobbits: thoughts which centre on the suffering of trees and their
longing for vengeance. The situation is taken one step further as Merry
and Pippin meet Treebeard in Fangorn Forest: here the trees are given
voices and even moral agency, marching to war to punish Saruman,
the tree-killer. In the episode in the Garden of Eden when Adam and
Eve eat the forbidden fruit, the tree itself is silent and inanimate. It
represents awareness of some kind, as Adam and Eve realise they are
naked upon eating the fruit, indicating a loss of innocence. When they
are banished from the Garden, God tells them that their disobedience
will be paid for by suffering: Adam will have to work hard, and Eve
will have to endure increased pain in giving birth. Thus both myths
feature a sacred tree that is linked to suffering, but while in Old Norse
mythology the tree is the sufferer, in the Biblical myth humans are the
ones who suffer.
Another example of Anglo-Saxon imagery with which Tolkien was
undoubtedly familiar is the poem The Dream of the Rood, which is a
vision of Christs cross. The greater part of the poem is told in the voice
of the tree that became the cross and shared in Christs suffering as
they both were pierced by nails (Alexander, 2008, pp. 3740). Inviting
identification with the tree (by making it the subject of focalization),
combined with observation of the tree (by making it the object of
focalization), The Dream of the Rood draws on pagan imagery to pre-
sent a Christian vision as did Beowulf. f Arguably, the implied author
does something similar in The Lord of the Rings. In this vein, one might
read Lothlrien as a parallel to the Garden of Eden: Here is the heart
of Elvendom on earth says Aragorn to Frodo (LotR 352). In Lothlrien
dwell the Galadhrim: the Tree-people. They live on wooden platforms
high up under the golden boughs of mallorn trees in a land that
remains from the Ancient days, where time seems to stand still and evil
has yet no hold. Lothlrien is also at the heart of the narrative, in the
sense that in many ways it portrays the essence of good in The Lord of
the Rings. Here the association between Elves and light established on
the journey between the Shire and Rivendell is developed further, so
that trees by their relation to Elves become associated with light an
association deeply embedded in Tolkiens mythology. The qualities of
beauty, nature, health, light, peace and wisdom are emphasized, set-
ting Lothlrien apart from the evil lands that surround it. It is like a
piece of Paradise, preserved through the power of Galadriel who wields
one of the Elven Rings. But like Adam and Eve, the Elves are about to
lose their paradise. The threat of loss reveals how good and evil are
intertwined in The Lord of the Rings: Lothlrien too falls when Saurons
power is broken. This dramatic event indicates that the Elvish longing
to preserve things as they were in the Ancient days is not altogether
a good thing. The main point here, however, is that although trees in
Lothlrien are important, and beautiful, and impressive, the reader does
not gain access to their inner feelings; they are not focalizers in the nar-
rative but the focalized. In the Old Forest and in Old Norse mythology
the inner thoughts of trees are laid bare, and in both the trees suffer. In
Lothlrien and the Garden of Eden there is beauty and peace, but it is a
paradise that must be abandoned: and in both the trees have the role of
serving some human or Elvish need, rather than expressing themselves.
In both instances, the listener or reader is invited, through focalization,
to sympathise with the party that is suffering. Thus, with respect to
the central symbol of the tree, the focalization of different parts of the
narrative aligns the story sometimes with the animism of Old Norse
mythology and at other times with the anthropocentrism of Christian
myth. These focalization shifts add to the plurality of perspective in
The Lord of the Rings, complicating the ethical analysis of the tale. Based
on these observations, it seems plausible to regard the tension between
the two opposing views of evil expressed in The Lord of the Rings to
some degree as the tension that exists between the Old Norse view that
evil is primary (and also more powerful, because the world will end by
being destroyed), and the opposite Christian view that the world was
created as good. Mediating these views, in The Silmarillions creation
myth Erus and Melkors themes are woven into each other, as two
musics progressing at one time (S 17). Here, the world is also a product
of several creators rather than a single creator, as in the Christian ver-
sion of genesis. Additionally, it is marred by disharmony even before
it takes physical form, again in contrast to the Judaeo-Christian myth
in which Gods design for the world is perfect, and where sin and error
enter as a result of human disobedience. Furthermore, Tolkiens mytho-
logy is written from the point of view of Elves (the Eldar), and so is
nott anthropocentric, a point which Tolkien explicitly makes in a letter
to Milton Waldman in 1951 (S xv). The solution in The Silmarillion of
having symphonic harmony (associated with the good) and dissonance
(evil) flow simultaneously, intermingled, during the process of creation
so that both are part of the fabric and texture of the created world is
the specificity of Tolkiens creative vision one that underscores the
aesthetic aspect of his formulation of good and evil.
Fertility myths
In addition to sound (harmony and dissonance), the earth itself, natu-
ral growth and natural cycles play an important part as the foundation
and framework for the fictional world in The Lord of the Rings. In the
prologue the reader learns that All hobbits had originally lived in holes
in the ground () and in such dwellings they still felt most at home
(LotR 6). In this sense, hobbits seem almost to grow out of the earth
themselves. They love peace and quiet and good tilled earth as is found
in the well-ordered and well-farmed countryside (LotR 1). By stressing
the good nature of hobbits, as well as their fondness of the earth and
its yields, the narrator implies a connection between what is good and
what is natural, in the sense of its growing naturally from the earth or
from ones inherent nature. This sense of the existence of a natural
order of the world15 displays itself through the images and associations
evoked by the text in relation to the distinct qualities of good and evil.
On the side of good there is natural growth and fertility, experienced by
the characters as abundance of yield, and also as health, wholesomeness
and natural beauty. Consider the description of the Elvish heartland
Lothlrien as it first appears to Frodo:
It seemed to him that he had stepped through a high window that

looked on a vanished world. A light was upon it for which his lan-
guage had no name. All that he saw was shapely, but the shapes
seemed at once clear cut, as if they had been first conceived and
drawn at the uncovering of his eyes, and ancient as if they had
endured for ever. He saw no colour but those he knew, gold and
white and blue and green, but they were fresh and poignant, as if he
had at that moment first perceived them and made for them names
new and wonderful. In winter here no heart could mourn for sum-
mer or for spring. No blemish or sickness or deformity could be seen
in anything that grew upon the earth. On the land of Lrien there
was no stain. (LotR 3501)
What sets this landscape in Lothlrien apart for the protagonist is that
it is qualitatively different and better than the world as he knows
it: there is a higher quality of light, shape and colour. Furthermore,
everything seems timeless: the landscape is simultaneously ancient and
new. It is also superiorly perfect in the dimension of health: it is infused
with vitality, and there is no sickness or deformity. In its description of
Elvish reality this passage brings to mind Platos realm of ideas, where
things exist on a higher level, in their perfected, untarnished form.
The binary opposite quality that of evil is described as lacking in
relation to the idealized bounty, beauty and health that characterize
the good. Evil is thus distinguished by barrenness, lack of growth, sick-
ness and dysfunction. It is also aesthetically inferior or offensive to the
sensibilities. Mordor, the realm of Sauron and the stronghold of evil, is

in one passage described thus:
Mordor was a dying land, but it was not yet dead. And here things
still grew, harsh, twisted, bitter, struggling for life. In the glens of
the Morgai on the other side of the valley low scrubby trees lurked
and clung, coarse grey grass-tussocks fought with the stones, and
withered mosses crawled on them; and everywhere great writhing,
tangled brambles sprawled. Some had long stabbing thorns, some
hooked barbs that rent like knives. The sullen shrivelled leaves of a
past year hung on them, grating and rattling in the sad airs. Flies,
dun or grey, or black, marked like orcs with a red eye-shaped blotch,
buzzed and stung; and above the briar-thickets clouds of hungry
midges danced and reeled. (LotR 921)
It is clear here that the evil of Sauron has marked the land itself; it is
dying, struggling for life, though not yet dead. Thus evil has not been
able, even here, to extinguish life completely but only to thwart and
disfigure it. In an important sense, then, good refers to the world as it
shouldd be and to its natural state and evil defines itself as a threat to the
right and natural order of things. Even so, good cannot exist entirely
without evil, as is proven by the dependence of even the beauty in
Lothlrien on a power derived from Sauron.16 Consequently, the world
as it should be is not a world where evil is powerless, as is suggested
by the Boethian view, but a world where good and evil are entwined
much as they are in Tolkiens cosmology. In an important sense, how-
ever, evil is in this narrative described in terms of its destructive force in
regard to the natural world. Also, metaphors that originate from nature,
and that imply an inherent nature, are a chief means of describing and
distinguishing between good and evil.
In the passage about Mordor quoted above, the phrase not yet dead
spells out the hope that pervades the story that all ills have the poten-
tial to be addressed and cured. According to the ethics of The Lord of
the Rings nothing is originally evil in itself, as we learn from the wise
elf Elrond: Nothing is evil in the beginning. Even Sauron was not so
(LotR 266). This statement signals that good, rather than evil, is pri-
mary in the narrated world, aligning it with a Christian world view.
Thus both Saruman and Gollum are given several opportunities to
repent and reform. This is clearly only possible if they are not held to
be lost beyond recall or to possess an inherently evil nature. This posi-
tive view of the possibility for personal improvement, dependent on
a distinction between the act and the one performing it goes back at
least to Augustine. Both the emphasis on good as the original state, and
the possibility held open for moral reform are compatible with even
characteristic of a Christian moral outlook.
Another important feature in the description of Mordor is the use
of adjectives and adverbs charged with negative value: nature here is
harsh, twisted, bitter, struggling, low, coarse, withered, tangled, stab-
bing, sullen, shrivelled, grating, rattling, sad, maggot-ridden, grey or
black and hungry. The words withered, shrivelled and rattling are
associated with dead and dyingg (as in the rattling breath of one about
to die), and also connote disease, as do twisted and maggot-ridden.
The mood of the place is sad d and hostile: stabbing, sullen, hooked barbs
that rent like knives. The colour red is the blood that has been spilled
in the harsh struggle, thus invoking death by carnage. The colours grey
and black further underscore the imagery of death and decomposition,
as does the fact that the place is swarming with flies. There is also a
reference to the most loathsome creatures in Middle-earth: the Orcs,
to whom the flies are compared. Thus the whole passage reads like a
compressed mini-narrative of the struggle and bloody battles of the War
of the Ring, where the Orcs do indeed swarm like flies. The linguistic
descriptiveness also extends to the verbs, which likewise abound with
negative connotations: lurked, clung, fought, crawled, sprawled, rent,
hung, buzzed, stung, reeled. The first five especially invoke the charac-
ter of Gollum, who is often described as a crawling, lurking and clinging
creature. The impact of the whole paragraph is further enhanced by its
rhythmical, almost poetic quality, as well as by the use of contrast and
alliterations: not yet dead versus struggling for life, low (trees) lurked,
clung coarse grey
g g
grass.
The binary opposites of good as natural growth and fertility versus
evil as barrenness and infertility are brought to the reader in several
ways: in the narrators descriptions of geographical locations and
natural features (such as those of Lothlrien and Mordor mentioned
above, focalized through the hobbits), and also through thematic sub-
narratives and characterization. One example of such characterization is
the portrayal of the shield-maiden owyn. She fights valiantly alongside
king Thoden at the Pelennor fields and is mortally wounded as she
kills the Lord of the Nazgl, the Captain of the Black Riders. owyn is
described by several characters as an ice-maiden and as touched by
frost (LotR 866). Brought to the Chambers of Healing in Minas Tirith,
she meets with Faramir, the new Steward of Gondor, and consequently
starts thawing: as he looked at her it seemed to him that something
in her softened, as though a bitter frost were yielding at the first faint
presage of spring (LotR 960). In this way, through metaphor, virtues
and vices are described also in terms of climatic change, as these set
the preconditions for natural growth or decay.17 When owyn eventually
accepts the love offered to her by Faramir, her change is described in
these terms: Then the heart of owyn changed, or else at last she under-
stood it. And suddenly her winter passed d and the sun shone on her. ()
I will be a healer and love all things that grow and are not barren (LotR
9645, emphasis added).
Another mini-narrative where the same dichotomy between natural
fertility as good and barrenness as evil is expressed is in this postscript
over king Thodens horse, Snowmane: Green and long grew the grass
on Snowmanes Howe, but ever black and bare was the ground where
the beast [the mount of the Black Captain] was burned (LotR 845).
The theme of good as natural growth is also expressed through garden-
ing and farming metaphors, such as when Gandalf says in The Last
Council: Yet it is not our part to master all the tides of the world, but
to do what is in us for the succour of those years wherein we are set,
uprooting the evil in the fields that we know, so that those who live
after may have clean earth to till (LotR 879). Add to this the fact that
Sam, the hero of both worlds, is by trade a gardener, and that time in
The Lord of the Rings is measured in terms of natural cycles like seasons
and moon cycles,18 and it becomes obvious how thorough is the asso-
ciation between what is good and what is related to or serves natural
growth. Consequently, it is not an unreasonable suggestion that these
natural cyclical patterns are part of the patterns of meaningfulness the
reader encounters, and perhaps subconsciously responds to, in The Lord
of the Rings.
Anthropologist James George Frazers The Golden Bough exerted con-
siderable influence on myth theories in the early decades of the twen-
tieth century and it is likely to have influenced Tolkien. Based on a
model of cultural evolution,19 Frazer traced ritual practices from all over
the globe, based on the hypothesis that these practices had evolved
precisely to secure bountiful harvest and natural fertility and avoid the
evil of barrenness. Throughout history, Frazer argued, human beings
had sought to accomplish this end by various means of ritualized sacri-
fice, human or otherwise. This tendnecy, which Frazer regards as deeply
embedded in the collective human psyche, seems to be present in the
presumptions of The Lord of the Rings also, where the barrenness repre-
sented by Mordor and Sauron (and by Sarumans destruction of natures
beauty and bounty) are countered by several acts of ritual sacrifice: by
throwing a golden ring into a particular fire, by Frodos sacrifices of his

own health and happiness as he toils towards Mordor (interestingly,
Sam a gardener and thus a promoter of a fertile earth loses neither),
and by the self-sacrifice of the Lords of the West as they offer themselves
up as bait for Sauron before the Black Gate. This ritual notion of sac-
rificing one to save all also underlies the Christian belief that Christ is
sacrificed in order to redeem all of humanity.
The mastery of Bombadil

A potent example of the power of being in tune with nature comes in
the compelling form of Tom Bombadil, who rescues the hobbits from
Old Man Willow, when they are swallowed up by the ominous Old
Forest at the start of their quest outside the Shire. Shippey holds that
Bombadil could almost be omitted without disturbing the rest of the
plot (Shippey, 2003, p. 105). However, when read as a thematic charac-
ter, Bombadil adds a significant morall dimension to The Lord of the Rings.
Shippeys view that Tolkien was dismissive of Bombadils narrative
role is based on a sentence in Tolkiens letter to Naomi Mitchison of
25 April 1954: Tom Bombadil is not an important person to the nar-
rative (Shippey 2003, p. 367, cf. Carpenter, 2006, p. 178). In the very
next sentence, however, Tolkien goes on to say I suppose he has some
importance as a comment, and adds that Bombadil
represents something that I feel important, though I would not be pre-

pared to analyze the feeling precisely. I would not, however, have left him
in, if he did not have some kind of function. I might put it this way. The
story is cast in terms of a good side, and a bad side, beauty against ruth-
less ugliness, tyranny against kingship, moderated freedom with con-
sent against compulsion that has long lost any object save mere power,
and so on; but both sides in some degree, conservative or destructive,
want a measure of control. But if you have, as it were, taken a vow of
poverty, renounced control, and take your delight in things for them-
selves without reference to yourself, watching, observing, and to some
extent knowing, then the question of the rights and wrongs of power and
control might become utterly meaningless to you, and the means of power
quite valueless. It is a natural pacifist view, which always arises in the
mind when there is a war. (Carpenter, 2006, p. 178, emphasis added)
This something important that Bombadil represents in The Lord of the

Rings is that he is an exponent of most of the qualities that are implicitly
valued by the narratives implied author.
First, the startling thing about Bombadil as the hobbits encounter

him in the story is that he is wholly unaffected by the Rings power and
consequently appears as a vivid contradiction to Gandalfs view that the
Ring is supremely powerful the view which has set the whole quest in
motion and upon which the logic of the whole plot depends. Bombadil
may not be important to the plot; but he is important to the implied
authors overall narrative communication because he represents that
point beyond towards which the movement of the whole narrative
attempts to direct the reader through his or her emotional involvement
with the plot. As a representation of values, Bombadil is quite multi-
faceted, however.
In contrast to the sullen and ominous Old Forest, Bombadil is cheer-
ful and merry. He speaks in rhythms and rhymes and communicates
easily with trees. In his house there is song and nourishment in abun-
dance: he seems to be brimming with an inexhaustible energy and vital-
ity, drawn from his deep connection with the natural world. To Frodos
question Who is Tom Bombadil? Goldberrys first answer is: He is
(LotR 124). Elaborating on this, she adds: He is the Master of wood,
water and hill. () He has no fear (LotR 124). Frodo also learns, how-
ever, that even if Bombadil is the master, all things growing or living
in the land belong each to themselves (LotR 124). In this way, the
mastery of Tom Bombadil is distinguished from mastery over others:
that which Sauron desires above all. Consequently, Bombadils mastery
is mastery over himself. And this lack of desire to be master over others
must be the reason why the Ring of Power has no effect on him. In this
sense, Bombadil appears as the antithesis to Sauron much more so,
in fact, than Gandalf, who does not dare to take the Ring because he
knows he will be tempted by its promises of power, albeit the promise
of power to do good.
Bombadil is cast as a rescuer. When the hobbits are trapped by the
Barrow Wight and nearly die, they are saved by Frodos courage and his
invocation of Bombadil. This is the second time Bombadil saves them,
and his ability to dispel the horrifying Wight, and even call Sam, Merry
and Pippin back from (a state close to) death further underscores both
his power and his mastery. Bombadils power is spiritual rather than
physical, since both the Old Willow and the Wight obey his commands
without any physical struggle. However, in spite of his ability to raise
the hobbits from the dead, Bombadils is not cast as an absolute power.
During the Council in Rivendell, Bombadil becomes a topic of discus-
sion, and Gandalf argues that there are definite limits to the power of
Bombadil, even though he is his own master: he cannot alter the Ring
itself, nor break its power over others () if he were given the Ring,
he would soon forget it, or most likely throw it away. () He would
be a most unsafe guardian (LotR 265). Asking whether Bombadil alone
could defy the power inherent in the Ring, Glorfindel answers: I think
not. I think in the end, if all else is conquered, Bombadil will fall, Last
as he was First; and then Night will come (LotR 266). Galdor seconds
this opinion: Power to defy our Enemy is not in him, unless such
power is in the earth itself. And yet we see that Sauron can destroy the
very hills (LotR 266). The three speakers all agree that Saurons power
ultimately will destroy Bombadil. Gandalf describes him as lacking care
and concern for issues of power and politics, whereas Galdor associates
his power with the power of the earth itself: a power that ultimately is
no match for Saurons destructive abilities. Consequently, even though
Bombadil is powerful in the sense that he is unaffected by the Ring, can
dispel Wights, and is his own master, the discussion of Bombadil in
Rivendell presents the view that although Bombadil does not concern
himself with politics and power-struggles, the outcome of such struggles
will ultimately affect his way of life. Implicitly, the narrative seems to
say: it would be nice to be fearless and careless like Bombadil but when
push comes to shove, Bombadils fate too is determined by the outcome
of the War of the Ring.
The next time Bombadil is mentioned, albeit briefly, is in Fangorn,
when Merry and Pippin tell Treebeard about themselves and their
adventures. His name is invoked again by Sam as he and Frodo are
trapped in Shelobs lair: I wish old Tom was near us now he thought
(LotR 719) at which point he seems to see a light, and suddenly
remembers Galdriels phial, her gift to Frodo. This association between
Bombadil, light, and the Elves occurs twice in the narrative, and both
times the association is linked to Sam. Keeping watch over Frodo in
Mordor, Sam suddenly sees a white star twinkle:
The beauty of it [the star] smote his heart, as he looked up out of the
forsaken land, and hope returned to him. For like a shaft, clear and
cold, the thought pierced him that in the end the Shadow was only
a small and passing thing: there was light and high beauty forever
beyond its reach. () putting away all fear he cast himself into a
deep untroubled sleep. (LotR 922)
The effect of this flash of insight is similar to the shock and shattering of
illusion created through the episode in the Old Forest where Bombadil
laughingly makes the Ring vanish and spots Frodo even as he is wearing
it. So much emphasis is put in the narrative on the power of the Ring
that these two suddenly glimpsed revelations that the power is not
indeed absolute have the effect of making the carefully woven illusion
of the Rings total power crumble. These episodes also illustrate how
effectively Frodos outlook is influenced and obscured by Saurons evil
will which emanates from the Ring: the restrictive nature of his vision
is only revealed by contrasting it to those of Sam and Bombadil, both of
whom are able to see through the Rings distorting illusions and reject
its promise of absolute power.20 Sams rejection of the Ring is attributed
to his deep love for Frodo, but why is Bombadil unaffected by the Ring?
He has no fear, says Goldberry. This too, is mirrored in Sams moment
of truth in Mordor. Without fear, the power of Sauron has no hold on
his mind. But like Bombadils physical fate, Sams worldly well-being is
still affected by this power.
Ultimately, Bombadils position as a master of himself and as one
who stands outside the battle is reinforced, since it is duplicated
in Frodo. I have analysed Frodos developing pacifism in relation to
the concepts of pacifism and just war theory in great textual detail
elsewhere (see Guanio-Uluru, 2013b). Here it suffices to note that
Frodos pacifist tendencies reach their climax in The Scouring of the
Shire, when he is attacked by Saruman / Sharky and refrains from
fighting back. By withdrawing from the struggle, it may be argued,
Frodos moment of total pacifism, like Bombadils mastery, nullifies
the distinction between good and evil as opposing sides in a struggle
for power. Turning Saruman the other check is an act of self-mastery
that to a degree redeems Frodo morally by displaying the extent of his
compassion, even as Saruman attempts to kill him. On this view, the
pacifist stance in The Lord of the Rings is linked to a sense of moral or
spiritual competence: both Bombadil and Frodo stand out from their sur-
roundings because they ultimately refrain from engaging in moral and
physical battles. In this sense, there is a transcendental21 element in the
portrayal of Bombadil and this element of transcendence is later mir-
rored by Frodo as the culmination of his moral growth during his long
journey. It is enhanced by the fact that Frodo has outgrown the Shire
and leaves for the Elvish paradise Valinor via the Grey Havens. On this
basis, it is fair to say that there is a thematic sub-current in the narrative
that points the reader towards a plane beyond d the morality and worldly
concerns of Middle-earth, and that this sub-current is tied to ideas of
pacifism, compassion and self-mastery. So while fearlessness in battle
is an ideal found in the Old Norse warrior culture, pacifism is closely
associated with Christs admonition to turn the other check. Thus, the
emphasis on a counterview depicted as morally superior to armed battle

aligns the narrative with Christian values an alignment underscored
by the importance of self-sacrifice in the fight against evil. A differ-
ent interpretation is also possible, however: both Bombadil and Frodo
are ultimately powerless against Sauron, and so such a pacifist stance,
even if regarded as morally laudable, is not regarded as able in the final
instance to conquer evil. Pacifism refuses the fight but sometimes, the
implied author seems to argue, this fight must still be fought.
In a sense, Frodos negation of killing in The Scouring of the Shire
is set up as a contrast to the descriptions of heroic struggle narrated in
other parts of the text. The Men of Gondor and Rohan, who are on the
good side in the war, engage in horrible battles and mass-slaughtering
of the enemy. Even the Returning King of Gondor, whose resumption
of rule draws heavily on the Christ myth in several ways, engages fully
in bloody battles. The values invoked in these descriptions refer to the
glorification of battle and war found in Old Norse culture, in medi-
eval chivalric traditions,22 and perhaps the crusades.23 Frodos clear
stance against killing at the end of the book functions as a negation of
these traditions and their glorification of battle and war. Added to this is
the negation produced by the connection between the title of the book
and its conclusion. The Lord of the Rings most obviously refers to Sauron,
the evil power of Middle-earth. When the Ring is destroyed, Sauron falls
and his powers are nullified. This is a major negation of the narratives
one-thousand-page emphasis on battle, power-struggles and war: in the
end this evil is stemmed and the flowering Shire is left to prosper in
peace. Pitted against this optimism and the miraculous healing of the
Shires natural bounty, however, is the realistic strain of the cost of war
shown by the marred existence of Frodo. Even as he has grown morally,
he is physically damaged.
While Bombadil is linked to pacifism, he also embodies the con-
cepts of memory, tradition and longevity, all of which are valued by
the implied author of The Lord of the Rings. To the hobbits, Bombadil
describes himself thus: Eldest, thats what I am. Mark my words, my
friends: Tom was here before the river and the trees; Tom remembers
the first raindrop and the first acorn (LotR 131). Being Eldest, Tom
Bombadil has seen peoples and rulers come and go: his long perspective
connects him with that which has endured in spite of power struggles
and fights over control that have taken place throughout time the
kind of struggle for power that is concentrated in and enhanced by
the Ring. To Bombadil such fluctuations seem minor compared to the
unfolding life of the earth itself. This ability to perceive life as unfolding
in a very long perspective is perhaps partly derived from Tolkiens

philological competence. Through tracing the beliefs and ways of life
hinted at by ancient word forms, his work was a continual mental jour-
ney through various times and customs, expanding his perspective to
encompass many human life-times. This developed sense of perspective
on Tolkiens part may help explain the emphasis on ecology that perme-
ates The Lord of the Rings: without the earth itself and its regenerative
force, life would cease in Middle-earth, regardless of who held power or
dominion.
Recalling Tolkiens words from his essay On Fairy Stories (OFS) that
proper fairy stories have the ability to satisfy certain primordial human
desires such as to survey the depths of space and time and to hold com-
munion with other living things (OFS 326), Tom Bombadil also seems a
clear response to and embodiment of both these primordial desires. In
his merriment, and in Goldberrys statement he is, Bombadil is associ-
ated also with pleasure, and with being in the moment. Tolkien said
of Bombadil that he takes delight in things for themselves and that it
is partly this quality that makes him immune to the lures of power and
dominion. Taking delight in things for themselves is easily connected
to noticing and appreciating the aesthetic quality of things. It is a way
of being with and experiencing things for their own sake rather than
for selfish gain. Thus two other fundamental aspects of good and evil
as portrayed in The Lord of the Rings, merge in the character of Tom
Bombadil: he is one with natures abundance and fertility, and he takes
infinite delight in things for themselves, seemingly with no other
agenda, witnessing and enjoying the unfolding of E. It should be clear
that this aesthetic standard for morality is one that is associated above
all with the Elves, who are the sub-creators of beauty in Middle-earth.
This perspective seems all-pervading in The Lord of the Rings due to the
numerous references back to the First and Second Ages, the descriptions
of which come from the annals of the Elves. Their annals consequently
show the passing of history in Middle-earth from an Elvish perspective.
This Elvish perspective is prominent also because the implied author
seems to be equipped with a sensibility towards and an appreciation for
Elvish beauty that is paralleled by several of the characters: Sam, Frodo,
Aragorn and Gimli not least. The Elves ideal of nurturance of and
communion with nature is also underscored by Bombadils easy conver-
sation with his natural environment. In The Lord of the Rings an ideal
essence of good therefore coalesces in the character of Tom Bombadil:
he is associated with the power of the earth, with nature, with pacifism,
with merriment, poetry and rhymes, and with Elves, light and hope as
well as with aesthetic enjoyment and pleasure. In addition, he is (like

Aragorn, Gandalf and the Elves) cast in relation to the narratives hobbit
focalizers as a saviour and protector.
The significance of the tree
In The Book of Trees (2013) Manuel Lima has catalogued how the image
of the tree has been, and is, used as a symbol for visualizing branches
of knowledge a use spanning the centuries from the cradle of civiliza-
tion, represented by the early Sumerians, Akkadians and Babylonians,
up to today. According to Lima, trees have had such immense sig-
nificance to humans that most cultures have invested them with lofty
symbolism and frequently with celestial and religious power (Lima,
2013, p. 16). Says Lima: The veneration of trees, known as dendro-
latry, is tied to ideas of fertility, immortality and rebirth, and is often
expressed by the axis mundi (world axis), world tree, or arbour vitae (tree
of life) (Lima, 2013, p. 16).
In this chapter it has been noted how the symbol of the tree serves to
bridge images from Old Norse myth with references to Judeo-Christian
beliefs: in Old Norse mythology Yggdrasil is the axis mundi, connecting
several realms, while in the Judeo-Christian tradition is found the arbour
vitae at the centre of the Paradise myth. There are further significant
aspects of the connective role performed by symbolic trees in The Lord
of the Rings. On the plot level, repeated references to The White Tree of
Gondor serve to unify the many voices and cultures of Middle-earth in
the vision of Saurons defeat and the restoration to Gondor of its proper
regent an aim that corresponds to Gandalfs vision and mission for
Middle-earth. The White or Silver Tree of Gondor is first mentioned at
the council of Elrond, where Elrond traces its ancestry back to Erasse,
the haven of the Eldar, and before that back to the Uttermost West
in the Day before days when the world was young (LotR 244). Next, it
is referred to by Boromir, who is recounting the lore of Gondor concern-
ing Isildur24 and how he planted the last sapling of the White Tree in
Minas Anor in memory of his brother (LotR 252). Later in the journey
Aragorn, the legendary king who is predicted to return to Gondor with
the re-forged sword that was broken, mentions the Silver Tree in song
as the Fellowship follows the Orcs that captured Merry and Pippin:
Gondor! Gondor, between the Mountain and the Sea!

West Wind blew there; the light upon the Silver Tree
Fell like bright rain in gardens of the Kings of old. (LotR 423)
The next mention of the White Tree is also in the form of song. This
time the singer is Gandalf:
Tall ships and tall kings

Three times three,
What brought they from the floundered land
Over the flowing sea?
Seven stars and seven stones
And one white tree. (LotR 597)
In this manner, references to the White Tree of Gondor and the leg-
end of its ancestry are woven into the story at regular intervals, like
a leitmotif. The next mention of the White Tree comes from Gollum,
indicating how wide this legend has spread: Tales out of the South,
Gollum went on again, about the tall Men with the shining eyes, and
their houses like hills of stone, and the silver crown of their King and
his White Tree: wonderful tales (LotR 641).
The careful reader notices that each time the White Tree is mentioned
it is brought to attention by a different character, so that the various
voices, cultures and purposes in the text are united by common refer-
ence to the same mythical Tree. Faramir is next, speaking of it to Frodo
as they meet near Ephel Dath: For myself, said Faramir, I would see
the White Tree in flower again in the courts of the kings, and the silver
crown return (LotR 671). This remark indicates that unlike his power-
hungry brother Boromir, Faramir acknowledges the rightful power of
Aragorn, and is prepared to hand over the government of Minas Tirith
to the king when he returns. These cumulative references to the White
Tree pave the way for the readers first glimpse of the tree itself in
Gondor, focalized through Pippin. The leit motif of the White Tree also
serves as a persistent allusion to Tolkiens greater legendarium, even as
the tree further symbolizes the rightful ruler of Gondor. This connota-
tion of the White Tree is brought out as Aragorn comes to the rescue of
Minas Tirith just as the battle is looking like a lost cause:
upon the foremost ship a great standard broke, and the wind dis-
played it as she turned towards the Harlond. There flowered a White
Tree, and that was for Gondor; but Seven Stars were about it, the
signs of Elendil that no lord had borne for years beyond count. ()
Thus came Aragorn son of Arathorn, Elessar, Isildurs heir, out of the
Paths of the Dead, borne upon a wind form the Sea to the kingdom
of Gondor. (LotR 847)
Here several recurring motifs are brought together as the rightful king
returns: the White Tree, the seven stars, Isildur and the King, return-
ing from the dead. Evidently, the White Tree is linked to ancestry:
it heralds back to the Day before days and only lives as the rightful
King, through lineage, reigns. This idea is connected to the narratives
thematic strand concerned with the use, abuse and rightt to power.
Rightful power (Aragorn as the rightful heir to the kingdom of Gondor)
is portrayed as beneficial also, as will become clear, in terms of its
being beneficial to growing things. Un-rightful power (such as Boromirs
attempt to seize the Ring) is judged as lacking in virtue. Abuse of power
(attempting to gain power over others through coercion or using power
in a destructive way) is what characterizes evil in the forms of Melkor,
Sauron and Saruman alike. In an important sense, rightful power is tied
to nurturance of nature. When Aragorn returns to claim the throne, the
dead tree in the courtyard in Minas Tirith is replaced by a new sapling,
planted by the new king. There is a noticeable parallel here between
Sam and Aragorn as kings and healers of the land25: while Aragorn
heals Gondor through finding a sapling of the White Tree, Sam, who
becomes Mayor, heals the Shire with earth and seeds from Galadriels
garden, substituting the molested Party Tree in the centre of town with
a golden mallorn from Lothlrien. The substitution of the Party Tree
for the Elvish mallorn also alludes to the moral growth the hobbit
protagonists have experienced during their service with the Fellowship
of the Ring.
Learning that Tolkien considered Sam the main hero of The Lord of
the Rings (Carpenter, 2006, p. 161), the theme of protection and care for
trees and for the natural beauty of nature is emphasized further. Sam
is a gardener: his chief concern is precisely to care for growing things.
Compare this to Treebeards accusation of Saruman, the tree-killer, and
the opposition between good and evil as nurturance versus destruction
(of nature in general and trees in particular) is underlined. This opposi-
tion is a vital part of the subtext of environmentalism running though
the narrative a subtext that has been discussed by among others
Dickerson and Evans (2011). Basing their discussion on the Christian
notion of stewardship, Dickerson and Evans describe and compare
the hobbits agrarian society (which uses the environment for food),
with the horticulture of the Elves (in which the aesthetic quality of the
world is cultivated for beauty), and with the feraculture of the Ents,
which sets portions of the environment apart from use to preserve its
wild character (Dickerson and Evans, 2011, p. 31). It is this last type of
attitude that comes closest to the position of Deep Ecologists such as
Arne Nss and George Sessions, who have advocated the adoption of
a non-anthropocentric position in regard to the earth and its resources
(Nss and Sessions, 1984). The emphasis on environmentalism as work
that must be undertaken to care for or restore the environment (a feature
of the Christian notion of stewardship) diverges from Deep Ecology in
the sense that the latter emphasizes non-interference with the natural
environment.
While Dickerson and Evans base their analysis of environmental-
ism in The Lord of the Rings on a consistently Christian reading of the
text, Patrick Curry has pointed to the elements of pagan polytheism in
Tolkiens mythology and to what he calls the active animism of The
Lord of the Rings (Curry, 1997, p. 98). Certainly, there is a distinction in
the narrative between the notion of stewardship and the deep connec-
tion (to the point of identification) with nature that is also an important
element in the text: Bombadil reads the thoughts of trees, making them
available to the reader; the powers of the Elves wax and wane with the
beauty of nature and Ents are literally animated nature. Narratively,
the distinction is made clear through the difference between trees as the
subjects and as the objects of focalization, which, it has been argued, is
a guide to distinguishing between the different mythological sources for
the story. This type of distinction, through its environmental aspects,
opens the text also to readers of non-Christian persuasions.
The symbolic significance of trees in The Lord of the Rings extends
beyond issues of environmentalism, however, since the symbolic role of
trees in Middle-earth is compound and, therefore, complex. It has been
noted that light is closely associated with the good in Middle-earth. In
fact, Middle-earth is lighted by trees, both by day and night. According
to The Silmarillion, the first light in Middle-earth (two lamps called Illuin
and Ormal) was struck down by Melkor, darkening Middle-earth.26 The
Valar consequently moved west, where they created a new dwelling-
place called Valinor, more beautiful than Middle-earth. In Valinor, they
built a city; Valimar. It had a green mound before its western gate, where
grew the Two Trees of Valinor. From the countless flowers of these two
trees, Telperion with dark green and silver leaves, and Laurelin with
light green and gold leaves, there poured silver and golden light, each
waxing and waning in seven hours. Thus with the alternating rhythm
of silver and golden light began the Count of Time. In Middle-earth
trees consequently represent light, but also time.
The Valar working with light was Varda, the Lady of the Stars,
known as Elbereth among the Elves. She took dew from Telperion to
make new and brighter stars in Middle-earth before the coming of the
Elves. The Firstborn awoke to the light of these new stars, and since
then stars were of particular significance to the Elves. The star-shaped
flowers that are so abundant in Lothlrien are mentioned several times
in The Lord of the Rings as a signifier of Elvish energy, and stars in general
are throughout the text a symbol of hope. As has been noted, one tell-
ing instance occurs as Sam is keeping faithful watch over his sleeping
Master Frodo in Mordor: suddenly he sees a white star twinkle and
realizes that the seemingly all-encompassing Shadow is but a small and
passing thing (LotR 922) again associating light with the passing of
time, and with hope.
In its title, The Silmarillion refers to the Silmarils, three great jewels in
which Fanor managed to capture the blended light of the Two Trees of
Valinor before they too were destroyed by Melkor. Stealing the Silmarils,
Melkor fashioned a crown for himself, set with the jewels, naming
himself King of the World (so that evil paradoxically wears a crown of
brilliant light the light from the Two trees of Valinor). Fanor and his
seven sons vowed to pursue all who came between them and the jewels.
In their pursuit of Melkor, Fanor and his line (the Noldor) took the ships
of another clan (the Teleri) by force, and many were killed on either side.
This incident is known to the Elves as the Kinslaying, and Fanors obses-
sive pursuit of the Silmarils is a precursor to Smagols obsession with his
Precious in The Lord of the Rings: Gollum also obtains the Ring through
kinslaying. Fanor was killed in the pursuit of Morgoth, but laid it upon
his sons to avenge him. Finally, one of the Silmarils was recovered by
Beren and Lthien27 and later taken by Erendil to the Valar, who set it
as a star in the skies. Thus the light of Erendils star was the light from
one of the Silmarils containing the pure light from the Two Trees of
Valinor. Valinor is consequently the Elvish equivalent to the Garden of
Eden: the exile of the Noldor from Valinor heralded the Kinslaying and
the fall of the Elves. The star of Erendil is associated with hope because
it was set in the skies by the Valar as a sign that they had not forsaken
Middle-earth: at the plea of Erendil they came to the aid of Elves and
men, destroying Morgoth. The star is, however, also associated with
the passionate love story of Beren and Lthien who retrieved it from
Morgoth, and with the long, bloody and tragic vendetta caused by the
oath of Fanor and his sons to fight any and all who kept the Silmarils
from them. The poignancy of this story is great when one remembers
that Galadriel was one of the original Noldor who abandoned Valinor
along with Fanor: the light of Erendils star has cost many lives.
Galadriel offers Frodo her crystal phial containing the reflection of
the light of Erendils star with the words: May it be a light to you in
dark places, when all other lights go out (LotR 376). When Sam and
Frodo are about to be devoured by the giant spider Shelob, Sam recalls
Galadriels words and they escape by the light of the phial. In the heat
of action, Frodo hands the phial to Sam, and Sam is thus able to use the
phial once again to rescue Frodo as he is captured by Orcs and put in a
guard tower on the border of Mordor. The phial later allows them both
to escape the tower, and it is perhaps the influence of its presence that
gives Sam his moment of star-lit hope in Mordor as Frodo sleeps.
Galadriels phial serves Sam and Frodo well on the journey, but as
they reach the Cracks of Doom even this light is extinguished, as Sam
discovers when he reaches for it once more: it was pale and cold in
his trembling hand and threw no light into that stifling dark (LotR
945). This discovery directly precedes the incident where Frodo claims
the Ring for himself, implying that the light from Galadriels phial has
sustained Frodos will thus far. When Sauron falls the phial is rescued,
along with Frodo and Sam, and the last Sam sees of his beloved Master
Frodo is the glimmer of Galadriels phial as it goes into the west with
Frodo, Elrond and Galadriel,28 leaving Sam to the earthly paradise of
the Shire. This development further underscores the deep association
in the narrative between Elves and starlight. It should be clear from the
account from The Silmarillion that the source of light in Middle-earth,
both by day and night, is derived from trees, underlining the associa-
tion between trees and the good. However, in so far as Elendils star
(which is of particular relevance in The Lord of the Rings) is one of the
Silmarils, it also has, through the bloody history of the line of Fanor,
deep associations with error, horror, confusion and death not to men-
tion greed, desperation and possessiveness; something that reveals the
complex set of associations invoked by the central symbols in The Lord
of the Rings.
On the symbolic level, values may be expressed without conscious
ethical reflection. Analysis of the ethical deliberation of The Lord of the
Rings characters in their situations of choice serves to clarify the more
conscious credo upon which the narrative is based.
Characters deliberations: situations of choice
In the broadest sense, the difference between good and evil in The
Lord of the Rings when it comes to decision making is the difference
between tyranny and informed, benevolent rule. Sauron attempts to
coerce and manipulate all to serve his own ends. In contrast, the good
side holds council and weighs different testimonies against each other
before reaching a conclusion, such as during the council of Elrond,29

when it is debated what to do with the Ring, and during the several
days long Entmoot, when the Ents debate whether or not to go to war
against Saruman. Bearing in mind this overall framework for decision
making, this section looks at certain moral choices that are of particular
significance in The Lord of the Rings: Frodos decision to take the Ring,
Gandalfs choice nott to take it, and the choice of self-sacrifice made by
Frodo in carrying out the mission, parallelled by that of the Lords of the
West as they assail the Black Gate. Furthermore, the characters ethical
deliberation when attempting to choose their right path in Middle-
earth is analysed.
In The Lord of the Rings a discussion of self-interest versus virtue is tied
up with the notion of free will, which obviously is an important factor
in determining moral responsibility. Frodos decision to carry the Ring
to Mount Doom is only debatably his own, as he seems to be influenced
by some greater force, that speaks through him as if some other will
was using his small voice (LotR 270). This is an interesting point in
itself, considering Erus intention that men (and by extension hobbits)
should have free will. The narrator further claims that Frodo spoke the
words I will take the Ring with an effort, and that he was wondering
to hear his own words. His part in the matter is further obscured by
Gandalfs earlier remarks that Bilbo was meantt to find the Ring, and not
by its maker. In which case you were also meantt to have it (LotR 56).
Gandalf corroborates this remark in his later statement to Frodo that
you have been chosen, and you must therefore use such strength and
heart and wits as you have (LotR 61). These elements of chosenness and
destiny have become staple features of the quest fantasy.
We remember Erus statements to Melkor that he is but an instrument
of Erus will part of the order of things that Eru later extends to men:
These too shall find that all they do redounds at the end only to the
glory of my work (S 36). Consequently, it seems probable that Frodos
destiny as Ring bearer is the work of a divine will, and that it forms
part of Erus design for turning all dissonance in Middle-earth (that
of Melkor and that of men) eventually into things more wonderful
that they have not imagined. This raises the problem of theological
determinism: how can Frodo have free will if Eru has determined (the
outcome of) his actions in advance? The answer is implied by Gandalfs
last remark: Frodos destiny is not of his own making where he gets to
choose is in the use of such strength and heart and wits as he has. In
other words: his task is a given, but his performance and interpretation
of this task are his own. It is also clear from Frodos words to Sam as
they walk towards Mount Doom that he sees his actions as influenced
by powers greater than his own will:
Its my doom, I think, to go to that Shadow yonder, so that a way

will be found. But will good or evil show it to me? What hope we had
was in speed. Delay plays into the Enemys hands and here I am:
delayed. Is it the will of the dark Tower that steers us? All my choices
have proved ill. (LotR 604)
Frodos reasoning here reveals the belief that good or evil powers may
steer his course a proposition akin to that which Shippey terms the
Manichean view of evil. In this paragraph Frodo sees good or evil as
forces external to himself. An interesting point is that although Gandalf
uses destiny as an argument that Frodo should take the Ring, he does
not refer to it when he refuses to take the Ring himself. He does not say:
No, Frodo, I cannot take the Ring, because you were obviously meant to
have it, and so that would be going against divine will or fate. Rather,
he declines the burden of the Ring on the grounds that it would tempt
him to wield it through his disposition for pity, and thus become like
Sauron:
Do not tempt me! For I do not wish to become like the Dark Lord
himself. Yet the way of the Ring to my heart is through pity, pity for
weakness and the desire to do good. Do not tempt me! I dare not
take it, not even to keep it safe, unused. The wish to wield it would
be too great for my strength. I shall have such need of it. (LotR 61)
Gandalfs reasoning indicates that although he regards Frodo as

bound by destiny, he sees himself as able to choose whether to go
against Frodos destiny or not. His actual choice is in alignment with
Frodos destiny to carry the Ring, but Gandalfs arguments are not
based on the same kind of reasoning for himself as for Frodo. This
difference might plausibly stem from their dissimilar positions in the
hierarchy of being although free choice should in theory be the lot
of hobbits too.
Notably, Frodo expresses doubt in his own ability to choose the right
path. This doubt is an echo of the doubt previously voiced by Aragorn
when he tries to decide whether to follow Frodo on his mission or make
haste to Gondor: All that I have done today has gone amiss. What is to
be done now? (LotR 414). Upon scrutiny, while strength and wit is use-
ful in Middle-earth, the most reliable guide to making the right choice
is a feeling that touches the heart.30 Aragorn can be seen to verify his
own decisions by reference to the feeling in his heart:
Let me think! said Aragorn. And now may I make a right choice
and change the evil fate of this unhappy day! he stood silent for a
moment. I will follow the Orcs, he said at last. I would have guided
Frodo to Mordor and gone with him to the end; but if I seek him now
in the wilderness, I must abandon the captives to torment and death.
My heart speaks clearly at last: the fate of the bearer is in my hands
no longer. The Company has played its part. (LotR 419)
Hearing his heart speaking, Aragorn chooses to not abandon Merry

and Pippin to torment and death, and his doubt leaves him. Frodo too
heeds his heart against the council of Boromir when he decides to leave
the company and go on with the Ring alone: I think I know already
what council you would give, Boromir, said Frodo. And it would seem
like wisdom but for the warning of my heart (LotR 397, emphasis added).
The things that Frodos heart warns him against are also significant: it
warns him against delay. Against the way that seems easier. Against
refusal of the burden that is laid on me. Against well, if it must be
said, against trust in the strength and truth of Men (LotR 397). The
implicit ethical stand behind these observations on the part of Frodo is
that what is right is not necessarily what is easy and it is not always
aligned with the right of the stronger party or the socially sanctioned
truths governing men. In fact, based on his hearts warning Frodo here
denounces the strength of men a phrase that may be interpreted in
several ways. Morally, the strength of men is their ability to shape their
own destiny through free will. In conjunction with Frodos acceptance
of the burden that is laid on him, this statement has implicit connota-
tions of advocating obedience to divine will as a virtue. Further, reliable
guidance to this divine will comes through his heart.
The same idea, that one ought to trust the guidance of ones heart
over logical arguments, recurs as Sam struggles in Mordor with the
monumental choice of whether to stay with Frodo (whom he believes
dead), or to take the Ring and proceed toward Mount Doom alone: Go
on? Is that what Ive got to do? And leave him? (LotR 730). This deci-
sion does not sit comfortably with Sams heart. He weeps, and is unable
to proceed. Then it dawns on him that he should take the Ring and see
it through, because the errand must not fail (LotR 732, emphasis added).
However, the thought of taking the Ring frightens him, and he feels
unworthy. Sam too has doubts about his own skills in moral decision
making. He takes the Ring, and leaves Frodo behind, but doubt about
his decision nags him:
Ive made up my mind, he kept saying to himself. But he had not.

Though he had done his best to think it out, what he was doing was
altogether against the grain of his nature. Have I got it wrong? he
muttered. What ought I to have done? (LotR 733)
He suddenly hears Orc voices, and slips the Ring on for protection.
When the Orcs reach Frodo, Sams indecision vanishes, and he runs
back to be at his masters side. Following his heart rather than his delib-
eration, Sam tails the Orcs and learns that Frodo is unconscious but
still alive, prompting this internal comment: You fool, he isnt dead,
and your heart knew it. Dont trust your head, Samwise, it is not the
best part of you (LotR 740, emphasis added). Sam is unable to move
when his heart is not in accord with his thoughts but when he heeds
his heart he makes the right decision because it knows better. Once his
thoughts catch up with his heart, his doubt leaves him: He no longer
had any doubt about his duty: he must rescue his master or perish in the
attempt (LotR 897). Consequently, the reasoning of all the main char-
acters, Aragorn, Frodo and Sam, when faced with a difficult decision
conform to the same pattern: doubt in ones own ability to choose, fol-
lowed by a process of deliberation and lastly a verification of the deci-
sion against the feelings of ones heart. With reference to the pattern of
moral deliberation set up as a standard for Roman Catholics (see Crook,
2006, p. 29), all these characters take recourse to natural law,31 which
is available thorough human reason. They further draw on their own
conscience perhaps informed by the inner voice of the Holy Spirit.
It is important to note that both Aragorn and Sam choose to follow
and rescue their friends over securing the errand that must not fail,
perceiving this as their primary duty, though the fate of Middle-earth
depends on the destruction of the Ring. This is possible because only
Frodo is charged with the responsibility of destroying the Ring: the
others may abandon the quest when they see fit, as Elrond makes
clear before their departure from Rivendell. This aspect of Middle-earth
morality indicates that the characters are guided not by consequentialist
ethics but rather by notions of duty and obligation, and by bonds of ser-
vice to and friendship with others, so that personal relationships have
importance over and above the quest. In short, good Middle-earth
characters do not abandon their friends, even for the greater good.
This last point associates the decision making of the main characters
with deontological theories of ethics. Deontologists hold that the right

should not be defined in terms of the good, and reject the idea that the
good is prior to the right, in contrast to consequentialist or teleological
theories where the right is defined as that which maximizes the good,
and where the good is defined independent of the right (Davis, 2006,
p. 206). Thus, a deontologist may refuse to harm the one (an innocent
child, for instance) in order to save the many (even the rest of the
world), if the harming of that innocent child can be said (and known) to
be wrong. A consequentialist would be obliged to harm the child to save
the world, as this would maximize the overall good. To the deontologist,
the agent is more responsible for the thing that he or she intends than
for the consequences of his or her actions, because the agent is not held
to be fully the agent of all such consequences (Davis, 2006, p. 209). In
the case of both Aragorn and Sam the refusal to abandon their friends,
which would be wrong, here takes precedence over the good: the task
that must not fail. Thus their decision making reflects the deontological
mode of moral reasoning. The word deontological is derived from the
Greek deon, which means duty. Frodo is undeniably carried forward
on his quest by a sense of duty. Throughout the perilous journey, Frodo
doggedly persists with his appointed task although his personal desire is
severed from the duty placed on him. (He desires more than anything
to stay in Rivendell with Bilbo and rest.) Sam too sticks to his duty, but
in his case (as with Aragorn) his perceived duty (to stay with Frodo)
is aligned with the love of his heart. Gandalf also invokes duty, when
speaking to the Lords of the West, counselling them to use themselves
as bait for Sauron in order to enhance Frodos chances of destroying
the Ring: This, I deem, is our duty (LotR 880). What these instances
have in common, is that there is a link between self-sacrifice and duty:
doing ones duty requires one to sacrifice ones own life or at least ones
own happiness. One indication that Frodo leads a morally good life in
accepting his duty as a Ring-bearer is that his suffering allows him to
grow morally and to develop the virtue of compassion. This morally
good life may clearly be distinguished from Frodos own personal sense
of a good life, however.
An important facet of deontological constraints is that they are
usually framed in the negative, as prohibitions (Davis, 2006, p. 208).
The Thou shall nots of the Bibles Ten Commandments are typical
examples of such deontological restraints. The most important such
commandment in The Lord of the Rings is Thou shall not use the Ring
or as Gandalf says to Frodo before he departs from the Shire: Let me
impress on you once more: dont use it! (LotR 67). Gandalf is easily the
strongest moral authority in the narrative. Even when he is absent,

Frodo looks to him as a moral yardstick on his own behaviour. It is,
therefore, possible to read Frodos attention to Gandalfs admonitions
not only within the framework of virtue ethics (Gandalf models virtue
for Frodo) but also as an expression of deontology.
Gandalf seems to take up this duty less reluctantly than does Frodo,
and to struggle less with his decision making than the other charac-
ters. However, Gandalf relies on his heart no less than do the others.
The feelings of his heart frequently serve as premonitions, as when he
predicts that Gollums fate is connected with the Ring: My heart tells
me that he has some part to play yet, for good or ill, before the end; and
when that comes, the pity of Bilbo may rule the faith of many yours
not least (LotR 59). In the same section Gandalf also links wisdom to
kindness of heart: The wood-elves have him in prison, but they treat
him with such kindness as they can find in their wise hearts (LotR 59).
During the council of Elrond, Gandalf again refers to premonitions
given by his heart regarding Gollum: From the first my heart misgave
me, against all reason that I knew, said Gandalf, and I desired to know
how this thing came to Gollum and how long he had possessed it
(LotR 251, emphasis added). Here, Gandalfs heart alerts him against
all reason much in the same way that Sams heart is reluctant to leave
Frodo in Mordor although all reason says he should take the Ring and
head for Mount Doom.
The link between moral choice and the feelings of ones heart is
emphasized further in Lothlrien, the heart of Elvendom on earth,
when Galadriel scrutinizes each member of the company, testing their
dedication to the quest against the bribe of receiving their hearts
desires. Her words afterwards are biblical: Do not let your hearts be
troubled, she said (LotR 357), in a direct quote from the Gospel of
John. In John, this exact phrase occurs twice. John 14:1 reads: Do not
let your hearts be troubled. Believe in God, believe also in me. These are
the words of Jesus to his disciples. In John 14:27 Jesus says: Peace I leave
with you; my peace I give to you. I do not give you as the world gives.
Do not let your hearts be troubled, and do not let them be afraid. In
The Lord of the Rings, Galadriels words are closest to the second quote,
as she immediately adds: Tonight you shall sleep in peace (LotR 357).
To anyone familiar with the Bible, it is easy to fill in the rest of the lines
from the quote, and thus the allusion to the protection promised by
Christ to the disciples in a time of dire need is very strong in this pas-
sage. Such moral and physical protection is extended to the company
by the Elves throughout their journey; by their provision of lembas,
which sustains both their physical bodies and their moral courage, of
rope, which aids their progression towards Mordor, and of the phial of
Galadriel, which allows them to escape from their capture by Orcs. This
is how Sam experiences Galadriels scrutiny:
If you want to know, I felt as if I hadnt got nothing on, and I didnt
like it. She seemed to be looking inside me and asking me what
I would do if she gave me the chance of flying back home to the Shire
to a nice little hole with with a bit of garden of my own. (LotR 358)
Here, a distinction is made between what the heart of each individual

desires and the moral strength required to stick with the quest in the
face of temptation. There are instances when the right moral choice is
not in alignment with the desires in a characters heart highlighting
the cost to personal preference that doing ones moral duty may entail.
Galadriels test functions on the same logic as that of Gandalfs delibera-
tions when he refuses to take the Ring: the important point is to resist
temptation, although having what one desires seems a good. This empha-
sis on resisting temptation echoes Christian morality.
Furthermore, the importance of the heart in moral decision making
is linked with that virtue which is advocated as the single most impor-
tant one in Middle-earth: the ability to feel pity or compassion which
also depends on a moral emotion that reaches the heart. The successive
chain of pity that keeps Gollum alive all the way through the story
until he falls into the Cracks of Doom with the Ring comes across as a
clear moral admonition to be compassionate. This admonition may be
attributed to the implied author of The Lord of the Rings. Pity or com-
passion is the single most redemptive moral virtue, as Gandalf early on
makes clear to Frodo: Be sure that he [Bilbo] took so little hurt from
the evil, and escaped in the end, because he begun his ownership of
the Ring so. With Pity (LotR 59). Directly afterwards, Gandalf has the
premonition that Bilbos pity may rule the fate of many. The impact
of Gandalfs admonitions on Frodo is clear: Frodo eventually ends up so
compassionate that he turns Saruman the other cheek even as Saruman
attempts to stab him.
A related and striking aspect of important situations of choice in The
Lord of the Rings is that they often involve self-sacrifice in the specific
sense of volunteering to face an overpowering force with little hope of
success. This is true of Frodos choice to become Ring-bearer and chal-
lenge Saurons stronghold Mordor as well as the corruptive powers of the
Ring. It is also true of Gandalfs choice to stay behind to fight the Balrog
in Moria so that the rest of the company can escape. He seems to die in
this struggle, but perhaps because he is an Istar he is sent back, even
mightier than before. This pattern of self-sacrifice also returns during the
last stage of the war, when Gandalf councils the Lords of the West, stress-
ing that a victory against Sauron cannot be achieved by arms:
This war then is without final hope, as Denethor perceived. Victory

cannot be achieved by arms, whether you sit here to endure siege after
siege, or march out to be overwhelmed by the River. () We must walk
open-eyed into that trap, with courage, but small hope for ourselves. (...)
But this, I deem, is our duty. (LotR 87880, emphasis added)
According to Gandalf here, evil has to be faced, and with courage, though
there is little hope of escaping alive. Clearly, moral courage in the face
of expected defeat is emphasized in this situation. In the Prose Edda,
the events during Ragnark are predicted in detail, reflecting a fatalistic
world view. This myth reflects the beliefs of a warrior culture, where fight-
ing is done also for sport, and readiness to battle must be a chief virtue.
According to Shippey (2001), Tolkien admired the courage he read into
the Old Norse world view: to know that the world will end in disaster,
and yet face the fight, with no prospect (like that offered by Christian
myth) of salvation. In Shippeys view, Tolkien attempted to recreate this
sense of long-term defeat and doom (Shippey, 2001, p. 150) in The Lord
of the Rings in order to push his characters to what he saw as a moral
achievement: the ability to fight for the right cause with no hope of
reward.32 In The Lord of the Rings, this bold course of action is tied to the
concept of duty.
The situations of the Lords of the West and that of Frodo and Sam
are very much akin: they have to sacrifice themselves, with little hope
of success, in the hope that the sacrificial act will lead to evils demise.
The stress put by Gandalf on the words we cannot achieve victory by
arms underlines that moral courage to the point of self-sacrifice rather
than physical prowess is the only thing that can successfully challenge
evil. This emphasis on moral stamina or virtue is present in the text
from the very beginning. There is a focus in the narrative on strength or
weakness of character,
r which is signalled already in the books opening
sentence in the prologue.
The Middle-earth notion of virtue

Modern virtue ethical theory has been developed during the last 40 years,
and could not have influenced Tolkien in the 1940s, but the notion of
virtues and vices is important both in Ancient Greek philosophy and in

Christian ethics, influenced by Greek sources. Modern virtue ethical the-
ory may influence modern readers of Tolkien, but in order to understand
the modern form of virtue theory we must still look back to its Greek
sources and to its Christian elaboration.
Aristotles starting point in The Nicomachean Ethics (2004) is that the
object of life is happiness (Aristotle, 2004, p. 27). In Aristotles view, vir-
tue is not a feeling or a faculty, but a disposition. According to Aristotle,
feeling pity is not a virtue, because we are not praised or blamed for our
feelings, nor do we choose our feelings, whereas we are praised for our
virtues and virtue also implies choice. This means that insofar as pity
in The Lord of the Rings refers to a feeling in the Aristotelian sense, then
the account of virtue in The Lord of the Rings does not correlate with
Aristotles notion of virtue. The analysis in the previous section, where
pity was described as a feeling in the heart suggests that there is a
discrepancy in views here. Aristotle describes virtue as human excel-
lence, and excellence as that which enables its possessor to function
well (Aristotle, 2004, p. 39). Ones functioningg is, for Aristotle, under-
stood in relation to ones place in the wider society; in the fulfilment
of ones social role or obligations. This social aspect of functioning well
is one that is very important to the notion of virtue displayed by the
characters in Middle-earth.
Thomas Aquinas synthesized Aristotelianism and Christian theology,
and added faith, hope and charity to the main Greek virtues of cour-
age, temperance, wisdom, and justice, giving a theological rather than a
secular justification for virtues by appeal to Gods existence and nature
(Pence, 2006, p. 252). It seems clear that both hope and charity are pro-
moted as positive virtues in The Lord of the Rings, as is moral courage.
The character of Faramir in particular embodies a sense of justice based
on careful deliberation.
In a Roman Catholic approach to virtue ethics, Harrington and
Keenan stress the concept of the Kingdom of God33 as the goal of eth-
ics (Harrington and Keenan, 2002, p. 23). According to the Catechism
of the Catholic Church (CCC), the Kingdom of God is extended when
Christians live and think like Christ, and by promoting peace and
justice (CCC 25, 26). Frodos quest succeeds largely because of Sams
love and loyalty to him, and the quest as a whole succeeds due to the
willingness on the side of good to self-sacrifice, mirroring the sacrificial
act of Christ.
According to Frazer, the Greek and Roman civilizations were built
on the conception of the subordination of the individual to the
community, but were undermined by the influence of Oriental religions

which inculcated the communion of the soul with God and its eternal
salvation as the only objects worth living for (Frazer, 2009, p. 359). In
The Lord of the Rings, both the concerns of the wider community, that of
Middle-earth, and each individuals moral choices are stressed, because
in the narrative as a whole there is an emphasis on showing that the
outcome of great events often hinges on the fate of the seemingly small
and insignificant: Sauron is destroyed first and foremost by the bravery
of Halflings, who are frequently mistaken for children by other races
in Middle-earth; the Lord of the Nazgl is killed by a woman and a
Halfling; and Isengard, the stronghold of the powerful wizard Saruman,
is destroyed by walking trees. Thus, rather than setting up a dichotomy
between the interests of the community and the aim of the individual
soul, these purposes are presented as interdependent and intertwined, as
the fate of the whole community is shown to also depend on the virtues
and moral choices of individuals. This model resembles the Christian
solution epitomized in the notion of a Kingdom of God.
A major focus in the narrative is on the corruptive power of the
Ring, and its ability to make inborn or ingrained character dispositions
disintegrate. This disintegration of character is particularly evil in Middle-
earth because here the movement of the course of history depends on
the ability of individuals to display virtue. Virtue matters because indi-
vidual character so vitally affects the whole: individual choice is seen
to have collective consequences. Again, this representation of virtue is
consistent with the notion of the Kingdom of God, in the view of which
each individuals moral choices matter because such choices either help
extend or hinder the rule of God. Furthermore, the narrative emphasis
on hope and charity two of the Christian virtues added to the moral
theory of the Ancient Greeks by Aquinas further underscores the
Christian elements of the texts morality. When this emphasis is seen
in conjunction with the deontological structure of the moral reasoning
displayed by the main characters, the narratives compatibility with, or
even affinity for, Christian values is highlighted.
The role of emotion
A further aspect of evil in The Lord of the Rings, which implies that the
proper functioning of the moral faculty requires an emotional input,
is that Sauron has a depressing and demoralizing effect on those who
come under his sway. This can be felt above all by the oppressive influ-
ence of the Black Riders that strike fear into the hearts of men. It is
several times implied that depression mars judgement, both in the case
of king Thoden (who must be shaken out of his gloom by Gandalf
in order to stand up and fight evil) and in the case of Denethor, who
succumbs to the evil influence of Saurons vision and takes his own
life in a sense of defeat. This moral role played by the quality of emo-
tions is underscored by its binary opposite: the feeling of light, joy and
effortlessness inspired by Elves and all things Elvish most notably by
lembas, which nourish not only the body but also the spirit. The moral
importance of joy and lightness is emphasized in the prologue, where
the narrator says in his description of hobbit character that they are
fond of simple jests at all times. In the character of Tom Bombadil, the
power of joyful exuberance is developed into a striking form, under-
scored by his easy dismissal of the Rings power. It is further enhanced
by Pippins observation of Gandalfs emotional constitution, even at the
outbreak of war:
Pippin glanced in some wonder at the face now close beside his own,
for the sound of that laugh had been gay and merry. Yet in the wiz-
ards face he saw at first only lines of care and sorrow; though as he
looked more intently he perceived that under all there was a great
joy: a fountain of mirth enough to set a kingdom laughing, were it
to gush forth. (LotR 759)
Pippin here suggests that the lines of care and sorrow on Gandalfs
face are superficial marks, compared to his real nature: a great joy that
lies beneath it all. This description of Gandalf has associations with
the merry nature of Bombadil an association that is picked up at the
close of the narrative, when Gandalf leaves the hobbits near the Shire
and says he is off to visit Bombadil. All of this indicates a connection
made by the implied author between taking things too seriously and
the likelihood of falling prey to evil influences. What is implied is that
to withstand the disruptive power of Sauron requires one to take things
lightly and to be joyful. Joy is thus connected to a certain sense of moral
perspective. This association induces the reader to link the hobbits
fondness for jests with their moral stamina and endurance when con-
fronted with evil. Indeed, laughter seems to be an antithesis to Saurons
power. The relief from oppression supplied by laughter recurs several
times in the narrative. Frodo laughs at Amon Hen when he realizes that
Sam is determined to come with him on his journey into Mordor. Later,
he laughs as they climb the stairs of Cirith Ungol when they have their
meta-conversations about stories and Sam says: I wonder what sort of
tale we have fallen into? Here Sam effectively shifts their outlook on
the quest by wondering what sort of story people will tell about it after-
wards. In this instance, the ability to see things from the outside and
to pit their own struggles as part of a web of stories, gives Frodo relief
from his epic burden.
After Saurons fall, Sam wakes up to Gandalfs laughter:
A great Shadow has departed, said Gandalf, and then he laughed,

and the sound was like music, or like water in a parched land; and as
he listened the thought came to Sam that he had not heard laughter,
the pure sound of merriment, for days upon days without count. It
fell upon his heart like the echo of all the joys he had ever known.
But he himself burst into tears. Then, as a sweet rain will pass down
a wind and the sun of spring will shine out the clearer, his tears
ceased, and his laughter welled up, and laughing he sprang from his
bed. (LotR 9512)
When seen in conjunction, both these paragraphs describing the joy and
laughter of Gandalf bring to mind Tolkiens ideas in On Fairy-Stories
about a joy, poignant as grief which is characteristic of eucatastrophe
a term Tolkien coined to describe the sudden joyous turn that he
saw as a mark of true fairy tales. This subtle emphasis on joy is all the
more powerful because Gandalf plays the part of Frodos moral guide,
and his council is generally respected and esteemed by the good
characters in Middle-earth. Furthermore, when these glimpses of deep
joy are combined with the narrative emphasis on the symbol of the
star, which is a potent image of hope, and both are seen in relation to
Tolkiens own theories about the nature of fairy tales, the deep current
of Christian faith that underpins Tolkiens writing, and which is there
consciously in the revision (Carpenter, 2006, p. 172), becomes clear.
Tolkien stresses that eucatastrophe comes as a catch of the breath,
a beat and lifting of the heart, near to (or indeed accompanied by)
tears. He adds that this effect is not easy to achieve in the reader,
since it depends on the whole story which is a setting for the turn,
and yet it reflects a glory backwards (OFS 385). When these words are
considered in association with Sams experience of Gandalfs laughter,
which brings tears to his own eyes and then eventually makes him
laugh as well, the passage reads like an echo of Tolkiens theory of the
emotional effect of fairy-tales. Its significance is enhanced by the fact
that Sam has been the focalizer of the last part of the quest, so that
the readers identification with his perspective is firmly established.
All of this signals that the reader is meant to co-experience Sams

eucatastrophe here, as he wakes up safe in Ithilien next to a peacefully
sleeping Frodo: Gandalf! I thought you were dead! But then I thought
I was dead myself. Is everything sad going to come untrue? Whats
happened to the world? (LotR 951).
Matthew Dickerson (2003) has noted the emphasis on sorrow and
loss in Tolkiens writing, pointing to the loss of the Entwives, Galadriels
loss of Lothlrien, Elronds loss of Arwen and the loss of the Elves from
Middle-earth. Dickerson describes The Silmarillion as an even more
deeply sorrowful piece, with its emphasis on the fall of all the major
Elven kingdoms and on the evil that arises from the curse of Fanor
(Dickerson, 2003, p. 213). He refers to Shippeys contention that this
all-pervading sadness is the sadness that must be experienced by the
pagan who lives without the hope of Christ (Dickerson, 2003, p. 216).
Arguably, this dual emphasis on sorrow and hope is an aesthetic neces-
sity, if one takes seriously Tolkiens instruction to regard the whole story
as a setting for the joyous turn; such a turn can only be achieved by
contrast, in much the same way as the stars only show their brilliance
against the darkness of the night sky.
There are other ways, too, in which the readers emotional responses
are triggered and engaged. The importance in the text of the archetypal
symbols of the tree and of light has been noted in this chapter. An
essential feature of archetypes is their ability to activate the emotions.
According to Jung, when archetypes appear in practical experience they
are images and at the same time emotions (Skogemann, 2009, p. x).
When such an image is charged with numinosity, or psychic energy, it
becomes dynamic and will produce consequences [in the individual]
(Skogemann, 2009, p. x). Jung also describes the archetypes in this way:
The archetype is essentially an unconscious content that is altered by

becoming conscious and by being perceived, and it takes its colour
from the individual consciousness in which it happens to appear. ( )
That people should succumb to these eternal symbols is entirely nor-
mal, in fact it is what these images are for. They are meant to attract,
to convince, to fascinate, and to overpower. They are created out of
the primal stuff of revelation and reflect the ever-unique experience
of divinity. (Jung, 2009 [1959], pp. 5, 8)
There are several important points here, not least the one that the
archetypes, though they are eternal symbols common to the psyche
of all humans, are perceived differently by each individual. It is also
significant in this context that the archetypes generally impact the

individual on an emotional level, and that consequently they have
the ability to stir deep responses in people.
A further aspect of the aesthetics of The Lord of the Rings that is
connected to emotion is that of sound and music. This significant
facet of Tolkiens text has received comparatively little attention (but
see Steimel and Schneidewind, 2010 and Smith, 2006). Philosopher
Susanne K. Langer has argued that music reflects the morphology of
feeling (Langer, 1957, p. 8).34 Thus, the implied authors use of pro-
simetrum and the inclusion in the text of songs, poetry and rhymes
may also serve to engage the readers emotions. All his life, Tolkien was
intensely engrossed in what one might call word-music, basing his own
invented languages on Welsh and Finnish, the sounds of which gave
him the most pleasure. In contrast to the dominant language theories of
Saussure and Chomsky, Tolkien argued for a connection between sound
and sense; a connection now receiving backing by both linguists and
neuro-scientists (see Smith, 2006). The Lord of the Rings thus includes
un-translated Elven verse in invented languages, supposedly from the
conviction that the reader could somehow distil their meaning from
sound alone, since the appendices contain guidelines for their pronun-
ciation (LotR, 111317). Furthermore, according to The Silmarillion,
Middle-earth was created as a symphony, where events seem to play
themselves out as recurring themes in a sequence of movements: the
Three Ages. Thus, if he sought above all to give his readers an experi-
ence of eucatastrophe, a fleeting glimpse of joy, poignant as grief,
the implied authors choice of a narrative technique that combines an
emphasis on sound, metre and verse with emotionally evocative arche-
typal symbols seems particularly apt to achieve this end.
Completion in The Lord of the Rings
The narratives completion involves an assessment of the ethics of the

implied authors overall narrative purpose as well as an evaluation of
this purpose (Phelan, 2007, p. 13). The assessment is tied to aesthetics
in the identification of the nature of the works narrative project, and in
the analysis of how skilfully this project is executed. Arguably, a narra-
tive can develop and unite several purposes simultaneously, much like
a symphony (to stay with the mythological underpinnings of Middle-
earth) that may be comprised of several themes and movements.
What is noticeable in the analysis in this chapter is that the research
questions have served to bring out different ethical qualities that
all pertain to the text. The first set of questions, which relate to the
characterization and narrative presentation of good and evil, has led
to an emphasis on the mythological and symbolic elements woven
into the plot. The symbolic elements have proven to be connected in
complex webs and sets of associations, pertaining to ingrained (and per-
haps to a degree subconscious) ritualistic and archetypal patterns. Most
prominently, the emphasis on evil as responsible for a barren and ster-
ile world, and the close association between the good and that which
makes natural beauty and bounty flourish both have roots in ancient
fertility myths; as does the link forged between the health of the land
(Gondor) and the rule of the new and rightful king (Aragorn).
Significant mythological and symbolic aspects of the text render it
ethically ambiguous or open, in that images from Old Norse mythol-
ogy are combined with story elements drawn from the Judeo-Christian
tradition. Materials inspired by Old Norse and Anglo-Saxon mythology
typically feature trees as subjects and focalizers (in line with an ani-
mistic world view), whereas in material inspired by the (monotheistic)
Judeo-Christian tradition trees are inanimate objects of focalization.
Acknowledging both these influences in the text, this chapter has
argued that the tension between two views of evil evil as powerless
(a shadow) and evil as powerful (a force) may, to a degree, be regarded
as a tension between the opposing cosmologies of these two traditions.
While in Old Norse cosmology evil is primary (in the order of creation)
and powerful, in Judeo-Christian cosmology good is primary and evil
ultimately powerless (since final judgement rests with God). Genesis in
The Silmarillion combines these views by having good and evil (in the
aesthetic form of harmony and dissonance) flow simultaneously and
intermingled during the creative act.
This chapter has also stressed the thematic and synthetic importance
of the character of Tom Bombadil. Due to his deep unity and commun-
ion with the natural environment, his aesthetic attitude of appreciation
for growing things, his pacifism, his merriment, his self-mastery, and
his status as eldest, Bombadil serves as an embodiment of many of the
deeper levels of valuing in the tale not least its ecological subtext. In
his unaffected response to the Ring of Power Bombadil further serves
an important function by representing a point beyond the necessity
for the quest initiated by Gandalf. In The Lord of the Rings the many
embedded references to the mythical past of the First Age, consistently
developed through the motif of the White Tree of Gondor, further con-
tribute to this embedded sense of the beyond, as does Frodos gradual
distancing from the war through a developing pacifist stance and his
eventual departure from all worldly concerns. Another element in this

orchestration of a movement beyond the contemporary events in the
diegesis is the poignant sadness created by the departure of the Elves
from Middle-earth. This experience of sadness is developed through
the narrative association between Elves and the good, founded on the
connection between Elves, light and stars. The Elves are also linked
with trees, which again are cast as the source of light in Middle-earth.
(This last association is only available when The Lord of the Rings is read
in conjunction with The Silmarillion). The deeper significance of this
strong movement in the narrative towards the beyond is most read-
ily explicable through (extra-textual) reference to Tolkiens concept of
eucatastrophe, which testifies to his faith that a proper fairy story may
reflect the true fairy story of the Christian promise of salvation.
The Christian subtext of this narrative movement towards the
beyond comes quite clearly into view as response to the second set of
research questions, in the analysis of the main characters moral deliber-
ation: they all utilize a deontological pattern of moral reasoning, corre-
sponding to a Roman Catholic emphasis on natural law. Thus, analysis
of the more conscious ethical deliberation in the text closes the text
ethically in that it corresponds quite seamlessly to a particular system
of belief. Another important feature in the text linking it to a deonto-
logical pattern of moral reasoning is the implied commandment: Thou
shall not use the Ring a commandment that formulates the main
moral test depicted in the narrative. The Ring is a symbol of Saurons
will and power; a will that seeks to dominate and subjugate all creatures
in Middle-earth. Opposed to free will, it connotes tyranny as well as
obsession and moral corruption. Because evil is described in terms of
moral corruption, there is also an emphasis in the text on moral charac-
ter, moral stamina and moral discernment, which echoes the emphasis
on virtue in modern virtue ethical theories most of which are founded
on neo-Aristotelianism. In contrast to the Aristotelian notion of virtue,
however, the most redemptive virtue in the text is that of compassion
or pity, dependent on a feeling in the heart. When this is put together
with the notion of a Community of God, implied in the text by having
individuals cooperate to achieve a joint higher vision, these elements
together underscore the narratives Christian slant. Although the nar-
rative portrays what seemingly are chance events, these have reference
back to the (unfathomable) will of a divine force that pulls the threads
of the web in which individual fate is embedded, and this throws
into relief the restricted nature of free will as the concept is applied
here. This is counterbalanced, however, by the weight placed on the
importance of the small and un-regarded, who through their display

of moral virtue help turn the wheels of historical destiny. In focalizing
the tale of the War of the Ring through the four hobbit protagonists,
the narrator effectively aligns the perspective on the war with the eyes
of the common folk. This narrative strategy plays down the tales epic
elements, and encourages the reader to identify with the moral choices
of the everyman rather than with the great and noble (epic) hero rep-
resented by Aragorn.
The sense of ethical closure experienced by analysing the charac-
ters moral deliberation and the nature of virtue in Middle-earth is
undermined by an important plot movement; the uprising of the Ents
(in which trees march to war to defend themselves), which underlines
the animistic note of the tale. The complexity of associations related to
the tree as a symbol further marks the text as interpretively open.
In The Silmarillion, the light of the Two Trees of Valinor is associated
not only with the good but also with suffering through their link with
the Silmarils. This element of suffering is underlined in The Lord of the
Rings by the departure of the wounded Frodo who leaves Middle-earth
clutching Galadriels phial which contains light from Elendils star.
This suffering is a part of the process of refraction that symbolizes the
steadily increasing separation from the primal light that Verlyn Flieger
(2002) sees as a basic premise in Tolkiens mythology. Thus, the light
from Elendils star invokes hope (this is visible in The Lord of the Rings),
but also suffering (which is highlighted when The Lord of the Rings is
read in conjunction with The Silmarillion). This combination of hope
and suffering becomes even clearer to the reader who takes into account
On Fairy Stories, where Tolkien outlines his philosophy of sub-creation
and of eucatastrophic story-moments. One may thus read The Lord of
the Rings as an attempt to give the authorial audience an experience of
eucatastrophe, a joy, poignant as grief, where joy as well as suffering
and grief play their part.
The double vision comprised of joy and grief is also evident in the
choice of developing a double set of heroes: Sam and Frodo. There is a
sense in which they represent fantasy and mimesis. Sam is the untrou-
bled, harmonious fairy tale hero: all his wishes come true, from the one
of seeing Elves to finding water in Mordor. He lives happily ever after
with Rosie, but is also allowed to follow his beloved Frodo to the Grey
Havens eventually. He is unharmed and unscathed by the War and his
burden of supporting Frodo, and even free from any effects of carrying
the Ring. Frodo, in a more realistic strain, is the casualty of War. He is
damaged beyond repair and unfit for life in the Shire when the war
ends. He has failing health, no family or beloved, and a troubled mind

weighed down by Shadow. He has to seek beyond the world since he
find[s] no rest therein. His life has been marred by the dissonance of
Middle-earth, introduced by Melkor into the divine music. Thus, Frodo
functions as the dyscatastrophic element in the implied authors crea-
tion of eucatastrophe, while Sam represents the hope and essential joy
and fulfilment of the evangelium.
The climax of The Lord of the Rings is Frodos eventual claiming of the
Ring, Gollums fall into the Cracks of Doom with it, and Saurons sub-
sequent destruction. Before the climax, the focalization has shifted from
the idealistic Frodo to the more pragmatic but deeply faithful Sam. The
effect is to mute the readers identification with Frodo and to strengthen
his or her identification with Sam as Frodo finally caves in and claims
the Ring for himself. When this climax is regarded on the terms set up
in The Lord of the Rings, there is a sense of failure to Frodos role in the
quest. And both his and Gollums part become morally problematized:
while Frodo has doggedly held to his duty, but ultimately fails in spite of
tremendous sacrifices, Gollum in a sense is redeemed35 by eventually
becoming the means to Saurons destruction. When this resolution is
viewed in conjunction with The Silmarillion, a different picture emerges.
In light of the premise set up in The Silmarillion by Erus words to Melkor
(that he will turn all evil to good in the end) this climax takes on a
different moral meaning: the fact that the resolution is dependent on
Gollum becomes proof of Erus ability to turn all evil into a testimony
to his own glory. This course of events is founded on Frodos develop-
ing sense of compassion: had he not spared Gollum, the Ring could not
have fallen into the Cracks of Doom with him.
If one asks, with Phelan, what interpretive reconfigurations the reader
has to make at the end of the narrative, the most poignant reconfigu-
ration relates to Frodo, and his development of a pacifist stance and a
striking sense of compassion. However, he seems definitely a scapegoat,
having to carry the burden of evil so that others may live and prosper;
even if his acceptance of this burden results in moral growth. Because
the focalization shifts away from Frodo in Book IV, the internal process
necessary for this growth is unknown to the reader. The ethos of turn-
ing the other cheek, as he does, even as Saruman tries to stab him,
ranks high as a Christian virtue but because his normative position is
undercut by his ill health through the implicit valuing in the narrative
of natural health and fertility as a good, its effect as a moral example
is somewhat muted. The reader has to rank self-sacrifice very highly in
order for Frodos association with the Christ to trump the premise of the
rest of the text as perhaps the implied author does, having Gandalf as
well as the Lords of the West sacrifice themselves.
In my view there are two main rhetorical strands in the narrative.
I regard The Lord of the Rings both as an attempt to explore the stance
of pacifism in a context of total war, and as an attempt to develop in
the reader a yearning for what lies beyond the worldly and politi-
cal concerns of the Third Age of Middle-earth and, by extension, our
own. In a narrative where health and fertility are closely associated
with the good, there is a link between the implied authors portrayal
of Frodo and Bombadil in that both of their normative positions are
undercut. Although Bombadil is powerful in himself, and an emblem of
natural health, merriment and fertility, the discussion at the Council in
Rivendell suggests that Bombadil, even though unaffected by the lures
of the Ring, would still be susceptible to the outcome of the war. When
Bombadils susceptibility to Saurons destruction is read in conjunction
with Tolkiens comment in one of his letters that Bombadil represents
a natural pacifist view, it implies an interpretation of pacifism as an
impotent moral stance in situations of total war. The implied author
thus argues simultaneously that the compassion necessary for the total
pacifist view is morally laudable, but also that the pacifist view is realis-
tically ineffective when faced with the threat of war.
The narrative project of moving the reader towards a longing for the
beyond is masterfully executed, aesthetically speaking. The story is
told in a way that gives the reader ample room to ponder the ethical
significance of the narrative, and to draw on his or her emotional expe-
riences in that process. The plurification of the narrative voice (created
by an emphasis in the narrative on oral transmissions through reported
speech, through the use of prosimetrum, and through the stylistic use
of various languages to portray different cultures) adds to the readers
sense of interpretive space. This chorus of voices is united through the
use of prominent recurring symbols, which work to engage the reader in
interpretation and feeling. The many levels of connotation attributed to
the tree in particular lend a sense of complex unity to the narrative a
unity aided by the extra-diegetic narrators voice, as well as by reading
the text as representing the value argument of an implied author who
orchestrates the narrative and its communicative means.
3
Ethics and Form in Harry Potter
The analysis in this chapter is also focused on the texts characterization

of the nature of good and evil, and the characters ethical deliberation
in situations of choice. The story arch of the whole series is considered,
with a main focus on Harry Potter and the Deathly Hallows (2007), where
the battle between good and evil reaches its climax and resolution, and
where the ethical communication of the implied author reaches a new
level of complexity. While a relatively brief chapter like this one cannot
hope to do justice to the complexities developed in Rowlings 3,500
page text, its aim is to develop a few significant points concerning the
relationship between ethics and form in Harry Potter.
Context and criticism
The rise of the Internet has been an important factor in the astonish-
ing popularity of the Harry Potterr books. Emerging technology enabled
teenagers (the primary users of the new medium) to discuss characters
and plot details on fan boards and in chat rooms, further boosting the
series appeal. However, teenage fandom soon sparked moral concern:
assertions that the novels contain occult or satanic subtexts have come
from religious groups spanning several faiths: Protestants, Catholics,
Orthodox Christians, as well as some Shia and Sunny Muslims (Books
LLC, 2010, p. 51). The Harry Potterr books were banned in private schools
across the United Arab Emirates in 2002 because the story was regarded
as contrary to Islamic values (BBC News, 2002). By the 2000s the series
was also among the books most often requested to be removed from
school and library shelves in America (Anelli, 2008, p. 184).
Much of the ethical criticism of the Harry Potterr books has been voiced
by fundamentalist Evangelical Christian groups who believe that the
85
imagery of witchcraft in the series, and consequently its alleged paganism,

is dangerous to their children (Books LLC, 2010, p. 52). Other evangelicals,
like Connie Neal, find that the books may be used to educate children in
Christian tenets (Neal, 2008). And while the Archbishop of Sydney, Cardinal
George Pell, has praised the books for displaying values that are deeply
compatible with Christianity (Books LLC, 2010, p. 54), Edoardo Rialti,
writing in the Vatican newspaper LOsservatore Romanoo has claimed that
the foundations of this tale is the proposal of witchcraft as positive,

the violent manipulation of things and people thanks to the knowl-
edge of the occult, an advantage of a select few: the ends justify the
means because the knowledgeable, the chosen ones, the intellectuals
know how to control the dark powers and turn them into good. This
is a grave and deep lie, because it is the old Gnostic temptation of
confusing salvation and truth with a secret knowledge. (Phan, 2008)
In so far as these controversies are sparked by people who have actually

read the books (something which is not always the case), they mark
the text as interpretively open, ethically speaking. This interpretive
openness is underlined by Lindy Beams assertion that Rowling does
not acknowledge any supernatural powers at all: These stories are not
fuelled by witchcraft but by secularism (Books LLC, 2010, p. 63).
What explains this wide discrepancy of readings? Several critics have
noted the creative blend of genres that is rolled into the series. Anne
Hiebert Alton has pointed to elements of pulp fiction, ghost and horror
stories, gothic elements, narrative structures from the detective genre,
aspects of the Bildungsroman, the Victorian boarding or public school
story, the sports story, elements of fairy and folk tales, aspects of the
quest fantasy but also adventure plots, and quest romance (Alton, 2009,
p. 221). In Altons view, Rowling blends all these genres while mov-
ing towards the epic and in doing so is original. Lee Siegel notes that
Rowling has mastered the conventions of the James Bond movie:
So far, every book ends with the standard Bond wrap-up, in which
the captured British agent in this case, Harry Potter waits patiently
to be killed while the villain helpfully explains the fine points of the
plot, reviews the highlights of his villainy, and discusses his plans for
the future. (Siegel, 1999)
This narrative device, taken from the epitome of action films, under-
scores rapid narrative pace as a feature of the series. Steven Barfield has
Ethics and Form in Harry Potter 87
argued that the generic complexity and hybridity of the text makes
it both hard to fit within the conventional genres of either boarding
school story or fantasy, while simultaneously recalling critical histories
of the two genres involved (Barfield, 2005, p. 193). Barfield further con-
siders that this hybridity allows the possibility of rather complex kinds
of correspondence between text and world to be established, thereby
offering perspectives that could not be made by either genre alone
(Barfield, 2005, p. 193). Others simply regard Rowling as a trader in
well worn clichs and stolen images: Ms. Rowlings world is a second-
ary secondary world, made up of intelligently patchworked derivative
motifs from all sorts of childrens literature (Byatt, 2003). In the view
of this book, the weaving of multiple formal trajectories into the same
storyline highlights both Rowlings skills as an author and her popular
success: as will become clear, her implied author sets up, and deliv-
ers on, several narrative schemata and thereby several layers of reader
expectation simultaneously.
This chapter argues that there is textual backing for all of the
divergent ethical views of the series presented above: the occult
subtext is present in the sense that magic is structured around
the concept of alchemy; but the secret knowledge used to control the
dark powers is love in the sense of self-sacrifice, and this is a message
closely aligned with Christian beliefs. The idea that the end justifies
the means a thought associated with the secular ethical theory of
consequentialism is also embedded in the text; but it is offset by
Christian symbolism and the existentialist notion that ones moral
being is shaped by ones earthly existence. Consequently, the series
displays a hybrid-ethic: an ethical mosaic made up of diverse ethical
systems of thought that are brought into cohesion through the logic
of story.
An academic field providing contextual insight into the Harry Potter
phenomenon is, therefore, the research done on religion in popular
culture. Relevant works here are Conrad Ostwalts Secular Steeples (2003)
and The Re-Enchantment of the Westt by Christopher Partridge (2004). The
point of departure for much recent work studying religion in popular
culture is a revision of Max Webers influential 1917 characterization of
Western culture as suffering from religious disenchantment. Partridges
counter-claim is that there has been, and is, a subsequent or parallel
process of re-enchantment. Supporting Webers characteristic is the fact
that religious adherence and church attendance have steadily dropped,
particularly since the 1960s (Partridge, 2004, p. 98). Partridges claim
is that the enchantment has not gone: it is simply that spirituality has
moved into different forms and expressions. In the words of Kieran

Flanagan:
If postmodernity is the maturation of modernity, an unexpected

outcome has been the quest for enchantment, for a magicing of the
spirit () One needs only to refer to the books and films on Harry
Potter and The Lord of the Rings as examples of this trend in popular
culture. (Flanagan and Jupp, 2010, pp. 45)
According to Partridge, there has been a shift away from organized

religion but simultaneously a parallel shift toward spirituality with
an Eastern flavour and an individualization of religious belief,1 where
Easternization should be understood as a syncretistic process whereby
Eastern elements are absorbed into sympathetic, Western worldviews
(Partridge, 2004, pp. 11718). In the past few decades, spirituality has
also moved strongly into the commercial arena and become an individ-
ually shaped pick-and-mix spirituality, existing in what Partridge terms
a general occulture.2 As Oswalt points out, the influence between reli-
gion and popular culture works both ways: the church employs popular
cultural forms in order to draw a crowd, whereas popular media culture
uses, and in the process reinterprets, religious symbols and vocabular-
ies in order to stir evocative chords in the reader or audience (Ostwalt,
2003, p. 195). Partridge notes:
although there is a complex network of reasons for the rising interest

in occultural cosmologies, it seems clear that popular artefacts are, in
some significant sense, contributing to the construction of new sacral-
ised plausibility structures and worldviews. (Partridge, 2004, p. 141)
The tremendous popular response to the Harry Potterr series makes sense
when viewing it as arising out of, and feeding into, this general collective
occulture. Harry Potterr represents precisely such a popularized use of reli-
gious symbolism and story structures something that potentially helps
explain its wide appeal as well as the diverse readings it has spawned,
ranging from the religious to the secular.
Charges have also been made that adult readership of the Harry Potter
series is a symptom of cultural infantilism (see Barfield, 2005). Infantilizing
or not, Maria Nikolajeva has detailed the adherence of the Harry Potter
books to the norms of childrens literature, with its reliance on the carni-
valesque subversion of adult normativity, its romantic hero, and its final
reinforcement of the subverted adult norms (Nikolajeva, 2009, p. 227).
This chapter argues that while building on the readers generic expectations
to childrens fantasy fiction the implied author of the Harry Potterr series
deliberately works to reshape those expectations in the course of the
series. One of the ways in which this is accomplished is by setting up
interpretive ambiguity in relation to one of the central structuring
devices of fantasy fiction: the prophecy. Furthermore, in the resolution
to the whole narrative in volume seven, the implied author introduces
into the text interpretive instability and ironic regression3 that move
the text generically from childrens fantasy toward the complexity of
the modern adult novel.
Formal and ethical complexity notwithstanding, most readers have
few problems in defining Harry and Dumbledore as good and
Voldemort and his Death Eaters as evil. So, what are the distinguishing
characteristics of good and evil in this narrative, and how is the reader
guided to perceive them? Part of the answer is that the reader picks up
strong interpretive clues from the way the story is narrated.
Ironic distance: the narrator and focalization
The first book in the Harry Potterr series opens with the narrators satiri-
cal description of the Durselys, Harrys Muggle relatives, in which s/he
clearly is mocking their attitudes and habits:
Mr and Mrs Dursley, of number four, Privet Drive, were proud to say
that they were perfectly normal, thank you very much. They were
the last people youd expect to be involved in anything strange or
mysterious, because they didnt hold with such nonsense.
Mr Dursley was the director of a firm called Grunnings, which
made drills. He was a big, beefy man with hardly any neck, although
he did have a very large moustache. Mrs Dursley was thin and blonde
and had nearly twice the usual amount of neck, which came in very
useful as she spent so much of her time craning over garden fences,
spying on the neighbors. The Dursleys had a small son called Dudley
and in their opinion there was no finer boy anywhere. (PS 7)
These first two paragraphs introduce the reader to the narrators voice,
and to a central family constellation against which Harrys experi-
ences are pitted. The thank you very much and such nonsense serve
to align the perspective of the opening paragraphs with the Dursleys
voice, although the description is coloured by an external (critical) view
point from which the narrator speaks. This signals to the reader that the
same critical, ironic distance is an appropriate stance in the interpretation

of the Dursleys account of themselves. The juxtaposition of the Dursleys
voice and the narrators critique of this voice creates a comical effect at
the expense of the Dursleys, undercutting and mocking their views. This
irony is maintained in relation to the Dursleys throughout the text; they
are reliably the objects of scorn on the part of the narrator. The satirical
aspect is further enhanced by the narration of incidents that flatly con-
tradict the Dursleys notions of themselves and the world a contradic-
tion that is underlined by the narrators explicit comments:
He couldnt see how he and Petunia could get mixed up in anything

that might be going on he yawned and turned over it couldnt
affect them
How very wrong he was. (PS 12, emphasis added)
The following paragraphs describe Mr Dursley as he gets ready for work

wearing his most boring tie, and also demonstrate that the Dursleys
opinion of their son Dudley is amiss, as on his first appearance in the
text Dudley is represented having a tantrum.
A recurring factor in the introductory passages of the first volume
is that the Durselys fail to notice, or desperately try to ignore, certain
things that support the narrators claim that strange and mysterious
things would soon be happening all over the country (PS 7) as this is
precisely such nonsense that the Dursleys dont hold with. This oppo-
sition shows that what the Dursleys hold to be nonsense is in fact reality,
implying that they live in a little bubble of their own devising. The
change starts innocently, with a large owl fluttering past the window, but
is stepped up as Mr Dursley drives to work, spotting a cat reading a map
something he explains as a trick of the light. The cat seems to be reading
the street sign too, but again Mr Dursley dismisses what he sees. Later he
notices a lot of strangely dressed people (PS 8) in cloaks, but assumes this
is a stupid new fashion something he obviously does not hold with
considering his own boring tie. Over the course of his day he successfully
ignores scores of owls, but less successfully all the people in cloaks who
crowd the streets. He almost knocks one of them over, and that person
proceeds to hug him, saying he should celebrate that You-Know-Who is
gone at last. In spite of all the evidence to the contrary, Mr Dursley still
tries to shield himself from taking in the strange things that are obvi-
ously going on: He hurried to his car and set off home, hoping he was
imagining things, which he had never hoped before, because he didnt
approve of imagination (PS 10). This comment on Mr Dursleys character,

presented in a novel brimming with the fantastic, clearly mocks the nar-
rowness of his life perspective. On a second reading, however, knowing
that Dursley eventually will be forced to leave his home due to violent
magical forces, his fear of magic becomes a lot less laughable.
A tension is established in the text by anchoring the primary world in
the predictable, dull and boring life of the Dursleys, while at the same
time having the narrator state that the Dursleys had everything they
wanted, but they also had a secret, and their greatest fear was that some-
body would discover it (PS 7). By painting a portrait of the Durselys as
being all occupied with surface semblances while simultaneously show-
ing how they are suffering from intense psychological tension due to
the aspects of reality they repress, the narrator hints that the Dursleys
are the ones who are at odds with reality. In this manner, the psycho-
logical angle of the text is present from the very beginning. By establish-
ing the story world partly through the perspective of the Dursleys, who
abhor magic, and simultaneously having the narrator describe them
with ironical distance, the way is paved for the eruption into the text
of the Dursleys suppressed fears a magical, unpredictable reality they
cannot control and for the reader to welcome this eruption with relish
as a respite from the dullness of the Dursley household.
The Dursleys also serve to anchor the primary world of the novel in
a reality resembling our own, creating a foundation for the secondary
world of magical reality in which most of the story will unfold. The
dullness of the Dursleys provides a maximum contrast to the joyful, crea-
tive wizard world. This anchoring of the fictional reality in the primary
world of the Dursleys is repeated in every volume. The series follows
Harrys education at Hogwarts School of Wizardry and Witchcraft, and
each book starts during the summer holidays (which Harry reluctantly
spends with his relatives), and progresses from there. This device remains
stable throughout the series. The sixth volume starts in the Muggle Prime
Ministers office, but the same anchoring in a primary world familiar to
the reader is maintained. Volume four starts in the Riddle House, but
the opening is still from a Muggle perspective, that of the old gardener
Frank. Only the last volume breaks this pattern, opening with two men
appearing out of nowhere through the use of the magical technique of
Apparition (DH 9). This signifies a reversal of the primary and second-
ary worlds: the magical reality is taking precedence over the Muggle
world, as Voldemort is wreaking havoc in both domains. The disrup-
tive, suppressed magical forces can no longer be ignored as they directly
distort the fabric of the previous primary reality. This reversal is further
developed in the plot when the Dursleys have to flee to escape the pos-
sible targeting by Voldemort as Harry is coming of age something that
demonstrates that their fear and attempted suppression of magical reality
has actually been justified. Consequently, the reversal becomes a com-
ment on the narrator on the part of the implied author, as the narrators
superior and satirical attitude towards the Dursleys is exposed as fallible
or at least as questionable.4 It also introduces a level of irony on the part
of the implied author at the expense of the narrator: the Dursleys fear
and fierce suppression of the magical reality which was the object of the
narrators ridicule in book one now turns out to be the more realistic
stance, as the wizard world is revealed to be dangerous rather than inno-
cently funny. This leads to a questioning of the implied authors attitude
towards (and treatment of) the narrator.
In Deathly Hallows Harry fails to return to school the environment
which has been the main setting for all his previous adventures. This
change in the fundamental ordering of the text also reflects a shift in
psychological perspective, which encourages a radical re-evaluation of
the moral standing of some of the main characters in the series. This
chapter will return to the ethical complication of the text created in
volume seven later. First, it establishes a basic reading the one upon
which the ethical complication in Deathly Hallows depends.
In the series first volume, the reader approaches Harry only gradu-
ally: first through the Dursleys, who do not want to know about him
(Mr Dursley is not even sure what his nephews name is), then through
the conversation between Dumbledore and McGonagall that fills in
the basic events in Harrys life so far: his parents have been killed by
Voldemort, somehow Voldemort on the same occasion failed to kill
Harry, and instead perished in the attempt. Dumbledore is in charge of
baby Harry, and has decided that he should be left with his relatives,
the Dursleys, so that his fame in the wizard world as the boy who lived
should not ruin his upbringing. McGonagall exclaims: These people
will never understand him! (PS 15). Dumbledore still thinks Harry will
be better off away from the wizards who are at that moment busy
celebrating the demise of Voldemort and toasting the boy who lived,
and so he is left on the doorstep of the Dursleys, who are ignorant of
his fame among wizards. When the reader finally encounters Harry
at the beginning of chapter two, after an ellipsis of ten years, there is,
therefore, an information gap combined with dramatic irony: the reader
knows nothing about the subsequent ten years of Harrys life, whereas
Harry is ignorant of his true beginnings. During the next chapter the
reader learns about Harrys miserable existence with his relatives, while
Harry remains convinced that his parents died in a car crash, which is
what the Durselys have told him.
The narrator maintains a perspective outside the characters, describ-
ing Harrys appearance as well as physical facts about his existence: that
he lives in a cupboard under the stairs, for example. Yet there is a sense
in which the reader gets more aligned with Harrys perceptions and
perspective than with that of the other characters, by being treated to
explanations that are internally focalized through Harry:
The Dursleys had received a very angry letter from Harrys headmis-
tress telling them Harry had been climbing school buildings. But all
hed tried to do (as he shouted to uncle Vernon through the locked
door of his cupboard) was jump behind the bins outside the kitchen
doors. Harry supposed that the wind must have caught him in mid-jump.
But today, nothing was going to go wrong. It was even worth being
with Dudley and Piers to be spending the day somewhere that wasnt
school, his cupboard or Mrs Figgs cabbage-smelling living-room. (PS 4,
emphasis added)
In the lines emphasized, Harry seems to be explaining himself or inter-

nally evaluating the narrated situation, so that the reader is privy to
Harrys evaluations and thoughts combined with the external point of
reference that is maintained by the narrator (the narrator-focalizer pre-
sents the focalized from within). Gradually, this too seems to blend with
Harrys point of view, as he adopts or continues the satirical mocking
of the Dursleys that was established in the first paragraphs of the text:
As he looked at Dudley in his new knickerbockers, Uncle Vernon

said gruffily that it was the proudest moment of his life. Aunt
Petunia burst into tears and said she couldnt believe it was her Ickle
Dudlekins, he looked so handsome and grown-up. Harry didnt trust
himself to speak. He thought two of his ribs might already have
cracked from trying not to laugh. (PS 29)
This linking of Harrys outlook with the mocking of the Dursleys cre-
ates a connection between Harry and the narrators voice that was
established in the first chapter, before Harry was even mentioned in the
text. In dwelling first on the Dursleys, and then on Dumbledore and
McGonagall delivering baby Harry to his familys house, the two differ-
ing worlds of the books are economically established as is Harrys early
history, of which he remains ignorant for another couple of chapters,
until the re-emergence of Hagrid on Harrys eleventh birthday when

he is appraised of the magical reality of his origin. From then on, the
perspective of the story follows Harry, and aligns with him, so that the
reader sees and experiences what Harry sees and experiences. Harry thus
becomes the focalizer of the text,5 and as his understanding grows, his
perspective grows more complex, nuanced and complicated. The focali-
zation of the tale through Harry is vital to the implementation of the
narrative misdirection that results in the books surprise endings.
It is important to stress that the implied authors moral argument
does not coincide with Harrys valuations and emotional responses,
although the reader is invited through focalization to adopt Harrys out-
look on events. Towards the end of each book, Harrys views and experi-
ences are contrasted and corrected by the denouements effected by the
headmaster, Dumbledore, whose horizon is far vaster than Harrys. For
the first six books, Dumbledores conversations with Harry seem to relay
the moral wisdom of the series. But as Dumbledores moral integrity is
questioned in the last book, Dumbledores moral authority proves to be
the most significant aspect of the narrative misdirection practiced by
focalizing the tale through Harry, who has been ignorant of his head-
masters true moral character. The surprise ending of the series is thus
developed through the works progression.
Progression in the Harry Potter series
This chapter applies Phelans model of narrative progression to the

Harry Potterr series in order to analyse the dynamic relationship between
ethics and narrative form (aesthetics) in Harry Potter. Since the series
comprises seven volumes, with each volume describing the cycle of an
academic year and containing their own beginning, middle and ending,
Phelans concept is adapted to suit this case. Consequently, volume one
is regarded as the beginning of the narrative, since the global instabili-
ties of the whole series are introduced here, and the last volume as its
ending, since they are resolved here. The middle of the narrative thus
becomes the main bulk of the text, comprising most of the series.
In line with the assessment of the first books as childrens fantasy the
childrens cover of the first book is counted as part of the exposition of
this volume. The text gradually becomes more complex, and the cover
of the adult version of the series is counted as part of the exposition for
the last book, which is the one discussed in more detail here. Generally,
the childrens covers have bright colours and vivid pictures of characters,
whereas the adult covers are more muted, in greys, browns and blacks
with a single image or icon on the front page. Bloomsburys solution

of publishing an adult version of the series (although the text inside
the books is identical) underscores the series noted transition from
childrens fantasy towards adult fiction. The childrens version of the
front cover of Harry Potter and the Philosophers Stonee carries a picture of a
surprised Harry in front of a steam train labelled Hogwarts Express. It is
spewing smoke but also stars, in an allusion to the fantastic. The back
cover contains a brief summary of the plot and there is an assessment of
Rowling as a first-rate writer for children. The adult cover of the same
book published later is in black and white, with a single red stone in the
foreground, placing the text in a more neutral, serious frame. Clearly
this may affect a first readers encounter with, and expectations about,
the text. The adult back cover contains only a black-and-white photo-
graph of Rowling, and thus no immediate signposting on how the text
ought to be read or understood.
The development of a main distinction between the Muggle reality
(represented by the Dursleys) and the wizard reality (represented by all
the characters in strange attire celebrating the demise of You-Know-
Who) has already been analysed briefly in the previous section, which
has shown how the narrator establishes attitudinal distance from the
Dursleys through sarcasm at their expense, and how this sarcasm is
carried on by Harry once the narrative perspective has aligned with
his. The narrators ironic distancing of the Dursleys and the narrative
perspectives subsequent alignment with Harrys view point constitutes
the initiation of the narrative. In the opening chapter, the reader further
learns from the conversation between Dumbledore and McGonagall
that You-Know-Who is called Voldemort, and that he tried, but failed,
to kill the Dursleys nephew Harry at the age of one, so that Harry is
famous in the wizard world. The reason Dumbledore here gives for
leaving baby Harry in the custody of his Muggle relatives is that grow-
ing up famous would be detrimental to him; but another reason is
provided later, in Order of the Phoenix: through magic Harrys blood rela-
tion with the Dursleys means that staying with them will protect him
from Voldemort. The reason why Harry survived the encounter with
Voldemort is a mystery: We can only guess, said Dumbledore. We
may never know (PS 15). This is echoed by Hagrid ten years later when
he comes to take Harry to wizard school and Harrry finds out that he is
a wizard, and that his parents were killed by Voldemort: this is the real
mystry of the thing he tried to kill you too. () but it didnt work
on you, an thats why yer famous, Harry (PS 45). This mystery, the
nature of the relationship between Harry and Voldemort, proves to be
the main global instability of the whole text. Consequently, the point
at which the hero becomes aware of this relationship through Hagrids
revelations marks the narratives launch. Consequently, most of volume
one as well as volumes two to six, and parts of volume seven, make up
the middle of the narrative.
The real nature of Harrys relationship with Voldemort is only unrav-
elled slowly, and develops all through the series, since the series is,
to borrow Phelans phrase, progressing toward surprise: it is a story
whose rhetorical effectiveness depends in large part upon its surprise
ending (Phelan, 2007, p. 95). The mysteryy of the relationship between
Harry and Voldemort must be explained in order for the conflict to be
resolved. Phelan finds that in order for a surprise ending to be ethically
and aesthetically appropriate two conditions should be met: 1) the
implied author must prepare the audience for the surprise by including
material which in retrospect leads to the surprise ending (the necessary
reconfiguration caused by the surprise must fit with the beginning and
middle of the progression), and 2) the audiences investment in the
characters must be rewarded and enhanced by the surprise (Phelan,
2007, p. 95). An assessment of these requirements in relation to Harry
Potterr follows later, in this chapters discussion of the series completion.
The development of a surprise ending usually involves a tight narrative
control over the disclosure of information (in this case through restrict-
ing the focalization basically to Harry), so that the reader remains
involved in configuring the events of both past and present until the
very end of the narrative (Phelan, 2007, p. 97). This is clearly the case in
the development of the main global instability in this narrative.
The treatment of a whole series of books as one narrative compli-
cates the identification of the entrance (the point where the authorial
audience has formed a hypothesis of the nature and direction of the
narrative as a whole), as each book has its own narrative direction and
purpose, which partly serves to detract the readers attention away from
the main global instability. However, by the end of the second book
a pattern has been established: Harry fights and defeats Voldemort at
each books end and subsequently gets enlightened by Dumbledore
on further aspects of their relationship, so that arguably, in relation to
the main global instability, the entrance has taken place by the end of
Chamber of Secrets.
A quest hero requires helpers, and Hagrid is Harrys first helper, rescu-
ing him from the abusive care of the Dursleys. On the train to Hogwarts
he meets his other main helpers, Ron and Hermione; though Harry and
Ron do not get along with Hermione until she has lied to McGonagall
to protect them (PS 12132). The rivalry between Harry and Draco
Malfoy is set up as a local instability, which also develops through the
narrative until Harry saves Dracos life in Deathly Hallows.
At Hogwarts another global instability is introduced: Professor Snapes
hatred for Harry. Since the text is focalized through Harry, their mutual
dislike leads to a pattern of suspicion against Snape in all the books,
until his true allegiance is resolved in Deathly Hallows. This global insta-
bility is the most prominent instability in Philosophers Stone. The first
book is the beginningg of the narrative, which will be analysed more fully
here and compared to the series ending in Deathly Hallows, in order to
evaluate the implied authors execution of the surprise ending.
The central plot line of Philosophers Stone deals with Harrys discovery
of his own origin, and his subsequent attempt to prevent Voldemort
from returning through acquiring Flamels philosophers stone with
which one may make the elixir of life and prolong ones life indefinitely
or live forever. The chief ambition of evil in the series is to avoid physi-
cal death. At books end Harry learns from Dumbledore that Voldemort
cannot be killed because he is not truly alive (PS 206), so it seems that
he has partly achieved this goal already. The resolution in this volume
has Flamel, who has kept himself and his wife Pernelle alive for centu-
ries with the elixir of life, agree to destroy his philosophers stone so
that Voldemort cannot get hold of it and return to a more physically
stable life. (He leads a sort of half-life existence, depending on a host
body to operate in physical reality.) This resolution indicates that the
morally laudable thing is to accept death, and not, like Voldemort (and
even Flamel), seek to prolong it indefinitely. Flamel is praiseworthy also
for essentially sacrificing his (means of a longer) life in order to prevent
Voldemorts return he sacrifices his life for the greater good. These
same themes are still central in Deathly Hallows.
Most of volume one and volumes two to six are here considered as
the middle of the narrative, the voyage, where the global instabilities
and tensions are developed. Consequently, Dumbledores explanations
at the end of these books most clearly comprise the expositions of the
middle section: Dumbledore provides Harry with the larger perspec-
tive on his adventures and places his experiences with Voldemort in a
historical context. In volume one Harry learns from Dumbledore that
Voldemort is merciless to both his followers and his enemies (PS 216).
He refuses to tell Harry why Voldemort tried to kill him in infancy, but
discloses that Voldemort cannot understand love (PS 216). In relation
to the second global instability Harry learns that his father once saved
Snapes life. In volume two, Chamber of Secrets, Harry discovers that
Voldemort was once called Tom Riddle, and that they resemble each
other in several ways. At books end Dumbledore discloses that he was
Voldemorts teacher 50 years ago at Hogwarts, and says that Voldemort
was a brilliant student, who later sank deeply into the Dark Arts and
underwent dangerous magical transformations (CS 242). In Prisoner of
Azkaban, Harry meets Dementors, learns to cast a patronus charm to
protect himself, and saves the life of the man who betrayed his par-
ents to Voldemort: this volume thereby functions as a demonstration
of Harrys ability to forgive. There is no direct encounter in Azkaban
between Harry and Voldemort. In Goblet of Fire Harry becomes part of
Voldemorts grotesque resurrection ritual in which Voldemort re-creates
a physical body for himself with the aid of Harrys blood something
that finally enables Voldemort to touch Harry without feeling pain. The
explanation offered for this is that Voldemort now partakes in the pro-
tection that runs in Harrys blood due to his mothers sacrifice of her life
to shield him. Harry further learns from Dumbledore that both his and
Voldemorts wands have a tail feather from Dumbledores pet phoenix
Fawkes as their core, and that, therefore, they will not work properly
against each other (GF 605).
In Order of the Phoenix Dumbledore tells Harry that he has distanced
himself from him in order to protect him, and that his priority in
placing Harry with the Dursleys was to keep him alive. He says that
Voldemorts knowledge of magic is perhaps more extensive than any
wizard alive (OP 736), but that his weakness is his fear of death. He
finally discloses to Harry the reason why Voldemort tried to kill him as
a baby: a prophecy made by Trelawney shortly before his birth, which
Snape overheard, but not in its entirety, and told Voldemort about.
Dumbledore further tells Harry that the power he possesses to vanquish
the dark lord is love. He does not tell him, however, that Voldemorts
informant was Snape. The Half-Blood Prince does not have Dumbledore
presiding over the denouement, because at books end Snape casts the
killing-curse that sends Dumbledore tumbling to his death from the
Astronomy tower. This book contains more information on Voldemort
than any of the previous books, however, because in it Harry has lessons
from Dumbledore and gets to experience, in the Pensieve, the memo-
ries of Riddle and Voldemort that Dumbledore has collected. These
lectures prepare Harry for the task Dumbledore leaves him of destroy-
ing all Voldemorts soul fragments, which are locked in physical objects
through the dark magic of Horcruxes.
The focalization of parts of the narrative through Voldemort and the
snake, which are embedded as experiences in Harrys consciousness,
may be considered as part of the interaction, and serves to underscore the

parasitic nature of Voldemorts relationship with Harry and their thor-
ough entanglement. It also reveals Harrys susceptibility to Voldemorts
mind. With the evacuation of the Dursleys from Privet Drive in Deathly
Hallows the narrators sarcastic attitude is ultimately revealed not to be
shared by the implied author of the series, since the Dursleys fear is
validated by the plot developments and the sarcasm thus can be read as
an instance of irony at the expense of the narrator. This is part of the
interaction, and also part of the development of ironic regression, as
the narrators reliability may be subjected to doubt. Either the narrator
is ignorant of the realities of the fictional world, or is at best immature
and at worst malicious.
Arguably, there is a shift in the implied authors communicative
purpose in the course of the series, which the narrator is used to imple-
ment. In the first four books the narrators sarcastic attitude towards
the Dursleys serves to dissociate the reader from the narrow-minded
Dursleys, and thus from Muggle reality. This dissociation is underscored
by the alignment between the narrators and Harrys sarcasm on the
Dursleys behalf. The distance created between Harry and the Durselys
serves to generate enthusiasm for an immersion in the magical reality
of the wizard world. In Goblet of Fire, however, with the revelation of
a corrupt Ministry of Magic (MOM) and Hermiones campaign against
the slavery of the House elves, a significant critique of the moral order
of the wizard world is introduced. With the revelation of such morally
questionable aspects of wizard society, a gradual dissociation from the
early enchantment with the wizard world begins. The development of
a more complex view on the wizard world parallels Harrys increasing
maturity. As Harry matures and becomes less dependent on his Muggle
relatives, his relationship with them gradually changes as well. By book
four Harry is shown to rely on his own food supply, for instance, so that
the Dursleys sanctions do not affect him as much. The development
of self-reliance and discernment is clearly advocated by the implied
author as preferable to obedience, since authority in its various forms
is highly questionable in this fictional universe. Harrys disillusionment
with the MOM in book four is followed by his disillusionment with
paternal authority, Dumbledore, in volume seven. This underscores
the Bildungsroman-aspects of the text: eventually youth must shape its
own path.
At the series end the main protagonists all settle within the Muggle
world something that suggests that to the protagonists the dull, pre-
dictable world that was mocked in volume one is ultimately preferable
to the exciting but dangerous wizard world (even as they continue to

send their children there for their magical education). In accordance
with Harrys eventual reversal of preferences, the narrators and Harrys
own sarcasm at the Dursleys expense is toned down in Deathly Hallows,
where Harry and his relatives attempt to treat each other rather with an
awkward respect. Dudley Dursley displays concern for Harry, acknowl-
edges that Harry has saved his life, and ultimately shakes his hand,
so that Harry ends up rather touched (DH 39). The sarcastic attitude
that characterizes the narrators voice and Harrys outlook in the first
volume thus becomes linked to Harrys relative immaturity at the time
and emerges as a function of his (and the narrators) limited perspective.
Progression in Deathly Hallows

A more detailed analysis of the progression in Deathly Hallows allows for
a comparison of the narratives ending with its beginning. Most read-
ers who turn to the last book in a seven volume series will already be
familiar with the main characters and with the central conflict between
Harry and Voldemort. This is signalled in the exposition of the book.
In the United Kingdom adult version analysed here, the front cover
carries a picture of Slytherins locket resting on black stone. Harry Potter
is set out in golden print, whereas the rest of the title and the name
of the author are printed in white letters. The golden print highlights
both the name of the protagonist and the fact that the story is part of
a series. Harrys central choice in Deathly Hallows between Hallows and
Horcruxes is alluded to by the inclusion of the Hallows in the books
title, paired with the cover image of Slytherins locket, a Horcrux. There
is a subtle association between the letters spelling Harry Potter and the
locket, as they share the same golden colour. The front inside flap of the
dust cover sports a short synopsis of the story, where Harry, Voldemort,
the Burrow and the Horcruxes are mentioned without further explana-
tion: the reader is supposed to know these story elements already. The
back inside flap contains a short biography of Rowling and the titles of
the rest of the series. The cover is quite muted, but Harry Potter shines
brightly against the dark backdrop much like in the story itself. The
exposition also contains a title page and a dedication, in which the
reader is included: if you have stuck with Harry until the very end. The
dedication is typed in a snake-pattern, mirroring the inlay of Slytherins
locket.
There are two epigraphs: one from Aeschylus, The Libation Bearers,
and one from William Penns More Fruits of Solitude. The convention
of epigraphs dictates that the chosen citations have a bearing on the
contents of the book. The text from Aeschylus speaks of torment, death,
grief and a curse. There is an appeal to dark gods beneath the earth for
a cure, and a plea for help so the children may triumph. Even with no
further knowledge of The Libation Bearers this little scenario is relevant
to the contents of the book, in which children seek to triumph over
torment, facing both death and grief. This texts typography also takes
the shape of a snake.
In Harry Potter and the Horrors of the Oresteia (2009) Alice Mills
searches for a further correspondence between the epigraph from
Aeschylus with its emphasis on seemingly intractable moral dilemmas
related to kin-slaying and the contents of Deathly Hallows. She contends
that Neither the epigraph nor the patterns of murders in and before the
Oresteia can be mapped convincingly onto the overall narrative of the
Harry Potter books or onto Deathly Hallows in particular (Mills, 2009,
p. 246). After a further analysis of Siriuss death and his relationship to
his mother, Mills concludes that the kin-slaying in the epigraph seems
not to match what happens either to the Black or to the Crouch fami-
lies. Nor does Mills find a convincing relevance between the epigraph
and Dumbledores family relations, as one who witnesses the killing of
both his sister and mother. She also runs through a matching of the
epigraphs allusions with aspects of Voldemorts and Harrys lives, with-
out satisfactory results. Ultimately, her best match is a negative one: her
conclusion is that the series ending is fundamentally anti-Oresteian:
To this grim and tragic vision of human destiny, Rowlings final

chapter stands opposed. Here happiness, based on goodness, not
only endures but flourishes, untainted by any imperatives of venge-
ance: this is a profoundly anti-Oresteian view of human life. (Mills,
2009, p. 255)
Voldemort is the antithesis to love and happiness in the series, and since
the exposition has so far emphasized the snake visually including in
the typography of the epigraph itself this chapters interpretation of
the Aeschylus excerpt is more direct and intuitive: the torment, death
and grief evoked relates to the world under the influence of evil of
Voldemort to which the children stand opposed. This reading is sup-
ported by the fact that the happiness in the last chapter also depends on
children the new generation born after Voldemorts demise. This story
began as childrens literature, and, although Harry now is seventeen, he
has for many years been such a child, seeking triumph over torment,
grief and evil curses. Consequently, the epigraph of Deathly Hallows
is probably meant to be accessible to scores of adolescents without a

deeper knowledge in Greek poetry, so that the line: Bless the children,
give them triumph now may be taken at face value.
The Aeschylus excerpt enters a direct opposition with the lines from
William Penn, which stress the immortal nature of friendship and love.
The two epigraphs thus represent Voldemorts and Dumbledores differ-
ing visions of the world: the second epigraph is an answer or antidote
to the first. While, for Voldemort, the curse no man can bear is death,
the lines from Penn death is but crossing the world, as friends do seas
evoke Dumbledores attitude of acceptance of death an acceptance that
is founded on the belief that there are things that outlast death, such as
love and friendship. Seen thus, the epigraphs function as a microcosm
of the central conflict in the series, presenting two opposed attitudes to
death; and thus to life. The fact that the first epigraph, presenting the
view that death is terrible, is printed in a snake pattern further indicates
that this vision is connected to Voldemort. The second epigraph, how-
ever, indicates, as does Dumbledore, that the important things in life,
like love and friendship, are immortal. This view changes the focus of
attention from the terror of death to the redeeming qualities of life: it
becomes a normative message. What is immortal is not the individual but
the quality of ones social relationships. We may bear in mind that the
concept of family has fundamental importance in the Harry Potterr books,
and Deathly Hallows ends with a vision of extended family: McGonagall
had replaced the house tables, but nobody was sitting according to house
any more: all were jumbled together, teachers and pupils, ghosts and par-
ents, centaurs and house-elves (DH 597). This passage suggests that the
fight against Voldemort has erased the previous borders between races,
classes and families: unity reigns in the aftermath of the struggle. The
notion of extended family is further invoked in the final chapter, when
Harry wants to invite Teddy Lupin (who has lost his parents in the Battle
of Hogwarts) to come and live with them. If one adopts a view of family
as extended, as it is possible to argue that the implied author of Deathly
Hallows does, then ultimately all humans are next of kin, and all slaying
is kin-slaying. This attitude turns the epigraph from Aeschylus into a
plea that people stop persecuting one another, and directs the attention
instead to the immortal qualities of love and friendship invoked by Penn.
The progression of this little narrative contained in the epigraphs
suggests that the qualities of love and friendship are presented as an
alternative vision to the torment of the grinding scream of death. This
message is relayed in different ways to Harry throughout the series, for
instance in Prisoner of Azkaban: Your father is alive in you, Harry, and
shows himself most plainly when you have need of him (PA 312). The
progression of the visions contained in the epigraphs suggests that love
will conquer death and that Dumbledores worldview will emerge vic-
torious in the end, getting the last word.
These two possible interpretations of the epigraph in Deathly Hallows
demonstrate how complicated the readers interpretive task has become
in terms of the expectations established by the text. Is Deathly Hallows
to be treated as a book for an adult readership something which the
adult cover of the series suggests, and which also Mills treatment of the
front matter seems to indicate or does it remain a childrens fantasy
text? Notably, the conclusions of both readings arrive in a similar place,
with the understanding that the Oresteian voice of the first epigraph
is argued down by the narratives ending.
The main global instability in Deathly Hallows is the same as in the
whole series: the conflict between Voldemort and Harry. But this time
the conflict is angled from Voldemorts, rather than Harrys perspective.
In the first chapter Voldemort recapitulates his pattern of defeat against
Harry and reconfirms his intentions of destroying him:
I shall attend to the boy in person. There have been too many mis-
takes where Harry Potter is concerned. () But I know better now.
I understand things that I did not understand before. I must be the
one to kill Harry Potter, and I shall be. (DH 13)
Professor Snape is an important element in this conflict, as he can

help or hinder both sides. In the first chapter of Deathly Hallows he is
at Voldemorts side, relaying information that will help capture Harry.
He thus seems to be aligned with the vision of terror outlined in the
epigraph from Aeschylus. Whereas the narration of most of the series
is focalized through Harry, Deathly Hallows opens with the narrator as
observer, recounting with seeming neutrality the proceedings of a meet-
ing of Death Eaters. It is obviously not focalized through Harry, because
although he has been able to view the world from Voldemorts perspec-
tive on occasion, the narrator stays outside all the characters, reporting
their words and actions (what Genette terms external focalization:
Genette, 1983). Their reactions to Voldemort are interpreted by refer-
ence to facial expressions or other visual signs of inner motion:
The company around the table watched Voldemort apprehensively,

each of them, by his or her expression, afraid that they might be
blamed for Harry Potters continued existence. ()
The faces around him displayed nothing but shock; he might have
announced that he wanted to borrow one of their arms. (DH 1314,
emphasis added)
This seemingly neutral observer perspective, which stays outside the

characters, and which does not invite the reader to identify with them,
subtly reveals the implied authors stance to the Death Eaters and to
Voldemort. It is contrasted by the usual narrative voice which is focal-
ized through Harry and which invites the reader to identify with his
perspective. The impersonal tone also mirrors Voldemorts emotional
coldness as a character he does not invite association or closeness
with anyone, and because he does not care, his relationships remain
to a large extent superficial. Hence, the implied authors stance on
Voldemort and the Death Eaters, relayed through the choice of nar-
rative perspective, seems to be that the activity of the Death Eaters is
something which may be observed, but not engaged in.
The point of full entrance into the text for the reader comes naturally
in chapter two, In Memoriam, as the narrative perspective shifts to its
habitual internal focalization of Harrys thoughts and feelings: It was
stupid, pointless, irritating beyond belief,
f that he still had four days left of
being unable to perform magic (DH 19, emphasis added). The more
emotive, casual style invites greater intimacy and association especially
since the reader of the series last book probably has a considerable degree
of identification with Harry prior to even opening this particular volume.
Regarding the wizard and Muggle worlds through Harrys eyes is the
convention of the text, whereas the participation in a meeting of Death
Eaters is a first. This in itself assures a greater degree of familiarity with
Harrys views and opinions, whose presentation sharply contrasts with that
of the formal meeting of the Death Eaters, where emotions are not imme-
diately accessible but have to be inferred from facial expressions.
By the end of chapter three the reader has material enough to make a
fairly good guess about the direction and purpose of the plot in Deathly
Hallows. In the opening chapter the reader has witnessed Voldemorts
careless murder of a Hogwarts teacher, Charity Burbage an example
of the effectiveness with which Voldemort seeks to eliminate all Mud-
bloods from society. His fascist attitudes are outspoken: he stresses the
need for pure blood, and most readers would probably feel disgust at
the way Burbage is treated, her pleas for help unheeded. The description
of this episode also harks back to the Aeschylus epigraph and its penul-
timate line: Answer the call, send help!6 The plea for help is efficiently
offset by Snapes unresponsiveness. The question of Snapes allegiance
has remained cloudy throughout the series, but seems to have been
resolved at the beginning of Deathly Hallows.
The readers configuration of the various aspects of Deathly Hallows
at this point rests on the portrayal of Voldemorts cruelty and Snapes
indifference to Burbages pleas in chapter one, where the narrator
stays outside the characters as a neutral observer. The descriptions
of Voldemorts brutal behaviour bring home the terror that Harry
is up against. They may also create feelings of revulsion and disgust
in the reader, whose ethical sensibilities are likely to be offended by
Voldemorts display of violence and lack of empathy with human suf-
fering. These feelings of revulsion and disgust are mirrored by Harry
in chapter two, who reacts to Rita Skeeters slanderous article on
Dumbledore in the Daily Prophet: Revulsion and fury rose in him like
vomit (DH 29). The first two chapters of Deathly Hallows thus depict
the strong forces of both physical and psychological violence that Harry
has to struggle against in the course of the narrative. The narrators
focalization aligns the reader with Harrys perspective and his goals,
and also encourages the reader to adopt a distance to Voldemorts fascist
attitudes.
The third chapter focuses on the closure of Harrys relationship with
the Dursleys. Symbolically, normality or conformity can no longer
protect Harry from harm: this indicates that his path will be lawless
from now on. The information gap between Harry and the reader as
Harry anticipates the arrival of members of the Order creates suspense
by making the reader fear that the rescue operation may fail knowing
that Snape has tipped off Voldemort about the date for his removal from
No. 4 Privet Drive.
Both the Dursleys house and the Burrow, the house of the Weasleys,
are safe places for Harry though only the last may be described as
a haven. This beginning recalls the pattern from the previous books,
where Harry is first encountered at the Dursleys, is rescued from there
and taken to the Burrow. This time, however, not even the Dursleys are
safe in their own home and have to be evacuated by members of the
Order. The theme of having to flee ones home to become fugitive
is a prominent pattern throughout the book. It is repeated in chapter
eight, when the Burrow is attacked and is, therefore, no longer safe.
Harry, Ron and Hermione flee to Grimmauld Place, which Harry has
inherited from his Godfather Sirius. They seem for a while to have
found a new home there, especially when the house-elf Kretcher warms
to them and starts cooking and cleaning. But by chapter nine they are
on the run again, when the protective charms are broken as they are
pursued by Death Eaters after having penetrated into the Ministry in

order to get one of the Horcruxes. Their new home-on-the-run is a tent
that magically extends to a small flat. In chapter sixteeen Harry and
Hermione go to Godricks Hollow Harrys first home. Here they barely
escape Voldemort, and go back to hiding in the forest, pitching their
tent in a new spot every night to avoid detection. This brings to mind
the situation of fugitives from brutal regimes in our own world and
their frequent internment in tent camps. When their protective charms
yet again are broken they are caught by Fenrir Greyback and end up as
prisoners in Malfoy Manor, where Voldemort has set up headquarters.
The only homely safe place left in Harrys world is the sheltered Shell
Cottage home of Rons brother Bill and his wife Fleur, where they rest
after their escape from the Malfoys. Eventually they all end up back at
Hogwarts the place where Harry first felt at home after ten years with
the Dursleys. Being the scene of the final showdown between the Order
and Voldemorts supporters, the ancient castle suffers considerable dam-
age. The homeless odyssey ends as all the houses unite and mingle in
the aftermath of the struggle, with the before mentioned emphasis on a
sense of extended family where old divisions cease to matter.
The voyage of Deathly Hallows describes Harrys and his friends jour-
ney as they seek to find and destroy the remaining Horcruxes, whilst
staying hidden to avoid capture by Voldemorts supporters. The expo-
sition of the middle comprises Harrys time at the Burrows, where he
prepares for his journey as Mrs. Weasley is preparing a wedding (which
also foreshadowes Harrys eventual union with Ginney Weasley). Here,
Harry (and the reader) learns that Dumbledore bequeathed Harry, Ron
and Hermione certain items in his will, which later prove to be essential
keys in their hunt for Voldemorts Horcruxes. However, their signifi-
cance proves hard to unravel, and at first produces only frustration on
the part of the three friends.
The main shift in the interaction in Deathly Hallows is the gap that
opens up between the implied authors and the narrators attitude to the
Dursleys avoidance of wizards, as well as the questioning undertaken
by Harry of Dumbledores moral make-up. Harry remains the main
focalizer of the story, and the reader is invited to sympathize with his
decisions and aims. Thematically, the main ethical issue in the middle
section of the voyage is Harrys struggle to decide whether or not to
keep trusting Dumbledores obscure directions.
The readers most poignant intermediate reconfiguration occurs with
Snapes death and Harrys experience in the Pensieve of the dead mans
memories, which finally makes him realize that he must die in order
to rid the world of Voldemort, as he is an unintended Horcrux. This

significantly alters the readers hypothesis encouraged at the beginning
of Deathly Hallows that Snapes allegiance was to Voldemort. That care-
fully guided assumption is now proven false, and Snapes ethical make-
up is strongly foregrounded, when he literally switches polarity in the
readers mind from evil to good in the course of these events, which
also signal the arrival of the whole series. Harrys subsequent surrender
to Voldemort completes the narratives arrival.
Another significant movement in the middle section of Deathly
Hallows is Xenophilius Lovegoods iteration of the embedded narrative
The Tale of the Three Brothers, which predicts the ending of the story.
The symbolism of the tale is interpreted for them by Lunas father: the
three brothers in the tale fool Death by conjuring a bridge across his
river, and he tells them they have each won a prize for their cleverness.
The eldest brother asks for an unbeatable wand, the Elder Wand, and
has his wish granted. He is subsequently killed in his sleep by some-
one who desires his wand, and so Death gets him anyway. The second
brother asks for the power to recall others from death, and is given the
Resurrection Stone. With it, he attempts to recall his lost love, but is
driven mad with longing because she can only return in ghost form,
and so he kills himself to finally join her. Consequently, Death has
him too. The third brother asks for something that will allow him to
go from the river without being followed by Death. Unwillingly, Death
gives him his own Cloak of Invisibility. Living to a great age, the third
brother finally takes off his Cloak and gives it to his son, going with
Death gladly.
In Tales of Beedle the Bard (the book supposedly bequeathed to
Hermione by Dumbledore and published separately by Rowling),
Dumbledore explains in a note that a curious legend has grown up
around this story, which precisely contradicts the message of the origi-
nal (Rowling, 2008, p. 95). This legend holds that if anyone becomes
the rightful owner of all the three gifts, she or he will become Master of
Death which has been understood to mean that they will be invulner-
able or even immortal. The legend is an important structuring device in
the plot of Deathly Hallows. In the course of the narrative, Harry and the
reader learn that both Harry and Voldemort are direct descendants of the
Peverell brothers, who are believed to be the original owners of Deaths
gifts. This joint ancestry finally explains the physical resemblance
between Harry and Voldemort.
Harry, through his father, is a descendant of the youngest brother:
this is why he has the Invisibility Cloak that had been returned to him
in Philosophers Stone. Like the third brother, Harry faces death with
humility, and then goes on to live a full and happy life. Voldemort is a
descendant of the second brother, and acquires the Resurrection Stone by
killing his uncle, Marvolo. He turns the ring with the Resurrection Stone
into a Horcrux without knowing the legend of the Hallows. Voldemort
also acquires the Elder Wand by stealing it from Dumbledores grave.
He dies duelling Harry, but it is his own curse that rebounds and kills
him, so in fact he ends up killing himself just like his forefather.
This course of events seems to suggest that fate is in fact inherited,
not chosen, as Dumbledore always stressed. This is true even if the
power of the destiny comes from the Hallows themselves, rather than
through ancestry, something which Dumbledores dabbling with the
Hallows suggests. He had the Invisibility Cloak for a while, and like the
third brother chooses his own moment of death: Severus please
(HBP 556). He also has the Elder Wand, and he dies duelling Draco and
Snape atop the Astronomy Tower, scarred from wearing the ring with
the Resurrection Stone which Voldemort had made into a Horcrux. This
wound has made him, like the second brother, actively choose death: he
kills himself by orchestrating his own departure. Harry too ultimately
has all three Hallows in his possession. Unlike Dumbledore, however,
he leaves the Resurrection Stone in the Forbidden Forest, and decides
to place the Elder Wand back in Dumbledores grave, choosing only to
keep the Invisibility Cloak and lead a peaceful life, after proving that
he can accept death without resistance: no-one can conquer their ultimate
destiny: death. The only choice one has is in how to face the inevitable:
by running away or by acceptance.
Closure of the whole narrative is provided by Harrys encounter with
Dumbledore at Kings Cross where Dumbledore apologizes to Harry for
not trusting him, calls him the better man (DH 571), and reveals that
Harry is not dead but has got rid of Voldemorts soul fragment and is
no longer a Horcrux. I will return to the farewell and completion of the
whole narrative towards the end of this chapter.
Good and evil in Harry Potter
The notions of good and evil discussed here are derived from the tell-
ers treatment of the characters in the wizard world, since this is where
the story mainly unfolds. The Dursleys seem to function primarily as
an inversion of wizard code in order to set up the magical world by
contrast: what is despicable to the Dursleys is good to a normal wizard.
The evil of Voldemort is ultimately able to distort both the primary and
secondary worlds, but can only be handled by wizards. This is made

clear as the Muggle Prime Minister is dependent on magical reinforce-
ments once Voldemort causes havoc in Muggle society, killing people
and destroying infrastructure. Since little else is made explicitly known
in the text about Muggle society, the readers understanding of this
primary reality rests on the assumption of at least a partial (selective, or
iconic) overlap between the Muggle reality and the reality of contem-
porary English citizens.
As noted by Emelle Fife, the Harry Potterr books are character, not plot,
driven (Fife, 2005, p. 149). Consequently, the narratives notion of evil
is developed most significantly through the character of Voldemort,
while the characterization of the good is developed most prominently
through Harry and Dumbledore. Distinguishing between good and evil
is easy at first, but becomes more complicated as the focal character
(Harry) matures and his perspective expands and develops. The three
most significant factors blurring the boundaries between good and evil
are the parasitic entanglement between Harry and Voldemort, the
character and characterization of Professor Snape and the deconstruc-
tion of Dumbledores normative authority in The Deathly Hallows.
Evil is unfeeling: caring is good

The reader is given several interpretive angles on the character of
Voldemort: testimonies from fellow Death Eaters, Voldemorts own
explanations for his behaviour, trips into peoples memories of him
in Dumbledores Pensieve, Dumbledores observations after having
made it his purpose to study the man, and Harrys own excursions
into Voldemorts mind through the telepathic connection they share.
Harry and the reader are consequently invited to attempt to understand
evil not so that evil may be cured, however, but so that it may be
destroyed.
The first angle Harry and the reader get on Voldemort, other than
rumours about his reign of terror, comes from his follower, Professor
Quirrell, who in Philosophers Stone tells Harry that there is no good or
evil, there is only power, and those too weak to seek it (PS 211); echoing
Nietzsches philosophy of the will to power developed in Beyond Good
and Evil [1886] (Wicks, 2011). Quirrells remark underscores one signifi-
cant way in which Voldemort differs from Harry: he does not care about
good or evil and thus about morality. He cares only about power, and
with no notions of good or evil all means are justified in the pursuit of
it. Here, the ideological gap between Voldemort and those who oppose
him is exposed: those opposing him fight for certain moral values, and
one would expect them to be constrained by these same values, whereas

Voldemort acknowledges no moral constraints and, therefore, cannot
be appealed to on moral grounds.
However, even as Voldemort differs from Harry in important respects,
he also resembles him. The physical similarity between Harry and
the young Voldemort is commented upon several times in the text.
They both have one wizard parent and one parent of Muggle descent.
Likewise they grow up as orphans and find in Hogwarts their first true
sense of a home. Furthermore, Harry and Voldemort have wands with a
twin core: a tail feather from Dumbledores phoenix Fawkes. In Goblet
of Fire Voldemort creates a new physical body for himself by procur-
ing (among other things) Harrys blood, creating a bond of blood
between them. Eventually, in Deathly Hallows, Harry and the reader
learn that Harry carries an aspect of Voldemorts soul, which enables
him to speak Parseltongue and see into Voldemorts mind. Dumbledore
calls their connection parasitic (DH 551). Early on, his similarities
with Voldemort are a source of worry to Harry, who fears that he too
may be an evil wizard. Dumbledore consoles him, telling Harry that
despite external similarities there is a vital difference between Harry
and Voldemort visible in the way each of them shapes his life through
his choices: apparently a virtuous or vicious character is seen not as the
product of circumstance or ability but of personal choice. Choices are
thus both indicative of character and formative of it. The importance of
choice is emphasized by Dumbledore throughout the narrative.
What choices have been formative in shaping Voldemorts evil char-
acter? Dumbledore discloses to Harry that it was an early fascination
with the Dark Arts that led Tom Riddle to transform from the clever,
handsome boy who was once Head Boy here (CS 242) to the danger-
ous and corrupted Voldemort. This attraction to evil in Voldemort is
offset by Harrys early plea not to be placed in Slytherin, born from a
seeming repulsion of evil. Bearing in mind that both Harry and Riddle
are orphans, and that Harrys relatives are not portrayed as moral icons
(far from it), this suggests that the moral make-up of both characters is
innate, to the point of being instinctual a state of affairs that contra-
dicts Dumbledores emphasis on (conscious) moral choice.
Dumbledores description of Voldemort as corrupted betrays a dif-
ference in perspective that serves to distinguish the values of the
power-hungry Voldemort from those of Dumbledore. While Voldemort
evidently sees himself as brilliant, and is proud of his own magical
accomplishments, Dumbledore sees him as deficient, t and as misguided
in his outlook and actions. This difference in judgement transpires
when Dumbledore shares one of his own memories of Voldemort

with Harry. The memory is dated some time after Voldemort has left
Hogwarts, and in it Voldemort returns to ask Dumbledore, who has
become Headmaster, for a teaching position. Rumours of Voldemorts
activities have reached Dumbledore, however, and he is not impressed
by what he has heard:
You call it greatness what you have been doing, do you? asked
Dumbledore delicately.
Certainly, said Voldemort, and his eyes seemed to burn red.
I have experimented. I have pushed the boundaries of magic further,
perhaps, than they have ever been pushed
Of some kinds of magic, Dumbledore corrected him quietly. Of
some. Of others, you remain forgive me woefully ignorant.
For the first time Voldemort smiled. It was a taut leer, an evil thing,
more threatening than a look of rage.
The old argument, he said softly. But nothing I have seen in the
world has supported your famous pronouncements that love is more
powerful than my kind of magic, Dumbledore.
Perhaps you have been looking in the wrong places, suggested
Dumbledore. (HBP 415)
It becomes clear in this passage that Voldemort and Dumbledore

have very different ideas about the nature of power and love; only to
Dumbledore are these one. To Voldemort, his success in splitting his own
soul into seven by killing others and hiding the fragments in Horcruxes
in order to achieve immortality is an outstanding accomplishment.
Dumbledore, on the other hand, suggests that Voldemort does not see
the whole picture, and that his notion of power is as fragmented as his
soul. Voldemorts idea of powerful magic is linked to his ambition of
becoming immortal, based on his fear of death. Dumbledore repeatedly
tells him that there are far worse things than death, and that failing to
understand this is Voldemorts greatest weakness (OP 718).
Voldemorts inability to love has a prominent place in the narra-
tive, also through the emphasis put on a prophecy made by Professor
Trelawney to Dumbledore. It was this prophecy that caused Voldemort
to target Harry in infancy, as it predicts the coming of one with the
power to vanquish him. The prophecy further predicts that the Dark
Lord will mark him as his equal, but he will have power the Dark Lord
knows not (OP 741). The power that the vanquisher has but the Dark
Lord knows not is revealed by Dumbledore to be love, thus linking the
concepts of love and power in Dumbledores credo that love is the most
powerful force there is.
Since Voldemorts actions repeatedly display a lack of love, they
demonstrate Dumbledores assertion that love is the power Voldemort
knows not. When Voldemort discovers that Harry is hunting down
his Horcruxes, he kills the messenger and a room full of people who
overhear the message (DH 443). He shows no mercy for those who, he
feels, have betrayed him nor for accidental victims of his own anger
or misfortune. Neither does he form any attachment to those who are
seemingly loyal to him. Snape, believed to be one of Voldemorts most
trusted servants, is killed solely for the reason that Voldemort needs to
be the master of the Elder Wand and believes that he will accomplish
this by disposing of Snape. Despite his long relation to Snape his action
is completely devoid of moral (or any other form of) emotion: I regret
it, said Voldemort coldly. He turned away; there was no sadness, no
remorse (DH 527). Although Voldemort expresses verbal regret at his
action here, the narrator informs the reader that Voldemort does not
actually experience any remorse, and this has the effect of making his
words seem even colder.
Voldemorts unfeeling actions are offset by Harrys constant concern
for others in general and for his friends in particular. During the Triwizard
Tournament for example, this concern gains him extra points for show-
ing moral fibre when he stays behind to rescue another of those cap-
tured by the Merpeople at the expense of his chances to get ahead in the
competition, although he is responsible only for Ron (GF 440). When
Harry learns that Mad-Eye Moody has died during an operation to move
Harry and keep him safe from Voldemort, he feels that nothing but
action would assuage his feelings of guilt and grief (DH 76), even if Harry
is not to blame for Moodys death. According to Nomy Arpaly, the feeling
of guilt is the mark of a morally concerned person (Arpaly, 2003, p. 86).
In another characterizing incident, Harry, in acting out of compassion for
a stranger, displays his altruistic disposition:
As she passed the Dementors, Harry saw her shudder.

He did it instinctively, without any sort of plan, because he hated
the sight of her walking alone into the dungeon: as the door begun to
swing closed he slipped into the courtroom behind her. (DH 213,
emphasis added)
Here, the instinctiveness of Harrys moral reactions is again emphasized,

characterizing him as inherentlyy good. The poignancy of this incident
becomes greater when one knows that it occurs inside the Ministry of
Magic after it has been taken over by Voldemort. The woman is forced
to attend a trial to determine her so-called blood-status: only people of
wizard descent are counted as worthy citizens. Mud-bloods are treated
as inferior and destined for extermination: a genocide where the victims
are those of non-magical blood. Harry is in the Ministry at the risk
of his own life7 to find one of Voldemorts Horcruxes. Although he is
hidden under his invisibility cloak, his impulse here is one of compas-
sion for and solidarity with the plight of the frightened woman. There
is obviously quite a contrast here between the unfeeling, remorseless
Voldemort and the caring and morally sensitive Harry Potter.
Harrys moral sensitivity also makes him averse to killing: even
when he duels Voldemort he tries, on three separate occasions, to
disarm rather than kill his opponent. He does not, however, display a
similar sensitivity towards disobeying school rules, lying to Professor
Snape or breaking into the bank in order to steal a Horcrux all of
which he has few moral qualms with. Most of Harrys decisions with
respect to the following of rules are the result of a decision that he
quite maturely, and perhaps rather exceptionally, makes at the age of
eleven, as he is attending Hogwarts for the first time: fight Voldemort
first, worry about school rules later (PS 196). Thus at this tender age
Harry is able to organize moral imperatives in the correct order of pri-
oroity. According to Rosalind Hursthouse this is not usually something
children are able to do (Hursthouse, 2001, p. 145). In this sense Harry
displays unusual moral abilities, and is what Hursthouse would see as
an astonishing boy.8
Apart from his moral sensitivity, it is the capacity to feel and act from
love that most fundamentally distinguishes Harry from Voldemort.
In the last volume of the series Harry copies the sacrificial act of his
mother when he voluntarily submits to Voldemorts killing curse
without defending himself, both in order to protect his friends from
Voldemorts attacks and to destroy the second to last of Voldemorts
remaining Horcruxes: himself. Harry is motivated by love to sacrifice his
own life for his friends, thereby extending to them the same protective
power that his own mothers sacrifice bestowed upon him. For a work
of literature that has prompted bans from Christian groups, this central
message in Harry Potterr is strikingly reminiscent of the central message
of the New Testament: sacrificial love, in the form of a willingness to
face death from the motivation of love, is what conquers evil. Victory
over Voldemort is only possible through a Christ-like willingness to
die for the sake of others. However, this reproduction of a religious
story pattern does not mean that all aspects of the series morality are
necessarily aligned with Christian values.
While Dumbledore stresses the importance of choice, he also
defines the evil in Voldemort as a defect or deficiency. Consequently,
Voldemorts evil is not an opposition to love but an absence of it an
emptiness or lack that Voldemort does not even know that he has: he
seems to lack the normal human faculties that make one care about oth-
ers and to be unaware of this lack. In this sense Voldemort is portrayed
as underdeveloped: in spite of his academic brilliance there is a certain
kind of moral and emotional knowledge and understanding that he
does not possess and that are prerequisites for the common human abil-
ity to form loving relationships with others. Hence, there is a sense in
which evil is described, as it is in The Lord of the Rings, as both powerful
and powerless: Voldemort is powerful in his capacity to spread destruc-
tion and terror but powerless in his ability to have a meaningful human
life even as he seeks to live forever.
Owing both to their similarities and their differences, it becomes
increasingly difficult to disentangle Harry from Voldemort as the narra-
tive progresses. The complex mental, emotional and psychological entan-
glement of Harry and Voldemort is aptly described in passages where
Harry shares what is going on in Voldemorts mind, such as this one:
And then he broke: he was nothing, nothing but pain and terror, and he
must hide himself, not here in the rubble of the ruined house, where the
child was trapped and screaming, but far away far away
No, he moaned.
The snake rustled on the filthy, cluttered floor, and he had killed the boy,
and yet he was the boy
No
Harry, its all right, youre all right! (DH 282)
The textual convention established in Harry Potterr is that focalization

through Voldemort, whenever witnessed or experienced by Harry, is set
in italics. The first sentence is part of Voldemorts description of what
happened on the night when he first tried to kill Harry, when Harry was
only one. Voldemorts flashback occurs when Harry and Hermione have
narrowly escaped capture in Godrics Hollow, the place where Harrys
parents were killed 16 years previously, and a furious Voldemort seems
to be reliving his previous defeat, with Harry as a witness through the
telepathic connection they share. The exclamations of no are Harrys
present time comments as he, apparently unconscious of his own
surroundings, experiences Voldemorts flashback. The last comment

is by Hermione, who is trying to comfort the obviously distressed but
mentally absent Harry. The sentence he had killed the boy, and yet he
was the boy shows that the ontologically blurred distinction between
Harry and Voldemort is also experienced by Voldemort; at least in the
experience of being Voldemort that happens in Harrys mind. When
Harry re-emerges and becomes conscious of his surroundings and of
Hermione, he has to shake himself mentally to detach himself from
the entanglement with Voldemorts mind: He was Harry Harry, not
Voldemort and the thing that was rustling was not a snake (DH 282).
This thorough entanglement carries all the way to the soul, since
Harry has become the container of an aspect of Voldemorts soul.
What ultimately serves to disentangle Harry from Voldemort is Harrys
sacrificial act as he faces Voldemorts killing curse to prevent Voldemort
from targeting his friends. When the presumably dead Harry meets
the diseased Dumbledore in his head, they are both healed of physi-
cal injuries: Harry needs no glasses and Dumbledores hand is healed:
Voldemort, by contrast, is damaged, seemingly beyond aid. Dumbledore
tells Harry: Your soul is whole, and completely your own, Harry (DH
567). Thus, the ultimate distinction between Harry and Voldemort,
and thereby between good and evil, is visible in the soul: Voldemorts
degenerated soul is fragmented and Harrys healthy soul is whole. In
this manner, Dumbledores notion of Voldemort as unable, or even crip-
pled in his emotional inability to care, is duplicated in that Voldemort
is cast as a monstrously damaged human child:
It had the form of a small, naked child, curled on the ground, its
skin raw and rough, flayed-looking, and it lay shuddering under a
seat where it had been left, unwanted, stuffed out of sight, struggling
for breath.
He was afraid of it. Small and fragile and wounded though it was,
he did not want to approach it. (DH 566)
This it that Harry encounters after he believes himself to have died at

Voldemorts hand, suggests the damage Voldemort has done to himself. It
also suggests his immaturity: in Harrys vision, Harry and Dumbledore are
both grown men, but Voldemort is a child and a fragile and damaged
one. The image of Voldemort as a helpless child is painful, because it sug-
gests a degree of innocencee on Voldemorts part that compels compassion
a compassion that is not extended to him. And Harry and Dumbledores
refusal or inability to care for and about the wounded Voldemort
complicates both the characterization of good as the ability to care, and

Dumbledores assertion that love is the ultimate magic. If love cannot
make a damaged child whole or redeem it through compassion or in the
very least attempt to ease its pain wherein lies its power?
The soul: fragmented or whole?

The concept of the soul is clearly central to the battle between good and
evil in Harry Potter. Voldemort regards his efforts to become immortal
through the creation of Horcruxes as his greatest accomplishment
something which in Dumbledores view marks him as misguided. The
process of creating a Horcrux involves murder, causing ones soul
to fragment. In the course of the narrative the reader learns that
Voldemort creates six Horcruxes intentionally and one unintentionally:
when he kills Harrys parents, one of his soul fragments latches onto
baby Harry unbeknown to both of them. How this could happen is a
bit of a mystery, as in Half-Blood Prince the reader learns that in order
for the soul fragment and the object forming the Horcrux to fuse, a
particular spell is required (HBP 465), and so it seems unlikely that one
could be made without conscious intention. In any case, counting the
soul fragment remaining in his resurrected body, Voldemorts soul has
been ripped into eight, something which according to Hermione would
make it highly unstable (DH 89). It is never specified, however, what
it does mean for a soul to be unstable. Voldemorts soul fragments also
become the means to stem evil: they must all be destroyed.
That the soul of Voldemort takes the form of an ugly, crying baby
indicates that while Harry has evolved through his ability to love,
Voldemort has devolved d through his inability to care about others.
Accordingly, in Harry Potterr the state of the soul seems dependent on a
persons moral conduct during physical existence. In so far as the soul
is essence, this state of affairs brings to mind Sartres slogan existence
precedes essence; the idea that no general, non-formal, account of
what it means to be human can be given, since that meaning is decided
in and through existing itself. () what is essential to a human being
what makes her who she is is not fixed by her type but by what she
makes of herself, who she becomes (Crowell, 2010). This idea resonates
with Dumbledores words to Harry that it is our choices far more than
our abilities that show who we are: it emerges as a central aspect of the
implied authors normative argument.
At the same time, however, physical bodies and objects are presented
in the series as containers for soul fragments fragments which may
allow one to resurrect or reconstruct a physical existence. This seems
paradoxical is the soul or the physical existence the primary force?

The fictional construction of Horcruxes clearly depends on the belief
that some aspect of a person, be they Muggle or wizard, survives the
death of the physical body. The abundance of ghosts patrolling the
grounds at Hogwarts also objectifies such a belief. Yet, there is an
emphasis throughout the narrative that the dead cannot really return.
The attempt to call the loved ones back from the dead inevitably leads
to disappointment and misery. This message is epitomized in Deathly
Hallows with the Tale of the Three Brothers and the Resurrection Stone.
Is Voldemort an un-dead? In Goblet of Fire, he fashions (or resurrects,
we cannot be sure) a body for himself after long years of a more dis-
embodied existence in which he has been parasitic on a host body. In
Order of the Phoenix Nearly Headless Nick explains to Harry that wizards
may choose to leave an imprint of themselves upon the earth, or, alter-
natively, to go on, and also that Nick is a ghost and knows nothing
of the secrets of death because he was afraid of death and so chose to
remain behind (OP 759). Was Voldemorts disembodied existence such
an imprint?
After Dumbledores death, Harry insists to Ron that Dumbledore
has gone on, and will not come back, because Dumbledores attitude
to death was that it was nothing but the next great adventure (PS
215). In his own grief however, Harry is rather comforted by Luna
Lovegoods assertion that those who have died and gone beyond the
veil are just lurking out of sight, thats all (OP 761). The imprint of
Harrys parents certainly appears at crucial times to be near Harry: in the
graveyard-scene where Voldemort draws his blood, and in the Forbidden
forest as he prepares to sacrifice his life. As Scott Sehon points out, it
is Voldemorts humanityy that suffers when his soul is damaged, not his
thought and magical ability (Sehon, 2010, p. 16). This corresponds to
the sentimental view; the word soul used as a metaphorical way of talk-
ing about what makes us most human (Sehon, 2010, pp. 10, 16).
When seen in relation to theoretical ethics, the dichotomy between
Voldemorts fragmented soul and Harrys whole soul brings to mind
Platos views of the soul in Republic, where the habits and mental
efforts of philosophy are regarded as working towards the unity of the
soul, whereas the habits and mental efforts of poetry are regarded as
effecting psychological fragmentation (Fossheim, unpublished, p. 1).
For Plato, the soul has three parts: reason, the appetitive part, and the
spiritual part; and only reason can integrate the soul. It is the spiritual
part of the soul, thumos, which, together with reason, gives one the
power to see what is good and act in accordance with it (Fossheim,
unpublished, p. 2). If thumos is unsupervised by reason, it can develop

habits of reaction disconnected from the truly noble (the recognition
of which is its true function) so that ones thumos becomes so ethically
degenerate that one systematically sees as fine and great what is in fact
disgusting or even horrendous (Fossheim, unpublished, p. 4). With
reference to Dumbledores views of Voldemorts magical accomplish-
ments versus Voldemorts own pride in them, this notion of a thumos
led astray seems to perfectly describe Voldemorts moral failure in the
Harry Potter series: he has quite literally fragmented his soul. That we
can be mistaken about to kalon [the noble] here also means that we can
be mis-shaped in a process where evil accumulates in the soul without
our being aware of it (Fossheim, unpublished, p. 4). This indeed seems
an accurate description of Voldemorts predicament. The cure Plato
advocates to help develop a unified soul is to adopt the habits and
mental efforts of philosophy which work toward this end. Philosophy
is here used in the sense of good thinking, which is integrated with
the concept of (virtuous) character (Fossheim, 2008, p. 245).9 Harry
and Dumbledore do not encourage Voldemort to adopt such habits of
philosophy and virtue in order to integrate his soul. Rather, they ask
him to show remorse, because in the fictional universe of Harry Potter
remorse is the only thing that can counteract the damage to the soul
effected by making a Horcrux.
Paradoxically, in spite of the emphasis placed on the power of love
by Dumbledore, he and Harry opt to destroy Voldemorts soul rather
than attempt to save or redeem it something which undercuts the
Christian sub-text of the series. A potential ethical problem for the
good side is thus their choice of means when fighting Voldemort. In
order to stop Voldemort from murdering others, they kill him. At no
point do they attempt to imprison him and put him on trial, although
a legal system in which Dumbledore has served as head does exist. The
logic of the text may make the destruction of Voldemorts soul neces-
sary, since in Harry Potterr moral corruption does not end with death; it
too goes on, suggesting a universe where the punishment for wrong-
doing is eternal rather than temporal. At the same time however, a
soul can go and then choose to come back (as does Harry), pre-
sumably altering its moral track record on earth and thereby its own
state. This view is not compatible with materialism a position held
by many proponents of consequentialism another ethical strand in
the narrative.
Why are Harry and Dumbledore healed of physical imperfections,
whereas Voldemort is not? This state of affairs indicates a moral
punishment of sinners in the afterlife that is in accord with Jewish

eschatology (Novak, 2008, p. 114) and which also resonates with the
Christian visions of the Last Judgement in the New Testament, particu-
larly in the Book of Matthew:
Just as the weeds are collected and burned up with fire, so will it be
at the end of the age. TheSon of Man will send his angels, and they
will collect out of his kingdom all causes of sin and allevildoers, and
they will throw them into the furnace of fire, where there will be
weeping and gnashing of teeth. Then the righteous will shine like
the sun in the kingdom of their Father. Let anyone with ears listen!
(Matt 13, 403)
This passage speaks of a collective, rather than individual, judgement

of souls, but there is a sense in which it underlines the individual
responsibility for the right-doing of each soul, and there is also a
sense in which Harrys experience at Kings Cross echoes this vision:
he perceives Voldemorts soul as something that struggles and makes
pitiful noises resonant with the weeping and gnashing of teeth,
whereas Dumbledore shines like the sun: Happiness seemed to radiate
from Dumbledore like light, like fire: Harry had never seen the man so
utterly, so palpably content (DH 567).
An aspect of the metaphysical argument that is furthered by the
implied author of the Harry Potterr series that strikes this reader as run-
ning counter to Christian teachings is that Harry and Dumbledore
are able to destroy Voldemorts soul fragments and annihilate parts of
his soul. According to the Bible, God alone has this power to destroy
souls.10 Supposing the narrative rests on a Christian basis, how is it even
possible for Dumbledore and Harry to annihilate Voldemorts soul frag-
ments? Do Dumbledore and Harry have the power to kill Voldemorts
soul because they have become the God-men that are the end product
of the alchemical process? The fact that Neville, Hermione and Ron
also destroy Horcruxes speaks against this reading. This path of reason-
ing further reveals the limits of applying real world beliefs to a fantasy
world: the texts solution is of course that this destruction is possible
due to the fact that Harry and Dumbledore are wizards, who can deploy
powerful magic to this end. The question remains, however: if they
have the power to destroy a soul, how come they do not possess the
(magical) power (let alone the willingness) to heal a soul? While in The
Lord of the Rings Gandalf never ceases to hope for Gollums salvation,
the view on remorse expressed in Harry Potterr is much more cynical:
I cannot see Lord Voldemort attempt it somehow, can you? (DH 89),
and thats that. Here, there is no appeal to a higher power. Rather,
wizards in spite of the moral problems with which the wizard world is
rife are trusted to decide the spiritual fate of their fellow. Dumbledores
and Harrys treatment of Voldemort seems to suggest a universe ruled
by no greater force than psychological savvy and the wisdom earned
through trial and error. Consequently, those lauding the secular dimen-
sion of the series get their due as well. In the words of A. S. Byatt Ms.
Rowlings magic world has no place for the numinous (Byatt, 2003).
This view also becomes overly categorical, however, since there is a
notion of an immortal soul in Harry Potterr or at least one that can go
on after physical death. And although there is seemingly no divine
power, there is the powerful, incomprehensible, mysterious force
termed love, which Dumbledore fails to sufficiently reckon with when
drawing up his great plan.
It is potentially confusing that the lack of interest displayed by the
good side in the salvation of Voldemorts soul dissociates the narra-
tives ethics from Christian beliefs, even as the alleged necessity for
remorse on the part of Voldemort aligns it with such beliefs. The view
that a damaged soul ought to be destroyed rather than assisted to heal
and evolve seems particularly odd in light of the narratives alchemical
subtext. In so far as the destruction of evil may be considered an ethi-
cal solution generic to fantasy fiction, narrative form here potentially
morphs, or places demands on, ethical content. Another possible inter-
pretation is that Harry and Dumbledore, without saying as much, do
trust in a higher power to deal with the damaged Voldemort, so that the
case effectively is out of their hands.
It seems that the metaphysical suggestions embedded in the series
are paradoxical and at times contradictory (and perhaps not really
thought through), thus accommodating several possible interpreta-
tions. At best, this melange creates interpretive ambiguity; at worst
it justifies claims that the magic system is incoherent (Mendlesohn
and James, 2009, p. 174). The apparent metaphysical confusion of the
series may be largely due to the fact that the narrative incorporates
and combines various genres, and seemingly different belief systems.11
It is this metaphysical mosaic of pick-and-mix religious symbols and
narrative patterns that, in my view, most clearly aligns the Harry Potter
series with patterns in contemporary spirituality, which is character-
ized by popular cultures borrowing of religious significances in the
manner described by Oswald, and by the general ambience of the
occulture (see Partridge, 2004).
Blood myths and the vampire

One of the most obvious ethical subtexts in Harry Potterr is the equation
of dictatorial rule and racial prejudice (fascism) with evil. Suman Gupta
remarks that while in the first book Malfoys prejudice against blood-lineage
is one of several evils, the association between Voldemort and an explicit
fascist ideology is made clear in Chamber of Secrets (Gupta, 2009, p. 101).
However, toward the end of Chamber of Secrets Voldemort says that Harry
has replaced mud-bloods as his prime target (CS 230). Arguably, the blood
myth in Harry Potterr is more complex and runs deeper than this associa-
tion between fascism and evil: it also contains allusions to Christianity and
even pagan ritual practices. After all, it is because his mothers sacrificial
love runs in his blood that Harry is protected from Voldemort for 17 years.
A more deeply embedded facet of the blood-myth in Harry Potterr is
the association between Voldemort and vampires: in Philosophers Stone
Voldemort drinks unicorn blood to sustain his existence, and in a grave-
yard scene in Goblet of Fire he draws Harrys blood to resurrect his body.
In Chamber of Secrets, Tom Riddle feeds on the energy and attention that
Ginney Weasley devotes to his diary, characterizing him as a psycholog-
ical vampire as well. According to Marie-Louise von Franz the vampire
motif is present in fairy tales world wide, and the vampires blood-lust
represents the craving or impulse of the unconscious contents to break
into consciousness (Von Franz, 1996, p. 157). Von Franz regards the
alchemist tradition, which inspired Rowling in the construction of her
magical word (Simpson, 1998), as an attempt to blend [through sym-
bolism] the natural, heathen strain with the Christian strain in collec-
tive consciousness (Von Franz, 1996, p. 158).
It has been noted that a contrast is set up in Harry Potterr (most con-
cisely in the epigraph to Deathly Hallows) between the life made possible
through an acceptance of death and a celebration of loving relationships,
and the life spent in the agony created by fear of death. In relation to this
important distinction in the series, there is sense in von Franz remark
that the ravenous hunger of a spirit for a body [such as Voldemort dis-
plays before the graveyard scene] is an unrecognized, unredeemed wish
for the fullness of life (Von Franz, 1996, p. 186). On this view, the image
of the vampire is an unconscious symbol for a persons drive to come
fully to life by overcoming his or her fear of death. Consequently, in his
associations with vampires, Voldemort functions on the thematic level to
bring home a central normative issue of the series: the necessity to come
to terms with death in order to be able to live life consciously and fully.
Spiritually, the vampire may also be regarded as a representation of
the negative Christ: the Christian idea of the Eucarist may be seen as
underscoring Harrys function as a Christ symbol (Voldemort ingests

his blood and Harry sacrifices himself). This associates Voldemort with
Anti-Christ, or the negative side of the Christ archetype. There is also
a Christian allusion in the blood magic that results from self-sacrifice
motivated by love, which is able to protect Harry, and later his friends,
from evil.
Alternatively, Voldemort may be representing an unconscious, pagan
impulse; the heathen in need of the blood of Christ and the this is my
blood of the Eucharist, which is a potent cultural symbol of love under-
stood as self-sacrifice. Such symbolism adds to the spiritual, Christian
tones of the narrative, but also invokes cross-cultural pagan ritualism,
where blood represents life-force and vitality.
Transformations: shape-shifting, metamorphosis, rebirth

John Granger has drawn attention to the series alchemical scaffolding
(Granger, 2007). Arguably, there is an interesting dynamic within the
text between the concepts of shape-shifting and metamorphosis. The
difference between these concepts is that in metamorphosis change is
permanent, whereas with shape-shifting change is only temporary. Here,
metamorphosis is the alchemical change taking place at a deep, inner
level, whereas shape-shifting has connotations of illusionism and decep-
tion: both forms of change are thematically important in Harry Potter.
The narratives emphasis on magic underscores the abrupt vanish-in-
a-flash-and-return typical of the shape-shifter, whereas the alchemical
scaffolding of the series as well as Harrys moral growth develop the
theme of the slow, gradual but permanent change characteristic of
metamorphosis. The dual threads of shape-shifting and metamorphosis
are also knit together in the character of Professor Snape, who seems to
flicker between the moral polarities of good and evil during the entire
series, until Harry learns of his true moral allegiance in Deathly Hallows
and Snapes moral metamorphosis from youthful Death Eater to faithful
member of the Order of the Phoenix moves to the foreground.
On a second reading, Snapes promise to Dumbledore (that he would
protect Harry for the sake of honouring the sacrifice of Harrys mother
Lily) explains Snapes exasperation with Harrys willingness to put
himself in danger. The following exchange comes after an incident
where Harry has been sneaking into Hogsmeade illegally under his
invisibility cloak:
Snapes thin mouth curled into a horrible smile.

So, he said, straightening up again. Everyone from the Minister of
Magic downwards has been trying to keep famous Harry Potter safe
from Sirius Black. But famous Harry Potter is a law unto himself. Let
the ordinary people worry about his safety! Famous Harry Potter goes
where he wants to, with no thought for the consequences. (PA 209)
It is only after reading the last volume of the series, where Snapes true
moral identity is revealed, that Snapes outrage in this passage reads as
a just and understandable reaction: he is angry with Harry here, not
because he is mean and wants to deprive Harry of a good time, (as it
seems to Harry at the time), but because he is genuinely concerned for
Harrys safety and finds it exasperating that Harry is prepared to risk
his life so lightly, when the protection of it has been so costly. The last
volume undoubtedly changes the interpretation of Snapes acts and
behaviour. Reread in the light of the information that Snapes willing-
ness and ability to perform sacrifices for the sake of love rival Harrys
own, the reader is bound to feel sympathy for Snape and his righteous
anger at Harry here a sympathy that surely was not there on a first
reading, when Snapes motives were unknown.
The importance of Snapes character is hinted at in book six. The Half-
Blood Prince of the titile eventually turns out to be Snape: his mother
was a Half-Blood and her maiden name was Prince. Thus, the books
title translates into Harry Potter and Professor Snape. Harrys strained
relationship with Snape and his mistrust of Snapes intentions climax in
this volume when Harry sees Snape kill Dumbledore. After his apparent
murder Snape flees, and is thenceforth assumed to be openly working
for Voldemort. This makes Dumbledores unwavering trust in him seem
misjudged, even nave. Snapes true allegiance and his deepest motiva-
tion are not revealed until Harry peruses his memories in Dumbledores
Pensieve. This changes his evaluation of Snapes actions completely:
rather than killing Dumbledore on Voldemorts orders, Snape is fulfill-
ing a promise to perform euthanasia on Dumbledore to save him from
pain and humiliation. The scales of moral worth invert their balance
as it is revealed that Snape has given this promise unwillingly, fearing
the consequences the act of killing Dumbledore would have on his
own soul.12 In an amazing moral redefinition, Snapes act of killing
Dumbledore becomes an act of loyalty and self-sacrifice rather than an
act of cruelty and betrayal: the motive behind it, as well as a changed
interpretation of the nature of the act, transform Harrys, and the read-
ers, moral judgement. This, of course, is Snapes version of the story.
Snape performs multiple functions in the narrative. By displaying
inclinations towards both good and evil, he furthers the morally real-
istic aspect of the series. Thematically, he underscores the importance
of not judging others by their appearance, since his moral goodness
contradicts the impression of evil produced by his looks. His character

also performs an important narrative function in giving added poign-
ancy to the final climax of the surprise ending: the revelation that
Dumbledore has known all along that Harry has to die if Voldemort
is to be defeated. The relationship between Snape and Dumbledore (as
it is revealed in Snapes memories) also plays an important part in the
ethical re-definition of Dumbledore that takes place in the last volume.
With the disclosure of Snapes and Dumbledores true moral colours
in Deathly Hallows, the reader is invited to sympathize with Professor
Snape.
The ambiguous character of Professor Snape is further part of a nar-
rative feature that the Harry Potterr series borrows from detective stories
of the Agatha Christie brand, namely the plot twist of mistaken iden-
tities, which occurs in most of the books. In the first book, Professor
Quirrell, the Defence Against the Dark Arts (DADA) teacher, really is a
front for Voldemort. The emergent pattern of appearances belying true
character is reinforced in book two with the introduction of Gilderoy
Lockhart, who looks handsome and dashing but is revealed to be a liar,
a fraud and a coward. He is also the new DADA teacher. A similar plot
twist is staged again in book three, where the supposed mass-murderer
Sirius Black, described as looking rugged and desperate, turns out to be
an innocent man wrongly convicted and Harrys dedicated Godfather.
Rons seemingly innocent pet rat Scabbers, on the other hand, turns out
to be the man who betrayed Harrys parents to Voldemort and the one
who enables Voldemort to create a new body for himself and thus to
truly return. This frequent twist of semblance and true content is partly
due to the convention of the mystery genre that accounts for much of
the books suspense, but it also serves the thematic purpose of stressing
that it is not until peoples true motives (as well as their true identities)
are disclosed that one can judge the value of their behaviour, since
friendliness might not reliably signal good will nor unfriendliness be
the mark of ill will. Thus the text pits superficial signals against deeper
and more enduring moral concern when discussing moral worth, paral-
leled in the dual focus on shape-shifting (magical change) and meta-
morphosis (inner change).
This discrepancy between form and content is displayed by institu-
tions of power as well: in the third novel, Prisoner of Azkaban, Harry gets
wary of Ministry of Magic morals when ministry officials interfere to
keep him out of trouble for blowing up his aunt Marge when in his pre-
vious year he received warnings over the minor offence of a flying cake
a spell in fact cast by the house elf Dobby. In Order of the Phoenix, the
Ministry further runs a campaign to discredit Harry and Dumbledore

who claim that Voldemort has returned. Later, the Ministry is forced to
admit that Harry and Dumbledore were right but by then they have
squandered their time: Voldemort has regained power, and quickly
usurps an unprepared Ministry. Generally, institutionalized power does
not seem to have a high star with the implied author of the Harry Potter
series: it mostly functions in the service of evil and in opposition to
truthfulness and the good. In the fifth volume, the DADA teacher is an
evil hag from the Ministry of Magic, and the form of mistaken identity
this time is the exposure of the Ministry as thoroughly corrupt.
In Half Blood Prince, Snape achieves his longstanding ambition of
becoming DADA teacher. The twist of mistaken identity here is that
Snape kills Dumbledore and flees, when Draco Malfoy has failed to do
as he was ordered by Voldemort thus Dumbledore seems to the world
to have been completely mistaken about Snapes real identity. In the
last and seventh volume Snape becomes Headmaster of Hogwarts, and
is again the object of the mistaken identity device, when it is revealed
that he has in fact been working for Dumbledore all along at considera-
ble cost to himself. The implication of this pattern of switched identities
and deceptive appearances is that there is an imperative need to look
deeper than the surface signs to discern someones true moral colours,
as there is no necessary connection between the outer impression and
the deeper or inner truth beyond the surface. This theme is a product
of, and emphasized by, devices of genre, but it is also advocated by the
texts implied author who signals that a second reading is required in
order to fully appreciate the ethical perspectives of the text.
The pattern of double identities and deceptive appearances is also
carried through on a symbolic level, through the prominence of the
archetype of the shape-shifter; an archetype commonly associated
with Satan, daemons and shadows (Ronnberg and Martin, 2010,
pp. 7701) due to its association with deception. However, the main
part of the plot in the series revolves around Harrys magical schooling:
it is through learning about magic (which in a Biblical context denotes
deception and illusion) that he is able to morally transform and move
toward the truth. Thus mastering the art of deception is portrayed as a
means to dispel its intoxicating hold on the senses: mastering illusion
one passes to a deeper truth.
The parallell emphasis on both shape-shifting and metamorphosis in
the text contributes to explaining the divergent readings of the value
propositions of the series: if one is blinded by the sudden flashes of
the surface magic one may fail to notice the deeper currents of moral
and spiritual metamorphosis that take place in the tale. In addition,

the reader has to take the trouble to approach the value argument of
the text on its own terms, because whereas within various religions
magic and illusionism are regarded as pulling people awayy from truth,
in Harry Potterr becoming familiar with magic is portrayed as a means
of evolving towards deeper insight. The reader is led to understand in
the course of the narrative that Harrys initial enchantment with magic
and the magical world subsides in the course of his moral growth. The
magical world is unveiled as morally complex and faulty (the slavery of
the house-elves, Dumbledores secrets and lies), and by the end of the
narrative the Muggle world is the chosen world of all the protagonists.
In light of this, the implied authors stance on magic seems to be far
less starry-eyed than assumed by those religious fundamentalists (of
several persuasions) who have sought to ban the books for promoting
a positive view of magic. Rather, the implied author takes a more bal-
anced view: magic is not inherently evil; what matters is rather to what
use it is put. So while the various peoples of Middle-earth are united
in the fight against Sauron under the banner of the White Tree of
Gondor, the good side in Harry Potterr rally to defeat Voldemort as the
Order of the Phoenix. The phoenix is an apt emblem for a magician.
According to myth, it bursts into flame and turns to ashes, before shape-
shifting back into a fire-bird (Ronnberg and Martin, 2010, p. 186); thus
it may literally vanish in a flash, like magic. In her analysis of the sym-
bolic role of the phoenix in Harry Potter, r Sarah Gibbons notes that both
Harry and Voldemort go through cycles of death and rebirth: she links
the symbolism of the series with the drive created within modern com-
modity culture for the symbolic immortality of eternal youth (Gibbons,
2005, p. 87). However, the phoenix in Harry Potterr is also linked to
the alchemical thematic of the series. Furthermore, it references both
the Christian tradition as a symbol of the resurrection of Christ, and the
Indian belief in reincarnation.
Both Harry and Voldemort have wands with a phoenix tail-feather
core. In relation to the series alchemical thematics, this is significant
because the phoenix is also an alchemical symbol for the new personal-
ity that is born through the purification process and the inner union
of opposites (Von Franz, 1980, pp. 21, 172). According to von Franz
the single phoenix feather is an alchemical motif that has spread deep
into European folklore: If you have only one feather of the phoenix, it
means you havent grasped the psychological mystery that is expressed
by the whole bird. You have only one aspect, one hunch about it, but
even that is infinitely healing (Von Franz, 1997, p. 88). Dumbledore,
of course, has the whole bird, indicating that he has full alchemical
knowledge. Thus, both Harry and Voldemort are on the path of indi-
vidual transformation: by virtue of of their phoenix feather wands both
seem to have the potential to attain a state of inner alchemy. Voldemort,
however, discards his wand upon acquiring the Elder Wand, whereas
Harry uses the Elder Wand only to mend his broken holly and phoenix
wand, and then discards the Elder Wand. Implicitly, Harry chooses self-
development over power, whereas Voldemort has the opposite priority.
Further underlining the death, rebirth and immortality thematics
of the series is the symbol of the snake, which is primarily associated
with Voldemort but also with Harry through his ability to speak
Parseltongue, or snake language. Interestingly, several abilities associ-
ated with serpents resemble those attributed to the phoenix: in legend
some can fly, and there is also a notion that serpents are immortal
because they can shed their skins (Ferber, 2007, p. 186). Likewise, the
serpent is ascribed wisdom, even by Christ, who tells his followers to
be wise as serpents (Matt. 10:16). The healer god Apollo was associated
with serpents, as was Asclepius whose staff, with two serpents wound
around it, is the symbol adopted by the modern medical profession. The
snake has long been connected with time and with eternity embodied
in the symbol of the ouroboros, the snake with its tail in its mouth.
Thus mythically, both the phoenix and the serpent have been used
to symbolize longevity, regeneration, immortality and healing. This
further underscores the thorough entanglement of the series hero and
villain, even on a mythological level.
The best clue in the text to the interpretation of the symbolic mean-
ing of the global, collective (and, therefore, deeply resonant) symbols
of snake and phoenix is that their opposition is carried through the
series in yet another way: as the respective familiars of Voldemort and
Dumbledore. Dumbledore keeps Fawkes the phoenix and Voldemort is
followed by the giant serpent Nagini. The difference between these pets
helps unravel the values attributed to each symbol in the text as a whole.
In Harry Potterr Nagini kills but does not heal, whereas Fawkes has abili-
ties both to fight (he blinds the basilisk that attacks Harry13 in Chamber
of Secrets) and to heal (his tears heal Harrys wound from the basilisk fang
and his song heals Harrys emotional wound after Dumbledores death).
This difference indicates that in Harry Potterr the snake primarily symbol-
izes destruction, whereas the phoenix is a symbol of the fight of the
righteous and also of the healing of past hurts, and thus of renewal. Like
Dumbledore, Fawkes dies and returns (he returns after catching the kill-
ing curse cast by Voldemort in Order of Phoenix, just as Dumbledore dies
and returns at Kings Cross in Harrys mind). After Dumbledores death

Fawkes disappears from Hogwarts, choosing, like Dumbledore, to go
on. By extension, this implies that Voldemort is not able to kill Fawkes,
who simply returns, whereas when Neville slays Nagini it is destroyed
forever much like Voldemort is annihilated through the destruction of
his Horcruxes. Hence, even though the traditional mythological implica-
tions of the snake and the phoenix are similar, in the Harry Potterr series
only the phoenix can choose whether or not to go on or come back
to physical existence the choice offered to Harry after being killed by
Voldemort. The main indicator of both moral and spiritual power in
Harry Potterr is consequently the ability to choose between life and an
after-life to cross or re-cross the border of death through personal
choice rather than through being driven by fear or compulsion.
The emphasis on the formal flux represented by the shape-shifter arche-
type is also coupled in the narrative with a quest for truth: it becomes a
significant task for the protagonist to try to distinguish it from the decep-
tive appearances that surround him. The patterns of deception also make
issues around authority and trust central in the text: amid constantly
shifting identities, most of which are used as a means to deceive, the
question of who to trust becomes pressing. Early on, Harry establishes a
pattern of mistrust with Professor Snape a mistrust that in the end turns
out to have been unjustified. Harry likewise chooses to continually place
his deepest trust in Dumbledore but is this trust warranted?
Moral reasoning
With the focalization of events through Snape (in his memories), moral
facts in Harry Potterr become to a degree relative in a postmodernist
sense: they are tied to the individuals point of perception. Up until
his death in volume six, the most comprehensive perspective of events
in the story world is provided by Albus Dumbledore. An expansion of
Harrys point of perception typically happens in the dnouement of
each of the early novels, with Dubledores explanations to Harry. In
volume seven, however, a fuller perspective on Dumbledore too opens
up to Harry, and thereby to the reader, when (Harrys understanding of)
Dumbledores moral teachings come under scrutiny also in the context
of Dumbledores actual conduct.
Dumbledore
In Harry Potterr evil is defined by ones inability to experience and express
love, and to make and sustain positive emotional bonds with others.
Dumbledores claim that love can conquer evil further underscores the
narratives insistence that love is a moral emotion. This is also implied
by Harrys shift in attitude towards Snape when he learns that Snape
has been driven by a moral duty to protect him based on his love for
Lily. Furthermore, it is because he is unable to love that Voldemort
lacks the motivation to act morally. The picture is complicated, how-
ever, by contradictions that emerge between the views on love voiced
by Dumbledore and his actual conduct, which turns out to be morally
debatable in several ways. In Deathly Hallows Dumbledores and Harrys
differing conceptions of love are put into relief: while Dumbledores
ideal is impartiality, for Harry love is intensely personal.
Elsewhere,14 I have analysed Dumbledores concept of love rela-
tive to the views of love developed by Martha Nussbaum (1990) and
J. David Velleman (1999), noting that in their discussions of love,
both Nussbaum and Velleman grapple with the relation between love
and morality, and with the gulf between loves tendency to partial-
ity and moralitys demands for impartiality. The same holds true for
Dumbledore:
I cared about you too much, said Dumbledore simply. I cared more
for your happiness than your knowing the truth, more for your peace
of mind than my plan, more for your life than the lives that might
be lost if the plan failed. In other words, I acted exactly as Voldemort
expects we fools who love to act. Is there a defence? (OP 739)
Here, Dumbledore makes it clear that he is partial to Harry. At the same

time, he regards these feelings of partiality as a moral shortcoming.15
Seemingly overcoming this partiality, he proceeds with the plan that
leads Harry towards death. Furthermore, he goes about accomplishing
this plan by deliberately and carefully hiding aspects of it from Harry,
as well as from Snape: he only gradually discloses his knowledge of the
prophecy to Harry, and although he urges Snape to protect Harry as a
way of honouring his love for Lilly, he fails to tell Snape that Harry must
be protected not so that he can live but so that he may sacrifice himself
to rid the world of Voldemort.
Vellemans Kantian concepts (1999) help diagnose Dumbledores treat-
ment of Harry (and also of Snape) as one of seeing them as a means to
an end.16 In sacrificing Harry for the greater good Dumbledore treats
him as a price (that may be balanced against the lives of others whose
individual lives have equal value) rather than as having dignity in his
own right (or being irreplaceable). This is a typical consequentialist
calculation: sacrifice some in order to save the many. Reading Dumbledore

as a consequentialist rather than a Christian or deontologist solves
the puzzle of why (in spite of Dumbledores belief in the supreme
force of love) Voldemort, and even Voldemorts soul fragments, must
be destroyed: Voldemorts destruction will benefit the many, therefore
Voldemorts life, like Harrys, and even his soul, like Snapes,17 are insig-
nificant in relation to the ultimate goal: the overall good or utility of
the wizard world.
Dumbledores strategy, and its reliance on secrecy and partial infor-
mation may bring to mind Bernard Williams objection to esoteric
morality what Williams terms Government house utilitarianism: that
it may justify a colonialist and paternalistic attitude (De Lazari-Radek
and Singer, 2010).18 In his reliance on secrecy, Dumbledore arguably
displays such paternalism. On a personal level, secrecy clashes with the
openness and potential for true perception that is the hallmark of love
at least in reciprocal relationships. Thus, there is an implicit questioning
of Dumbledores ability to love others as equals.
Consequently, it is possible to argue that the implied author paints
Dumbledore both as laudable but also as blameworthy. While his con-
sequentialist plan is validated through its eventual success in ridding
the world of Voldemort, the cost of consequentialism on a personal
level is also highlighted in the narrative through the consequences of
Dumbledores plan for Harry, with whom the reader is encouraged to
identify. As a moral guide or mentor Dumbledore helps Harry evolve
morally to the extent that he becomes willing and able to sacrifice
his life for his friends. This facilitation (or secretive manipulation) of
Harrys moral growth into a better man may have moral merit even
as Dumbledore is not able to embody this level of love himself. This is
evident since his great plan consistently involves the sacrifice of others
(Harry, Snape) rather than himself. What Dumbledore does sacrifice on
the altar of morality through his notion of impersonal love is personal
loving relationships and the mutual trust upon which these are based.
Drawing on Russell Hardins definition of trust as encapsulated inter-
est, Dumbledores betrayal of Harry may also be interpreted as a breach
of trust:
I trust you because I think it is in your interest to attend to my inter-

ests in the relevant matter. This is not merely to say that you and
I have the same interests. Rather, it is to say that you have an interest
in attending to myy interests because, typically, you want our relation-
ship to continue. (Hardin, 2002, p. 4)
In establishing an ongoing relationship with Harry that is experienced

as rich and personally valuable on Harrys part, Dumbledore makes
Harrys fulfilment of the plan more likely by raising the probability
that Harry will be trustworthy relative to Dumbledores professed
wishes. At the same time, Dumbledore arguably betrays Harrys trust
in so far as the outcome of the plan Harrys sacrificial death is a
failure to attend to Harrys interests. Consequently, the judgement of
Dumbledores treatment of Harry depends on whether or not one con-
siders Dumbledore to have attended to Harrys interests. One may argue
that Dumbledore manipulates Harry into an acceptance of the plan at
a potentially great cost to the boy himself that is: unless Dumbledore
knows that Voldemort will be unable to kill Harry due to the prophecy.
One might also argue, however, that Dumbledore does have Harrys
interests at heart, because getting killed is the only thing that can
destroy the Horcrux embedded in him. On this view, Dumbledores plan
furthers what is really best for Harry especially taking into account
Dumbledores view of death as the next, great adventure. Both views
are possible. It is only on the first view that Dumbledore violates Harrys
self-interest, and, therefore, his trust.
Issues of trust in Harrys relation to Dumbledore come to the fore in
Deathly Hallows. In the last book Harry goes through a phase of intense
frustration, searching for a point of truth on which to base his choices
after Dumbledores death. Dumbledore has hitherto served as his truth
standard, but as Rita Skeeters insidious writing about Dumbledore seeps
into his mind that foundation crumbles. Faced with all his questions and
mounting evidence of all the things Dumbledore chose not to tell him,
Harry yearns for reliable information. It takes him quite a while to accept
that in the end he may never know everythingg that he will, ultimately,
have to decide, to choose, what and who to believe. His struggle to come
to terms with the fact that the image he has held of Dumbledore has not
been complete lasts through most of the final volume of the series.
Harrys discovery of the non-existence of objective truth is a postmod-
ern aspect of the text: to a postmodernist, there is no absolute standard
of truth. Consequently, truth becomes relative a matter of perspec-
tive. The truth about a situation thus depends on the description of
that situation; something that requires awareness of whose truth one
is served. This shattering of perspective takes place in Harry Potterr in
volume seven and it is connected to the dismantling of the norma-
tive position of Dumbledore effected both through Snapes disclosures
and through Harrys maturing perspective, which is coloured by Rita
Skeeters slanderous Dumbledore biography Secrets and Lies.
The reason why the complications of Dumbledores character in

volume seven have a strong ethical impact is that Dumbledore has
functioned as the narratives truth standard during the series first six
books. The centrality of Dumbledores power in defining acts as good
or evil stems both from the school setting, in which he as headmaster
is the final instance of appeal, from his high esteem in wizard society,
and from his position in the mind of Harry, through whom the text
is focalized. Dumbledore, in his roles as teacher and headmaster, and
due to his strong position with the Wizengamot court, has shaped the
destiny of three of the main signifiers of good and evil in the series:
Harry, Voldemort, and Professor Snape. Because Dumbledore vouched
for Snape before the court in the hearings after Voldemorts first demise,
Snapes life changed tracks: he changed sides from being a Death Eater
to being a spy whose ultimate loyalty was to Lily and to Dumbledore.
Likewise, Dumbledore profoundly affected the way Voldemort has
defined himself; namely in opposition to Dumbledores credo that love
is the strongest force there is. To Harry, Dumbledore is the incarnation
of truth, benevolence and wisdom, and dedication to Dumbledores
designs has shaped the course of his life.
Like Harry, most adults in the series turn to Dumbledore as an
instance of ultimate authority: Fudge, the Minister of Magic, asks for
his advice, and the other professors, who are minor authority figures
within the school setting, must answer to Dumbledore and consult
with or appeal to him under various circumstances. As he is also the
leader of The Order of the Phoenix, almost all adults with whom Harry
comes into contact appeal to Dumbledore as their leader and head. The
few exceptional adults who do not heed Dumbledores authority like
Lucius Malfoy, Dolores Umbridge, and Rita Skeeter are portrayed
as thoroughly insensitive and corrupt. Thus, throughout the first six
books Dumbledores unique position in the wizard world, and in Harrys
mind, makes him the strongest defining power in the text in terms of
distinguishing between good and evil characters and good and evil
deeds. Dumbledore sets the standard against which everyones perfor-
mance is measured. For one who says that he has chosen to denounce
worldly power, Dumbledore certainly has a lot of influence.
When Dumbledores public image and Harrys idolization of him as
a moral icon are partly dismantled in the course of Deathly Hallows,
it reverberates back through the whole narrative. With Dumbledores
fall from the astronomy tower and his death, but even more so with
the staining of his reputation that takes place in the last book, the
position he has filled in wizard society and in the narrative is left
ambiguous. This is underscored by Harrys questioning of Dumbledores

ethical character in Deathly Hallows: a reformulation occurs that brings
Dumbledore down from his divine position to reveal a much more
human character, one struggling to curb his own lust for power and do
the right thing.
Harrys moral choice

While Dumbledore emerges as a consequentialist, suppressing personal
bonds of love in pursuit of an impartial ideal, such emotional bonds
are important to Harry in his moral decision-making processes. The
main choice that Harry faces in Deathly Hallows is whether to destroy
Voldemorts Horcruxes and save the wizard world or attempt to acquire
the Deathly Hallows and become master of death to save his own life.
Tied to this significant choice is the choice of whether or not he ought
to keep trusting in Dumbledores supposed plan. And once the true
nature of this plan has been revealed, his choice is between surrender
to Voldemort or escape.
Harry has trusted Dumbledore as an icon of wisdom since the age of
eleven. In Deathly Hallows he attempts to follow Dumbledores scanty
directions at the risk of his life, in order to destroy Voldemorts remain-
ing Horcruxes. Simultaneously, Skeeters Dumbledore biography makes
Harry realize how little of his personal life Dumbledore has revealed to
Harry. Harry is stung:
resentment swelled in the darkness. Why hadnt Dumbledore told

him? Why hadnt he explained? Had Dumbledore actually cared
about Harry at all? Or had Harry been nothing more than a tool to
be polished and honed, but not trusted, never confided in? (DH 147)
The revelation that in his youth Dumbledore made friends with the
notorious wizard Grindelwald, coined his slogan For the Greater Good
and as a consequence helped Grindelwald rise to power, further fuels
Harrys mounting frustration with Dumbledore. Realizing how flawed
Dumbledores ability to pass sound ethical judgement was when he was
Harrys age creates a breach in Harrys confidence, which does little to
recommend Dumbledores hard-to-decipher plan to Harry. In Deathly
Hallows Harrys (and thereby the readers) image of Dumbledore is fun-
damentally altered: owing to his ellipses and partial truths Dumbledore
appears much less reliable and considerably more calculating.
However, circumstance restores Harrys faith in Dumbledores superior
perspective. While gossip about Dumbledore triggers a re-evaluation
and a deeper investigation of his mentor, followed by a sense of disil-

lusionment as new information comes to light, Harrys turnaround
comes when Ron, having abandoned his friends, returns. Following the
Deluminator bequeathed to him in Dumbledores will, Ron reappears
to save Harrys life and rescue Gryffindors sword from the bottom of a
frozen pond. Thus, Harry realizes that Dumbledore must have guessed
that Ron would give in at some point but also that he would want
to return. In addition, the recovered sword, bequeathed to Harry by
Dumbledore, allows them to finally destroy the Horcrux locket. When
they later get an interpretation of The Tale of the Three Brothers,
Dumbledores posthumous gift to Hermione, Harry understands that
Dumbledore did have a plan, and is finally able to infer most of it cor-
rectly. Consequently, Harrys faith in Dumbledore is restored through
getting rid of a burden of negative influence from the locket Horcrux
and from discerning the outline of Dumbledores plan at last. He even
comes to believe that Dumbledore deliberately made it hard for him, so
that the maddening lure of the Hallows would not get the better of him.
As practical reality aligns according to Dumbledores guesses, the depth
and intricacy of Dumbledores knowledge and perception is effectively
proven to Harry. Seeing evidence that Dumbledore knew what he was
doing, Harry chooses to keep following Dumbledores plan, although he
cannot see the full scope of it, deliberately pushing any doubts aside. So
while Dumbledore relies on consequentialism as a moral guide, Harrys
faith in Dumbledore mirrors a religious pattern: Dumbledores intelli-
gent design as a model of the unfathomable design of God.
Harrys faith in his mentor is primarily restored by the proofs of
Dumbledores foresight relative to the behaviour of others. Yet it is
not until this links up with Dobbys self-sacrifice and the emotion-
ally charged experience of digging Dobbys grave that Harry becomes
resolved in his choice to follow through with Dumbledores plan, and
to continue hunting down Voldemorts Horcruxes rather than pursue
the lure of the Hallows. Arguably, Harrys personal affection for both
Dobby and Dumbledore influences his decision. As Harry is digging a
grave for Dobby, who died saving his life, something about the rhythm
and physical effort of the work couples with his thoughts to produce a
certainty, a knowing. He pieces together various things he has seen and
heard to form a coherent picture in his mind:
On Harry dug, deeper and deeper into the hard, cold earth, subsum-
ing his grief in sweat, denying the pain in his scar. In the darkness,
with nothing but the sound of his own breath and the rushing sea
to keep him company, the things that had happened at the Malfoys
returned to him, the things he had heard came back to him, and
understanding blossomed in the darkness (DH 387)
Emotionally Harry is experiencing grief a feeling of loss and a fear that

somehow alters his perception and makes it clearer, by rendering the
lure of the Hallows impotent:
The steady rhythm of his arms beat time with his thoughts.
HallowsHorcruxesHallowsHorcruxesyet he no longer
burned with that weird, obsessive longing. Loss and fear had snuffed
it out: he felt as though he had been slapped awake again (DH 387)
Harrys decision-making process relies on emotion rather than on

moral norms and rules: it arises out of an intense emotional state and
the result is emotional certainty. Emotion is here a necessary part of
Harrys moral clarity: feelings of loss and fear render the temptation of
the Hallows meaningless. The narrators perspective fuses with Harrys
as the narrative moves between external and internal focalization, and
the reader is led to understand thatt Harry understands, but not exactly
howw the understanding comes about. The narrator resorts to metaphor:
it blossomed in the darkness. The narration of a later passage gives the
impression that Harry at moments is beside himself, not completely
at one with his usual sense of self: he heard the authority in his own
voice (DH 390). In this manner, the deep shift in Harrys understanding
is underscored by the narration, since the reader must struggle, as does
Harry, to understand exactly what is going on inside him. There is also a
certain emphasis on faith and on the supernatural, since Harry believes
he has seen the blue eyes of Dumbledore as a response to his prayer for
help when trapped in the Malfoys cellar:
Harry understood, and yet did not understand. His instinct was
telling him one thing, his brain quite another. The Dumbledore in
Harrys head smiled, surveying Harry over the tips of his fingers,
pressed together as if in prayer. (DH 391)
The Dumbledore in Harrys head underscores the need for faith

beyond comprehension: his hands and fingers are pressed together as
if in prayer. There seems to be a force beyond emotion and thought
that helps Harry arrive at his understanding his brain cannot keep
up with this, but his instinct tells him that his understanding is right.
Thus Harry seems to develop knowledge and certainty by an intuitive

perception of truth that bypasses what his brain tells him, yet leaves
him convinced that he should trust Dumbledores great plan.
On this basis, Suman Gupta might be justified in calling the Harry
Potterr books unthinking (Gupta, 2009). However, Harrys choice
is still shown to be a significant result of a deep inner process. The
process itself to a considerable degree demands Harrys participation
in the shape of intense inner life, and is the result of a set of highly
particularized existential circumstances that Harry is forced to respond
to. Although Harry reaches toward a supernatural justification for his
choice, this supernatural justification is later undercut as Harry discov-
ers that the blue eye he saw in the magical mirror belonged not to
Dumbledore, but to Dumbledores still living brother Aberforth. This
discovery consequently undermines the basis for Harrys religious
belief in Dumbledore as does Dumbledores later admission of his
fallibility.
Notably, there are striking differences in the moral reasoning of
Dumbledore and Harry. While Dumbledore values moral impartiality
over honouring personal relationships to others, Harrys choices are
guided above all by love and trust rather than by any intellectually con-
sistent moral theory and by the sacrificial examples set by his mother
and by Dobby.
Ethical re-definition
When Dumbledore is brought down as a moral icon in Deathly Hallows,

the texts central pillar of normative authority is redefined, and the
reader is invited to reconsider all normative judgements. Indeed, all of
Dumbledores statements become more questionable as his moral char-
acter is nuanced in the last book, where his own brother accuses him
of being an accomplished liar. The subject of truth and truthfulness is
raised as early as in Harrys first year at Hogwarts, when Dumbledore
tells him that the truth is a beautiful and terrible thing, and should
therefore be treated with great caution (PS 216).
When Harry is privy to Snapes last memories in the Pensieve, the
reader gets yet another outsiders perspective on Dumbledore, and
it becomes evident just how selective Dumbledore has been with
the truth. Snapes status in the Order of the Phoenix has depended
entirely on Dumbledores word. And his moral foundation has been
Dumbledores assertion that he ought to defend Harry in order to
honour his own love for Lily. When he discovers that Dumbledore has
influenced him to protect Harry from Voldemort not so that he could

live, as Snape supposed, but so that he could die at the right moment,
this omission is, to Snape, like a lie. He quite naturally assumed that
Dumbledore, like Lily, wanted Harry to live. The catch is that since the
information that discredits Dumbledore arrives in the form of Snapes
memories, the reader cannot be sure how to read it: Snapes memories
turn Snape into a hero and Dumbledore into a calculating manipulator
but these memories are Snapes version of the story. And in his long life
as a double-agent Snape too has relied on mal-informative impressions.
These shifts in perspective (Harry learns Snapes version of the truth,
which is later complemented by Dumbledores perspective at Kings
Cross, which Harry is told may be happening inside his own head) leave
the text without a stable moral centre: what remains is Harrys choice to
trust Dumbledore.
In this sense, the moral redefinition taking place in Deathly Hallows has
a Domino-effect that trips the readers previous interpretations backwards
through the narrative: the reader is encouraged to read again, to weigh
differently and to reconsider the whole narrative in light of the new
Dumbledore, as well as in light of the new Professor Snape. Encouraged
is the word, since Harry partly performs this re-reading through his psy-
chological agonizing over Dumbledore in the course of Deathly Hallows.
When Harry makes the choice to still trust Dumbledore, he leaves this
option for the reader as well, making possible a stabilized moral reading
of the text, one that validates Dumbledore. This reading is supported by
the last chapter, the farewell, in which a flash-forward scenario of wizard
children going to Hogwarts from Platform 9 suggests that the world is
back to normal. On the part of the implied author, however, the choice
is left open: the reader does not have to make the same interpretive choice
as Harry. It is possible to take a different view of Dumbledore and his moral
authority. After all, Harry has high stakes in his trust in Dumbledore
he has shaped his whole life around that trust. The reader, on the
other hand, is free to contemplate the ethical nuances of Dumbledores
betrayal of Harry and Snape, although Harry instantly dismisses them as
almost nothing (DH 555). This layered texture of the text, suggesting
or even inviting multiple psychological perspectives on the same events
(Dumbledore does not acknowledge that Snape has been used, for exam-
ple, it is Snape who feels this way19), underlines the narratives postmod-
ern aspect in the sense that no definite meaning can be established: there
is no central position of truth, only multiple points of view.
In his last encounter with Harry, Dumbledore asks forgiveness for not
trusting Harry enough, for not telling him the full story. Thus, he implies
that he ought to have been more open with Harry. He characterizes

himself as a fool, (DH 571), saying that he despises himself, and that
Harry should too (DH 573). He also sees himself as unworthy (DH 576).
In judging himself so harshly, Dumbledores view of his own merit stands
in stark contrast to Harrys opinion of him. The most significant thing,
from the readers perspective, is that Dumbledores character has become
a topic, whereas before it was the infallible measuring device against
which things were evaluated as good or evil. From being a standard
it has become another relative parameter. Thus, reading the text again,
one notices how Dumbledore sometimes colours or omits parts of the
truth in what he tells Harry so that it presents him more favourably. In
Half-Blood Prince he tells Harry how he has destroyed Marvolos ring,
which had a curse on it, and survived due his own prodigious skill (HBP
470). What he fails to convey on this occasion is that he put the ring
on because he knew that it was one of the Hallows and was tempted by
its power. Harry does not get this piece of information until the end of
Deathly Hallows, when Dumbledore again tells him about the ring after
Harry has discovered for himself the existence and the truth about the
Hallows and their peculiar tendency to make people obsessed by a wish
to own them20:
After a short pause Harry said, You tried to use the Resurrection Stone.
Dumbledore nodded.
When I discovered it, after all those years, buried in the abandoned
home of the Gaunts, the Hallow I had craved most of all though in
my youth I wanted it for very different reasons I lost my head, Harry.
I quite forgot that it was now a Horcrux, that the ring was sure to carry
a curse. (DH 576)
This rendering of the event is quite different from the bold account
he presented to Harry in Half-Blood Prince, and it brings out the ethi-
cal power of narrative: the way the story is told shapes the listeners
judgement. It also reflects back to Aberforths critique that Dumbledore
had a natural gift for secrets and lies, and contributes to the redefini-
tion of Dumbledore from near divine to fallible human. Consequently,
Dumbledore in Deathly Hallows shifts from performing the synthetic
function of being an icon or symbol of the good to serving rather as
a mimetic character and a more human yardstick in his struggle to do
what is morally right, often in spite of strong personal desires. This
change in the function Dumbledore performs in the overall narrative
is essential in shifting the series towards a generic alignment with the

modern adult novel rather than primarily with childrens fantasy.
Harrys psychological struggle to come to terms with Dumbledore as
an authority figure and his journey to forge a place for himself in wiz-
ard society has generic aspects, as the progression of a Bildungsroman
demands that the protagonist should grow, mature, question authority
and value but ultimately adopt and come to embody the values of the
society that shaped him or her. The last chapter of Deathly Hallows
portrays Harry, Ron and Hermione as parents to a new generation,
seemingly content to follow the course stipulated by tradition. As
they reunite at Platform 9 to send their own children to Hogwarts,
there is a sense that reality has come full circle, and the focus is on the
continuity of their world. Cleverly, even as the moral discourse is
opened up by subverting the authority of Dumbledore, his position is
simultaneously validated through its ultimate success in the narrative.
This helps secure a satisfactory sense of closure in all the several narra-
tive schemata that have been set up: there is the fairy tale and romance
resolution of happy marriage, the crime resolution where the villain
is found out and arrested, a suspense resolution where the mystery
is solved and all the clues come together, the quest resolution of a
mission successfully accomplished, and finally the moral resolution of
Harrys right choice in denouncing the Hallows, following through
with Dumbledores plan of destroying the Horcruxes and accepting
death without resistance. Accordingly, it is fair to say that in Harry
Potterr moral authority has it both or even all ways: it is criticized and
deconstructed, it is self-reflective; nevertheless it eventually proves suc-
cessful through the active choices of the protagonist who continues to
depend upon it.
Voldemorts evil seems to not have had any lasting impact on wizard
society though without him Harry would probably have matured less
efficiently. The reader learns little about Harry after Voldemorts demise
save his marital status and the names of his children, and it is difficult
to judge what he is like without Voldemorts soul fragment inside him.
The degree of change that has taken place in him and in wizard society
since Voldemort disappeared is, therefore, difficult to measure. When
this point is added to the ironic regression created in Deathly Hallows
through the exposure of the narrator as ethically dubious in his or her
attitude towards Harrys relatives, and to Dumbledores dethroning as
an untarnished symbol of the good, this exposure corrodes the readers
ability to maintain any ethical certainty in relation to the value argu-
ments of the narrative as a whole.
In fact, three of the narratives main characters must be perceived

differently on a second reading. Harry will now be read in light of
the information that he is one of Voldemorts Horcruxes, so that on a
re-reading, one may attribute the trouble of the Sorting Hat in Philosophers
Stonee to its knowledge that Harry carries a fragment of Voldemorts soul
within him. In relation to Snape, the reader will have completely different
reactions to his behaviour, based on the knowledge that he is genuinely
working to protect Harry. And Dumbledore will be seen more clearly in
light of both his ethical fallibility, his genuine effort to lead a morally
good life, and his propensity to tell half-truths.
Surprisingly, after the dismantling of Dumbledore as an ethical idol in
Deathly Hallows, the most stable normative parameter of the series turns
out to be Voldemort, who remains infallibly evil. Taking into account
that it was Voldemorts choice that forged Harrys destiny by making
him the chosen one, it may seem that evil actually has a clearer ref-
erence than does good in the Harry Potterr series. This relative ethical
stability of evil is visible in several of the characters: Rita Skeeter, for
instance, is more of a one-dimensional character than are Dumbledore,
Snape and possibly Harry (depending on whether on a second reading
all negative traits should be attributed to Voldemorts soul fragment or
not). The same holds true for Bellatrix Lestrange, who is unambiguous
in her devotion to Voldemort and in her lust for cruelty. This perhaps
ultimately indicates that to the implied author of this narrative, ethical
one-dimensionality is an evil.
Completion in Harry Potter
Based on a stabilized moral reading (where Dumbledores normative

authority is rescued by Harrys choice to keep trusting in him and by
the narratives resolution), the narratives ethical drive is revealed in the
strong thematic emphasis on death and immortality in the text, which
may represent an attempt to come to terms with and accept human
mortality. This emphasis is present already in Philosophers Stone, where
the famous alchemist Flamel does the right thing and gives up his
prolonged physical existence by destroying the Philosophers Stone
to keep it from Voldemort. Through the character of Voldemort, the
quest to prolong ones physical existence indefinitely is portrayed as
misguided, and, if Voldemorts means are taken into account, even as
immoral. In the epigraph to Deathly Hallows, which can be read as pro-
viding a short-hand version of ideas that run through the whole book,
the reader is encouraged to invest rather in the immortal qualities such
as friendship, which, it is implied, endure in the heart in spite of the

physical separation brought by death. In this sense, then, love conquers
death, and thus is the more powerful of the two, as Dumbledore repeat-
edly tells Harry. Certainly, Harry frequently has to come to terms with
the death of loved ones throughout the series: first with the death of
his own parents, and later with the death of his godfather Sirius and his
beloved mentor Dumbledore. In fact, all of Harrys parental guardians
seem to die (with the exception of the mother-substitute Mrs Weasley),
so that Harry is forced from an early age to develop self-reliance. In
Goblet of Fire his fellow student Cedric Diggory is killed by Voldemort,
and in Deathly Hallows he loses his auror friends and protectors
Mad-Eye Moody, Remus Lupin and Nymphadora Tonks, as well as one
of the brothers of his best friend Ron. Arguably, this narrative reflection
on death and on the enduring qualities of friendship and love, which
shifts the readers attention from death towards moral quality of life, is
ethically sound.
How is this narrative purpose of coming to terms with death handled
aesthetically? In telling the story of the battle against an evil wizard
who wants to be immortal and exterminate all Mud-bloods in the
wizard world, the implied author has made several choices in the tech-
niques of her telling. Through the choice of Harrys perspective, the tale
becomes a school-boy and coming-of-age story, where the complexity
of the tale grows and matures as Harry matures. This seems the natural
choice if the series is meant as a childrens fantasy story. The choice
of a more limited perspective (than that of Dumbledore) is also neces-
sary in order to orchestrate the surprise ending of the mystery tale
that helps structure the series. Furthermore, Harry has insight into
the mind of Voldemort through the telepathic connection they share,
and his personal history functions to strongly foreground the protec-
tive power of love sacrifices. This emphasis on sacrificial love as the
antidote to evil is the clearest aspect of Christian ethics in Harry Potter.
The chain of self-sacrifice runs from Lily, to Dobby, via Snape to Harry,
and ultimately depends on Harrys and Snapes trust in Dumbledores
divine designs or at least his foresight. However, like a clever
statesman Dumbledore tends to sacrifice others rather than himself.
Consequently, Dumbledores ethical credibility is downscaled through
a textual critique of his inability to protect those dearest to him, in a
narrative where the good is closely tied to an ability to develop and sus-
tain loving relationships with others. Due to a revelation of the moral
shortcomings that shaped Dumbledores youth particularly, a second
reading brings out the moral development Dumbledore achieved in
his own life. It also becomes clearer to what extent some of his moral
weaknesses such as his desire for power continued to haunt him also
in his later years.
Dumbledores repeated insistence to Harry that it is not his abilities
(his givens) but his choices that determine who he is resonates with
Sartres point that a human being is what it makes of itself (Sartre,
2008, p. 10, my translation). Within existentialism, choice makes a
human being responsible for what he or she becomes: this might account
for Dumbledores insistence to Harry in Kings Cross that he cannot
help the damaged Voldemort: only Voldemort is responsible for that
which he has chosen to become, and Harry cannot change his choices
forr him. Such a reading is underlined by the fact that Voldemort is
connected with the nihilist version of existentialist thought through
his Nietzschean motto revealed in Philosophers Stone: there is no good
and evil, there is only power and those too weak to seek it (PS 211).
Although there are differences between the existentialism of Nietzsche
and Sartre, existentialism provides a helpful indirect comment on,
and may have influenced the definition of, both good and evil in
the Harry Potterr series. This dual influence suggests that existentialist
thought forms part of the fundamental value premise of the series.
Based on the above analysis, it is fair to say that through formal and
generic hybridity and through its emphasis on the concept of love the
Harry Potterr series creates a type of hybrid ethic that contains elements
of both New Testament Christian ethics and secular philosophy, in
particular consequentialism and existentialism. This ethical blend is
further tempered by Dumbledores critical self-reflection and a sense
of personal freedom exercised through choice. Through the use of reli-
gious symbolism and Christian story arches, the narrative seemingly
advocates the Christian ideal of love as self-sacrifice, but combines this
with a different conception of love that of love and morality as partly
served by consequentialist calculations. Consequently, the series is able
to cater to both readers with a Christian moral sensibility and readers
with a more secular ethical bent. Since the ethics of Harry Potterr under-
cuts the Christian notion of love as compassion or mercy, the series
ethical blend has a slightly cynical twist.
The surprise ending that Harry becomes the final victim of
Dumbledores plan to destroy Voldemort fulfils Phelans requirements
of an ethical treatment of the reader in that the audience (in retrospect)
finds it has been prepared for it. The surprise enhances the readers
emotional investment in the characters as it heightens the value of
the eventual happy ending. The overall ethical assessment of the text
reveals how closely entwined ethics and aesthetics are in this narrative,
as the ethical communication of the implied author mirrors the hide-
and-seek qualities of one of the texts central archetypal symbols that
of the shape-shifter. It is also closely aligned with the outlook and
ethos of Dumbledore in that its aim ultimately is to encourage the
reader to form certain (misleading) assumptions in order to lead her
along a predetermined path. But can the narrative guide the reader, like
Dumbledore guides Harry, towards becoming the better person?
The significant change in the readers experience of and expectations
towards the moral core of three of the main protagonists in the series
effectively foreground the synthetic aspect of the concept of character.
Ultimately, the narrative turns into a meta-commentary on character as
a literary construct, and points to the fictionality of both the series and
the concept of character. Character in itself becomes problematized
something that is significant to the readers experience and ethical
judgements in a character-driven narrative. On a first reading the
reader is carefully guided to make certain assumptions about Harry,
Snape and Dumbledore assumptions on which the experience of
the narrative, as well as the ethical sub-texts of the series, are based.
When these assumptions are undermined in the last volume, the (re)
readers interpretive task becomes significantly more complex because
his or her ability to attribute acts in the diegesis to certain previously
defined traits of character is disrupted. While on a first reading good
and evil are easy to keep apart at the start of the narrative, providing
the reader with an ethical basis from which to handle the increas-
ing narrative complexity, a second reading starts from the complexity
created in Deathly Hallows, so that even the relative moral simplicity
of Philosophers Stone that was undisturbed on a first reading, is now
brought into question. Harry is initially presented to the reader as the
epitome of innocence: a baby. On a second reading, the reader knows
that this innocent baby carries inside it the soul fragment of the most
evil of wizards something that changes the readers experience of
Harry, brings his innocence into question and foregrounds the gothic
elements of the tale. It also complicates the clear symbolism of Harry
as good and Voldmeort as evil established in the first reading upon
which the narrative progression depends. On a second reading, the
degree to which the good side in Harry Potterr is founded on secrets
and lies becomes foregrounded, as both Dumbledore and Snape live
to fight Voldemort while hiding significant facts from Harry. This reli-
ance on secrets and lies is reflected in techniques of narrative misdi-
rection that converge to orchestrate the surprise ending. Where does
this leave the reader, who eventually is challenged to decipher which

parts of Harry are really Voldemort?
If one reads all evil or negative impulses in Harry as the uncon-
scious influence of Voldemorts soul fragment, Harry becomes stereo-
typical: alternatively he may emerge as the new, idealized Dumbledore
parameter of good. Interestingly, even as the readers interpretive task
becomes more complex on a second reading, the ethical experience of
the narrative comes closer to the recent scepticism raised from within
social psychology and philosophy regarding the view of character as
stable and consistent posited by virtue theory.21 Clearly, ones experi-
ence of the narrative on a second reading will depend on the extent
to which one accepts Harrys stabilized moral reading of Dumbledore.
This choice will also determine whether one considers that the narrative
shape-shifts from childrens fantasy to an adult novel and back again, or
whether it metamorphoses for good in the last volume.
Aesthetically, the implied author seems to develop in the course of
the series, gaining skill in narrative design. One example of this aes-
thetic development on the part of the implied author is the handling
of the character of Professor Lockhart in Chamber of Secrets. In the sec-
ond book, Lockhart serves a thematic function as a contrast to Harry
in his attitude towards fame. He does not have any synthetic function,
however, and so has to be disabled towards the end of the book
a design-error the implied author would not be likely to make by the
fifth volume.22 Arguably, this aesthetic development on the part of
the implied author underscores and even enables the generic shifting
of the series by the seventh volume away from the simplicity of the
childrens fantasy towards the complexity of the modern novel by
the seventh volume (a development that may illustrate the concept of
cross-over literature, see Falconer, 2009). This complexity stems not
least from the way that doubtt creeps into the ethics of the telling when
the narrators voice is retrospectively somewhat discredited in the last
volume perhaps reflecting the doubt the real author admits to feeling
in relation to her own faith.23
If the reading of the narratives overall purpose is based on a prob-
lematized reading of Dumbledore, Harry and Snape, this purpose can
rather be seen as developed on the meta-level, where it becomes a
means to reflect on the fictionality of both the text and the concept of
character, as well as on the relationship between implied author and
reader, and on the potential of narratives to lead to moral insight.
4
Ethics and Form
in the Quest-Fantasy
Drawing on the analysis in chapters 2 and 3, this chapter compares the

relationship between ethics and form in The Lord of the Rings and Harry
Potter,
r formulating a new hypothesis regarding the relationship between
ethics and form in popular quest fantasies.
Prophecies and wise old men
Looking at the relationship between ethics and form more specifi-

cally from a generic angle, this chapter returns to the way in which
the implied author of the Harry Potterr series deliberately works with
morphing the typical function of the quest prophecy. A comparison of
prophecies in The Lord of the Rings and the Harry Potterr series illustrates
their divergent ethical positions and priorities. This comparison blends
into a brief discussion of central facets of the narrative stylistics in the
two texts.
In The Lord of the Rings the prophecy is rhetorically stable. It refers
to the same person and carries the same meaning throughout the text.
The sender is Gandalf, the central figure of moral authority in the text,
who remains morally reliable throughout the narrative. The protago-
nist as well as the reader learn of the prophecy relatively early in the
story, when Frodo receives a letter from Gandalf which the inn-keeper
at Bree has failed to pass on to him. The prophecy is narrated in the
form of a rhyming verse, in a clear and unambiguous form, in tune with
Aragorns seemingly inevitable march towards victory, as well as the
clarity of his moral stance:
All that is gold does not glitter

Not all those who wander are lost;
145
The old that is strong does not wither,

Deep roots are not reached by the frost.
From the ashes a fire shall be woken,
A light from the shadows shall spring;
Renewed shall be blade that was broken,
The crownless again shall be king. (LotR 170)
The prophecy refers to Aragorn, who is of royal ancestry, and predicts

his return to power. Towards the end of the story the prophecy is ful-
filled: his sword has been re-forged and he is king of Gondor and Arnor.
Aragorns two central assets are also referred to in the prophecy: his
humility (all that is gold does not glitter) and his sword (the blade to
be re-forged as proof of his ancestry and right to the throne). Clearly,
the battle against Sauron cannot be won by diplomacy alone: battle by
sword is required to overcome evil and fulfil the prophecy. Thus with
reference to the discussion of the protagonists developing pacifism,
total pacifism cannot be said to be advocated in the prophecy as integral
to the fight against evil. Stylistically, the prophecys persuasive force as
well as its seeming inevitability are derived from its verse form: a fixed
pattern of rhyming stanzas. The effect is enhanced by alliterations: gold
glitter, wander wither, blade broken, crownless king. A strong
assertive effect also comes from the contrast between the first four lines,
which all deny something, and the last four lines, which all affirm the
return of the crownless king.
In The Lord of the Rings the prophecy is trustworthy: it refers to a
set outcome a pattern fixed with the inevitability of the set form
of the prophecy. This sense of formal inevitability is compatible with
the texts positioning of a supernatural agency responsible for the
movement of history in the story world. But the rhetorical structure
of the text as a whole is more complex than the apparent clarity and
simplicity of the prophecys form seems to indicate. Towards the end of
the story, Frodos developing pacifism is rhetorically pitted against the
image of Aragorns moral courage and his physical prowess in combat
(his actual reliance on the symbolic sword in the prophecy). Frodos
moral courage is founded on his developing ability for compassion, as
well as on a sense of moral obligation or duty, which enables him to
endure his seemingly hopeless task. Since the victory of good over evil
is a trope of the quest fantasy, Frodos moral victory is problematized by
the fact that he is irreparably damaged by his inner battle against the
morally corrosive powers of the Ring, and unable to return to civilian
life. His normative position is further undercut by the association in
Ethics and Form in the Quest-Fantasy 147
the narrative as a whole between health and the good. Aragorn, on the
other hand, is, as an epic hero, psychically unharmed by the violence
of the war in which he has participated, and lives happily ever after
with his beloved Arwen. This contrast between the morally laudable
but damaged pacifist and the healthy well-functioning warrior creates
interpretive complexity in relation to the means advocated as morally
recommendable in the fight against evil.
Neither Harry nor the reader is presented with the prophecy that has
shaped the course of Harrys life until the end of the fifth volume of the
series, where it is introduced as the explanation sought by Harry in
the first volume of why Voldemort tried to kill him as an infant. This
is consonant with the reliance of the tellers in the Harry Potterr series on
the withholding of vital information (noted in chapter 3). The sender
of the prophecy in the Harry Potterr series is Professor Trelawney, who is
ridiculed elsewhere in the text for her faulty abilities as a medium. Thus,
the reader is prompted to be sceptical about the prophecy due to the
alleged unreliability of its sender. And while Aragorns verse flows easily
and inevitably towards its conclusion, the prophecy in Harry Potterr is
more open to interpretation due to its disconnected form. Its allegations
are connected by several pauses, which the reader has to fill with his or
her own inflections:
The one with the power to vanquish the Dark Lord approaches
born to those who have thrice defied him, born as the seventh
month diesand the Dark Lord will mark him as his equal, but he
will have power the Dark Lord knows notand either must die at
the hand of the other for neither can live while the other survives
the one with the power to vanquish the Dark Lord will be born as the
seventh month dies. (OP 741)
In contrast to the inevitable formal trajectory of Aragorns verse, the

prophecy in the Harry Potterr series is ambiguous. In the narrative, the
prophecy is used to display the potential plurality of meaning inher-
ent in lifes situations of choice, and to underline the moral power and
significance of the choices of the individual. While Frodo is chosen as
Ring-bearer by a higher power, it is evil in the form of Voldemort
that has chosen Harry by marking him as his equal. On the outside
he is marked by his characteristic lightning-bolt scar, and on the inside
he carries a fragment of Voldemorts soul. The prophecy could apply to
both Harry and Neville, but Voldemorts choice made Harry the chosen
one. And while the battle against evil in The Lord of the Rings is in large
part fought by sword, the only weapon that can conquer Voldemort
is an invisible force: love. In the Harry Potterr series love is the medium
of powerful magic as is the wand, which has replaced the sword so
prominent in The Lord of the Rings. In Harry Potter, r words, intention
and knowledge of spells are more important weapons than is physical
strength.
The prophecy does not have to be fulfilled, Dumbledore tells Harry
it depends on what Harry chooses to do. He might, for instance, refrain
from fighting Voldemort. In the series last two volumes, the final
two lines of the prophecy are reinterpreted several times, taking on
new meanings as the context develops and changes. In this way, the
prophecy in Harry Potterr reflects a more ambiguous universe, open to
contextual re-interpretations. Moral reality is more complex often
because factual information is hidden or withheld and several pos-
sible interpretations of the probable future outlined in the prophecy
are plausible. Morality thus to a greater degree rests on the choices
and interpretations of the individual, and normative activity is further
complicated by the way in which both people and situations frequently
turn out to be different from what one is led to believe or assume at
first glance.
Dumbledore and Gandalf represent another typical guiding-device
in the quest fantasy: the wise old man, who appears at the start of the
journey to prepare the hero for his quest. A comparison of this central
figure between the two texts also reveals an interesting opposition,
which has importance for the readers ultimate experience of the texts
moral core. In The Lord of the Rings, Gandalf is depicted as serious and
dignified throughout but at storys end Sam discovers that the lines of
care on his face are superficial markings relative to his deep inner joy,
which bursts forth at the end of the war. In Harry Potter, r the situation is
reversed: in the first books Dumbledore is portrayed as jovial; he seems
to be always smiling and jesting. Nothing apparently troubles him
not even death, which Voldemort fears above all. In the last volume it
is revealed that underneath this smiling exterior he is in fact a deeply
troubled man and this revelation, if taken in, has consequences for the
readers experience, because on a second reading the reader may find
him- or herself as ethically challenged as Dumbledore.
In The Lord of the Rings, the reader is obviously supposed to take note
of Gandalfs joy, if it is the narratives end to provide the reader with
a glimpse of the joy of evangelium though one tempered by the
poignant grief of ones earthly circumstances. Through this image of
Gandalfs deep joy it is indicated that earthly troubles ultimately are
insignificant. Consequently, the figure of the wise old man in The Lord
of the Rings is formulated from integrity and what one might term ethi-
cal stability buttressed by the moral objectivist belief that what is right
does not change but is the same as it always was. Arguably, this ethi-
cal stance is symbolized and underscored by the central symbol of the
tree, which is the same through the ages because it serves to connect
Anglo-Saxon pagan views with Christian and modern ones relative to
the foundational value placed on ecology. It is further underscored by the
way that the wise old man, Gandalf, appears morally unchanged
though spiritually transformed through sacrificing himself for the com-
pany in Moria and fighting the Balrog.
In the Harry Potterr series the figure of the wise old man eventually
turns out to be formulated from distress: an inwardly troubled author-
ity that is keeping a smiling face. This (more disturbing) discrepancy
between core and appearance is emphasized by the central role played
by the symbol of the shape-shifter: one must be on ones guard as
there is no way of knowing who really hides beneath the surface. The
emphasis on shape-shifting and formal deception may help explain
why Dumbledore needs to be cynical where Gandalf is compassionate
although, paradoxically, Gandalfs compassion is based on his hope that
Gollum may change, whereas Dumbledores cynicism is revealed in that
he has given up hope (if ever he had any) of changing Voldemort. Even
this cynicism is undercut, however: Harrys becoming the better man
suggests a belief in the redemptive power of love and trust in times of
corruption and cynicism.
The image of the tree connotes a natural inevitability in the way
that it fills its form from seed to tree in a similarly ordered way as does
the poetic form of the prophecy in The Lord of the Rings. It is natural,
it is enduring, it is meant to be. In comparison, the image of a shape-
shifter, so central to the Harry Potterr series, is morally stressful: it is hard
to relate form to content, and it can mean different things in different
situations, with no apparent relationship between what a form is and
what it turns into. Form is consequently ambiguous and even confusing
or deceptive in this imaginary world: there is no necessary link between
a form and its moral content. The central symbol of each text, therefore,
represents certain important qualities of form and moral experience.
Where the texts agree, is in the message that the heros right choice is
to sacrifice himself for the common good.
With reference to the prophecies and the central figures of guidance,
one might wonder whether the readers moral task is more complex in
the Harry Potterr series than it is in The Lord of the Rings. While moral
choices are hard for individual characters in The Lord of the Rings, the
objectivist view of morality upheld in this text arguably makes the task
easier for the reader relative to distinguishing between good and evil.
By contrast, the element of doubtt created in the last volume of the series
makes the ethics of that narrative unstable in a way that ethics in The
Lord of the Rings is not.
Morality: nature and culture

In The Lord of the Rings, life is not simply human life or the life of a
specific civilization or culture: it is the life of the earth itself, which
sustains all its inhabitants. The fight against evil is made necessary in
this narrative because the life and health of the earth itself hangs in the
balance and also because the good and the beautiful are described in
relation to natural health and beauty, so that the good exists with dif-
ficulty in an ugly and infertile environment. This fundamental relation
between the good and the quality of the earth and the natural environ-
ment becomes particularly striking when the notion of life and the
good in The Lord of the Rings is compared to the notion of life and the
good found in Harry Potter.
While the distinction between good and evil in The Lord of the Rings
is frequently represented in terms of qualities of nature and nature
metaphors, in Harry Potterr this distinction is set up primarily through
contrasting qualities of human character and human inter-relationship.
Voldemort, the main parameter of evil in this text, is described as an
unfeeling psychopath, unable to care for or about others. Socially these
qualities express themselves as fascism, emotionally as lack of love and
empathy, and spiritually as the willingness to kill and fragment ones
own soul to secure ones continued physical existence. In Harry Potter, r
the emphasis on good and evil as based on qualities of human ideo-
logy and emotion rather than on divine will reflected in the natural
world and the environment, creates a more limited scope of good and
evil: one centred on social and emotional relations between people.
This vision of good and evil, unlike that of The Lord of the Rings, is not
anchored in a relationship to the earth and a higher power. If The Lord
of the Rings deals with the divine, the human and the natural realms, the
Harry Potterr series is mainly concerned with the human interpersonal
realm. Joseph Campbells description of the difference between the fairy
tale hero and the hero of myth captures something of this difference:
Typically, the hero of the fairy tale achieves a domestic, microcos-

mic triumph, and the hero of myth a world-historical, macrocosmic
triumph. Whereas the former the youngest or despised child who

becomes the master of extraordinary powers prevails over his
personal oppressors, the latter brings back from his adventure the
means for the regeneration of his society as a whole. (Campbell,
1973, pp. 378)
Although Harry defeats Voldemort for the common good of both the
wizard and Muggle worlds, Voldemort is certainly more of a personal
oppressor to him than Sauron is to Frodo; and although Harrys more
personal victory over Voldemort benefits the greater community by
establishing a climate of greater tolerance, Sam quite literally brings
back the seeds that regenerate his society as a whole and replants them
in the Shire to secure its very tangible regeneration. While in The Lord
of the Rings the ecology of the whole earth as well as the relationship of
cosmic forces hang in the balance of the quest, Harrys mission seems,
by comparison, more local. After all, even though the Muggle world is
eventually affected by Voldemorts exertion of destructive power, the
battle against Voldemort has been a tribal wizard concern for years
prior to this. In short: Sauron is a Power; Voldemort is a person, how-
ever powerful and this is why he must ultimately be destroyed by
other persons rather than by a higher power. Paradoxically, whereas a
main effect of the more naturalistic setting of The Lord of the Rings on
its readers is to instil in them a longing beyond d this world, by compari-
son the concern of the implied author of the Harry Potter series, who
creates a magical realm, comes across as centred in human relations in
this world.
While many characters in The Lord of the Rings are at one with nature,
or even are nature, it seems fair to say that for the most part characters
in the Harry Potterr series are alienated
d from nature. Generally, they are so
dependent on manufactured goods that they are unable to survive out-
side of the industrialized zone the development of which is lamented
in Lord of the Rings as the cause of pollution in water and air. When Sam
and Frodo labour towards Mordor they sleep in the open, drink from
streams and make a meal of stewed wild rabbit and fresh herbs. Gollum
feeds on fish that he catches. When Harry, Ron and Hermione spend
months in the wilderness hiding from Voldemort they live in a magi-
cal tent that, on the inside, is an apartment. The only wild food they
are able to collect is unsavoury mushrooms, which are inedible even if
cooked magically. Once, they overhear somebody catching a salmon
and cooking it over a fire, but can only wish for the ability to do so
themselves. They survive by stealing or buying eggs from farms, and
tinned spaghetti from supermarkets. (Hermione will conscientiously

drop money into the till while invisible, whereas Ron considers this
worrying too much.) Furthermore, nature in Harry Potterr is for the
most part described as hostile rather than nurturing, and it is often
associated with monsters or things that bite. The implication is that the
wilderness is frightening, more than anything. When the Dursleys flee
from their neatly trimmed suburban garden in order to avoid the letters
telling Harry that he is enrolled at Hogwarts, they end up in a storm on
a tiny island; the grounds at Hogwarts border on the Forbidden Forest,
which is full of strange creatures and is considered dangerous and
unsafe for students; there is also a Whomping Willow, strong enough
to thrash a car;1 Harrys haven at the Burrow has a garden pestered by
gnomes who bite; and in Herbology, most of the lessons also involve
plants that scream and bite. The only character who thrives in this type
of wilderness is the half-giant Hagrid, who has an affinity for danger-
ous monsters of all kinds. In The Lord of the Rings nature may also be
threatening as is the snowstorm on Caradhras but natural bounty is
undeniably good. In Harry Potterr nature primarily connotes hassles and
dangers that have to be overcome, rather than beauty and nourishment.
Deep ecology and eco philosophy have little relevance in this text,
except as an absence when compared to The Lord of the Rings. Why is
this so? In a world threatened by ecological imbalance and global warm-
ing, to which man has significantly contributed, ecological awareness
seems an important contemporary ethical concern. One may wonder
why such concerns are absent in Harry Potter. On reflection, the natural
environment most often features in contemporary media as a threatt to
human welfare and survival; floods, earthquakes, hurricanes, tsunamis,
droughts these make the headlines more often than do successful
attempts to create sustainable ways of living on and with the earth. In
the largely urban population of most Western countries today, in socie-
ties where the supermarket rather than the earth is experienced as the
direct provider of alimental abundance, a subliminal image of nature as
a threatt to life may find resonance.
Further differences between the two texts that may hold philosophi-
cal significance include the handling of time. Whereas in The Lord of
the Rings time is measured by natural cycles and the rising of sun and
moon, the Harry Potterr series is structured around the cycle of the aca-
demic year the former narrative is (literally) rooted in nature and the
earth, whereas the latter is structured around man-made conventions.
In other words: by comparison, the characters in The Lord of the Rings
inhabit a physical realm, whereas the characters in the Harry Potterr series
inhabit a world where things can happen inside their heads yet still be
real. This distinction is also visible in relation to the description of evil
in the two texts: in the Harry Potterr series, focused mental power can
drive away Dementors the frightening undead prison guards who
come to serve Voldemort. The presence of Dementors, like that of the
Ringwraiths in The Lord of the Rings, brings chilling fear and paralyz-
ing depression. In the Harry Potterr series however, unlike in the Lord of
the Rings, one can will the frightening un-dead away by focusing upon
ones happiest memories: by casting a Patronus Charm, one effectively
dispels a Dementor attack.2 This gives an indication that the Dementors
are modelled on psychological depression, whereas a likely inspiration
for the Ringwraiths was bomber planes which would require more
than a mental effort to counter. This mental element of the Harry Potter
series is further underlined by Harrys very last words to Dumbledore:
Has this been happening inside my head? to which Dumbledores
reply is and these are his last words in the series: Of course it is hap-
pening inside your head, Harry, but why on earth should that mean it
is not real? (DH 579). This distinction is part of what marks Harry Potter
as the product of a digital age.
In this respect, it is significant that in The Lord of the Rings the charac-
ters walk through Middle-earth. It is a continual, slow journey, and the
physical sense of time is never violated except for that last day before
the Battle of the Pelennor Fields when the sun does not rise. In the Harry
Potterr series the main characters most often travel by broomstick, and as
they come of age they gain the ability to apparate to go from here to
there in a flash. Until they come of age, they can also use floo-powder
to a similar if more restricted effect, travelling between fireplaces. There
are also port-keys, a comparable means of instant transportation that one
has to catch at an appointed time. In all these three last forms of travel,
the relocation is instantaneous and the transition literally happens
in the ether, rather than, as in The Lord of the Rings, by physically crossing
the distance. So, in this sense, there is a pattern in Harry Potterr where the
characters have liberated themselves from the laws of the earth through
mental ability: time and space are digitalized, cut into smaller pieces,
linked by instantaneous transmissions and transformations, in a man-
ner resembling the virtual reality most people today access through the
Internet. Furthermore, while in The Lord of the Rings the fight against evil
involves great battles over physical territory, in Harry Potterr the physi-
cal location of the main battle is a particular educational institution:
Hogwarts. Thus, the fundamental part played by nature in the structur-
ing of reality in The Lord of the Rings has been replaced by culture as a
structuring force in Harry Potterr and this arguably is part of the logic
that makes its ethical system unstable.
Phronesis and character

Inspired by an Aristotelian notion of virtue, Julia Annas distinguishes
between the circumstances of a life (which are those beyond ones control,
such as age, gender and nationality) and the living of a life (the way you
deal with the circumstances of your life) (Annas, 2011, p. 93). This is
Annas response to the objection that in order to display all the virtues
one would need to be omni-competent. It is in the living of ones life
that one may display unity of the virtues, and phronesis or skill in the
treatment of ones life material. Thus, for Annas true moral skill displays
itself as an ability to shape all manner of life materials well. Such an
approach to virtue facilitates the comparison between characters inhab-
iting different worlds, since they may be shaping radically different life
materials. Phronesis is here defined as moral respond-abilityy to ones
life circumstances.
Arguably, Harry Potterr develops phronesis in the course of the series.
The ability to discern the underlying truth of his circumstances and
especially in relation to hidden agendas is clearly vital in Harrys life.
And he does seem to develop such moral discernment, as well as the
virtue of temperance, in his quest to destroy the Horcruxes; something
which becomes evident in his ability to ultimately withstand the lure
of the Hallows. This ability develops as he is slapped awake by Dobbys
death: the point in the narrative that most forcefully helps Harry syn-
thesize his virtues. After this event, Harry can be said to act with phro-
nesis in the shaping of his life material, never faltering in his moral
choices from then on. Phronesis as practical wisdom is important
also in The Lord of the Rings, and it is modelled for Frodo by Gandalf,
who stresses the importance of striving to see all ends in ones deci-
sion making. Gandalf as a character appears as morally near-flawless.
Dumbledore too seems wise at first, during Harrys first six years at
Hogwarts, but his image as a sage is dented in Deathly Hallows, where
he comes across as morally fallible but gifted with psychological insight
and skills in character assessment. He, therefore, cannot be held to act
from phronesis something his own moral regret in the Kings Cross
chapter demonstrates.
Even though both protagonists require their share of courage, their
eventual social and moral success is very different: only Harry devel-
ops phronesis and fully integrates his virtues during his quest. More
like Gandalf than Frodo in this respect, Harry dies but returns to face
Voldemort again. And, like Gandalf, but unlike Frodo, his moral sta-
tus as a saviour is never undercut: in the end he displays an unfailing
ability to make the right choices and do the right things. Not so with
Frodo, who at the last moment claims the Ring: possessiveness gets
the better of him. And unlike Harry, who goes on to marry his sweet-
heart and lives happily ever after, Frodo is scarred for life and has to
leave Middle-earth to find a measure of peace. In this sense one might
say that Harry eventually displays the combined virtues of Frodo and
Sam and even aspires to the moral position of Gandalf through his
death and return. His victory is unalloyed through contrast this makes
the end result in The Lord of the Rings, in which the happy ending is
tinted with sadness and a touch of tragedy, seem to be more true to life
even as Dumbledores flawed ethical nature is a model closer to human
experience than the moral flawlessness of Gandalf.
The difference in the moral success of the two protagonists has to
do with the different communicative purposes of the implied authors
of the two narratives: Frodos departure from Middle-earth is part of
the noted movement in the narrative that directs the reader beyond
this world. Although Sam seems to live in fulfilment in this world, his
deep love for Frodo still pulls him, at the close of the narrative, towards
this point beyond and the Grey Havens where Frodo has departed. This
state of affairs mirrors the Christian belief that this is a fallen world,
and that true happiness is somewhere beyond earthly reach (although
it is visible in glimpses, in Gandalfs joy and in Bombadils merriment).
In the Harry Potterr series, Harry emerges as morally perfect, as the
better man, as someone who has integrated his virtues, and who lives
happily ever after suggesting that such perfection is humanly pos-
sible. This position is in keeping with the alchemical scaffolding of
the Harry Potterr series which structures much of this narrative: Harry
is the end product of the alchemical cycle of spiritual development and
transformation the God-man.
The sense of a moral let-down that the character of Dumbledore may
inspire is explicable when seen in light of the concept of phronesis.
Dumbledore, like Gandalf, is cast in the role of the wise old man, and
the expectation built into this role in a quest fantasy is that the wise
old man is wise, or acts from phronesis. This expectation is catered to
in the first six books of the series, but it is ultimately unfulfilled in the
last volume as Dumbledore is revealed to have acted from moral short-
comings rather than from phronesis. He is morally overtaken by Harry,
who arguably does develop phronesis. Consequently, Dumbledores
failure to live up to the ideal of a wise old man undermines this genre
expectation. In Harry Potter,r the classical moral mentor is supplanted by

the wise youngg man, suggesting an (over)valuing of youth over old age.
In relation to character a central concept in virtue ethical theory
The Lord of the Rings largely relies on a stable conception of character,
indeed its definition of virtue as dependentt upon such a stable character
deserves mentioning. In this narrative, evil displays itself primarily as
a corrosion of such an assumed stable character. The notion of duty, so
central to the moral argument of this text, also depends on a stable
conception of both character and of moral authority as something, as
it were, solid. This becomes particularly evident in comparison with
the notion of character upon which the Harry Potterr series is built,
where unstable personal identities flourish. Such instability is exempli-
fied in the oscillating character of Professor Snape which ultimately
is stabilized as his true moral identity is revealed in Deathly Hallows,
but still remains ethically nuanced in that it is comprised of both
ill-will and good will. The notion of stable character is also undercut
by Dumbledores character shift in Deathly Hallows, and in the dif-
ficulty created on a second reading in knowing what to attribute to
Harrys own moral character and what to attribute to Voldemorts soul
fragment lodged inside him. The concept of stable character (in a liter-
ary sense) is further undermined by the animagi and metamorphmagi
of the wizard world, who change personal characteristics by force of
will. This flickering of appearances and abilities in Harry Potter,
r along
with the fundamental basis of deception created both in the diegesis (by
the frequent shape-shifts of the characters), and in the telling (by the
reliance on narrative misdirection and on the device of mistaken iden-
tities and deceptive appearances), foregrounds the synthetic aspect of
character. Because the implied author tricks the reader into perceiving
both Dumbledore and Snape based on faulty assumptions in a first read-
ing, and then reveals the deception in the surprise ending, the fictionality
of the readers experience of character is foregrounded. By contrast, the
implied author of The Lord of the Rings foregrounds the mimetic compo-
nent of character by focalizing the story of the War of the Ring through
the hobbits while underlining their close affinity with men.
While The Lord of the Rings can be said to be compatible with and
perhaps even encourage Christian values in its reader, the Harry Potter
series seems to bring its own value foundation ironically into ques-
tion. The elements of doubt and uncertainty developed in Harry Potter
are potentially ethically productive, in that they may lead the reader
towards questioning and reflection on ethical issues. Interestingly,
while the Harry Potterr series flaunts its Christianity, giving a strong
first impression of compatibility with a Christian moral outlook

through its reliance on Christian symbols and story arches, this impres-
sion is subverted on a closer analysis of the ethical rhetoric of the text.
Conversely, the first impression of The Lord of the Rings is that religion
plays an insignificant role in this narrative, while upon closer scru-
tiny the narrative proves to be deeply infused with a Christian moral
outlook.
Archetypes, ethics and narrative form
The analysis above leads up to a new potential approach to the inter-

relationship between ethics and form in the quest-fantasy: the view
that both Tolkiens and Rowlings texts display a correlation between a
central, dominant symbol or archetype and the narratives form. This
correlation between each narratives form and its central symbolic con-
tent emerges on close attention both to the interplay of the ethics and
aesthetics of the individual work, and to the noted archetypal roots of
the fantasy genre.
Chapter 2 has established the tree as the most significant symbol
in The Lord of the Rings. Trees cast as subjects or objects of focalization
are clues to the mythological origin of different parts of the tale, the
image of the White Tree of Gondor functions as a connective device
between various races, characters, and cultures in the story, and trees
connote light, and thus the good, in Middle-earth. The reverent treat-
ment of trees on the part of the implied author is also a major facet of
the ecological keynote of the text. The deep significance of the tree as
a symbol in The Lord of the Rings is further underlined by the fact that
even the narrative structure of the text mirrors this symbol: focalization
branches out, like a tree most significantly toward the end of Book II
and in Book III. In Book VI the branches are traced back to their stem,
but as Frodo and the Elves depart from Middle-earth and Sam stays
behind, there is another branching out. In the Harry Potterr series as well,
a thematically significant central symbol, that of shape-shifting, also
displays its influence to the extent that it is reflected in the narratives
formal features.3
Chapter 3 has suggested that the Harry Potterr series is character- rather
than action-driven, and has stressed the ontological entanglement
between Harry and Voldemort, which complicates the distinction
between good and evil in the series. An important facet of Harry Potter
as a literary text is also its frequent reliance on the device of mistaken
identities and deceptive appearances, with a prominent exponent of
the latter motif being the ambiguous character of Professor Snape. The
prominence of deception launches Harry into a quest for truth. Thus,
the narrative device of mistaken identities and deceptive appearances
is reflected thematically, and the archetype of the shape-shifter in par-
ticular (coupled with the concept of metamorphosis) may be regarded
as central to both the ethics and the aesthetics of the Harry Potterr series.
The narrative structure of the Harry Potterr series is cyclical and spiral-
like in the sense that it revolves around seven academic years through
seven volumes. In the course of these volumes, however, the narrative
both metamorphoses (in that it becomes gradually more complex) and
shape-shifts generically (through the sudden shift in Dumbledores
normative status in the last volume that complicates the ethical aspects
of the text) from a childrens fantasy into a more complex novel.
Whether or not the text has metamorphosed in the seventh volume or
shape-shifts back to a childrens fantasy on a re-reading of volume one
depends on whether or not the reader accepts Harrys stabilized moral
reading of Dumbledore in Deathly Hallows. This generic shift is also due
to the ironic regression developed in volume seven which undercuts
the narrator, so that on a second reading the narrator is experienced as
unreliable on the axis of ethics and evaluation. Thus, whereas in The
Lord of the Rings the central symbol of the tree is reflected in the narra-
tive perspective of the text, in Harry Potterr the central archetypal symbol
of the shape-shifter is reflected in a shape-shifting or metamorphosis of
the series genre. Both narrative focalization and genre pertain to the
domain of narrative form.
This view of the narratives form as influenced and even to an extent
shaped by their central archetypal content which in turn reflects
major ethical aspects of the texts represents a potentially new way
of approaching the question of the relationship between ethics and
aesthetics in the quest-fantasy genre. Jung describes archetypes as eter-
nal symbols that impact the emotions and that are meant to attract,
to convince, to fascinate, and to overpower (see chapter 2 and Jung,
2009 [1959], p. 8); indeed, both The Lord of the Rings and Harry Potter
are evidence of the power of such eternal symbols, and in each of these
narratives the symbols seem to have become a dynamic force, influenc-
ing the narratives form. The texts thereby develop an evocative impetus
that in turn potentially influences the reader a force which may help
explain their popular impact, and which may perhaps lend some support
to Platos caveatt about the (unconscious) ethical influences of literature.
Part II
Paranormal Romance
5
Ethics and Form in Twilight
Building on rhetorical analysis of The Lord of the Rings and Harry Potter,
r
the first part of this book has argued that ethics and form in these quest
fantasies are linked through a strong recurring symbol. The fantasy sub-
genre of paranormal romance is based on a different formal template:
it is a subset of what Roz Kaveny (2012) terms Template Dark Fantasy.
Examining the rhetorics of value in Stephenie Meyers popular Twilight
series, this chapter takes steps towards analysing the relationship
between ethics and form in the paranormal romance while retaining
awareness that such a relationship may be uniquely formulated in any
specific text.
Critical history and analytical aims
Academic criticism of Twilight has been centred on a cluster of recurring

topics; most prominently those of gender and sexuality, the portrayal of
race, the series genre, the figure of the vampire, Twilight fandom and
reception, the series literary intertexts, and the texts relationship to
the real authors professed Mormon faith (see for instance Ames, 2010,
Anatol, 2011, Ashcraft, 2013, Bore and Williams, 2010, Granger, 2010,
Housel and Wisnewski, 2009, Jensen, 2010, Kisor, 2010). The analysis
below will touch on all of these topics. However, the discussion here
aims to interrogate the texts ethical aspects by addressing its specific
characterization of good and evil, as well as by analysing the protago-
nists moral deliberation and the narrative representation of such delib-
erations. Drawing again on Phelans rhetorical theory of narrative, the
analysis involves reasoning back from readerly effects to textual causes.
A notable effect of the Twilight series is that its readership is divided
between Team Edward proponents, who rout for a century-old un-dead
161
vampire as the heroines ideal lover, and Team Jacob proponents, who
prefer the shipping (fans coupling of fictional characters into relation-
ships) of the heroine with the indigenous shape-shifter Jacob Black. This
chapter argues that the pervasive conflict between Twilight shippers
arises out of specific formal and textual phenomena, which enter into
interplay with the individual ethical positioning of real readers.
The book covers of most of the academic criticism of Twilight mirror
the colour scheme of the series own original covers, which are executed
in black, white and red. This is true for the volumes edited by Housel
and Wisnewski (2009), Clarke and Osborne (2010), Click et al. (2010),
Granger (2010), Reagin (2010), Anatol (2011), Parke and Wilson (2011),
and Ashcraft (2013). Even if these critical tomes have come from four
different publishers, when held together they give the impression of
belonging to an academic Twilight franchise: it is noticeable how the
academic criticism has taken on the series feel of the series itself.
The success of Meyers series has been ascribed in part to her savvy
use of the Internet to reach out to fans (Click et al, 2010, p. 3). The
series has also been labelled the first social networking bestseller
(Green, 2008, p. 44). The subsequent film releases further helped boost
the series popularity: on its opening night the second film, The Twilight
Saga: New Moon (2009), broke the ticket sales record set by Harry Potter
and the Half-Blood Prince in July that same year (Jackson, 2009, p. 50). In
spite of its commercial and trans-medial success, the Twilight franchise
has consistently been derided in the popular press. Indeed,
though the derision of the Twilight Sagas success is not altogether

surprising, the public commentary repudiates the appeal of the nar-
ratives, positions girls and women as unexpected and unwelcome
media fans, and denies the long and rich history of the relationships
female fans have had with media texts and personalities (). On top
of this, the mainstream press has belittled the reaction of girls and
women to the Twilight series and the actors who play their favour-
ite characters, frequently using Victorian era engendered words like
fever, madness, hysteria, and obsession to describe Twilighters.
(Click et al., 2010, p. 6)
The series clearly stirs gender-related issues. Alongside the gendered

reception-problematic noted by Melissa A. Click et al., it has also generated
debate among feminist critics, who are concerned about its representation
of gender and gender roles (see for instance Ashcraft, 2013), as well as its
value premises issues that are also discussed in this chapter.
Ethics and Form in Twilight 163
Both John Granger (2010) and Margaret M. Toscano (2010) read

Twilight up against Meyers Mormon faith, and both underline that
while the narrative complies with and defends central Mormon teach-
ings in specific ways, it is also critical or even subversive of some
Mormon doctrines. On the subject of feminism, Toscanos conclusion
runs counter to the concern expressed by critics such as Ashcraft: in
Toscanos view, Twilight offers a reinterpretation of Mormon cosmo-
logy and theology that is a treasure trove for female empowerment
(Toscano, 2010, p. 34). Toscanos reading of the feminist aspects of
the series as empowering further highlights the interpretive openness
of the text suggested by the division of its readership between Bella/
Edward and Bella/Jacob shippers. This chapter argues that the character
of Jacob Black is vital to the texts ethical polysemy.
The paranormal romance subgenre
Attribution of genre will inevitably influence a readers experience

and understanding of a text. John Granger, who makes no reference
to fantasy theory, considers romance the core genre of the Twilight
series: Twilightt is first and last a love story (Granger, 2010, p. 40).
Granger finds that in Twilight Meyer joins elements of the genres of
satire, gothic horror, alchemical drama, everyman allegory, postmodern
morality play, and a Mary Sue Coming of Age tale to her romance core
genre (Granger, 2010, p. 37). He later describes the series as techni-
cally a Young Adult boy-meets-girl romance with international thriller
plot (Blockbuster!) with paranormal characters (Granger, 2010, p. 41).
Lydia Kokkola (2011) also stresses the adherence of Twilights plot to the
romance genre, concluding that the series blends conventions from the
adult genre of courtly love with those of teen romance: an element in
the series adhering to the adult romance tradition is the exploration of
a triangular relationship, while the repression of carnal desire is a trope
of young adult romance. Both adult and teen romances share the trope
of the elevation of agapicc (unconditional, self-sacrificial) love over erosic
love (where the lover desires something in return), a trope that Kokkola
regards as central to the series (Kokkola, 2011, p. 178).
Read as fantasy literature, and following the nomenclature of Farah
Mendlesohn, Twilight most obviously belongs to the fuzzy set of the
intrusion fantasy. In a typical intrusion fantasy the fantastic brings
chaos into the world: it takes us out of safety without taking us from
our place (Mendlesohn, 2008, p. xxi). Its base assumption is that nor-
mality is organized, and that predictability returns when the fantastic
retreats. However, in Twilight the intrusion vampires in the small

town of Forks never retreats, rather it eventually becomes the hero-
ines new, organized reality, her normality. Still, the rhetoric of esca-
lation of horror, amazement and surprise important features of the
intrusion fantasy are clearly present in the series: starting with the
threat of one (friendly but thirsty) vampire, the heroine ultimately has
to face a whole clan of hostile vampires.
Intrusion fantasy is often horror fiction, but also has strong connec-
tions with fairy tales, which work as part of the background context of
the world (Mendlesohn, 2008, p. 146). In Twilight, this background
context is foregrounded in Breaking Dawn when after a grotesque hor-
ror movie birth experience1 the heroine Isabella Swan is given a fairy
tale cottage by her lovely mother in law (of whom Bella, on first meet-
ing her, thinks: It was like meeting a fairy tale Snow White, in the
flesh: T 282). Retreating to the cottage with her statuesque husband
Edward, she muses: Edward had always thought that he belonged to
the world of horror stories. Of course, Id known he was dead wrong. It
was obvious that he belonged here. In a fairy tale (BD 444). In addition
to such textual references, the series draws on well-known fairy tale
patterns: Bella is the poor Cinderella who finds her perfect and well to
do Prince Charming. She is also an Ugly Ducking who does not fit in
with normal teenagers but who eventually transforms into the beautiful
Swan of her surname when she finds her true form as a vampire. There
is also a Beauty and the Beast sub-story: Bella is physically plain and
clumsy; Edward is superhumanly agile and beautiful.
In spite of its intrusion rhetoric, the classification of Twilight as
intrusion fantasy is not unproblematic. Mendlesohn classes Anne Rices
Interview with the Vampire (2002 [1976]) as portal-quest fantasy, since
we are guided by the vampire in his process of becoming (Mendlesohn,
2008, p. 142). In Twilight too the reader is guided by the protagonist
in the process of her becoming a vampire. This co-occurrence of sev-
eral rhetorical templates within the same narrative seems (in this lim-
ited collection of texts) to be more common than narratives that fit
straightforwardly into a single fuzzy set which gives rise to the ques-
tion of how useful Mendlesohns sets really are as classificatory tools.
Romance is certainly a far more prominent generic feature in Twilight
than in Harry Potter and The Lord of the Rings. If all are classed as portal-
quest fantasies (in Mendlesohns terms), this foregrounds the highly
generalized nature of this classificatory set.
While Mendlesohns fuzzy sets capture certain elements of the
rhetorical dynamics in Twilight, Roz Kavenys (2012) definition of
Template Dark Fantasy (TDF) is more specific. Defining template as a

mode of genre fiction in which a set of assumptions and characters are
drawn out into the stuff of a series that need never end, Kaveny notes
that TDF is almost always set at the point where dark fantasy overlaps
with the setting of urban fantasy, and that most paranormal romances
fall into this category with the stuff of the romantic novel thrown into
the mix as well (Kaveny, 2012, p. 215). Not least thanks to Twilight,
paranormal romance is now a marketing category of its own. Defining
dark fantasy, Kaveny says:
It is a genre of fantasy whose protagonists believe themselves to

inhabit the world of consensual mundane reality and learn otherwise,
not by walking through a portal into some other world, or by being
devoured or destroyed irrevocably, but by learning to live with new
knowledge and sometimes with new flesh. (Kaveny, 2012, p. 218)
In Twilight, indeed, Bella has to come to terms with the new knowl-
edge that vampires and shape-changers form part of the word she
thought she knew. She also desires, and ultimately gets, new flesh as
she transforms into a vampire in volume four. Kaveny notes that while
paranormal romance is identified by the erotic dimensions determining
the plot, Meyers series is a special case of this pattern, since the Twilight
novels are platforms for the authors strong views of sexual abstinence
(Kaveny, 2012, p. 220). Kaveny also remarks that dark fantasy is not
only concerned with the effect of incursions of the other into the
mundane, but with the ethical quandaries for both that this produces
(Kaveny, 2012, p. 220). In Twilight both vampires and humans are
forced to adapt when faced with the romantic love between Edward
and Bella.
In the more commercialized, popular forms of TDF, such as the
Twilight series, the supernatural often functions as a signifier for various
forms of race and sexuality. Kaveny notes that in much dark fantasy, the
protagonist will gradually become initiated into a pre-existing body of
lore, and drawn into the fringe society of those who possess that lore,
or into a conflict with such fringe societies (Kaveny, 2012, p. 220). And
while all dark fantasy worlds have an implicit secret history, paranor-
mal romances take place in universes in which that secret history is
no longer secret (Kaveny, 2012, p. 222). In Twilight, Bella is educated
in both ancient werewolf legends and in vampire lore, and drawn into
the conflict between werewolves and vampires because of her love for
her werewolf best friend Jacob and her passion for her vampire love
interest Edward. The secret history is still to an extent secret, however:

in Twilight vampires must answer to one law only; that of not disclosing
their own true existence.
Many key novels in the dark fantasy sub-genre can be analysed in
terms of a dialectical triad, with a child representing the synthesis of
two fractions (Kaveny, 2012, p. 221), and in this respect too Twilight is
true to form: in Breaking Dawn Bella gives birth to the half-human, half-
vampire child Renesmee, who serves as super glue uniting opposing
races and factions. Twilight may thus be classed mainly as a paranormal
romance, and as a subset of Template Dark Fantasy.
Relative to my analytical focus on the relationship between ethics and
narrative form, genre attribution clearly makes a difference. If Twilight is
read as young adult romance, one will tend to emphasize the narratives
suitability for a young adult audience. If it is read as an adult romance,
the patterns of courtly love and the love triangle between the protago-
nists will come to the fore. If the series is read as portal-quest fantasy,
Bellas becoming a vampire is foregrounded: if it is read as intrusion
fantasy, the ethical emphasis in the series is placed on the confronta-
tion with difference. When it is read as a subset of TDF, the focus shifts
toward the protagonists eventual assimilation of difference. Clearly, the
readers degree of familiarity with fantasy genres and subgenres will
influence his or her reading of the series. However, like many successful
writers, Meyer has reworked and combined several genre formulas in her
own creative way. Therefore, careful attention to the text itself at a closer
range is required in order to analyse the relationship between ethics and
form in Twilight on its own terms.
Narrative voice and focalization
For Twilights main focalizer and heroine, Isabella (Bella) Swan, and
thus for the reader, the vampire Edward and the shape-shifter Jacob
represent differing sets of values and ways of life. These parallel strands
of possibilities running through the narrative are part of the textual
rhetorics that open the series up ethically. And this degree of ethical
possibility may help explain its wide appeal.
As outlined by James Phelan, rhetorical analysis is based on the critic-
as-readers encounter with the text, and on the interpretive, ethical and
aesthetic judgements the reader makes in the course of the narrative
(Phelan, 2007, pp. 31011). Reading Twilight, I routed not so much
for Team Edward or Team Jacob as for the character of Jacob Black
to the extent that in the final showdown in Breaking Dawn I was
anticipating the demise of Edward and Bella, so that Jacob could escape
with Renesmee. Unlike Granger, I did not read the series as Bella and
Edward books (Granger, 2010, p. 38).
In a case study of transnational Twilight fandom, Inger-Lise Kalviknes
Bore and Rebecca Williams analyse how the online debates of Norwegian
fans compare to those on two different Anglophone Twilight fan
boards; Twilight_UK, and the US-based The TwilightForum (see Bore
and Williams, 2010). They define four recurring key topics across these
three sites: 1) Twilight fandom, 2) vampires, 3) Bellas character, and
4) romance (Bore and Williams, 2010, pp. 18896). They further find
that debates over romance take a similar form across the three boards,
consisting of heated comparisons between Edward and Jacob as Bellas
love interests, and that the appeal of both the pairings Bella/Edward
and Bella/Jacob is constructed in terms of heterosexual romance (in
contrast to the pairings of slash fiction), even if vampires and were-
wolves are inherently queer due to their violation of cultural categories
and boundaries (Bore and Williams, 2010, pp. 1978). There is also a
dominance of Team Edward across the national contexts. Referring to
the resolution of the series with the pairing of Edward and Bella, Bore
and Williams conclude that:
Team Jacob supporters could thus be seen to read the series against the
grain, rejecting the position offered them by the text itself()
f However,
the continued conflict between Team Jacob and Team Edward shows
that the series is sufficiently open to allow for the shipping of both
Bella/Edward and Bella/Jacob. (Bore and Williams, 2010, p. 202, my
emphasis)
This chapter suggests that the conflict between Twilight shippers arises
out of specific formal and textual phenomena that combine with the
ethical positioning of real readers. Formally, the conflicting readings are
to an extent the result of a complication introduced into the writing
process by the publishers demand for a three-book series featuring a
Young Adult storyline with Edward and Bella in school. In Meyers mind
the story originally consisted of what are now volumes one and four in
the series: an Edward and Bella story, with their meeting, attraction,
wedding, and Bellas apotheosis (Granger, 2010, p. 119), while the love
triangle including the character of Jacob Black was created in order to
fulfil a publishing deal. Arguably, Twilights implied author has under-
estimated the ethical and aesthetic impact on the story of expanding
the character of Jacob Black in New Moon and Eclipse, and the reader
involvement generated by making Jacob the other focal character in

Breaking Dawn. Readers who find themselves pulled in by Jacobs narra-
tive voice and aligned with Team Jacob rather than Team Edward may
feel that the emotional investment they are invited to make in the
character of Jacob is not fully repaid at storys end. The suggestion here
is that a readers placement on either side of the EdwardversusJacob
divide is further conditioned by that individual readers own ethos
and the interaction of this ethos with the ethical outlook embodied by
the main narrator-focalizer of the series, Isabella Swan. By choosing a
first person narrator-focalizer, the implied author of Twilight initially
encourages the reader to align with Bellas point of view and evalua-
tions. This only works, however, if the reader can align him- or herself
with Bellas values and choices. John Granger finds Bella a likeable
person () a modest, self-conscious, self-sacrificial young woman with
a self-deprecating sense of humour, and feels that her telling of the
story works as a narrative device because we like her () we enjoy her
observations and company (Granger, 2010, p. 26). Reading the series,
Bellas narrative voice rubbed this particular reader the wrong way, going
against my ethical grain. Although Bella is the storys main focalizer,
I found myself unable to align with her evaluations and choices.
What first puts this reader off Bella is her narrative voice (in the
sense specified by Phelan and referring to the synthesis of a speakers
style, tone and values (Phelan 2005, p. 219)). As Granger notes, Bella
is self-deprecating and at points wearingly so. In the opening scene
of Twilightt she sets herself up as a martyr, exiling herself to rainy Forks
so that her mother is free to follow her new husband Phil around the
country without worrying about her. I detested Forks, Bella confesses,
and I loved Phoenix, emphasizing the extent of her own sacrifice (T
4). Her mother tries to dissuade her, a little half-heartedly, or so Bella
thinks, while telling her for the last of a thousand times that Bella can
still change her mind. However, Bella is determined to suffer for the
benefit of her mother, and so lies, saying she wants to go. Thus, melo-
dramatically, she heads toward the dream far beyond any of her expec-
tations and the mortal danger that are both promised in the Preface.
(In fact, her attitude and behaviour towards her mother in Twilights t
first scene is mirrored in exaggerated form by Edward in New Moon: like
Bella, he decides to promote the happiness of his loved one by leaving
her, insisting it is what he wants.)
This reader further finds Bella condescending; a condescension that
is mirrored in Edwards narrative voice in Midnight Sun. They both seem
to convey a sense that they are better than others. Bellas condescension
extends towards most of the people who surround her: she thinks of her
mother as helpless and harebrained (T 4), while hiding her own true
feelings from her parents. She also believes her father to be incapable
of caring for himself, although he has been managing on his own for
the past 17 years. This suggests that Bella operates from a sense of her
own superior capability: she feels she has to parent her own parents.
Furthermore, she finds faults with most of the other students in her
new school. They are either too chatty (Mike), superficial (teenagers
excited about a school dance), overly helpful (Eric), or vicious (Jessica).
Because Bella has problems relating to others, she does not take to other
people easily. The fact that she is self-aware is her most redeeming fea-
ture: I didnt relate well to other people my age. Maybe the truth was
that I didnt relate well to people, period (T 9).
Another difficulty this reader experiences in aligning with Bella as a
focal character is that her choices and evaluations often seem counter-
intuitive. This may be a clue that this readers ethical positioning differs
from that constructed by the implied author in the sense that the tex-
tual facts lead me to ethical and aesthetic judgements that may clash
with the focalizers system of values. Yet this could also be a clue that
although Bella is Twilights main focalizer, the implied authors rhetori-
cal argument(s) may not be fully aligned with, or confined to, those of
Bella. Generally, although Bella is the series protagonist, it is a mistake
to conflate the value communication of the series implied author with
her views, attitudes and beliefs. The ethos of the implied author must
be sought, as Bakhtin suggests, rather in the orchestration of the various
voices of which the narrative is comprised.
It is possible to fail to align oneself with Bellas perspective and still
be pulled into the series by what Granger2 terms Meyers Blockbuster
writing strategy: the plot features high stakes (the life of the protagonist
is in almost constant peril), larger than life characters, a basic dramatic
question (will they live happily ever after?), an outlandish premise,
multiple points of view, an unfamiliar or exotic setting, and fast-paced
action (Granger, 2010, p. 29). As the narrative progresses, several voices
challenge that of Bella, the most prominent of which is the voice of
Jacob Black, her best friend and Edwards rival for her hand and heart.
While Bella is the narrator-focalizer in Twilight and New Moon, the first
chapter of Eclipse opens with a note focalized through Jacob and ends
with an epilogue, also focalized through Jacob. Breaking Dawn consists
of three books, with Bella as the narrator-focalizer of books I and III, and
Jacob as the narrator-focalizer of book II. This doubling of the narrator-
focalizer role helps explain the split in readership between Team Edward
and Team Jacob: Bella thinks Edward is Mr Right, Jacob thinks she is
mistaken. Thus readers who align with Bellas narrative voice most
likely join Team Edward, while readers who find Bellas view point and
values less attractive are likely to join Team Jacob even as all may be
hooked by the Blockbuster formula.
As a narrator, Jacob brings humour into the melodramatic plot of
Twilight. While chapters narrated by Bella have chapter headings like
Engaged, Long Day, and Big Night, chapters narrated by Jacob have
headings like Why didnt I just walk away? Oh right, because I am an
idiot, Sure as hell didnt see that one coming and Waiting for the
damn fight to start already, all of which are characteristic of his narra-
tive voice. Bellas chapter headings are generalized, aloof labels, whereas
Jacobs headings are more personal, contextualized, and in the middle
of the action, explaining why he comes across as more physically and
emotionally present than Bella.
As a character, one of Jacobs synthetic functions is to bring readers
relief from the escalation of the intrusion rhetoric by outing the hyper-
bolic and outlandish drama that characterizes much of the series: Jeez,
she was running true to form. Of course, die for the monster spawn. It
was so Bella (BD 163); I felt like like I dont know what. Like this
wasnt real. Like I was in some Goth version of a bad sitcom (BD 170).3
Jacob seems at points to function as the voice of the implied author,
satirically commenting on the narrative excesses in an aside to the
reader. This makes his point of view more entertaining than Bellas in her
dogged determination to become a walking un-dead. Readers who cringe
at Bellas adoration of the schematically drawn character of a cold pale
vampire with a body like a Greek statue and who worry about her inhu-
man tolerance for and acceptance of pain, may feel relief as Jacob voices
these objections to Bella, pointing out how distorted her choices seem
from a normal human point of view. Form this reader position, Jacob
is cast as the healthy alternative to Bellas vampire fixation; a counter
perspective in the text to her strange obsession. Jacob represents a sense
of naturalness amid the strangeness even as a werewolf, he functions
as the human parameter in the narrative much more so than Bella,
who is pale as a vampire and seems to mostly loathe human company.
In the narrative, Jacob is associated with sunlight, joy, warmth and the
earth. He is a native of the land, living on an indigenous reservation.
He is skilled at manual labour and comes across as well grounded and as
socially able. His ability for straightforward communication serves as a
highlighting contrast in a setting replete with evasive vampires bent on
keeping their secrets. His warm and outgoing personality also puts Bellas
introvert and self-deprecating character into sharper relief. So for those
readers who do not feel particularly attracted to morose marble statues

frozen in eternal youth, a healthy young man with a bright disposition
and a warm heart may seem the better choice. Such readers too are likely
to join Team Jacob.
The voices of other characters are frequently rendered as direct
speech in the narrative, in conversations focalized through Bella, but
adding to the perspective she provides. As the narrative progresses,
there is more experimenting with the blending of different narrative
voices. Eclipse includes scribbled notes and newspaper headlines, and
in Breaking Dawn the implied author develops an in-narrative conven-
tion for rendering the conversations within the telepathic group mind
of Jacobs werewolf pack. The portrayal of such mental exchanges is
achieved by rendering the thoughts of the focalizer, Jacob, in plain
type, adding his unspoken (mental) conversation with other pack
members in italics, for instance:
As much as I knew it was a stupid thing to do, I couldnt stop myself.

I must be some kind of masochist.
Theres nothing wrong with you, Jake. This isnt the most normal situation.
Shut up, please, Seth.
Shutting. (BD 267)
The shift between italics and plain font effectively conveys the nature of
the packs group mind: although Jacob does not intend the un-italicised
thought as conversation, Seth, due to sharing his mind, can hear and
answer his every thought. These direct intrusions of the voices of other
pack members add to their characterization: here Seths voice is inde-
pendent of Jacobs focalization, commenting on Jacobs thoughts rather
than being filtered through them. His comments therefore function on
the level of direct speech.
There are also scenes where the mind reader Edward comments audi-
bly on Jacobs silent thoughts. Typically, Edwards comments are typed
in plain font whereas Jacobs unspoken thoughts are rendered in italics.
There are also passages directed at the authorial audience rather than
Edward (see third line). The focalizer is Jacob:
This isnt the first time I have owed you my gratitude, Jacob, Edward
whispered. I would never have asked this from you.
I thought of what he had asked me for earlier today. When it came
to Bella, there were no lines he wouldnt cross. Yeah you would.
He thought about it and nodded. I suppose youre right about that.

(BD 2001)
Narrative voice in Twilight is further complicated if the unpublished

(and fragmentary) material of Midnight Sun is taken into account. While
Edward seems to Bella to have a volatile and unpredictable mercu-
rial mood (T 433), the beginning of Midnight Sun sheds new light on
Edwards internal struggles. These chapters, focalized through Edward,
chillingly show how he is fighting to the limits of his self-control dur-
ing his first meeting with Bella. With considerable effort, he is willing
himself not to drain the heroine of her tempting blood, since this
would involve killing a room full of innocent witnessing students.
A summary of Edwards perspective on early events is rendered in chap-
ter 13 of Twilight,
t in Edwards meadow conversation with Bella, and also
in his later conversations with Bella and Jacob, providing the reader
with occasional glimpses into his disposition and experience as narrated
in his own words. However, the available draft of Midnight Sun adds a
degree of complexity and depth to what in Twilightt is a rather cartoon-
ish figure. Consequently, the ethical complexity of Twilight deepens
as the narrative grows more formally intricate. Reading Midnight Sun,
Bellas initial navet in her encounters with Edward is highlighted
a navet that on a second reading of the series reflects back on a readers
judgement of Bellas reliability as a narrator, but also on the tellers
treatment of the heroine, who is exposed as out of touch with the nar-
rative reality. Such a reading also undermines the potential adult force
of the romance plot, which takes on a flavour of adolescent projection.
After one has read Midnight Sun, Twilight is no longer the same story.
However, the analysis in this chapter will focus primarily on the main
body of the text, the first four volumes of the series that have been
published and adapted to the screen.
Progression in Twilight
Like Harry Potter,

r Twilight is comprised of a series of novels. Although
each volume of the series has its own narrative conflict and resolution,
there is an overarching story that develops in the course of the four
main novels, and this chapter, therefore, again adapts Phelans concept
of progression to describe the dynamic relationship between narrative
form and ethics in the series as a whole. Consequently, Twilightt is read
here as the beginning of the narrative, since the global instabilities of
the series are introduced there, and Breaking Dawn as the narratives
ending, since the instabilities are resolved in that volume. In order to

demonstrate how the major themes are developed, this is the series
plot, schematically drawn, book by book:
Twilight: Average outsider girl Bella meets and falls for gorgeous
vampire Edward who saves her from being crushed by a skidding van.
Edward struggles to gain control of his desire to drink Bellas blood, and
eventually succeeds. As romance blossoms, Bella falls for the ruse of a
hunter-vampire and risks her life in order to save that of her mother.
She is bitten by the hunter-vampire, but Edward stops her from trans-
forming by sucking out the venom effectively proving the extent of
his self-control. Bella later begs to be turned into a vampire, but Edward
refuses.
New Moon: Cutting her finger, Bella is attacked by a member of
Edwards vampire coven. Edward consequently abandons Bella to keep
her safe, breaking up their budding romance. Bella is catatonic with
grief for months. She starts seeing Jacob, who revives her broken heart.
Growing massive, Jacob transforms into a giant shape-shifting wolf, in
which form he saves Bella from an attacking vampire. Bella later jumps
off a cliff in order to hear Edwards voice in her head, and Jacob saves
her life yet again. When Edward mistakenly believes Bella dead, he trav-
els to the Volturi vampire mafia to get himself killed. Bella immediately
leaves Jacob behind, risking her life to save Edward. Their romance is
renewed.
Eclipse: Jacob refuses to speak with Bella who fraternises with vam-
pires: his mortal enemies. Edward has Bella locked up in order to keep
her from visiting Jacob. As she escapes to see him, Jacob declares his
love for Bella. Edward later proposes and Bella accepts. When Bella is
hunted by a pack of newborn vampires, both werewolves and vampires
unite to protect her, massacring the newborn army. Jacob saves Bella
from freezing to death in a mountain storm, and then discovers that
she is engaged. He manipulates her into kissing him. Realizing that her
choice is still Edward, a grieving Jacob leaves town.
Breaking Dawn: Bella marries Edward. On their honeymoon she gets
pregnant. The half-breed foetus grows at an accelerated speed, endan-
gering her life. She refuses to have an abortion. Jacobs wolf pack con-
siders the foetus a threat and decides to destroy both it and Bella. Jacob
breaks with his pack and joins Edwards family to protect Bella. Giving
birth nearly kills her, but Edward injects her with vampire venom. She
transforms into an un-dead vampire with superpowers. Jacob imprints4
on the baby and is free from his heart ache over Bella. Facing attack
from the vampire mafia, Bella saves the day by protecting her vampire
family and friends. Bella and Edward live happily ever after in their fairy
tale cottage, while Jacobs future with baby Renesmee is placed in doubt
by the arrival of a rival.
This brief plotline makes it easier to see how the love triangle with
Jacob has been inserted into the originally envisioned story: Bella
meets Edward. They fall in love. She wants to become a vampire.
Eventually they marry, she gives birth and transforms. They live happily
ever after. The plotline overview also makes it clear that Jacob never has
a chance: his interests are aborted at each books end. In New Moon and
Eclipse he loses Bella, and while in Breaking Dawn he finds Renesmee,
a potential rival to her affection is also introduced.
On her website, Meyer explains how Jacob originally was just a
device in order to let Bella learn that Edward was a vampire, but that
he developed so much roundness and life that he was given a larger
part in the story (Meyer, 2013b).Yet there is a sense in which the origi-
nal function of Jacobs character, a means to an end rather than an end
in himself, shapes his trajectory. Bella often uses him; for comfort,
for practical purposes, and for protection, but he invariably ends up
short-changed in the competition for her affection. A further synthetic
function of this character is to add depth to the romantic relationship
between Bella and Edward, which without Jacob as the human param-
eter would seem cartoonish and superficial. Jacobs presence forces
Bella to confront her own human dimension and the cost of what she
is giving up in becoming an un-dead. So while the implied author uses
Jacob as a narrative device, Jacob is also used on a character level by
Bella, and this renders her behaviour ethically problematic a point to
which I shall return.
If the series is treated as one continuous narrative, the general exposi-
tion is the front cover of Twilight,
t featuring two hands cupping a luscious
red apple set against a black background. The epigraph of Twilight, t taken
from Genesis 2:17 is also part of the exposition, which provides the series
with a biblical entry note. Against the biblical intertext, the front cover
is a visual rendering of temptation. The epigraph from Genesis reads:
But of the tree of knowledge of good and evil,

thou shalt not eat of it:
for in the day that thou eatest thereof
thou shalt surely die. (Gen 2:17)
This is a command, followed by a warning: do not eat of the tree, or

you will die (that is: become mortal). In other words: although you
are tempted, you are wise to abstain from yielding to that temptation.
Knowledge (of good and evil) will have fatal consequences for you.
This thematic exposition fits the narrative of the series in the sense
that Bella is tempted by (the superiority of) Edward, and as she yields
to that temptation and gains knowledge of the supernatural world of
vampires she does eventually die to her human life. However, she gains
a forever existence with her beloved in the bargain something that,
in terms of progression, suggests she was rightt not to heed the warning
in Genesis 2:17, and thus in going against Gods command. Is Twilight
then an invitation to defy Gods commands? Is it anti-Christian? The
answer to this question will depend upon whether or not the reader is a
Mormon. While members of The Church of Latter Day Saints (to which
the series flesh and bone author belongs), self-identify as Christians
and accept the Bible as part of their holy scriptures, their cosmology
presents a different view of God and the universe from that of tradi-
tional Christian theology: Mormonism began with Christianity but
accepted new revelation through a modern prophet (Bushman, 2008,
p. 62). The modern prophet whose new revelations laid the founda-
tions for the Mormon faith was Joseph Smith, Jr., who in 1829 claimed
to have unearthed a set of golden plates following the direction of an
angel. Through an interpretive gift of God Smith was able to translate
these plates that were written in an ancient language, and this transla-
tion forms the basis of the Book of Mormon. Basically, Smith claimed to
be restoring the original Christian faith through his prophetic gifts
rescuing it from the Great Apostasy and the contamination of Greek
and other later philosophies (Talmage, 1909, pp. 645).
What distinguishes Mormon faith from traditional Christianity is
among other things the belief that, rather than a trinity the Father,
Son and Holy Ghost are separate beings the Father and Son with
perfected, physical bodies and the Holy Ghost with a body of spirit
(LDS Newsroom, the godhead). Furthermore, the Father has a plan
of salvation, which involves raising humanity to (physical) immortal-
ity and eternal life and this plan is dependent on Christ, the only
perfect man that ever lived, who set the example all must follow (LDS
Newsroom, the godhead). Against this background, Bellas constant
sighs over Edwards perfect body takes on new significance as does
her penchant for self-sacrifice: Bella follows the example of Christ to
attain physical immortality.
Most Christian traditions hold that Adam and Eve committed
original sin by disobeying God and eating the fruit of the Tree of
Knowledge, which resulted in their expulsion from Eden. In contrast,
Mormons believe that the fall was a prerequisite for humanitys

ability to procreate, and thus a step forward rather than a mistake.
This belief of the author may explain why Bella ought to eat the apple,
marry Edward and procreate; and why it is giving birth to Renesmee
that cues Bellas long-awaited conversion to vampire perfection in
Breaking Dawn.
Mormons acknowledge both the old and new testaments of the
Bible as part of their scriptures. Unrelated to any discussion about
Mormonism, Tamar Frankeil provides an interpretation of the Tree of
Knowledge parable from a Jewish perspective, pointing out that the
result (for Adam and Eve) of eating the fruit is not moral depravity (such
as violence and greed) but physical hardship: Adam has to work and toil,
while Eve has difficulty bearing and raising children, and their rela-
tionship is unequal (Frankeil, 2013). In Breaking Dawn Bella certainly
experiences extreme difficulties in bearing and raising her half-vampire
child, and up until her transformation into a vampire in the last part of
Breaking Dawn the inequality of her relationship with Edward is a recur-
ring topic. For Bella, it is finding her vampire form that balances her life:
her eating from the tree improves her condition. This contrary result is
probably founded on the authors religious beliefs, since to a Mormon
the apple on the cover is a promise as well as a warning. This double
edge, the promise of reward and the warning, is duplicated in Twilights t
preface, where Bella, facing a hunter poised to kill her, ponders the
dream far beyond her expectations that life in Forks has offered her,
even as it has led her into mortal danger. There is a sense in which the
character of Jacob represents the traditional Christian interpretation of
the series epigraph: he frequently warns Bella that eating the apple
(that is: her desire to become a vampire with a perfect, immortal body)
is a mistake. Thus, this double interpretive possibility encoded in the
epigraph suggests a further basis for the Edward versus Jacob split in
Twilight readership.
To the careful reader the impetus to go against God is clear from
the start of the series, at least if one takes the view (as did Tolkien) that
the law of God or natural law is inscribed in nature. Both the series
book titles and the readers first encounter with the heroine bring this
important theme into relief: in Twilight virtue rests above all in strug-
gling against and overcoming ones inherent nature and natural incli-
nations. Consider again the readers first encounter with Bella, in her
mothers car on the way to the airport: I loved Phoenix. I loved the sun
and the blistering heat (T 4). As Bella later lands in a rainy Port Angeles
she muses: I didnt see it as an omen just unavoidable. Id already
said my goodbyes to the sun (T 5). Several of the individual book titles
of the series underscore this initial goodbye to the sun: twilight (as
in dusk, when the sun has set), new moon (when light is marginal,
even at night), and eclipse (when the sun or moon is fully or partially
darkened). Breaking dawn is the start of a new day: of Bellas life as a
vampire, when light seems to metaphorically return to her life. Bella
naturally thrives in sunlight, yet says her goodbyes to the sun in the
very first chapter of Twilight.
This gesture is also a prelude to her relationship with Jacob, and a
prediction of its course. In New Moon she calls Jacob her personal sun
as his company starts healing her broken heart (NM 198). With Jacob,
she gradually revives a natural feeling of self after the devastating aban-
donment by Edward. Yet, as soon as she hears that Edward is in danger
she again says her goodbyes to the sun in order to risk her life saving
Edward from the Volturi turning her back on her personal sun Jacob.
The same course of events is repeated in Eclipse: even as Jacobs body
heat saves Bella from freezing to death during a storm (Edwards ice
cold, if perfect, body cannot help her here), she again turns her back
on Jacobs sunny warmth, choosing Edward and his immortal cold.
Thus, Bellas goodbyes to the sun are part of the initiation, establishing
a symbolic pattern that is repeated in the story arch of each book. The
rejected and dejected Jacob voices his regret:
Im exactly right for you, Bella. It would have been effortless for
us comfortable, easy as breathing. I was the natural path your
life should have taken. () I could see what he saw, and I knew
that he was right. If the world was the sane place it was supposed
to be, Jacob and I would have been together. And we would have
been happy. He was my soul mate in that world and would have
been my soul mate still if his claim had not been overshadowed by
something stronger, something so strong that it could not exist in a
rational world. (E 531)
So Jacob is Bellas natural path that is obscured by something that

could not exist in a rational world, in a sane world. This indicates that
a world replete with vampires is an insane and irrational world akin
perhaps to the mercurial world of subconscious dreams? Indeed, Bella
does base her most important waking decision upon the content of a
dream. After flirting with Jacob in order to pump him for information
about the Cullens, she has an early prophetic nightmare featuring both
Jacob and Edward. In it, Jacob tugs her toward the forest, whispering
Run, Bella, you have to run! (T 113). Bella resists his pull, and then
watches as Jacob shape-shifts into a wolf. Edward then appears, beckon-
ing her. When Bella moves towards Edward, the wolf moves between
them, and she wakes up, crying with fear. Later, she realizes:
it wasnt fear for the wolf that brought the cry of no to my lips.
It was fear that he would be harmed even as he called to me with
sharp-edged fangs, I feared for him. And I knew in that I had my
answer. I didnt know if there ever was a choice, really. I was already
in too deep. (T 121)
Here Bella interprets a message from her subconscious mind, deciding

to go against reason and sanity in pursuing a romantic relationship
with a deadly vampire, feeling that there was never a choice, really. In
the story world, her interpretation seems logical, given that the dream
later turns into literal truth in her life; thus the dream functions as
something akin to a prophecy, of the kind frequently used as a structur-
ing device in quest fantasies.
Usually, however, dreams require a different kind of interpretation
from the obviously logical, since they are symbols of unconscious ele-
ments operating in the psyche. As was noted in chapter 3, the image
of the vampire is also considered an unconscious symbol for a persons
desire to come fully to life by overcoming their fear of death (Von
Franz, 1996. p. 157). Given Edwards desire to devour her, Bella certainly
must overcome her fear of death in order to be with him. And once
she eventually dies to her human life and becomes a vampire herself,
she does indeed feel as if she has come fully to life. In this sense, the
vampire represents Bellas latent potential.
The main global instabilityy in the series is the love relationship
between Edward and Bella from their first meeting and essential physi-
cal incompatibility in Twilightt to their harmonious happily forever
after at the close of Breaking Dawn. The launch of the narrative, which
introduces the first global instability of the series, occurs in the opening
chapter of Twilight,t First Sight, where Bella becomes aware of Edward
and they meet.
Following the launch, the rest of the series comprises the middle of the
narrative, where the initial inequality in their relationship is negotiated,
usually at the risk of Bellas life, which seems appropriate if her ultimate
goal is to overcome her fear of death. The endingg of the narrative comes
in the last chapter of Breaking Dawn, when Bella has gained her super-
hero-of-the-day status as the saviour of her family. At this point she is
finally able to drop her mental protective shield and invite Edward, as
her equal, into her mind and point of view.
A parallel global instability is Bellas struggle to become a vampire.
It is possible to read the series as a narrative primarily about Bellas
journey of transformation from a fragile human child in constant
need of protection to a near indestructible immortal adult capable of
protecting both herself and her loved ones. Both these instabilities are
inter-braided, however, since Bellas relationship with Edward is both
her preferred means of becoming a vampire, an obstacle in her path to
becoming one (since he initially refuses to transform her), and the rea-
son for her desire to transform in the first place. Bellas fascination with,
and her adoration of and admiration for Edward is what sets her des-
tiny in motion. She is already a vampire seed (her skin is pale like an
albinos, she finds it hard to relate to humans), and when she eventually
makes the transition, she is in her element at last: finally strong, special,
and able. As a vampire, she belongs she has found her true species.
A third interlinked global instability is Bellas relationship with
Jacob. In relation to the first global instability, Bellas relationship with
Edward, Jacob is the triangulation. He provides the point of choice and
free will in relationship to Bellas destiny: Edward. Because Bella is
also attracted to Jacob, she is forced to actively keep choosing Edward,
rather than to mindlessly submit to her compulsion to be with him.
Jacob represents the alternative: to stay human and live a human life.
In relation to the second global instability, Bellas transformation, Jacob
is the mid-way point that makes it possible. In his ability to shape-shift
but simultaneously remain human (in that he can revert back to his
human self), Jacob is a bridge across the gap between Bellas fragility
and Edwards unchangeable strength and perfection. So Bella depends
on Jacob entirely even if he is not her final destination.
The middle of the narrative is concerned with Bellas negotiation and
choice between the different sets of values and life styles represented
by Edward and Jacob respectively. While Edward lives in affluence in a
mansion, surrounded by designer goods, Jacob shares a humble shack
with his father. Edwards father is a successful doctor; Jacobs father is
an invalid (from diabetes), requiring assistance with his wheel chair.
Furthermore, Edward is a skilled grand piano player, while Jacob is a
talented mechanic: these are all facts that clearly mark the difference
in their socio-economic status. There is also a considerable age gap
between the suitors: Edward is a 104 year old vampire, while Jacob is
15 when Bella moves to Forks and 16 when he starts phasing into his
wolf form. Perhaps due to being born in a different century, Edward
understands Bella poorly. In contrast, Jacob reads her easily, simply

by paying attention. To Edward, Bellas mind is a puzzle, since he can-
not hear her thoughts as he hears those of others. Furthermore, while
Edward is icy cold, Jacob is hotter than a normal human indicating
Edwards ability for emotional detachment that is contrasted to Jacobs
more hot-headed passion. As a vampire, Edward is physically unchang-
ing, eternal; but also set in his ways. Jacob is characterized by his
ability to change form to shape-shift. Once a vampire, Edward cannot
return to his human state, while Jacob can move between his superhu-
man wolf form and his human body at will, once he masters his temper
and gains self-control.
While Edward and Jacob are pitted as rivals in their love for Bella,
there are also many points of similarity between them. They both seek
to protect Bella, albeit in different ways: while Edward initially thinks
he has to make Bellas choices forr her in order to keep her safe, Jacob is
primarily physically protective of Bellas human life. Both Bellas suitors
possess, as Jacob transforms, superhuman strength and speed. Neither
ages physically, although Jacob keeps growing, and will age once he
stops phasing into his wolf form. (This too is a clue to Jacobs necessary
defeat: Bellas goal is the eternal unchanging perfection of the Cullens,
who function as the series divine ideal, and so Jacobs changeable
superpowers signal that he is at a lower level of perfection than are
they.) Both Edward and Jacob are tied to their extended families in pro-
found ways: Edward to the other vampires in his coven, and Jacob to his
wolf pack and any mates affiliated with members of the pack. In differ-
ent senses, these are bonds of blood: vampires are created through hav-
ing venom injected into their blood, while the shape-shifter wolves get
the ability to phase through a relationship to their ancestors. And they
both enjoy a good fight: the general ambience among male vampires
and wolves alike before the confrontation with Victorias new-born
vampire army in Eclipse is one of anticipation rather than dread. Above
all, what Jacob and Edward have in common is their attraction to Bella.
In accordance with the rhetoric of Template Dark Fantasy, Edwards
vampire coven is the catalyst for both Jacobs need (the Quileute phase
into wolves in response to the presence of the cold ones) and Bellas
desire to transform and grow: the vampires are the others who must
be negotiated and assimilated into the social and ethical life of the
heroine. This role of other is duplicated in both Bella and Jacob: com-
ing from sunny Arizona, Bella is an other in rainy Forks as is Jacob,
who has russet skin and lives on an indigenous reservation near the
white American normality of Forks, Washington. Consequently, there
are several layers to differences that are negotiated in Twilight: the

narrative deals with species difference, regional and cultural difference,
socio-economic difference, and racial difference.
The arrival in Breaking Dawn sees the resolution of all the three global
instabilities in the series, as Bella is transformed into a vampire, and
Jacob imprints on Renesmee. This ensures Bellas eternal compatibility
with Edward and fulfils her destiny of becoming a vampire. Jacobs
imprinting on Renesmee makes sense of his long obsession with and
protection of Bella, as well as of his willingness to cooperate with
Edwards vampire clan: these steps were necessary on the path to find-
ing his true mate. As all pair up in a happily ever after ending, the
double farewell is comprised first of Edwards remark that Jacob will
have some competition to worry about in Nahuel, and second of Bellas
ability to finally let down her shield and share her mind with Edward.
The base line message of the series in terms of its progression, then, is
that it makes a strong case for following ones deepest romantic inclina-
tions or obsessions with no regard for the personal cost or immediate
consequences of such a path as all will be right in the end.
Reflecting its form as a vampire-thriller-romance, a main theme
developed through the character of Bella, and in the series as a whole, is
that of the way to reconcile love and danger: a vital ability for Bella who
tends to love that which can destroy her. In chapter nine of Twilightt she
sums up her own position as follows:
About three things I was absolutely positive. First, Edward was a

vampire. Second, there was a part of him and I didnt know how
potent that part may be that thirsted for my blood. And third, I was
unconditionally and irrevocably in love with him. (T 1701)
The fact that Bella is attracted to a killer/predator sets her up for a lot of
suspense (hooking the reader), but also for suffering: those Bella loves
the most, Edward and Renesmee, endanger her life. Fortunately for
Bella, while constantly risking her life for love she is surrounded by pro-
tectors. Edward soon takes to watching the accident prone Bella 24/7,
and when he buys her a car, it is one that can withstand a tank-attack.
Protection is a key word also for Jacob, who only transforms into a wolf
shape-shifter to protect his people from the cold ones the vampires
that have almost eradicated his Quileute tribe at one point in their his-
tory. Even Bellas father is cast as a protector, a chief of police. When
Bella finally transforms in Breaking Dawn, besides extreme self-control,
her super power is that of a shield, enabling her to extend a mental
field to protect her loved ones from the torture and manipulation of the
Vampire mafia, the Volturi.
The vision of good and evil contained in Twilight, will emerge more
clearly from a discussion of Bellas character relative to the narrative
construction of the characters of Edward and Jacob, and from consider-
ing what emerges as the series central virtues. While Edward is associ-
ated with self-control and with sexual abstinence, Bella is associated
with self-sacrificial love, courage, and transformation. Jacob, especially
towards the end, is associated with balance and the unification of oppo-
sites. Founded on such discussion this chapter ends with analysis of the
series completion.
Good and evil in Twilight: ethical parameters
What are the distinguishing characteristics of good and evil in Twilight,

and how is the reader guided to perceive them? To what ethical stand-
ards do the characters aspire?
Twilights protagonist Bella is instantly attracted to Edward and the
Cullens, and what first catches her attention is that their faces are
devastatingly, inhumanly beautiful (T 17). Elaborating on the quality
of this beauty, Bella pulls up two different and contrasting images: she
says that the Cullens faces all look as if they could be painted by an
old master as the faces of angels, but also that they are faces that you
would expect to see on the airbrushed pages of a fashion magazine
(T 17). While angels, as messengers of God, are associated with religious
and spiritual discourse, and with things immaterial rather than mate-
rial, fashion models belong in the realm of materialism and consumer
culture. Fusing these disparate associations, Bellas initial description of
the Cullens follows them throughout the narrative, implying that what
is (inhumanly) beautiful is also good, or even godly.
The spiritual discourse is most frequently tied to Edward, whom Bella
repeatedly compares to an angel: he is a destroying angel (T 56), has an
angels face (T 17, 152, 230), is an angel (T 3948) and has the voice
of an archangel (T 272). The fashion-model discourse is more closely
associated with Edwards adopted sibling Alice, who is intensely inter-
ested in clothes and fashion and tries to initiate Bella into these pleas-
ures. Not immune to fashion discourse, Bella sighs over Edwards perfect
body, and describes him as looking like a runway model (T 221). This
pervasive emphasis on beauty, whether godly or worldly, is underscored
by the name of the heroine, Bella Swan: Bella means beautiful in
Italian, and Swan, invokes Hans Christian Andersens well known fairy
tale of the Ugly Duckling that transforms into a beautiful swan, at home
in the world once it finds its place among its own species. Very much
like the ugly duckling, Bella is clumsy and awkward among her school
friends until she finds her place among the shiny white Cullens, trans-
forms into a vampire, and finally fits in. While she tells Jacob in Eclipse
that she loves Edward, not because he is beautiful or rich, but because
he is the most loving and unselfish and brilliant and decentt person [she
has] ever met (E 98), thus emphasizing his inner qualities, in Breaking
Dawn she is thrilled to finally be as beautiful and rich as the Cullens.
If Edward is Bellas messenger from God, what exactly is his mes-
sage? Consonant with the narrative emphasis on beauty, another fairy
tale template structures the ethical discourse in Twilight: the beauty-
and the beast formula, which applies to both Bella and Edward in
different ways. Throughout the narrative, Bella struggles with her
sense of inferiority relative to Edward, whom she regards as perfect in
every way. While he is physically agile and stunningly beautiful, Bella
is uncommonly clumsy and regards herself as plain. But while Bella
casts Edward as the beauty, he regards himself as the beast: he consid-
ers Bella as his ethical superior, and thus as more beautiful in the moral
sense. In contrast to Bella, who thinks of Edward as the most unselfish
person she has ever met, Edward describes himself as essentially selfish,
and worries that he is corrupting Bella by depriving her of a human life
and potentially of her soul. In Twilightt he fights with himself, trying to
stay away from her, but resigns after a while, telling Bella:
I decided as long as I am going to hell I might as well do it thor-

oughly. I told you, I got tired of trying to stay away from you. So
Im giving up giving up trying to be good. Im just going to do
what I want now, and let the chips fall where they may. (T 75)
Of course, had Edward been able to stay away from Bella, there would
have been no Twilight series.
The first four novels show Edward mainly as focalized through either
Bella or Jacob. This means that compared to them he is portrayed rather
superficially, and as framed through their judgements of his words and
actions. Consequently, in the first four books the main body of the
series it is hard to understand why Bella is so taken with Edward. Her
sighing over his dazzling eyes in fact seems rather silly. However, the
unpublished draft of Midnight Sun, available on Meyers official website,
sheds new light on the internal workings of Edwards mind, on his expe-
riences, reflections and evaluations and thus on his character, fleshing
it out and thereby making it more complex and interesting. The true
ferocity of his vampire cravings during his first encounters with Bella
naturally stand out more vividly when focalized through Edward. Here,
he describes his blood lust as the monster in my head, which has to be
reigned in and controlled:
The monster waited anxiously, hungrily, for me to do it.

But there was always a choice there had to be. I cut off the motion
of my lungs, and fixed Carlisles face in front of my eyes. (MS 20)
At first, Edwards main defence against killing Bella is the wish not to
disappoint his father Carlisle. He knows that Carlisle thinks highly
of him, and to Edward the misery of proving his fathers faith in him
wrong hurts almost as much as the fire in his throat brought on by
Bellas delicious scent (MS 13). And so, fixing his mind on his father as
a loving example, he is able to abstain.
The series rhetoric of abstinence, and of the laudability of being able
to control ones natural instincts and appetites, whether in relation to
food or to sexual arousal, is associated, above all, with the character of
Edward. Desperate to avoid giving in to the monster in his head, Edward
initially flees Forks, but fleeing makes him feel like a coward, and so he
decides to return to face the challenge to his self-control that Bella rep-
resents. When Carlisle advises him to leave again rather than risk Bellas
life, Edward believes Carlisle is right, but finds himself unable to heed the
advice, displaying lack of good willl (that is: he fails to do the right thing out
of a failure to respond to pertinent moral reasons, see Arpaly, 2006, p. 14).
Rather than give in to bloodlust, Edward struggles to choose his acts
and his self-image. In confronting his own weakness, there is a period
in which he knowingly puts Bellas life at risk, as if valuing his ethical
self-image over her life something that seems ethically questionable.
After an initial period of struggle, Edward develops superhuman pow-
ers of self-control; so much so that by the end of Twilightt he is able to
draw vampire venom from Bellas blood without feeding on her an
almost impossible feat for a vampire. As Alice tells Bella, Were also
like sharks in a way. Once we taste the blood, or even smell it for that
matter, it becomes very hard to keep from feeding. Sometimes impos-
sible (T 362).
Early on, Edward displays further weaknesses of character. His inabil-
ity to hear Bellas mind pricks his curiosity, and he starts observing her
intently in order to figure out the silent mystery that she represents. He
even steals by Bellas house at night in order to watch her in her sleep,
feeling worse than some sick peeping tom (MS 106). Watching her every
movement intently, eavesdropping on other peoples conversations and

thoughts, he characterizes her in his mind:
Through her conversations with Mike, I was able to add the most
important quality to my list, the most revealing of them all, as
simple as it was rare. Bella was good. All the other things added up
to that whole kind and self-effacing and unselfish and loving and
brave she was good through and through. (MS 93)
So here is Edwards definition of what constitutes the good: it is to be

kind, self-effacing, unselfish, loving and brave. And Bella is all of these
things. In exiling herself to Forks in order to promote her mothers
happiness, she is acting unselfishly. In risking her life for her mother in
Twilight,t for Edward in New Moon, and for her unborn baby in Breaking
Dawn she displays courage as well as the ability to sacrifice herself for
the sake of another. Bella does not shy away from pain: she is willing to
suffer for those whom she loves, and this is her most Christ-like qual-
ity. Judging from the prevalence of occurrences in which Bella displays
this character trait, the authorial audience is supposed to notice, and
sympathize with, Bellas self-sacrificial tendencies.
The most extreme instance of Bellas willingness to suffer for a loved
one occurs during her pregnancy with Renesmee. The foetus grows at an
accelerated rate, cracking her bones and as we learn in Breaking Dawn,
if left to its own devices it would gnaw itself out of her body, killing her
in the process. Still, Bella insists on going through with the pregnancy.
When those around her beg her to abort the foetus in order to save her
own life she says:
I cant hurt him she pointed to her stomach any more than
I could pick up a gun and shoot you. I love him.
Why do you always have to love the wrong things, Bella?
I dont think I do. (BD 1801)
The narratives progression proves her right: delivering Renesmee

becomes Bellas ticket to superhuman strength and beauty as well as an
equal relationship with Edward. However, from a human point of view,
Bellas willingness to take a battering for love is rather disturbing. After
making love to Edward on their honeymoon she wakes up with bruises
all over her body, looking very much like a victim of domestic violence.
And after Edward brutally ends their romance and abandons her in New
Moon, saying that she is no good for him, she is emotionally devas-
tated, but takes him back no questions asked at books end, holding no
grudges. She is likewise willing to let her own body be destroyed from
the inside in order to deliver her half-vampire foetus. Are these instances
of heroism, or are they rather symptoms of self-loathing?
As the series is framed against the religious subtext invoked by the
cover and epigraph of Twilight, t it is plausible to argue that the autho-
rial audience is meant to judge Bellas behaviour as laudable, since she
displays the Christian virtues of self-sacrifice and forgiveness. The reli-
gious subtext is reinforced by Jacobs description of Bella as a martyr:
Sickening. () The girl was a classic martyr. Shed totally been born in
the wrong century. She should have lived back when she could have
gotten herself fed to some lions for a good cause (BD 172). However,
the individual readers judgement of Bellas behaviour will depend on
whether the reader identifies primarily with Bellas or with Jacobs nar-
rative voice, and also on whether or not the reader regards self-sacrifice
to the point of Christ-like physical self-annihilation a virtue.
Jacob makes explicit Bellas tendency toward martyrdom by his refer-
ence to the early Christians, who were persecuted for their faith and sacri-
ficed to the lions in the Roman Empire. This image of Bella as a Christian
martyr is not coincidental: the plight of the early Christians resembles
the situation of Bella and her vampire family in several ways.5 Citizens of
the Roman Empire, used to public displays of religion, found the more pri-
vate practices of early Christians suspicious, and it was believed that they
committed evil deeds in secret (Sherwin-White, 1954, p. 23). This is exactly
what most people would believe of vampires, even as the Cullens are
portrayed as an exception to this rule. Also, due to their practices of eat-
ing the body of Christ and drinking his blood during communion, and
due to their habit of referring to each other as brothers and sisters, early
Christians were often accused of cannibalism and incest (De Ste. Croix,
2006, [1963]). The Cullens are certainly blood-drinkers, if not cannibals.
And among the adopted Cullen siblings two pairs, Rosalie and Emmett,
and Alice and Jasper, have romantic and sexual relations with each other.
Furthermore, Bella is prone to psychological self-flagellation, a prac-
tice carrying religious connotations: There would be plenty of time to
flagellate myself for this (BD 63). After kissing Jacob passionately in
Breaking Dawn, she also wants to be punished for her weakness, to do
penance. When Edward fails to punish her by being angry, she turns
to Jacob:
It is my fault. And Im so sick of being told its not.

He grinned. It didnt touch his eyes. You want me to haul you
over the coals?
Actually I think I do. (E 528)
Jacob then pretends to be angry with her until she breaks down and
sobs in release. In fact, Bella frequently feels worthy of punishment
for her transgressions, telling herself things like: it would be no more
than I deserved if I somehow lost them both (E 461).
Still, in her willingness to sacrifice her life and physical well-being
for those she loves, Bellas moral courage is impressive. But is she, as
Jacob thinks, taking things too far? And does the implied author intend
the reader to side with Bella or with Jacob in their ethical judgements?
Rebecca Housel has argued that Jacob displays the three central virtues
of Taoism, namely humility, compassion and moderation (Housel,
2009, p. 238). Contrasting Jacob with Edward, who flaunts his wealth
driving expensive cars, Housel says of Jacob:
Because Jacob is grounded in humility and lives a life of moderation,

he is more satisfied with life in general. Jacob understands that he is
not the centre of the universe, and hes smart enough not to want
that kind of power. () Jacob is a true leader () because he takes
responsible action when necessary, regardless of his desires. (Housel,
2009, p. 239)
Kristian Jensen also draws on Taoist philosophy to describe Jacob

and his ability to merge his wolf and human selves into a harmo-
nious whole while still being aware of his dual identity (Jensen,
2010, pp. 1045). However, as the voice of moderation, sanity, and
balance Jacob does not fare well in the narrative: Bella seldom heeds
his advice; he loses her to Edward and vampirehood; and when he
imprints it is on Edward and Bellas baby daughter, something which
makes them both furious. Whereas Bella instantly forgives Edward for
all types of controlling behaviour, her tolerance of Jacobs shortcom-
ings is far lower. Edwards behaviour towards Bella often seems unduly
harsh. In Eclipse he locks her up in order to protect her from the
potential harm of Jacobs uncontrollable phasing (later he admits his
jealousy of Jacob). His protection is ironic, given that Jacob causes
Bella far less harm than does Edward. On the contrary, he constantly
steps in to patch her up when her life with a vampire takes its toll:
in New Moon when she is abandoned, in Eclipse when she nearly
freezes to death and even in Breaking Dawn, after she is married and
pregnant with Edwards vampire child, Jacob leaves his own pack in
order to protect her. So while it seems fair to say that for Bella, love
demands a kind of Christ-like suffering, frequently at the expense of
her own body and well-being, Jacob (also in his function as a mid-
way point between human and superhuman) represents the point
of balance between opposites. He is able to contain two polarities,

like ying and yang: his human and his superhuman selves. Splitting
the narrator-focalizer role in Breaking Dawn between Bella and Jacob
thus creates an argument between Bellas desire to rid herself of her
(imperfect) human self and Jacobs different valuing of the qualities
of being human and sane. However, their positions are dissimilar,
since Jacob can move between his human and superhuman selves at
will, whereas to a vampire there is no going back to being human: for
Bella, it is all or nothing.
In spite of her association with Christian martyrdom, there are limits
to Bellas role as a saint. Unlike Christ, who sacrificed himself in order
to redeem all of humanity, Bella sacrifices herself for those closest to
her: her mother, her lover and husband, and her unborn child. When
she witnesses a busload of innocent people walking into the Volturi
headquarters in New Moon, ignorant of the fact that they are intended
as vampire lunch, she whispers Its so horrible, but makes no attempt
to warn or rescue any of them. Apparently she sees no reason to put
her life on the line there. And even as she is in certain ways selfless,
loving and courageous, she is also at times selfish, manipulative, secre-
tive and egotistical. In Twilightt she flirts with the adolescent Jacob in
order to pump him for information, manipulating his emotions. In New
Moon, after spending quite a long time with him, she thinks: It was so
wrong to encourage Jacob. Pure selfishness. () But I needed Jacob now,
needed him like a drug. Id used him as a crutch for too long (NM 190,
192). Thus, in many ways Jacob is to Bella what Bella is to Edward: in
Twilightt Edward tells Bella that she is his brand of heroin (T 235), and
in Midnight Sun we learn that although Edward thinks he ought to stay
away from Bella, and that this would be for her benefit, he is not able
to do so. Initially in his relationship with Bella, Jacob also mirrors Bellas
insecurities toward Edward a sense of inferiority and insecurity about
being liked: You really like spending time with me? he asked, marvel-
ling (NM 144). In their love triangle this creates a sense of a value
hierarchy, with Edward at the top and Jacob at the bottom. Bella feels
somewhat superior to Jacob, while she feels inferior to Edward. At the
same time, Edward is addicted to Bella, while Bella is addicted to Jacob.
Thus, in Twilight values are organized around several axes. One
is danger versus protection: Bella is in near constant mortal danger,
requiring the protection of both her suitors on a regular basis in
the pattern of the typical princess rescue story. Another axis is self-
sacrifice versus self-interest: through the example of Bella, self-sacrifice
is tied to the morally good, while the ultimate bad guys, the Volturi,
are thoroughtly self-serving. A third axis is that of desire or addiction

versus abstinence, with Edward as the main exponent of the motif
of abstinence, able to master both his appetite for human blood and
his sexual desire: even as Bella strongly desires Edward sexually, he
requires of her (primarily for the sake of his ethical self image, not for
her safety) that they abstain from physical intercourse until they are
married. A further axis runs along issues of inferiority and superiority:
vampires feel superior to humans. Bella feels inferior to Edward. Bella
and Edward feel superior to humans with noisy minds. And there is a
sense in which Edward and Bella emerge as superior to Jacob: they both
have their happy ending, while he is constantly dismissed with crumbs
in spite of his heroic efforts and the repeated assurances by the heroine
of her affection for him.
Russet and white

The sense pervading the narrative that somehow Jacob is just a little
inferior to Edward, and perhaps to Bella, potentially adds a racial slant
to the story.6 Cast as the sympathetic but economically inferior native,
he is loved and accepted, certainly, but just not enough, as Bella apolo-
getically tells him in Eclipse. The hierarchy of supremacy is genetically
explained as well: while vampires have 25 chromosome pairs, suggest-
ing they are more advanced in evolutionary terms, werewolves have 24
pairs, which is still one more pair than the human Bella. Supposedly
Bella gains her extra chromosomes as she becomes a vampire and grows
capable of expressing the same level of strength, speed and beauty as
the Cullen clan that she so admires. Stunned by Edwards devastating
and inhuman beauty, she finds nothing angelic in Jacobs patience
with her own quirks. While Jacobs easygoing nature appeals to Bella,
she never considers him perfect: on first meeting him at the La Push
reservation, she notes that he has altogether, a very pretty face (T 103).
In spite of Bellas claim that she is jealous of Jacobs silky and russet-
coloured skin (NM 168), there are problematic aspects of the narratives
association between power and skin colour. Natalie Wilson (2010) has
argued that in Twilight whiteness is associated with civilization and
education (Edward holds multiple degrees, and Carlisle has an extensive
library), while Jacob and his indigenous tribe are portrayed as animals:
they take on wolf form, and are part of a pack with a group mind, forced
to obey their leaders orders over their own individual will. They wolf
down their food, and end up running around naked, as their clothes
are ripped to shreds when they shape-shift. (The contrast is enhanced
by the Cullens extensive wardrobes stocked with designer clothes.)
Kristian Jensen links the portrayal of werewolves in Twilight with the

romantic and patronizing Western stereotype of the Noble Savage
(Jensen, 2010, p. 92), and adds: Meyers vampire and shape-shifter
mythology reconstitutes the enlightenment dialectic of the mentally
advanced and providentially dominant Europeans, and the primitive,
though pure and noble, indigenous man (Jensen, 2010, p. 101).
The indigenous Quileute tribe in Twilight, to which Jacob belongs,
is an actual historical tribe, presently living on reservation land, whose
ancient legends Meyer has incorporated into her fictional universe.
Discussing the prominence of treaty-negotiation in Twilight, Judith
Leggatt and Kristin Burnett note: In the saga, Bella represents the
land, while Jacob embodies the Quileute people, and Edward Cullen
stands in for the American settlers (Leggatt and Burnett, 2010, p. 27).
So Jacob loses the land, and is compelled to transfer his affections to
the offspring of a union he has opposed: the new settlers have taken
the land. And just like vampire culture in Twilight remains unchanged
by their encounter with the Quileute, while serving as the catalyst for
all Quileute boys to transform into giant wolves in the effort to protect
their land and tribe from destruction, so the real Quileute historically
had to shape-shift culturally in order to accommodate the dominant
settlers (Leggatt and Burnett, 2010). In Breaking Dawn Jacob breaks away
from his own tribe in order to protect Bella, and ends up destitute and
homeless, dependent on the charity of vampire mother Esme for clothes
and food. Wilson notes that while the Cullens wealth and privileges
are never explicitly linked to their whiteness in the text, this accords
with white privilege in the real world, which functions as an unmarked,
naturalized category conferring superiority to those with white skin
(Wilson, 2010, p. 57). P. Van Lent has suggested that turning a Native
American male into a romantic hero is therapeutic: Loving him, a
minority and a victim of much we regret makes American dominant
culture feel less guilty (Van Lent, 1996, p. 226). Loved he may be, but
Jacob still ends up short-changed.
In Twilight, the Quileute are portrayed as passionate, and at times
violent: on two separate occasions Jacob forces himself on Bella, kissing
her in spite of her resistance. Werewolf passion can be dangerous: the
packs alpha male Sam has scarred his partner Emily for life in a fit of
anger. While the Cullens seem to be occupying the opposite pole, sin-
gled out from other vampires by their extreme self-restraint and their
ability to control and redirect their natural appetites for human blood,
the savage/civilized dichotomy is sometimes blurred. Vampires are
ferocious predators like sharks, as Alice tells Bella. And while hunting
for food the Cullens freely give in to their predatory nature, following
their instincts rather than their intellect. Furthermore, in his dealings
with Bella, Jacob comes across as far more advanced than Edward, who
sports an outdated and paternalistic view of gender roles. It is also
worth bearing in mind that Renesmee, like Jacob, has 24 chromosome
pairs, and that she certainly is not portrayed as in any way inferior. Like
coming-of-age werewolves, she grows and develops at an incredible
rate, both in vitro and as a baby. Recall the distinction between pure
bloods and mud-bloods in Harry Potter: both Jacob and Renesmee are a
type of hybrid. Jacob is both wolf and man (at least, this is the proffered
conception of him all through the series, until the very end of Breaking
Dawn.) Renesmee is part human, part vampire, while Edward is pure
vampire and Bella transforms from pure human to pure vampire.
Such a division seems strained, however, since all of them, with the
exception of Renesmee, have their human form as their fundamental
template and transform from there.
Apart from issues of colour, a further significant undermining of
Jacob and the Quileute is Aros assertion towards the end of Breaking
Dawn that the Quileute are shape-changers rather than werewolves,
and that the wolf form is incidental (BD 654). Aros assertion is never
contradicted in the narrative, and is reaffirmed when Irina later refers
to the Quileute as werewolves and Aro corrects her quietly, repeat-
ing that they are shape-changers (BD 656). While shape-changing and
shamanism may be part of Native American beliefs, so that on one
level it is the implied author who adjusts her position relative to Native
American culture, in the diegesis Aros power to redefine the history and
culture of the whole Quileute tribe by suggesting that their historical
self-understanding is faulty underlines the enlightenment dialectic of
the mentally advanced Europeans noted by Jensen. Considering that
the Quileute regard themselves as historically bound in a spiritual bond
with wolves, Aros dismissal of the wolf form as incidental denigrates
this aspect of Quileute culture. His remark could be intended as part of
the characterization of Aro, but since his assertion is not contradicted
but rather affirmed through the narrators choice of the word cor-
rected, this seems unlikely. The statement, therefore, becomes linked to
the consistent undermining of Jacobs position in the narrative.
An important difference in the paring Bella/Jacob as opposed to the
pairing Bella/Edward is the relative equality of their relationship. Bella
feels a lot more on a level with Jacob than with the formidable Edward:
it is this affinity that forms the basis of their friendship. However, while
Edwards treatment of Bella causes her considerable emotional pain in
New Moon, and is blameworthy in that sense however well intended,

Bella too causes Jacob a much pain by toying with his emotions. While
she reiterates how much she loves Jacob and how much she enjoys his
company, in reality she uses him whenever it is to her own advantage,
repeatedly rejecting him in favour of Edward. She eventually recognizes
the hurt she has caused Jacob, yet her emphasis remains on her own
inadequacy rather than on Jacobs pain:
Im sorry Im such a rotten person, I whispered. Im sorry Ive

been so selfish. I wish Id never met you, so I couldnt hurt you
the way I have. I wont do it anymore, I promise. Ill stay far away
from you. Ill move out of the state. You wont have to look at me
ever again.
Thats not much of an apology, he said bitterly. (E 463)
While Bella does apologize, her wish that they had never met is hardly con-
soling to Jacob, who is pining for recognition from Bella of her affection
for him. When the rejected Jacob eventually finds true love in Renesmee,
both Bella and Edward are furious with him (in spite of repeatedly mar-
velling at the disinterested purity of his love). The reason for their anger
is never explained it is an ethical lacuna in the text. They do not mind
Jacob babysitting Renesmee so that they can spend time together, and
Bella is prepared to entrust him with her daughters life in Breaking Dawn
as they prepare to face the Volturi. Their unexplained anger at Jacob for
his affection, leave the reader with the impression again that Jacob is
useful, certainly, but in questions of attachment he is never the first choice,
even as he has the same number of chromosomes as their own daughter.
Jacob abandons his pack in order to protect Bella and her unborn
child but while Bella believes in the Noble Savage, Edward does not.
As they battle for Bellas affection in Eclipse, Jacob suggests he may sac-
rifice himself in battle in order to clear himself out of the picture and
thus make it easier for Bella. Edward comments: And I thought I fought
dirty he makes me look like the patron saint of ethics Bella, did
you really believe he was that noble? (E 472). A little bit later Edward
adds: II can be noble, Bella. Im not going to make you choose between
us (E 474). Since these comments by Edward come immediately after
a nightly talk where Jacob and Edward discuss their rivalry and mutual
jealousy over Bella, and after Bella and Jacob have finally kissed, they
could easily be interpreted as part of Edwards play for Bella, and as
part of his attempt to sway her in his own direction. It is clear that Bella
leans towards Edwards opinions. Later, in a conversation with Jacob,
she says of Edward: Hes not playing any game, Jake, to which Jacob
replies: You bet he is. He is playing every bit as hard as I am, only he
knows what he is doing and I dont. Dont blame me because he is a bet-
ter manipulator than I am (E 526). Clearly, a readers ethical judgement
here will depend on whether principal trust is placed in Edwards or in
Jacobs version of the story. Is Edward truly noble, or is he manipulat-
ing Bella? Jacob certainly holds the latter view. And in the story so far,
Jacob has consistently been portrayed as more emotionally transparent
and sincere than Edward, who abandons Bella in New Moon, lying about
his true feelings. As they are reunited at books end he explains to a
confused Bella: Im a good liar, Bella. I have to be (NM 449). However,
Jacob is manipulating Bella too, when he tricks her into kissing him,
making her eventually acknowledge the extent of her romantic feelings
for him.
The question arises of whether Bellas judgements can be trusted. Is
she a reliable narrator? She is certainly biased in favour of Edward. The
fact that Bella rates Edward as the most loving and unselfish person she
has met, while the text as a whole presents Carlisle Cullen as moralitys
golden standard, hints that the implied authors views are not concord-
ant with those of Bella. If they were, the text would be much more
closed, ethically speaking, since it is pretty clear what Bella values. It
is the fact that the text allows for a questioning of Bellas values that
makes it open for diverse interpretations. Amid the chorus of voices in
the narrative, it is not altogether obvious which ones align most fully
with that of the implied author. Jacob is certainly a likeable character,
and it is Jacob, not Edward, who shares the role of narrator-focalizer
with Bella in Breaking Dawn, thus encouraging the reader to sympathize
with Jacob rather than with the more withdrawn and self-contained
Edward. The implied author invites the reader to see through the eyes
of Jacob for two hundred of Breaking Dawns seven hundred pages.
In this way, the implied author provides a space for the reader to
appreciate the depth of the pain Jacob experiences in his relationship
to Bella. By giving Jacob and his emotions this narrative space, Bellas
failure to consider Jacobs side of the story is highlighted and indirectly
criticized. It strongly invites the reader to sympathize with Jacobs suf-
fering and heartache. The preface to Jacobs book in Breaking Dawn
reads: Life sucks, and then you die. Yeah, I should be so lucky (BD 131).
Jacob loves Bella. Unlike Edward, he also understands her: I knew
how Bella felt about almost everything her thoughts were so obvious;
sometimes it was like they were printed on her forehead (BD 158). At
the same time, Jacob fundamentally disagrees with Bella regarding her
most important choices. Thus, both as a character, but particularly as a

narrator, Jacob serves to problematize Bellas life narrative by offering
a point of view of events at odds with her own. By focalizing parts of
Breaking Dawn through Jacob, the reader is invited not only to sym-
pathize with Jacob, but also to take a step back and evaluate Bellas
choices. And because Jacob narrates with a dry sense of humour, the
distance he sets up between the reader and Bella and her predicament
adds a level of ironic distance to the Twilight narrative, highlighting its
excesses and its fictionality:
I dragged myself up from the stairs and followed after them as they
disappeared into the house. I wasnt sure why. Just morbid curiosity,
maybe. It was like a horror movie. Monsters and blood all over the
place. (BD 222)
By positioning Jacob as the spectator to a freak-show, the implied

author invites readers to recognize their own spectator role, implicitly
questioning the readers morbid curiosity regarding Bellas grotesque
pregnancy and delivery. By making Bella the object of the focaliza-
tion, Jacob as a narrator-focalizer prompts the reader to consider Bellas
choices and her predicament from a perspective other than her own.
The situation certainly looks grim. For readers sympathizing with Bella,
the horror Jacob witnesses underlines the extent of Bellas sacrifice,
and thus of her heroism. However, readers who align with Jacobs posi-
tion will, like him, shake their head at Bellas absurd priorities and her
predicament. By introducing Jacob as a narrator, the narrative sustains
both these reader positions.
Bellas pro-death and pro-life choices

There are three main choices or desires that shape Bellas life, one lead-
ing to another. Her first decision is to become romantically involved
with a deadly vampire. This leads to her desire to become a vampire
herself, so she can be with Edward forever. The consummation of their
love leads to a surprising pregnancy one that Bella chooses to carry
through with even as it is threatening to kill her. All of these choices lead
Bella toward death but also beyond death: as an un-dead, her exist-
ence goes on forever, and as a parent she can live on in her daughter.
However, the sense of Bella as one who shapes her destiny through
her choices is strongly undermined by the series romance rhetoric,
where lovers are pitted as destined for each other. This fundamental lack
of choice in romantic matters is asserted and reasserted throughout the
narrative. It starts with Bellas dream in Twilight,

t where she realizes that
she fears for Edward and concludes: And I knew in that I had my answer.
I didnt know if there ever was a choice, really. I was already in too deep
(T 121). This sense of inevitability is mirrored in Edwards struggles, viv-
idly portrayed in Midnight Sun, against the two possible outcomes that
psychic Alice sees for his involvement with Bella: either he kills her or
she ends up a vampire. Edward fears that he will be responsible for the
loss of Bellas soul if she is turned, and desperately struggles to gain the
strength to leave Bella something Alice tells him he will not be able to.
When he does, in New Moon, it turns out to be a painful mistake sug-
gesting that he cannot escape his destiny, even as he constantly repeats
to himself: there is always a choice, there has to be.
The sense of romantic inevitability is further underlined by the
phenomenon of imprinting among Jacobs wolf pack, and by Jacobs
narration of his own experience of imprinting on Renesmee in Breaking
Dawn. Notwithstanding the formidable self-control of its protagonists,
in Twilight love clearly cannot be dictated by reason. This is further
affirmed by the quote from Shakespeares A Midsummer Nights Dream
that forms an epigraph to Jacobs narration in the series last volume:
And yet, to say the truth, reason and love keep little company together
nowadays (BD 129). When Bella finally acknowledges her love and
passion for Jacob, in a chapter termed Ethics, realizing how badly she
wants that possible life with him, she says again: I cant, and its killing
me. Its like Sam and Emily, Jake I never had a choice (E 532).
What choices does Bella make, then? In Twilightt she runs from the
protection of Jasper and Alice, nearly getting killed by a hunter vam-
pire in order to save her mother. In New Moon she runs from Jacob to
face the Volturi and save Edwards life. In Eclipse she chooses to accept
Edwards marriage proposal in spite of her own resistance of the idea.
She also makes a bargain with Edward that following their marriage he
will transform her into a vampire.
With all this narrative movement toward death and killing, Bellas
insistence in Breaking Dawn on keeping the half-breed foetus that is
threatening to rip her body apart, stands out. Going against her own
beliefs she has agreed to marry Edward, seemingly adopting his nor-
mative standards as her own. In Breaking Dawn however, she defies
practically all around her, Edward included, in her insistence on seeing
the dangerous pregnancy through. She does this in a narrative where
the importance of family and community is emphasized: when Edward
early on refuses to turn her into a vampire, Bella puts the decision
to a Cullen family vote. In Breaking Dawn, however, she enlists the
protection of the antagonistic Rose in order to withstand the pressure

of those who want her to abort the killer foetus. Jacob fumes:
How stupid are you vamps? Hold her down and knock her out with
drugs. [Jacob]
I wanted to, he whispered. Carlisle would have [Edward]
What, too noble were they? [Jacobs thought]
No. Not too noble. Her body guard complicated things. [Edwards
reply to Jacobs unspoken thought] (BD 164)
Rosalies greatest grief is that as a vampire she cannot have children.

Consequently, she protects the pregnant Bella against the rest of the
family. The reason Bella gives for risking her life and health for that
of her unborn child (whom she thinks of as a he) is this: I wanted
him like I wanted air to breathe. Not a choice a necessity (BD 120).
Again, Bella abdicates responsibility for the situation, claiming that
she has no choice. There is little room for ethical reflection in a fic-
tional universe where the answers to all the important choices are
given by necessity.
The pervasive irrational quality of Twilights fictional world is
foregrounded by Bella when she laments to Jacob that in a sane
world they would have a life together. It is further underlined by
the incident in Breaking Dawn when Edward, in an attempt to save
Bellas life, asks Jacob to reason with her. Jacobs reply is: Make Bella
see sense? What universe do you live in? (BD 167). Bellas unwill-
ingness to engage in ethical reflection does not stem from inability
to reason, however. When threatened by the hunter vampire James
in Twilight, she quickly devises a scheme to escape that will protect
those she cares about. When she presents it to the Cullens they are
stunned, betraying their erstwhile lack of faith in her mental abili-
ties. Its not a bad idea, really. Emmetts surprise was definitely
an insult (T 336).
It is rather that Bellas choices are so deeply integrated into her belief
system that they seem more like conditioned reflexes. Discussing moral
agency, Iris Murdoch has stressed how moral choices do not depend
simply on the quick flash of the choosing will but are embedded
in the tissue of life (Murdoch, 2001, pp. 523). Risking her life for
her unborn child is a logical expression of Bellas fundamentally self-
sacrificial constitution: she does it for her mother in Twilightt and for
Edward in New Moon; it is hardly out of character that she sacrifices
herself to deliver her child in Breaking Dawn even if, to those watching
her body struggle, it is like a horror movie.
Vampire ethics
Prone to self-sacrifice as she is, part of what Bella wants is power, and
empowerment. She is thus unlike Jacob, who refrains from taking the
alpha position in his wolf pack until he is forced to take a stand to save
Bella. If social power is part of her object, it clearly makes sense for Bella
to choose the rich white vampire over the humble indigenous boy.
However, more than wealth, Bella regards beautyy as the key to power
and opportunity, as is evident from her early assessment of the Cullens:
I couldnt imagine any door that wouldnt be opened by that degree of
beauty (T 28). And it is the grace and beauty of the Cullen clan that Bella
aspires to, more than their socio-economic privileges or so she says.
Notwithstanding Bellas dismissal of wealth, the implied author spends
quite a lot of time describing the Cullen residence with its impecca-
ble interior decoration as well as their many fast and expensive cars.
Considerable space is also devoted to Alices fashion sense, and although
Bella resents being dolled up, Alice is consistently portrayed as a sym-
pathetic and likable character. Once a vampire, Bella falls easily into the
Cullens high end life style, wearing silk dresses and flaunting stacks of
dollar bills, feeling as if she has found her true place in the world, the
place I fit, the place I shine (BD 485) the place where finally she too
looks like a freaking supermodel (BD 594). So while in certain senses
there is a moral message about courage, love and virtue embedded in
Twilight, in terms of its progression it ends on a rather materialistic note.
The ultimate peak for Bella is becoming an un-dead vampire with no
heartbeat who does not have to breathe. But even if Twilight vampires
are painted as vastly superior to humans in a number of senses, their
superiority lies mainly in their physique and in their command of phys-
ical resources. Morally and emotionally they still struggle as much as
the next man: Rosalie with accepting vampirehood, Jasper with staying
on a vegetarian diet, and Edward with his inability to embody his own
sense of morality. In fact, notwithstanding their own sense of superior-
ity and their remarkable superhuman skills, Carlisle is the only vampire
who leads an altruistic life and takes an active interest in the welfare of
human beings or strangers. Having perfected his self-control he leads a
compassionate life working as a doctor, saving human lives instead of
taking them. While all of his adopted children follow his example and
subsist on a vegetarian diet, killing animals for food, none of them use
their talents in the service of any greater cause than their own wellbeing
or that of their immediate family. In spite of drawing heavily on prod-

ucts of human creativity and skill (Edward has a room full of CDs and
a sophisticated sound system, Alice has closets full of designer clothes,
not to mention their garage full of expensive cars), they look down at
all the weak and predictable human beings around them. Parasitic on
human culture, they make no effort to contribute to it, even as Edward
is a skilled musician and Alice could have worked in fashion or design
(as Bellas mother remarks in Breaking Dawn). Rather than exercising
their skills for the benefit of all they sit through college for the ump-
teenth time, while complaining about how boring it is. They hardly
seem as superior and smart as they give themselves credit for.
One may also question how genuine is their concern for the environ-
ment. While Edward says things like the wasting of finite resources is
everyones business (T 71), and we have to be careful not to impact the
environment with injudicious hunting (T 188), their general, opulent
lifestyle shows no trace of environmental concern. None of their many
cars are hybrid or electrical vehicles, and their fashionable wardrobes are
hardly made of organic cotton. And even as they call themselves veg-
etarians, they are all carnivores. But then deception is second nature
to a vampire. Naomi Zack has made the point that there is an inherent
elitism in Bellas aspirations of having it all, since a vampire lifestyle is
not sustainable on a mass level: how many vampires could the Pacific
Northwest support, without a significant decrease in the human, if not
the animal, population? (Zack, 2009, p. 127). Sustainability is a point
on which most contemporary Western lifestyles fall short, however.
In spite of the Cullens lack of eco sustainable life practices, James
Mc Elroy and Emma Catherine Mc Elroy have argued that as a gothic trope,
nature is strongly present in Twilight, in a range of ecological habitats
with the most popular being dark primeval forests, uninhabited mountain
ranges, isolated moorlands, remote (rugged) beaches, and turbulent, tem-
pestuous seascapes (Mc Elroy and Mc Elroy, 2010, p. 80). When contrasted
with the life and animation of nature found in The Lord of the Rings and
in much fantasy literature besides, the descriptions of nature and ecologi-
cal habitats in Twilight function as extensions of the personalities of the
protagonists rather than as something valued for its own sake. Theirs is the
wilderness used as metaphor, in the spirit of Wuthering Heights and Mary
Shelleys Frankenstein what Mc Elroy and Mc Elroy term eco-gothics.
In the literary universe of Twilight, the Cullens naturally prey in
remote places, as far from the human population as possible. Arguably,
it would make sense for them to stay in these remote locations, set-
ting up their own solar-powered house, rather than mingle as they do
with humans, thus putting the Cullens at constant risk of exposure

and endangering human lives. In either case, it seems that attaining
physical perfection does not solve the fundamental issues of existence.
In fact, in several ways Twilight as a text enters an interesting dialogue
with arguments formulated by the initiator of the Transhumanist
movement, Nick Bostrom.7 According to Bostrom, transhumanism is
a loosely defined movement seeking to understand and evaluate the
opportunities for enhancing the human condition and the human
organism opened up by the advancement of technology (Bostrom,
2003, p. 493). Like Bella, transhumanists desire to overcome their
human biological limits:
Transhumanism has roots in secular humanist thinking, yet is more

radical in that it promotes not only traditional means of improving
human nature, such as education and cultural refinement, but also
direct application of medicine and technology to overcome some of
our basic biological limits. (Bostrom, 2003, p. 494)
Bella transcends her humanity by having vampire venom injected

into her bloodstream a measure that functions as an analogy to the
revolutionary new medical treatments envisioned by the transhuman-
ist movement, particularly since the result of getting the venom is that
Bella stops aging. The miraculous treatment also saves her life. After
a period of initial suffering as the venom burns through her body, it
leaves her with improved mental capacity, enhanced physical abilities
and attractiveness, and a generally improved quality of life. Bostrom
writes: The enhancement options being discussed [by the transhuman-
ist movement] include radical extension of human health-span, eradica-
tion of disease, elimination of unnecessary suffering, and augmentation
of human intellectual, physical and emotional capacities (Bostrom,
2003, p. 493). Thus, Bellas project of radical self-improvement is in
several ways akin to that formulated by the transhumanist movement.
The arguments presented by Bostrom to support the ideas of transhu-
manism have further touching points with the Twilight narrative, since
the aim of transhumanism is to become post-human and to explore
what is termed the post-human realm. Like Twilights vampires, tran-
shumanist post-humans8 hope to enjoy a blissfulness [that] vastly
exceeds what any human being has yet experienced, greater maturity
(since they have the opportunity to live for hundreds or thousands of
years with full bodily and psychic vigour) and the experience of love
that is stronger, purer, and more secure than any human being yet has
harboured (Bostrom, 2003, p. 494). Their prolonged lifespan, as well

as the strong, enduring love relationships between the Cullen couples,
seem like instances of this transhumanist vision.
Bostrom further draws on arguments from theological discussions
of the afterlife in order to discuss the concept of personal identity in
transhumanism, saying that just as souls admitted to heaven undergo
a purification process, losing many of their previous attributes, so a
post-human would be a radically different person from a human being,
even if the post-human being originated from a human being (Bostrom,
2003, p. 495). This is exactly the case in Twilight, where vampires origi-
nate from human beings, but are radically different from the humans
surrounding them. Radical transformation comes at a cost, however.
Bostrom calls for a discussion of which parts of ourselves we might be
willing to sacrifice in order to reach the post-human ideal (Bostrom,
2003, p. 495), and this also becomes an important theme in Twilight,
particularly in Eclipse. When Bella finally realizes her romantic attrac-
tion to Jacob, the price she pays for leaving her human self behind really
registers with her for the first time: For the first time giving up being
human felt like a true sacrifice. Like it might be too much to lose (E 522).
As has been noted, supremacy in Twilight is framed also in terms
of genetics: by way of explaining their superior abilities, vampires are
given two extra pairs of chromosomes. Bostrom devotes much space to
discussing the moral implications of human germ-line genetic engineer-
ing, concluding that the possible benefits (enhanced human potential,
freedom from disease) will outweigh the possible disadvantages (fallibil-
ity in design, potential increase in inequality) of this practice. Issues of
equality are particularly relevant in Twilight. Bostrom notes:
The genetically privileged might become ageless, healthy, super-

geniuses of flawless physical beauty, who are graced with a sparkling
wit and a disarmingly self-deprecating sense of humour, radiating
warmth, empathic charm, and relaxed confidence. The non-privileged
would remain as people are today but perhaps deprived of their self-
respect and suffering occasional bouts of envy. (Bostrom, 2003, p. 500)
The resemblance of the conjured realities of Twilight and transhuman-

ism are certainly striking. This resemblance provides secular readers with
a frame for reading Twilight without reliance on religious dogma: while
there is arguably a Christian subtext to Bellas transformation, the vision
of human transformation and potential offered by transhumanism pro-
vides a useful, secular parallel to the texts religiously framed ideals.
What is certain is that in terms of progression, all of Bellas choices

are rewarded and her aspirations fulfilled: at series end she lives happily
ever after with her new vampire family; she is superhumanly strong,
graceful, wealthy and able no longer a clumsy, weak, average and awk-
ward human being in perpetual need of assistance. What gets her there
is not just venom it is also her unwavering faith in the story arches of
classic romantic drama.
Taking life literally or not
In tune with the biblical epigraph presented of the series, Bellas choices
reflect the Christian ideal of self-sacrifice. However, much like the
transhumanists discussed above, Bella expects tangible physical results
from such sacrifices in terms of an increase in health, longevity and
happiness.
In addition to the Bible and the Book of Mormon, the series seems to
conduct dialogues with other texts and genres. The portrayal of vampires
in Twilight owes much to Anne Rices Interview with the Vampire (2002,
[1976]). While Meyer admits to having read Rice, she distinguishes the
ambience in Twilight from that in Rices works (Margolis, 2005). Even
so, there are many similarities between Rices conception of vampires
and the one found in Twilight. The narrator-focalizer in Interview with
the Vampire is Louis. Upon being transformed into a vampire by Lestat,
he experiences a sensory awakening and hypersensitivity in relation
to his surroundings that is very similar to the one experienced by Bella
in Breaking Dawn:
Everything was so CLEAR. () The dust was so beautiful I inhaled in

shock () For the first time, with the dimming shadows and limit-
ing weakness of humanity taken off my eyes, I saw his face () Id
never seen Carlisles face before either, not really. I had an odd urge
to blink like I was staring at the sun. (BD 357, 360, 365)
Compare Bellas experience to that of Louis:
now I saw him filled with his own life and blood: he was radiant,
not luminous. And then I saw that not only Lestat has changed, but
all things had changed.
It was as if I had only just been able to see colours and shapes for
the first time. I was so enthralled with the buttons on Lestats black
coat that I looked at nothing else for a while. (Rice, 2002 [1976], p. 21)
Like Rices vampires, the vampires in Twilight move with superhuman

speed. According to Louis, one of the greatest pleasures of a vampire
[is] that of watching people unbeknownst to them (Rice, 2002 [1976],
p. 42), which is exactly what Edward does in Twilight, t sneaking into
Bellas bedroom to watch her sleep without her consent or knowledge.
And like the Cullen coven, Louis discovers that he can feed on animals
instead of humans, and at first prefers to do so. In a parallel to the rela-
tionship between the Cullens and the cruder vampires in Twilight that
hunt humans and are slaves to their predator nature, Louis is early on
disgusted with the bloodlust and sadism of Lestat, who relishes taking
human life. There is a mirroring also in the slightly condescending and
superior attitude and voice assumed by both Louis and the Cullens.
Louis presents himself as better educated and more refined than Lestat
again in parallel to the well-educated and affluent Edward. Louis and
Lestat even create and care for an adorable vampire girl, every bit as
beautiful as Renesmee.
There are further parallels to Rices text in Jaspers background in the
Southern slave wars: Louis is a plantation owner in eighteenth-century
New Orleans, and has to contend with the uprising of his slaves. Jasper
could be Louis and Lestat rolled into one: in his early violent life he
participates in mass-slaughtering of newborn vampires, much like Louis
and Lestat slaughter the rebellious slaves on Louiss plantation. Jasper
later abandons this violent life, searching, like Louis, for a less crude
existence. And Louis, much like Edward Cullen, spends considerable
time pondering the nature of his own existence, wondering whether
or not he is damned. Similarly, just as Edward jokes to Bella when she
first visits his home, saying: no coffins, no piled sculls in the corners;
I dont even think we have cobwebs what a disappointment this
must be for you (T 287), Lestat teases Louis about his vampire precon-
ceptions: Oh, the rumour about the crosses! the vampire laughed.
Nonsense, my friend, sheer nonsense (Rice, 2002 [1976], p. 23). Of
course, Louis and Lestat do sleep in coffins. And even if both Lestat
and Carlisle are perceived as radiant or like the sun, Lestat and Louis
cannot endure the sunlight, whereas it makes the Cullens sparkle. And
while in Twilight vampires are turned by the injection of vampire
venom into their blood stream, in Rices work vampire conversion
requires the human to actively suck and ingest a vampires blood. In
both works, however, vampires perish by fire. The most innovative
aspect of Twilights vampires, then, is their bling quality: they sparkle
in the sunlight, standing out like a Chanel handbag, effectively signal-
ling their exclusiveness.
While Meyer dissociates herself from gothic horror fiction in general,

Twilightt includes several explicit references to canonical romantic litera-
ture, underlining the importance of the romance genre to the Twilight
series. By identifying specific canonical texts as informing her composi-
tion of the four books of the series, Meyer has encouraged the examina-
tion of Twilights relationship to literary classics. Citing Jane Austens
Pride and Prejudice as an inspiration for Twilight, t Shakespeares Romeo
and Juliett for New Moon, Emily Bronts Wuthering Heights for Eclipse and
Shakespeares A Midsummer Nights Dream and The Merchant of Venice for
Breaking Dawn (Proctor, 2008), she has indicated that the literary pat-
terns of these works in some ways are important, if not to the reading
then at least to the writing of the series.
In Twilight,t Bella is presented as an avid reader. She calls the read-
ing list in her new school fairly basic: Bront, Shakespeare, Chaucer,
Faulkner, Id already read everything (T 1314). Perspectives on what
one reads may be more or less complex, however, and the reader later
learns that Bella is writing an essay on whether Shakespeares treat-
ment of the female characters is misogynistic (T 124). She tells this to
her classmate Mike, and in response, she reports, he stared at me like
Id just spoken in pig Latin (T 124); a comment underlining Bellas aca-
demic superiority to Mike, at least in the subject of English literature.
In the course of Twilightt the reader also learns that while Bella struggles
in physical education (relying on Mikes chivalry to get her through
badminton games), she was in an advanced placement program in
Phoenix (T 40). She re-reads Wuthering Heights for the fun of it (T 30),
and for non-school-related reading she decides to get into a well-used
compilation of the works of Jane Austen (T 128).
Yvette Kisor maps Meyers series in relation to the mentioned works
by Austen, Shakespeare and Bront, noting that Bella often relates the
books she reads to her own experience, identifying with particular
characters or situations, or talking about them with Edward (Kisor,
2010, p. 35). Kisor finds parallels between the arrogance of Mr. Darcy
in Pride and Prejudice and that of Edward, and notes that the heroine in
both works often misconstrues the actions of the mysterious male lead.
What Kisor fails to note is the obvious similarity in the social position
of both heroines relative to their suitors. In Austen, this dissimilarity in
the protagonists financial standing is a major theme and thus map-
ping Twilight unto Pride and Prejudice highlights Bellas modern day
rags-to-riches Cinder(B)ella story. Like Elizabeth Bennet, Bella comes to
wealth and social status through marriage. The space given in Twilight
to Bellas admiration of the Cullens mansion echoes Elizabeth Bennets
half-jesting remark to her sister Jane about the beginning of her love
for Darcy: It has been coming on so gradually that I hardly know when
it begun. But I believe I must date it from my first seeing his beautiful
grounds at Pemberley (Austen [1813], chapter 59).
New Moon even more obviously draws on Romeo and Juliett for its plot
structure. The novels epigraph is from Act II Scene VI in Shakespeares
play, promising (like an echo of the epigraph in Twilight) t that violent
delights have violent ends. In the novels first chapter, as Edward and
Bella watch a film adaptation of Romeo and Juliet, t Bella confesses that
Romeo is one of her favourite fictional characters (NM 15). Edward on
the other hand, says that he has little patience with Romeos numerous
mistakes although he envies him the ease of his suicide. He goes on
to reveal that he was toying with the idea of suicide while Bella was
off in Phoenix risking her life in an (unnecessary) attempt to save that
of her mother: I wasnt going to live without you (NM 17). In several
respects the plotline in New Moon then mirrors Shakespeares play:
Edward exiles himself from Forks in order to do the right thing and
let Bella lead a human life a parallel to Romeos exile from Verona
and thus from Juliet. When Bella in her misery jumps off a cliff and
nearly drowns, Edward is mistakenly informed by Rosalie that she has
died. Believing her dead he heads to Italy to get himself killed Romeo,
we remember, mistakes Juliet for dead when he finds her drugged in
the family crypt and kills himself in despair. Unlike Juliet, however,
Bella does not accept the tragedy, and so manages to save Edward from
exposing himself to the wrath of the Volturi vampire mafia in the nick
of time, thus securing the novels happy ending, which radically departs
from that of the play. At books end, Edwards literary taste is reformed,
coming closer to that of Bella: Mistake after mistake. Ill never criticize
Romeo again (NM 448) suggesting that he too is now framing their
relationship in terms of a canonical romantic drama that he previously
found ridiculous. Kisor suggests that Romeo and Juliett is used in New
Moon in order to demonstrate character development on the part of
both Edward and Bella: at first Bella is all emotional immersion and
Edward all intellectual distance, while at books end Bella has learnt to
use Shakespeares play more analytically and frame different possibilities
in relation to her own life, while Edward has gained greater emotional
understanding, now empathizing with Romeo (Kisor, 2010, p. 43).
This theme of emotional immersion versus intellectual detachment
is picked up again in the epigraph to Eclipse, a rendition of Robert
Frosts poem Fire and Ice that revolves around the question of whether
the world will end in fire or ice. While Frosts poem has been linked
to Dantes Inferno,9 Deidre J. Fagan suggests that it perains rather to

love affairs, which also end either in fiery passion or ice cold detach-
ment (Fagan, 2007, p. 116). With reference to the love triangle between
Edward, Bella and Jacob, which intensifies and peaks in Eclipse, and to
the difference in body temperature between Bellas two suitors, Fagans
interpretation seems more immediately relevant to the context. The
point in the text that most strongly recalls the epigraph is the scene on
the mountain towards the end of Eclipse where Bella requires Jacobs
fire and heat to survive the cold, stormy night, while Edward struggles
to keep his cool as his rival snuggles up with Bella in her sleeping bag.
They are waiting for the world to end, anticipating the attack from
Victorias army of newborn vampires, and Bella worries that the bat-
tle might cost her someone she loves. Throughout Eclipse, Bella also
compares herself to Catherine, the heroine in Emily Bronts novel,
describing herself as cruel and selfish for holding on to Jacob although
she is engaged to Edward: I was selfish, I was hurtful. I tortured the ones
I loved. I was like Cathy, like Wuthering Heights, only my options were
so much better than hers (E 459).
In Loves Knowledge, Martha Nussbaum writes that unlike the philo-
sophical texts exclusive appeal to the intellect, literary fiction has the
ability to make the reader a participant and a friend (Nussbaum, 1990,
p. 46), and to show us the worth and richness of plural qualitative
thinking and engender in their reader a richly qualitative kind of
seeing (Nussbaum, 1990, p. 36). In New Moon, however, it is Edwards
life experiences that cause him to reframe his life in terms of a liter-
ary romance rather than the other way around. Nussbaums view of
literature as capable of altering and refining perception also provides
an interesting indirect comment on the attitudes and behaviour of
Twilights heroine, albeit in parodist fashion. An avid reader, Bella bases
her romantic conceptions on canonical romantic literature. Throughout
the series it becomes clear that such books have been like friends for the
socially awkward Bella, and that she has come to see through their
eyes, using these literary works as templates to analyse her own
romantic involvements. Judging by the way she emulates the traumas
of major romantic tragedies in her own life, however, Bellas views on
relationships seem to have been led astray rather than refined by her
intercourse with romantic literature (a situation anticipated by Austens
Northanger Abbeyy and Flauberts Madame Bouvary). This is exactly the
effect that concerned critics fear the Twilight series may have on its
adolescent readership (see for instance Ashcraft 2013): it is also the
effect that Plato warned poetry may have on its listeners (see Republic).
However, Bellas (and the implied authors) reliance on cardboard

patterns from superhero cartoons10 (which are rendered all the more
sterile by repetitive prose) and romantic tragedies, all lend a satirical
edge to Bellas hyperbolic struggles; particularly when these are coupled
with the perspective on Bellas choices that is provided by Jacobs nar-
rative voice. The question arises: are Team Jacob readers the ones who
appreciate the satire? As we have seen, there are ways in which the
implied author of Twilight discourages identification with Bella and
her extreme choices. The narrative voice of Jacob outs Bellas life drama
as a Goth version of a bad sit-com and as not real, pointing both to
the series reliance on genre formulations and its fictional nature. The
many references to Bellas fondness for and identification with classic
romantic dramas are also potentially satirical. Are readers really meant
to take Bella seriously? Edward certainly does not, at least not at first:
Midnight Sun chronicles the many ways in which he finds Bella laugh-
able. This level of ironic distance potentially takes the brunt off some
of the criticism the series has generated, even as it may reflect back on
the implied authors ethical treatment of the series heroine if the series
irony is at her expense.
The ways in which Bella ought to be taken seriously have stirred critical
controversy, as has her status as role model: is Bella portrayed as power-
less or as powerful? Is she a feminist beacon or a feminist disgrace?
Gender change: Bella and Orlando
Framed in terms of classic romantic dramas, the Twilight narrative

seems to insist on deep love as exclusive: the ultimate experience is
losing ones self in the other, to the point where meaning is defined
through anothers existence. Edward has such an experience, described
in Midnight Sun: upon his meeting Bella, his life starts revolving around
her rather than around himself anymore, to the extent of making him
a sick peeping-Tom. Likewise, Bellas mother comments in Eclipse that
the nature of Bellas relationship with Edward worries her:
Im worried about youand Edward. () The way you move you

orient yourself around him without even thinking about it. ()
Youre like a satellite, or something. Ive never seen anything like
it. (E 601)
And when Jacob imprints on Renesmee in Breaking Dawn, he too

describes the experience as a complete re-orientation: Everything that
made me who I was () disconnected from me in that second. () The

gravity of the earth no longer tied me to the place where I stood. It
was the baby girl in the blonde vampires arms that held me here now.
Renesmee (BD 331). Quite radically, Jacobs entire personal identity,
along with his personal history, vanishes at the sight of Renesmee,
who becomes the new, and only, focal point of his life. While this may
seem like ideal love in a literary drama, it is less ideal as a parameter for
human interpersonal relationships. In fact, it comes across like a rather
self-destructive and unhealthy kind of love; and one that encourages
dependency. Bella says: It was always a bad day when Edward was
away (E 84) as if inability to exist without the other is evidence of the
depth of ones love. In human reality, such a dependence on another
is regarded as symptomatic of an unhealthy level of attachment.
Consequently, in Twilight love seems to be synonymous with a lack of
balance, since balance implies being poised in ones own centre, inter-
acting from there. When imprinting on Renesmee, the well-grounded
Jacob must denounce even earthly gravity.
However, Bella eventually gains her own ground: as she becomes a
vampire in Breaking Dawn, she finally becomes Edwards equal (and
in some ways his superior). Up until then, the narrative insistence on
dependency is tied to the leitmotif of Bella as the damsel in distress,
requiring constant protection. When Bella finally becomes a vampire,
she discards the role of vulnerable prey and takes on the role of pro-
tector. Is Bellas movement from initial dependency and inequality to
ultimate independence and equality a feminist statement? The answer
clearly depends on ones definition of feminism. On her website, Meyer
defines feminism thus:
In my own opinion (key word), the foundation of feminism is this:

being able to choose. The core of anti-feminism is, conversely, telling
a woman she cant do something solely because shes a woman
taking any choice away from her specifically because of her gender.
(Meyer, 2013a)
Here Meyer argues that Bella is a feminist because she makes her own
independent choices, even if those choices are considered backwards
by some feminists: Bella stays at home with her father, content with
cooking and cleaning for him, and when she falls in love with Edward
her world begins to revolve solely around him. She loses all interest in
further education, marries at 18 and immediately has a child. Now, in
the real world these choices may not spell powerful and independent.
But in Twilight in a way they do: going counter to the advice of those
around her much of the time, Bella ends up an immortal, super-
powerful vampire. She only agrees to marry Edward because that is his
condition for having sex with her and for changing her into a vampire.
So, while Bella makes certain decisions in her own life, the notion of
the power of personal choice is seriously undermined by the narratives
heavy reliance on the destiny patterns of high romantic drama. Given
her own definition of feminism, how can Meyer still claim that Bella is
a feminist?
Donna M. Ashcraft defines a feminist as simply stated, () just a
person (male or female) who believes that men and women should be
politically, socially, and economically equal (Ashcraft, 2013, p. 21). The
confusion over the term feminist, Ashcraft notes, stems from different
interpretations of the term equal: it can be construed as equal opportunity
(to get an education or participate in sports), or as equality of condition
(identical wealth or income) (Ashcraft, 2013, p. 21). In analysing the
series feminist perspectives, Ashcraft covers such topics as gender roles,
the motherhood mystique, the workfamily dichotomy, the damsel in
distress-figure, the embodiment of patriarchy, the series portrayal of
self-destructive behaviour and the ways in which its characters map
onto characteristics of healthy relationships; she generally finds reason
for concern about the characters dysfunctional relationship patterns
as well as the overall traditional portrayal of gender roles in the series.
Reading Twilight against Simone de Beauvoirs feminist classic The
Second Sex (1949), Bonnie Mann echoes much of Ashcrafts concern:
Meyer sorts the paradoxical narratives of female passivity and power,

purity and desire, innocence and responsibility, dependence and
autonomy, into a story where one leads, finally to the other What
is disheartening about Meyers books is her reinstatement of this old
promise: assume your status as prey, as object [of masculine desire],
and you will gain your freedom as subject, as the centre of action and
meaning. (Mann, 2009, pp. 1423)
And Abigail E. Myers comments: Most troubling, Bella unquestion-

ingly accepts all of Edwards worst qualities. () Edwards attention to
Bella mirrors disturbingly a relationship that would be called abusive
in the real world (Myers, 2009, p. 158). Given the nature of vampires,
however, it may seem overly optimistic to expect healthy relationship
dynamics in a vampire romance series. In fact, the gendered debate over
vampires is not new: in a survey of various historical vampire narratives,
Melissa Ames argues that critics of vampire narratives from Stokers

Dracula (1897) to Buffy the Vampire Slayerr (19972003) have been simi-
larly troubled by the coupling of sexuality and violence, the policing
of heterosexuality and stereotypical gender roles, and the depiction of
sexuality as punishable (Ames, 2010, p. 50).
In contrast to the frequently expressed concern over Bellas inferior-
ity to the male protagonists of the series, Keri Wolf reads Bellas unique
ability to cross social borders between various groups as a token of her
powerful autonomy:
Boundary lines exist everywhere, but Bella is the only character

whom they do not inhibit in a physical and social sense. She is the
character who can move into different physical and social worlds
[among the Quileute, the Cullens and her high school peers], often
disrupting carefully negotiated power relationships that derive from
the control of others over specific areas. () her ability to move
between various physical borders gives her a powerful autonomy.
(Wolf, 2010, p. 159)
This sense of Bellas personal autonomy is further underlined by the fact

that the telepath Edward is unable to hear Bellas thoughts in a story
world where the ultimate bad guys, the Volturi, use mental manipula-
tion in order to control and subdue others.
Arguably, Bella performs something akin to a gender change in
Breaking Dawn much like the protagonist of Virginia Woolfs Orlando:
A Biographyy (2003 [1928]). In the first three books Bella falls into a tra-
ditional pattern of gender roles: she is content with household chores,
and generally moves in a society marked by traditional gender roles and
governed by a set of patriarchs. In the Cullen family, Carlisle works
outside the home while Esme has the role of the stay-at-home care-
giver. Carlisle is clearly the family leader. Jacob comes to join a wolf
pack where each individual has to submit his will to the alpha male.
As Bella becomes involved with Edward, he takes a leading role in their
relationship, setting the parameters for their interaction. Even as Bella is
resourceful and able to make independent movements, she is also con-
sistently portrayed as the weak and dependent party in perpetual need of
male assistance. Bellas gender change comes as she is transformed into
a vampire in Breaking Dawn. Her body changes, becoming stronger and
more agile: she stops being the weak link in the Cullen family chain
now able both to outrun Edward, and to beat the bear-sized Emmett in
hand-wrestling. Furthermore, she displays a degree of self-control as a
newborn paralleled only by that of Carlisle in her ability to abstain from

human blood.
Her adherence to traditional gender roles changes as well. Even as she
has just given birth, her first newborn act is to go hunting, killing ani-
mals in the wilderness, traditionally a masculine activity. Previously a
caregiver to her own parents, she now leaves the caregiver role to Rosalie
and Jacob, who willingly split the nurturing of Renesmee between them.
From being physically weak, caring, and preoccupied with reading and
household chores, Bella has turned into a lethal, superfast and incred-
ibly strong predator, spending her time hunting and having sex while
others are left in care of her offspring. Furthermore, once she becomes a
vampire she loses an essential part of her biological femininity: she can
no longer bear children. In terms of traditional gender roles, this is as
much of a gender change as that experienced by Orlando.
Bella dies to her old self as she very nearly dies in childbirth, so in this
sense giving birth that quintessential feminine task is her feminine
peak, which signals the end of her traditional, feminine role. And Bella
does not revert to her role as caregiver: in the last part of Breaking Dawn
she takes measures to hand over the care of Renesmee to Jacob perma-
nently, while simultaneously undertaking combat training, preparing
to face the Volturi in a life and death battle. While Jacob becomes the
nurturer, Bella transforms into a warrior. And the climax of the show-
down with the Volturi is Bellas ability to perform the task assigned to
males in the rest of the narrative: she becomes the supreme protector.
By acting more like a man, Bella eventually gains the power she desires.
Drawing on the distinctions made by Ashcraft between cultural femi-
nists, who value a culture of women based on biologically innate traits,
radical feminists, who regard gender inequality as due to the social force
of patriarchy and to womens childbearing abilities that have kept them
in subordinate roles, and early liberal feminists, who wanted women to
become like men (Ashcraft, 2013, 212), we can say that Twilight does
not align with feminism in a cultural feminist sense, since Bellas tra-
ditional gender role is discarded as she transforms. Nor does Twilight
endorse feminism in a radical feminist sense, since childbirth is highly
important on Bellas path to transformation. Rather, if Twilight is a
feminist narrative, it is feminist in an early liberal feminist way: Bella
gains her freedom and independence by becoming more like a man.
While Bella and Orlando both undergo gender shifts, Woolfs text
has been better received by feminist critics than that of Meyer. There
are multiple reasons for this, one of which may be that gender identity
is comparatively more categorical in Twilight when compared to the
androgynous quality of gender as it is portrayed in Orlando. This dif-

ference between the narratives is underscored by the function of the
gender shift in each of the two texts. While the gender shift in Orlando
serves to render gender ambiguous, interrogating the concept of gen-
der, Bellas gender shift does not in the same way undermine gender
stereotypes: it is simply that Bella shifts polarity from being gendered
as feminine to being gendered as masculine: and this shift signals a
corresponding increased ability to handle worldly affairs as well as a
higher level of affluence and consequently of power in the world.
There are similarities in the characterization of Bella and Orlando
(they are both 17, display a love for literature and a fascination with
death, and are described as clumsy and preferring their own company)
as well as in the plots of the two texts (both fall irrevocably in love with
a person characterized by an extraordinary seductiveness which issued
from the whole person (OAB 17). They are both left heartbroken, take
refuge in solitude, and seek immortality Bella as an un-dead, Orlando
as a poet). Both narratives end with the happily ever after of the hero-
ines, as they are matched with an equal partner with whom they are
able to freely share their minds: the goal of the romantic encounters of
each is an equal relationship. In both narratives the gender shift is por-
trayed as a change of form rather than a change of an inner, essential
self: Orlando as a woman remained precisely as he had been, except
for the change of gender (OAB 67). Jacob too is relieved to recognize
Bella after her change: You still look like you sort of. Maybe its not
the look so much as you are Bella. I didnt think it would feel like
you were still there (BD 401). So while both protagonists experience a
gender shift, the person inside still remains recognizably the same.
What has changed? In the case of Orlando, his form combine[s] in one
the strength of a man and a womans grace (OAB 67) which is largely
true of Bella in her vampire form as well.
Taking on a more masculine behaviour pattern, Bella becomes
socially powerful in a new way. While presumably she shares in
Edwards wealth when they are married, it is not until her transforma-
tion into a vampire that she actively and independently wields this
wealth, buying Renesmee and Jacob false identity papers so that they
may escape a Volturi showdown. She does this without telling anyone,
since the Volturi leader Aro can also read minds, even memories. To
Orlando, the gender shift from man to woman spells a comparative
weakening of social power and influence. Returning to London from
Constantinople in a different century, Orlando finds that by law she
cannot hold any property since she is either 1) dead, or 2) a woman
which [in the eyes of the law] amounts to much the same thing (OAB
82). Thus in both narratives, wealth and social power are tied to the
masculine gender of the protagonists, and a weakening of social influ-
ence to their female gender.
While Bella seeks physical immortality, Orlando seeks to win immor-
tality against the English language (OAB 39). In Twilightt Edward says
of his attraction to Bella: And so the lion fell in love with the lamb
(T 240). Orlandos lion is a poet: For if it is rash to walk into a lions
den unarmed () it is still more rash to go home alone with a poet
since a poet can destroy illusions and illusions are to the soul what the
atmosphere is to the earth (OAB 100). Thus, both the lion-vampire and
the lion-poet stand in danger of killing the heroine; and both are poten-
tially dangerous to the soul. Being their chosen paths to immortality,
poetry is to Orlando what Edward is to Bella.
While Bellas solution to gender inequality is to let the lion bite her
so that she can become a vampire, Orlandos solution is to take up cross-
dressing, which allows her to move freely in all parts of society, dressed
as a man or woman according to her own inclination, writing, having
tea, fighting duels and going to court. As has been mentioned, Keri Wolf
reads Bellas behaviour in Twilight as marked by a similar autonomy
in crossing between social groups. In many ways, the practice of cross-
dressing secures the same type of freedom for Orlando that Bella enjoys
after becoming a vampire, when she can dress as a female super model
yet act like a man, doing business on the black market and taking up
martial arts, having the best of both worlds. In spite of such similari-
ties, a main difference between these texts in terms of their rhetoric of
gender is that whereas Twilight ultimately links power to behaving
like a man, in Orlando gender is presented as more incidental to ones
opportunities in life: even as Orlando initially loses his/her estate when
gaining a female body, she reclaims it. And only as a woman does she
achieve her quest for immortality when her poem The Oak Tree is
finally published a poem that has been written by Orlando as man
and as woman.
However, the difference between Orlando and Twilight is most pro-
nounced on the level of narration. While both narrators use satirical
hyperbole, Orlando is narrated in the third person, by a narrator who
is constantly offering his or her thoughts and comments along with
the accounts of Orlando, in an accompanying internal monologue,
frequently digressing into philosophical considerations of a nature
more general than the specifics of Orlandos life. One sentence in this
rambling, associative, philosophical monologue may cover an entire
paragraph, replete with sub-clauses and insertions, linking reflections

on nature with a persons movements up and down the stairs, all the
while pondering the mystery of daily existence (OAB 37). The prose in
Twilight is much more straightforward and characterized by shorter sen-
tences, many of which are renditions of verbal exchanges and dialogue.
The effect is that although Twilight is replete with the supernatural, it
is in Orlando that the readers sense of reality is more uncertain. While
Twilight describes its fictional universe, occasionally commenting
upon it, the narrator of Orlando speculates about the nature of reality.
These differences in style are part of what distinguishes the paranormal
romance from the liminal fantasy, which by definition is more open
and ambiguous. While in Twilight Bellas initial dream about Jacob and
Edward turn into her literal reality, in Orlando reality itself is hazy, and
dreamlike. Liminal fantasy is marked by open texts that make read-
ings available (Mendlesohn, 2008, p. 185). Its rhetoric relies on what
William C. Booth terms stable irony and on Todorovs concept of
hesitation that creates doubt sometimes in the protagonist, but also in
the reader (Mendlesohn, 2008, p. 184). In Orlando, the fantastic is used
to create doubt primarily about the protagonists gendered identity and
thus about the nature of gender as such.
Further serving to distinguish them, there are major differences in the
emotional tone of the two narratives, as well as in the characterization
of the protagonists. Orlando is no martyr, nor is s/he prone to self-
sacrifice. Furthermore, Orlandos romantic relationships do not come
across as dictated by destiny: they are freely chosen. There is also an
element of bisexual attraction in Orlando that is not present in Twilight:
having changed gender, Orlando feels as strongly about Sasha as before.
And while sexual abstinence is a theme in Twilight, Orlando enjoys
sex with multiple partners. The absence of the rhetoric of martyrdom,
sexual abstinence, destiny and self-sacrifice that are associated with the
religious (Mormon) ethical subtext in Twilight, marks Orlando as more
clearly founded on a secular ethical outlook.
A further difference in the portrayal of gender in these narratives is
the space given to childbirth. In Orlando childbirth is veiled, concealed,
shrouded by two pages of digressions accompanied by the sound of
a barrel-organ and only revealed at the end of them by the exclama-
tion: Its a very fine boy, MLady (OAB 146). In Twilight Bellas preg-
nancy and birth cover some 250 pages, making up more than a third
of Breaking Dawn. Since childbirth is a uniquely feminine experience,
rooted in a fundamental biological difference between the sexes, this
single fact may be a sign of the impact that cultural feminism has had
in the Western world since Wolf wrote her narrative in 1928. While in
Twilight childbirth is an empowering peak experience, signalling the
birth of Bellas superpowers, in Orlando it is deliberately hushed up
and scarcely mentioned. So while Orlando was progressive in its time,
and Twilight in some ways feels conservative today, something has
happened to our valuation and validation of feminine experience since
Orlando, made visible by the space that can be allotted to biologically
feminine experiences such as pregnancy and childbirth in a present-day
romantic fantasy.
Completion in Twilight
Given the series progression that underlines the metamorphosis of the

heroine from weak and fallible human being to superhuman perfect
vampire, Twilight as a narrative suggets that it is better to be superhu-
man than to be merely human. Considerable emphasis is placed, how-
ever, on the difficulties of transition. Several characters voice objections
to Bellas expressed desire of becoming an un-dead: Edward, Rosalie
and above all Jacob. In terms of progression, all opposition is argued
down by Bellas triumphant and happy ending as a vampire who has it
all. Even so, her reward at series end is most tantalizing to those who
value wealth, good looks and predator prowess over the human experi-
ence of change and maturation.
While the series is open to a range of interpretive schemata, there is
clearly a religious ethical subtext in the narrative emphasis on sexual
abstinence and self-sacrificial suffering. Bellas transformation and
apotheosis can also be read in a secular frame as corresponding to the
transhumanist vision of the post-human: a superhuman individual
enhanced by advanced medical technology. The popular appeal of this
vision is perhaps more readily explicable with reference to the genetic
possibilities for human enhancement that are becoming available
through technology than with reference to Mormon religious beliefs.
However, the narrative emphasis on beauty and fashion probably also
strikes a contemporary chord in those growing up surrounded by pic-
ture perfect people in the blog-sphere. As if in answer to those who
think the message of Christianity is at odds with that of the fashion
industry, the Twilight series combines them, highlighting certain simi-
larities between them. Like Twilight, the fashion industry promotes the
idea of a perfect body that can only be obtained through rigorously
controlling ones appetite: this way of thinking in many cases inflicts
damage on the body (as in the case of anorectic fashion models). Bella,
pursues both the example of Christ and the ideal of the runway model,
thus highlighting how both these ideals may involve pain and sacrifice
of bodily health and pleasures.
On the level of the tellers, the text opens for reader identification
both with the narrator-focalizer Bella Swan, and with the secondary
narrator-focalizer Jacob Black. The degree to which the reader identifies
with the narrative voice of Bella or the narrative voice of Jacob is likely
to be a factor in determining whether said reader joins Team Edward
or Team Jacob. Readers who appreciate the satirical distance to the fic-
tional universe created by Jacob as a narrator-focalizer or align with his
scepticism towards Bellas vampire project are less likely to identify with
Bella, portrayed as a Christ-like, self-sacrificing martyr albeit a martyr
who turns out to enjoy the fairy tale life of a fashion model.
Readers who align with Jacobs narrative voice may experience the
texts hyperbolic Gothic elements and the narratives reliance on the
story arches of classical romantic drama as satirical communication on
the part of the implied author. By splitting the narrator-focalizer role
in Breaking Dawn the implied author provides interpretive space for
questioning the choices and values of its heroine. The danger of this
position is that Bella becomes an object of ridicule. If this is the case, the
series potentially functions as a satirical portrait of the wish-fulfilling
dreams of the fashion and cosmetics industries, with their emphasis on
obtaining both an ageless body and perfect beauty. A questioning of
the extent to which the reader is meant to take Bella seriously impacts
the readers ethical and aesthetic judgements. Such questioning arises
most prominently in Breaking Dawn, where Bella temporarily shifts from
being the subject to being the object of the focalization.
Bellas evaluations of Edward and Jacob demonstrate that Bella is
biased towards Edward, and that her narration is unreliable, potentially
both as misreportingg and as underreading, g since the available draft of
Midnight Sun shows that she clearly underestimates both Edwards self-
ishness and the danger to herself that he poses. The shifts in narrator-
focalizer position to Jacob in Breaking Dawn and to Edward in Midnight
Sun thus undermine an authoritative interpretation of the fictional
world an attribute of Mendlesohns fuzzy set of the portal-quest
fantasy (Mendlesohn, 2008, p. xx).
The values of the implied author of Twilight are developed along
the axes of danger versus protection, self-sacrifice versus self-interest,
addiction versus abstinence, and superiority versus inferiority. When
the narrative logic of superior versus inferior is linked with the issue of
skin colour, the narrative may become a vehicle of a problematic racial
discourse, where white is superior to other skin tones. While the hero-
ine claims to be jealous of Jacobs lovely skin color, the super-white
and sparkly Cullens represent the narratives peaks of both wealth and
beauty, and also correspond to the heroines ideal.
The series portrayal of gender is contradictory, and has provoked
controversy. In the first three volumes Bella complies with her patri-
archal environment, taking a traditional feminine role as the damsel
in distress. Performing a gender shift in Breaking Dawn, she loses her
child-bearing ability and adopts a more masculine behaviour pattern:
becoming more like a man, Bella is empowered. While this course of
action may please early liberal feminists, cultural feminists have cause
for concern, particularly as Bellas transformation and gender shift
is coupled with the inferior/superior dichotomy in the text. On the
other hand, the space devoted to pregnancy and childbirth in Twilight
contrasts markedly with the treatment of this experience in Orlando,
suggesting the impact of cultural feminism on Western culture since
the 1920s.
With the narrative voice becoming more complex, Twilight develops
aesthetically as the narrative progresses. For readers who identify with
Jacob as narrator-focalizer rather than with Bella, the storys resolution
feels incomplete. While Bella achieves contentment, in a chapter enti-
tled the happily ever after, Jacobs happiness is yet again suspended by
the arrival of a rival in the end. Significantly, the implied author again
uses Jacob as a means to providing a privileged white girl with a roman-
tic multiple-choice situation. In this way Renesmees free will is ensured;
and the narrative situation could potentially repeat itself, but this time
featuring Renesmee in Bellas place. This ending further implies that
while Jacobs world revolves around Renesmee, her affections may not
be tied as exclusively to Jacob. However, introducing female choice into
the all male practice of imprinting is a partly redeeming feature of the
narratives discourse on gender.
While all of Bellas choices and sacrifices are rewarded in the end,
implicitly validating her course of action, Jacob has no such reward.
What does Jacob do wrong? Like Bella he sacrifices his life and his
family ties for love. In a parallel to Bellas defiance when pregnant with
Renesmee, Jacob abandons his own pack in order to defend what he sees
as right. And like Bella he is motivated by love but unlike Bella, Jacob
is not rewarded with a happily ever after there is no poetic justice
in this case. The inescapable explanation is that it is because he is not
a vampire: and that because of his genes he cannott be. Renesmee has
24 chromosome pairs like Jacob, but is half vampire, and so implicitly
shares in the blessed state of her parents. These narrative implications

also highlight the ethical challenges faced by the transhumanist move-
ment, addressed by Nick Bostrom, who acknowledges that the creation
of a race of superhumans through germ-line enhancements may under-
mine social equality:
The mobility between the lower and the upper classes might disap-
pear, and a child born to poor parents, lacking genetic enhance-
ments, might find it impossible to successfully compete against the
super-children of the rich. (Bostrom, 2003, p. 500)
Renesmee is certainly a super-child, with her accelerated growth

and maturation and her early display of intelligence and she is also,
through Edwards white privilege wealth, a super-child of the rich.
While Jacob does not seem morally inferior to Edward and Bella, what
undermines his fortune is hardly anything other than his race and his
relative poverty.
The ethical conclusion to be drawn about the relationship between
values and narrative form in Twilight is that racial issues present more
of a problem than do gender issues: while gender inequalities and
feminine inferiority vanishes once Bella is a vampire, racial privilege
remains in place in the snow-white world of Cullen vampirehood. To
prove this correlation wrong, Jacob will have to get his happily forever
after with Renesmee in an eventual part two of the series. In true fairy
tale style, the future is hopeful, however. Even as all of Carlisle Cullens
adopted children are accidentally white, in Breaking Dawn the Cullens
join forces with vampires of several different nations and hues in order
to combat the vicious Volturi much like all nations and peoples must
join together in The Lord of the Rings to defeat Sauron. Furthermore,
white privilege seems destined to end, since none of Renesmees poten-
tial suitors are white: although Nahuels mother is a South American
Indian, whose parents named her after the snow on the mountains
because of her fair skin (BD 682), Nahuels skin colour is described by
Bella as an impossible rich, dark brown (BD 680).
For readers apprehending Twilight primarily as young adult romance,
the series dysfunctional relationships and its potential racism come to
the fore as the most ethically significant issues of the text. For those
appreciating the series religious subtext, its masochistic relationships
serve to promote the virtues of self-sacrifice, unconditional forgiveness
and martyrdom. Through alignment with its secondary narrator-focal-
izer Jacob, the text also allows for a reading of the series as Goth parody,
satirizing the hyperbolic rhetorics of intrusion fantasy and romantic

drama. Consequently, those who find Bella laughable have a reasonable
line of textual defence for that position. Yet, reading Twighlight as para-
normal romance and as a subset of Template Dark Fantasy brings to the
fore the series emphasis on the negotiation of difference, which culmi-
nates in the resolution of this difference in Breaking Dawn, both in terms
of gender inequality and power imbalance between Bella and Edward,
and in terms of racial inequality through the notion of white privilege,
which is transmuted by making Renesmee a trans-species hybrid with
two potential suitors, both of whom are coloured rather than white.
6
Comparisons and Conclusion
The first part of this book has analysed the relationship between
ethics and aesthetics in the quest fantasies The Lord of the Rings and
Harry Potter. The analysis has demonstrated that even as the texts share
certain structural features, such as a quest structured as a moral test, a
prophecy and the journey of a hero guided by a wise old man, their
individual formulation of these features is encapsulated in markedly
different ethical visions that shape the rhetoric of the texts. Chapter 4
has further argued that there is a correlation between the central arche-
typal symbolism and the narratives form in both The Lord of the Rings
and Harry Potterr a correlation that is also linked to the ethical agenda
of the respective narratives.
The second part of this book has analysed the relationship between
ethics and aesthetics in the paranormal romance series Twilight. While
touching on whether Twilight may be classed as either intrusion or
portal-quest fantasy, it has been read here primarily as Template Dark
Fantasy. Its rhetoric and narrative style has also been briefly compared
to Woolfs liminal fantasy Orlando: A Biography.
This concluding chapter compares Harry Potterr and Twilight, with the
aim to demonstrate that although they are classed as quest fantasy and
TDF respectively, there are striking similarities in the symbolism used
to organize the ethical discourse in both narratives even as their indi-
vidual ethical visions are in many respects opposed. This chapter further
compares the three primary texts as gendered structures and analyses
them as male and female coming-of-age stories, demonstrating that
while all these texts draw on tropes, symbols and narrative structures
common to fantasy literature, the ethical uses to which these tropes are
put remain text-specific.
219
Harry Potter and Twilight
Based on the analysis in chapters 3 and 5, it has become apparent that

in both Harry Potterr and Twilight evil is associated with the figure of the
vampire, and that the ethical discourse is focused around the concepts
of love, blood and soul, as well as the ability to manipulate and control
the minds of others. Even so, the texts are vehicles for highly different
ethical visions.
The vampire: blood and soul

Whereas both Harry Potterr and Twilight draw on a Christian conception
of good as furthered through self-sacrificial love, vampirism and the
quest for prolonged life are associated with evil in Harry Potter, r while
in Twilight both the figure of the vampire and the heroines quest for
immortality are aligned with the textual definition of the good (albeit
this alignment is modified if the text is intended or read as satire).
Voldemort is the villain in Harry Potterr because he is unable to love
and unwilling to accept his mortality. He kills others in the pursuit of
his ends, damaging his own soul. He abuses power, and seeks to sub-
jugate those who are racially inferior the so-called Mud-bloods. In
Deathly Hallows Harry witnesses the result of Voldemorts actions: his
soul is degenerate, maimed, crippled. As the analysis in chapter 3 has
shown, good and evil in Harry Potterr are negatively formulated, in
the sense that Voldemort, embodying evil, is the most stable of all the
characters in the series: Voldemort embodies what nott to be. Conversely,
Twilight is formulated around an ideal that the heroine strives to
become: for Bella Edward is perfect in every respect although sharing
with Voldemort the quality of a static moral character.
While Voldemort willingly splits his own soul through murder,
Edward, who has also murdered, worries that he has no soul. He ago-
nizes over the possibility that he may rob Bella of hers by making her an
un-dead, contrary to the belief of both Carlisle and Bella that vampires
like Edward do have a soul, and that soul is a persons essence surviv-
ing physical death. In New Moon, as Bella comes to his rescue, Edward
believes for an instant that he has died and that he sees Bella because
his soul and hers still exist, exclaiming: Carlisle was right (NM 398).
Apart from this incident, the question of whether vampires actually do
have souls is not resolved in Twilight. Consequently, Bella much like
Voldemort is prepared to risk her soul in order to get the immortality
or un-dead status that she desires; a status also connected to objects of
wealth and prestige through the materialist indulgence of the Cullen
Comparisons and Conclusion 221
family. As she tells Edward in New Moon: I dont care! You can have
my soul (NM 61). Bella renounces her soul to be with Edward forever,
stressing that she does this for love, and in spite of Edwards financially
elevated position. However, once a vampire, she takes to the opulent
Cullen lifestyle like a Swan to water. Linked with the textual emphasis
on humans as slow and dull compared to vampires, this suggests that
Bellas earlier resistance to the trappings of wealth, prestige and luxury
was simply part of her dim wit as a human.1
Another trait that Bella shares with Voldemort is her fascination with
shiny objects bling. While Voldemort seeks prestigious objects like
rings and trophies in which to seal parts of his soul by turning them
into Horcruxes, Bella pours all of her soul into one shiny and prestig-
ious object: Edward Cullen. When he leaves her in New Moon she is
completely devastated empty like a soulless zombie. However, while
Voldemorts fascination with status objects in Harry Potterr marks him as
misguided and leads to his downfall, Bellas fascination with the status
object Edward is her ticket to the good life and to her happily ever
after (even as the secondary narrator-focalizer Jacob conceives of Bella
too as misguided).
Vampire style, Voldemort requires Harrys blood in order to resurrect
a physical body. And Bella takes to drinking (donated) human blood
in Breaking Dawn in order to survive her pregnancy with Renesmee. In
Harry Potter,
r through Harrys role as a Christ figure, Voldemorts inges-
tion of his blood becomes an allegory of the sacrament of the Eucharist:
having ingested Harrys blood Voldemorts tolerance for love increases.
But what should one make of Bellas ingestion of human blood in
Breaking Dawn, apart from being a precursor to her life as a vampire?
The scriptural epigraph to Twilightt invites a Christian allegorical read-
ing of the series. While John Granger reads Edward as a Christ figure
(Granger, 2010, p. 84), the character of Bella much more clearly emu-
lates the self-sacrifice and martyrdom of Christ. Given such a reading,
the series stages an inverted Eucharist: the Christ-figure Bella drinks
human blood. There is certainly something bizarre and contradictory
about this image, particularly in light of the series emphasis on humans
as inferior to vampires. Given a reading of Edward as Christ, the sym-
bolism remains eccentric, since nobody in the series ingests Edwards
blood. On the contrary, in Twilightt Edward drinks Bellas blood while
sucking out Jamess venom and this act is a moral test for Edward: his
ability to stop pulling blood once Bella is clean marks his achievement
of complete self-restraint and is one of his moral high points in the
narrative. This supports reading Bella as a redemptive Christ figure.
While the figure of the vampire clearly embodies evil in Harry Potter, r
in Twilight the figure of the vampire is cast as supremely good (Carlisle
Cullen), as bloodthirsty and frightening (new born vampires), and as
power hungry, manipulative and cruel (the Volturi). Consequently,
there is a wider range to the connotations of the vampire figure in
Twilight than in Harry Potter. While Voldemort is unambiguously por-
trayed as morally despicable, Carlisle Cullen in particular is clearly pre-
sented as morally praiseworthy. These contradictory moral attributions
of a vampyrical figure may attract several explanations, some possibly
linked to Mormon theology and Mormon cultural history. Recall the
double interpretation of Twilights t cover and epigraph as a warning but
also as a promise: yielding to temptation by eating the apple spells origi-
nal sin to most Christians, while to Mormons the fall is a necessary step
in human evolution and development. The pull of carnal temptation,
so important to the ethical subtexts of Twilight, is aptly embodied by
the figure of the vampire, who is irresistibly driven by bloodlust. But
since to a Mormon the fall is a necessary step in the creation of heaven
on earth, it may be necessary to succumb to this pull: to marry the
vampire. In Harry Potter, r which is formulated around magic rather than
around desire and abstinence, the vampire embodies dark magic. Pitted
as the contrast to Dumbledores credo that love is the strongest magic of
all, the vampire-like Voldemort stands for lack of love. (In Twilight, the
vampires dark aspect is rather lack of self-restraint.)
The presence of the cluster vampires, blood and soul in both nar-
ratives is associated with the elements of Goth and horror fiction that
they share: with the figure of the vampire comes an emphasis on blood
and questions of the (damned) soul. While Mendlesohn has argued
that Harry Potterr starts as intrusion fantasy and turns into a portal-quest
fantasy, the view of this book is that the series fuses these formal tem-
plates, since the intrusion rhetoric remains prominent throughout. As
Mendlesohn notes, intrusion fantasy has strong ties with the gothic,
portraying sinister family abuse, mysterious castles, and a sense of evil
lurking beneath the surface, where the protagonist often turns out to
be the final victim (Mendlesohn, 2008, p. 136). In Harry Potterr these
elements remain significant throughout the series. Like in the gothic
novel, evil in Harry Potterr is close to home. Harry is physically and psy-
chologically abused by his aunt and uncle from a young age, he finds
a home in a gothic castle, in which evil frequently (and sometimes
literally) lurks beneath the surface, and ultimately evil turns out to be
his relative, with whom he even shares a fragment of soul. Voldemorts
mind intrudes upon Harry throughout the narrative in flashes of shared
thoughts and experiences and Harry is revealed to be the final victim

not just of Voldemorts but also, more surprisingly, of Dumbledores
devising. Further blurring Mendlesohns categorization of Harry Potter
as a portal-quest fantasy is the fact that the series ethical discourse
borders on liminal fantasy: in Deathly Hallows the narratives truth
standard, Dumbledore, is undercut forcing the reader to turn the
story around in their minds eye. Mendlesohn classifies such a process,
where the storys meaning shifts according to perspective, as polysemic
(Mendlesohn, 2008, p. 252) something that is characteristic of liminal
fantasy. Arguably, Mendlesohn inadequately addresses the ideological
implications of works that cross between or combine fuzzy sets and
this is a main reason why she finds the relationship between ethics
and form in fantasy literature rigid.
Mind control
A further element shared by Harry Potterr and Twilight is that the battle
between good and evil in both narratives takes place in large part on
the mental plane. Harry has to learn to master spells and incantations
in order to manipulate physical reality. He also has to learn mind con-
trol, Occlumency, in order to shield his mind from the manipulative
intrusion of others. In Harry Potterr it is the casting of spells in garbled
Latin that help the protagonists to master the world; to assert, through
mental power and intent (aided, perhaps, by some mysterious magical
force) the control of the mind over physical bodies or matter.
In Twilight too mental control over physical bodies is vitally
important first and foremost to Edward, who must control his desire
to drain Bella. He accomplishes this through a victory of Mind over
matter (T 262).2 Mind over matter is also one of the chapter head-
ings in the first book. Mental control over the physical body is equally
important to Jacob, who must master his temper so as not to physically
harm Bella while phasing. Underscoring this emphasis on the mind,
Edwards special ability is that he can read the minds of others. Bella
is fascinating to him because he cannot read hers. In contemporary
terminology, he is unable to hack her to gain access to her thoughts
without her consent. In contrast, Jacob and his wolf pack share a group
mind where no thoughts are private a bit like having everything that
runs through your mind instantly posted on Facebook, while hearing
the likes or dislikes of others in response. In addition, the supreme
power and evil of the Volturi vampire mafia is founded on their abil-
ity to interfere with the minds and emotions of others and thus to
dominate them. Aro, head of the Volturi triumvirate, can scan your
mental disc: holding your hand he has access to all your memories.
Furthermore, Bellas superpower once she transforms is that she can
extend her mind to shield others from the Volturi and their mental and
emotional hacker abilities. In the final showdown, Bella is functioning
very much like an immaculately up-to-date firewall.
While there are elements of this dynamic in Harry Potters ability to
see into the mind of Voldemort and in his consequent need to learn
Occlumency in order to protect his own mind, the intrusion rhetoric in
Twilight is more clearly founded on the computer analogy of evil as a
hacking of personal information and good as the power to withstand
such information attacks. If not always consciously, today we live with
the knowledge that all of our thoughts and messages, once digitalized,
are open to the potential use or abuse of others (see for instance Turow
2011). The Twilight series thus resonates with the consequent desire
most of us share of being able, like Bella, to protect our privacy and to
decide who to let into our minds. This mental formulation of good
and evil in both texts is, it seems, likely related to their shared cultural
context.
Love
While love is the highest good in both texts, I read the discourse on
love in Harry Potterr as centred on a discussion of the positive and nega-
tive aspects of Dumbledores impersonal, utilitarian conception of love;
the love that values all people the same, but which fails to take into
account the unique value of persons and of personal relationships. The
potential cost of impersonal love to personal relationships is an issue
in the text, as is abuse of authority and betrayal of trust. Shira Wolosky
has argued that the models for relationship and commitment developed
within feminist ethics accord deeply with the ethics of Harry Potter,
placing the emphasis on a model of self as arising out of relationships
and seeking to sustain them (Wolosky, 2012, p. 207). Drawing on
Augustines City of God, Wolosky regards the relationships within Harry
Potterr as societies of commitment, arguing that the friendship between
Hermione, Ron and Harry redefines () heroism itself as relational
rather than solitary (Wolosky, 2012, p. 208). While this relational aspect
of heroism may resonate with feminist ethics, it is also a staple feature
of quest fantasy: as has been noted, no quest hero is complete without
helpers. Frodo, for instance, depends on the Fellowship of the Ring and
the faithful Sam. Underlining the narratives relationship to feminist
ethics, Wolosky further notes that in Harry Potter,
r mothers increasingly
emerge as heroes (Wolosky, 2012, p. 209). While this is hardly the case
in The Lord of the Rings, motherhood is important in Twilight, where

Bellas pregnancy becomes her ticket to the promised land of the
happily forever after with Edward. The importance of motherhood in
Twilight is underlined by the characters of Esme and Rosalie: Esme was
ready to commit suicide after losing her baby, and Rosalie struggles with
being a vampire since female vampires (in contrast to male vampires)
cannot procreate. Esme plays mother to Carlisles adopted children,
and Rosalie protects the pregnant Bella against the Cullens who want
her to terminate her pregnancy in order to save her own life. However,
as Merinne Whitton has noted, there is a sense in Twilight in which
the only good mother is a dead d mother, as demonstrated by Bellas and
The Third Wifes self-sacrifices for the sake of their children (Whitton,
2011, p. 127). This theme is prominent in Harry Potterr too: Harry is
protected from evil by his (dead) mothers love sacrifice. While mother-
hood is important in Twilight, it does not confer status on a woman:
the state of motherhood is marginalized throughout, with mother fig-
ures either absented from the text altogether, or elided with a patriarch
from whom they draw legitimacy but no authority (Whitton, 2011,
p. 129). As was noted in chapter 5, Bellas power and status in Breaking
Dawn rests on her gender-shift from human caregiver and nurturer to
immortal predator and warrior as a vampire, while the care-giving role
is dumped on Jacob, corresponding with a backgrounding of his alpha
role in his wolf pack.
Thus, while love in Twilight is at first exemplified by romantic love,
and particularly the romantic love between Edward and Bella, in Breaking
Dawn the sacrificial love of mothers for their children comes to the fore
in the narrative even as Bella, consistent with her portrayal as a Christ
figure, experiences the love of motherhood primarily as suffering rather
than as nurturing. Love in Twilight is also expressed through the bonds
of love that unite the Cullens family affection. Essentially, love in
Twilight is expressed as a personalized, self-sacrificial love that encom-
passes immediate family but which rarely extends beyond that sphere.
This emphasis might have been different if the narrative had been focal-
ized through Carlisle Cullen, whose altruism extends beyond his own
family to include also another species: humans. To Bella, all is well in
the world if her family and best friend are safe. With Bella as the nar-
ratives main focalizer, the private nature of Twilight morality extends
to its discourse on race and equality, since Jacob, part of a romantic
love triangle at first, ends up as part of the family when he imprints
on Renesmee. While Harry Potterr touches on issues like institutionalized
racism and genocide (as Voldemort takes over the Ministry of Magic), in
Twilight racial difference is primarily expressed in socio-economic terms

as the difference in wealth and privilege between Bellas two rival suitors
but also in terms of genetics.
There is a sense in which Twilight ends triumphantly because the
heroines worldly impotence is dumped on Jacob as Bella transforms: in
spite of becoming an alpha, Jacob ends up as Renesmees nanny, stripped
of his previous identity. Again, there seems to be something ethically
problematic with the narrative treatment of Jacob, despite the narratives
insistence on his happiness in his role as the dog bone of a vampire
child and the assertion that the love of one who imprints is always
disinterested, with the happiness of the other party its main object. This
dictum is antithetic to the emphasis placed on romantic love in the rest
of the text, and to the fact that Jacob has previously formed part of a
romantic love triangle. In addition, the Quileute are portrayed as highly
passionate, something that further undercuts the internal logic of this
narrative resolution. Perhaps Jacobs changed priorities are meant to
signal moral growth on his part a development from self-interested,
romantic love to an essentially selfless form of love? If so, perhaps the
re-centring of his life around Renesmee is his best possible reward,
ethically speaking? Bellas narrative resolution undermines this premise,
since she does not have to forfeit romantic and passionate love. Also,
part of her triumph as a vampire is her movement from an essentially
unequal to an equal relationship. In the shift of Jacobs affection from
Bella to Renesmee in Breaking Dawn he is moved in the opposite direc-
tion: from his essentially equal relationship with Bella, he moves to the
relation with Renesmee, unequal in several respects. This is narrative
fairy tale magic: turning Jacob from a passionate lover to an asexual
nanny effectively ties up some loose ends, since it means that Bellas
fairy tale resolution is untainted by any heartache on Jacobs part. He has
served mimetically to anchor the relationship between Bella and Edward
in a human dimension, thematically to mitigate between the perfect
Edward and the human Bella, and synthetically as the implied authors
aside to the reader, outing the Gothic hyperbole in Bellas relationship
with a perfect vampire, her terrible pregnancy and horrific birth. As
Bella transforms, Jacob is made superfluous on all three scores: Bella is
no longer human, the unequal love relationship is resolved in the hap-
pily ever after, and the implied author slips from Goth parody to fairy
tale. And this is where Harry Potterr and Twilight converge: in the notion
that perfect happiness is attainable as an end result in this world.
In chapter 4 the more limited scope of good and evil in the Harry
Potter series relative to the one in The Lord of the Rings was noted: while
The Lord of the Rings deals with the divine, the human and the natural
realms, the Harry Potterr series is mainly deployed in the human inter-
personal realm, dealing primarily with social and emotional relations
between people. Love in Twilight, then, is even more local than in
Harry Potter;
r including in the main a concern only for ones immediate
family and relations.
Shape-shifting and metamorphosis

The longing for immortality, central to all the three primary texts in
this book, is a significant theme already in the first work of literature
known, The Epic of Gilgamesh, dating back more than 3,700 years
(George, 1999). This marks immortality as an atemporal human con-
cern: medieval alchemists and modern day Transhumanists can all be
seen to push against the borders of mortality.
Transformation is also a recurring theme not only in fantasy fiction
but in world literature. In Metamorphosis (around AD 8), Ovid plays with
the questions of form and identity, recognizing transformation as the
common denominator of the various myths and stories in his famous
poem (Fenny, 2004, p. xxii). Chapter 3 in this book has argued that
the themes of metamorphosis and shape-shifting are prominent in the
Harry Potterr series both thematically but also formally, since its genre
morphs from a childrens fantasy in volume one toward a complex
adult novel in volume seven, mirroring the coming of age of its main
protagonist.
In both Harry Potterr and Twilight, the theme of transformation char-
acteristic of coming-of-age stories is formulated by drawing on the fig-
ures of the vampire and the shape-shifter. In Harry Potterr the vampire is
associated with Voldemort and with evil, whereas the central symbol of
the shape-shifting phoenix is associated with the resistance to evil. In
Twilight, the vampire (Edward, Bella) represents permanent transforma-
tion; metamorphosis, and also the ultimate good, while the werewolf
(Jacob) embodies the ability to shape-shift to move back and forth
between forms but is cast as slightly inferior. Relating the theme of
transformation to the series TDF structure and the emphasis in this
form on the negotiation of difference, one could say that Bella effec-
tively loses her status as other through transforming into a vampire,
thus gaining her true form. Jacob, through his no form essentially
is nobody, both in terms of his lower social standing throughout the
series and in view of his remaining unrewarded at series end. Relative to
Bellas transformation and the status of the Cullen clan as the epitome
of all things desirable, Jacob is and remains, even as his whole identity
shifts when imprinting an other, dependent for his self-identity first

on his wolf pack, then on Renesmee.
While in Twilight shape-shifting is tied exclusively to the Quileute,
and thus implicitly to race, in Harry Potterr shape-shifting is a matter of
magic. Through Dumbledores pet bird Fawkes it is also linked with the
morally good. At the same time, the use of polyjuice potion renders
formal change morally ambiguous since it is used by both good and
evil characters, and for both good and evil ends suggesting that shape-
shifting and magic in general are not inherently good or evil but rather
that they can be put to good or evil use. In Twilight too form is mislead-
ing, and in relation to the figure of the vampire, deception has a dual
layer: the Cullens pose as human teenagers, but are in reality immortal
vampires. Simultaneously, their vampire form is also misleading since
they do not, as do other vampires, prey on humans. In a sense, the
Cullens hide from human prejudices against the vampire form even as
they at times also struggle with their choice to go against their form
and suppress their own predator instincts. So while in Harry Potterr the
shape-shifter archetype suggests that form is morally unreliable, in
Twilight the shape-shifter archetype communicates the idea that lack
of a stable, perfected form is powerlessness. After all, Bella chases as an
ideal that which is unchanging, both in terms of an ageless body and as
eternal love (fixed in the form of marriage).
If in Harry Potterr the theme of shape-shifting and metamorphoses
is reflected in the series form, in Twilight there is movement towards
a fairy tale ending in Breaking Dawn, shifting the series away from
an emphasis on the intrusion rhetoric of gothic horror fiction that
has dominated the narration of Bellas pregnancy and birth, and to
a fairy-tale happy ending the formal trajectory of which is set up
through the combination of the templates of Cinderella and Beauty
and the Beast. However, Bellas transformation feels superficial com-
pared to the one taking place in Harry Potter,r and this is due to the fact
that metamorphosis in Harry Potterr is inner alchemy that is, moral
transformation whereas when Bella metamorphoses in Breaking Dawn
it is her physical form that changes while her moral disposition remains
essentially unchanged. This difference has to do with the ethical agen-
das of the respective texts. There is also a sense in which the central
archetypal symbol that of the vampire is reflected thematically in
Twilight, since in the series romantic love is portrayed as dependency:
as inability to exist without the other. (Essentially, this is an inversion
of the parasitic relationship dynamic between Harry and Voldemort,
where neither can live while the other survives.)
The moral rhetoric of Harry Potterr involves a denial that appearance

can be a reliable guide to moral truth. The narrative abounds in char-
acters whose moral allegiance is contradicted by their physicality; this
is often tied to the mistaken identity plot device, especially relative to
the DADA teachers. In Twilight, as in The Lord of the Rings, there is a
general tendency for the beautiful and the morally good to coincide
most prominently in (Bellas view of) the Cullens. There are traces of the
misleading appearance rhetoric, however, since the Cullens habitually
disguise their predatory natures to fake a life as normal human teenag-
ers: they also pose as vegetarians. Like many teenagers, Bella hides her
true life from her parents, while Edward (initially) hides his real feelings
from Bella. In both narratives, then, truth is something frequently hid-
den or covered up.
While Harry Potterr is shaped around the rhetoric of its surprise end-
ing and laid out like a mystery to be solved, in Twilight truth emerges
through initiation into and negotiation of difference in line with the
rhetoric of Template Dark Fantasy. Both series build on the trope of
wainscot societies.3 Like the Cullens secret vampire society, the wizard
world in Harry Potterr is a wainscot society, into the lore of which Harry is
initiated by Hagrid at the age of eleven. Wainscots are common in both
science fiction and fantasy (Clute and Grant, 1999, p. 991). The hidden
nature of truth is a trope of Gothic fiction, which is part of the generic
mix of both series: the hallmarks of the Gothic fantasy include a sur-
face story which will be proven wrong (Mendlesohn and James, 2009,
p. 16). In Harry Potter,r the surface story of Dumbledore as the morally
infallible wise old man is undermined in Deathly Hallows as his moral
shortcomings are revealed: the rhetoric in Harry Potter is interlinked
with issues of morality. In Twilight the surface story is tied to Bellas
human fallibility, dependency and weakness, all of which are proven
wrong in Breaking Dawn when she reveals her hidden potential as a
near-indestructible and independent vampire: in Twilight the textual
rhetoric is formulated around issues of power and powerlessness.
So while truth is hidden from Harry, the truth hidden in Bella is her
beauty, but also her power: a power that potentially makes her danger-
ous. Bellas hidden potential is physical beauty and worldly power rather
than moral ability, which she already possesses in her readiness to sac-
rifice her life for that of others. It is this moral ability that Harry has to
develop in order to succeed with his quest. This difference in textual
concern is at the core of the two narratives, and underlies their critical
reception: Harry Potterr has primarily sparked moral and religious con-
troversy, whereas Twilight has generated stronger concern relative to its
rhetoric of gender a discourse that is intimately connected with issues

of power, and in particular with power-in-the-world. While Harry devel-
ops moral power as phronesis, Bellas aim is to gain worldly power as
physical strength and beauty. This difference in emphasis may to some
extent be associated with the gender of the respective protagonists.
The Lord of the Rings, Harry Potter and Twilight
While both Twilight and the Harry Potterr series have female flesh and
blood authors, the main protagonist of the quest-fantasies Harry Potter
and The Lord of the Rings are male, while the main protagonist in the
paranormal romance Twilight is female. Arguably, the protagonists gen-
der holds significance to the narrative trajectory of the respective texts.
Male and Female Coming-of-Age Stories

Relative to the relationship between narrative form and ethics, the
opening scene of Twilightt demonstrates the advantage a quest hero has
over the heroine of a romantic melodrama: although usually orphans,
quest heroes typically come under the guidance of wise old men quite
early on: mentors who prepare them for the mortal perils ahead. No
such luck for Bella. Adding to the lack of wise mentor figures in her life
is Bellas own difficulty in communicating with others, not least her
own parents. Consequently, she is left to the devices of her 17-year-
old self in forging her destiny one that she models on classic literary
dramas, such as Wuthering Heights and Romeo and Juliet. As a result,
Bella is prone to exaggeration and melodrama. Her actions are in many
respects immature, and lack the foundation in wisdom that the mentor
figure provides in a quest-fantasy. In this sense, her character is a rather
realistic portrait of an adolescent; a person who, as the series progresses,
grows through facing the consequences of her own choices for herself
and others.
Brian Attebery traces this lack of mentor figures in womens coming-of-
age fantasy stories to cultural biases: womens coming-of-age rituals are
ethnographically under-researched and are generally under-rated. Fantasy
narratives thus tend to make use of inherited story structures ascribing
particular, traditional roles to women (Attebery, 1992, pp. 88, 901). The
typical trajectory of male initiation in fantasy literature is to leave home,
undergo apprenticeship, rebel, and then face and vanquish evil in order to
reap the expected power, rank and reward at the end of the quest.
Within the same literary genre, female initiation and the coming-
of-age of female protagonists rest on a narrower cultural and narrative
backing. Attebery cites the following options: to copy the male initiation
story with a female protagonist (which is the solution often chosen), or
to rely on the eighteenth- and nineteenth-century literary patterns
for heroines, where the available plotlines invariably end in marriage
(comedy) or madness or death (tragedy) (Attebery, 1992, pp. 88, 92). All
three of the fantasy narratives discussed here combine both patterns,
albeit with differing emphasis. In The Lord of the Rings (male novelist,
male protagonist), it is Sam who follows the typical trajectory of male
initiation, since he reaps the rewards of rank and power at quests end
more clearly than does Frodo. However, Sam never rebels, as does Frodo
by eventually claiming the Ring for himself. By doubling the part of
the hero, the plotline combines the endings of comedy (Sams marriage
to Rosie) with that of the coming-of-age quest (Sams empowerment
and Frodos moral development), but also with tragedy (Frodos illness
and departure from Middle-earth: his death). In Harry Potterr (female
novelist, male protagonist) Harry closely follows the trajectory of the
male initiation, reaping moral rank as the better man and worldly
power (the Elder wand) at series end. However, and interestingly, Harry
denounces worldly power by burying the Elder wand, and settles for the
female fairy tale ending of marriage instead.
The Twilight series (female novelist, female protagonist) is a paranor-
mal romance where the quest structure is less prominent, even as Bellas
personal quest is to become a vampire. However, Bella does leave
home, and in fact goes through two initiations (childbirth, vampire con-
version), but without the apprenticeship usually provided in the male
coming-of-age story: this may be seen as reflecting the culturally unrec-
ognized nature of female rites of passage noted by Attebery. (In fact,
Edward, Bellas senior and an experienced vampire, at first refuses to
initiate her, actively barring her chosen route to power, while putting
pressure on her to succumb to the traditional female plot ending, mar-
riage.) Notably, the story does not end with a marriage, however (and
the heroine struggles against this resolution, opposing Edwards insist-
ence that they marry): it ends with Bella confronting evil and reaping
the heros expected rank and reward. Thus, Twilight manages to create
a genuine female coming-of-age fantasy grounded in womens actual
experience in our culture (Attebery calls for such a development back
in 1992), and this may be an important key to its phenomenal success:
anchored in feminine cultural experience (cooking and cleaning for her
father, reading romance novels), and undergoing a genuinely feminine
coming-of-age ritual (pregnancy and childbirth), Bella steps up to the
power of the male superhero and reaps all his rank and reward at series
end. So while Twilight is not structured as a traditional fantasy quest,

it ends on the triumphant note of a quest successfully accomplished
perhaps justifying a placement within Mendlesohns fuzzy sets as
portal-quest fantasy. Such a placement further underlines similarities in
the rhetorical construction of Twilight and Harry Potter,
r since both nar-
ratives can be seen to combine elements of intrusion rhetoric with the
rhetoric of quest fantasy even as romance is structurally less promi-
nent in Harry Potter than in Twilight.
Conclusion
The number of texts analysed in this book is small for drawing any
definite conclusions about the relationship between ethics and form
in fantasy literature. Even so, the book examines texts that have been
particularly significant and characteristic within their genre: The Lord of
the Rings is regarded as a prototypical fantasy text (Attebery, 1992), and
as generically formative of modern fantasy literature (Mendlesohn and
James, 2009; Pringle, 2006). An astounding success as a fantasy narra-
tive, the Harry Potterr series also exemplifies, and has helped crystallize,
the contemporary phenomenon of cross-over literature: a term used
particularly of literature that developed around the turn of the twenty-
first century, appealing to adults and young adults alike. Cross-over lit-
erature is often fantasy literature, and one of its characteristics is that it
treats complex moral issues while featuring protagonists with the bodies
of adolescents but with a mental age approximating that of adults (see
Falconer, 2009). Through its success and its rhetoric of abstinence the
Twilight series has popularized, and helped redefine, the paranormal
romance subgenre.
In terms of understanding the relationship between ethics and aes-
thetics in individual fantasy texts, Mendlesohns rhetorical fuzzy sets
though useful tools for discussing fantasy narratives are not sufficient.
Given the highly generalized level of these fuzzy sets, the portal-quest
fantasy seems able to incorporate all the three texts analysed here, even
as they clearly embody distinctly different ethical visions and concerns
which contradicts Mendlesohns claim that the relationship between
rhetorical form and ideology in fantasy is rigid. Analysis of these texts
as male and female coming-of-age narratives have helped clarify the
way in which all the texts both conform to, and reinvent, gendered
structures. This is true of both the structures inherent in socially sanc-
tioned rites of passage and of the inherited story structures that the
authors have drawn on to formulate their coming-of-age narratives.
Arguably, all three texts seek an individually formulated synthesis of

male and female structures.
These popular texts may be regarded as to some degree representative
of collectively formulated ideas and ideals. Tom Boellstorff has argued
that a common denominator between emerging forms of culture in
virtual worlds is the intentional crafting of world, self, and society;
what he terms Age of Techne (Boellstorff, 2010, p. 59). The analytical
progression in this book links a temporal trajectory to this argument:
while in The Lord of the Rings there is considerable emphasis on the craft-
ing of a believable secondary world, in Twilight the imaginary world
has become primarily a platform or site for the story of the radical self-
recreation of its heroine.
This book has suggested that the relationship between ethics and
aesthetics in the quest fantasy can be expressed through a central
archetypal symbol that synthesizes ethical concern with narrative form.
Furthermore, the comparative analysis of Harry Potterr and Twilight
has demonstrated that narratives may share symbolic features in their
formulation of good and evil, even as the precise significance of those
symbols is tied to the overall ethical agenda of the respective narra-
tives; what Phelan terms their completion. Potentially, there is also
a historical dimension to the way that fantasy texts use symbols to
structure their discourse on values: indeed, the Harry Potterr and Twilight
series were both written in the same period (19972008).4 Albeit both
are based on a common language of shared structures and tropes, the
examination of these narratives as gendered coming-of-age stories
brings into relief their individual formulations of value. The analysis
conducted in this book thus gives reason to caution against treatment
of the relationship between ethics and form in fantasy narratives as
formulaic, and thus predictable.
Notes
1 Introduction
1. Twilight fan fiction has spawned E. L. Greys almost equally successful Fifty
Shades trilogy.
2. Phelan conceives of the ethical position of the real reader as resulting from
an interaction between what he terms four ethical situations: 1) that of the
characters and their behaviour and judgments; 2) that of the narrator (the
narrator is ethically positioned through being reliable or unreliable, as well
as through different kinds of focalization); 3) that of the implied author (the
implied authors choice of narrative strategy will affect the audiences ethi-
cal responses to the characters and convey the authors attitudes toward the
authorial audience); and 4) that of the flesh-and-blood reader in relation to
values, beliefs and locations operating in 13 (Phelan, 2005, p. 23). These
positions are entwined, so that the real readers responses to one of these
situations affect his or her responses to the others.
3. See Pringle (2006, p. 203) and Mendlesohn and James (2009, p. 30).
4. For instance, eight of the thirteen dwarf-names in The Hobbitt are taken
directly from a list of names in Vlusp, a poem from the Elder Edda. The list
also contains the name Gandlfr hence The Hobbit looks like an imagina-
tive answer to how that one elf came to be travelling with a company of
dwarfs (Shippey, 2001, pp. 1516).
5. Tolkien kept revising his mythology until his death. Acknowledging the
complexity of The Silmarillion, as well as the fact that Tolkien never com-
pleted any consistent version of his legendarium (Nagy, 2007, p. 609), this
book uses The Silmarillion as a main point of entry to Tolkiens mythology.
The Silmarillion represents Christopher Tolkiens selecting and arranging of
the complexity that is The Silmarillion in order to produce the most coher-
ent and internally self-consistent narrative (S, p. vi).
6. Within narrative theory, the terms focalization and perspective are
used somewhat interchangeably. Gerard Genette (1983), has distinguished
between focalization and voice. In this book Bakhtins notion of heteroglos-
sia is linked to the concept of implied author, and the characters voices are
regarded as dialoguing with the central voice of the narrator. Here, voice
can also refer to the synthesis of a speakers style, tone and values (Phelan,
2005, p. 219). It further draws on Mieke Bals refinement of Genettes term
focalization, and the notion that the subject of the focalizing is the focal-
izer and the object of the focalization is the focalized (Bal, 2006, pp. 1415),
which reveals that Genettes internal focalization deals with the subject of the
gaze whereas external focalization deals with the object of the gaze.
7. A comparison between the literary and film versions of the texts remains
outside the scope of this book.
8. In this book the word argument denotes the sum total of narrative means
employed (consciously as well as unconsciously) by the implied author
234
Notes 235
in his or her attempt to move the reader emotionally and intellectually

towards certain standpoints on value. Thus, argument in this context is a
concept distinct from the strictly logical and rational arguments required in
philosophical writings. It emphasizes the rhetorical function of the implied
author, or his/her encoding aspect (Shen, 2008).
9. Phelan defines narrative progression as the synthesis of a textual dynamics
governing the movement of a narrative from beginning through middle to
end and a readerly dynamics consisting of the authorial audiences trajectory
of responses to that movement (Phelan, 2007, pp. 31011). Phelan holds
that narrative judgements (consisting of interpretive, ethical and aesthetic
judgements) and narrative progression are responsible for the significant
interrelation of form, ethics and aesthetics in the narrative experience
(Phelan, 2007, p. 3).
10. Within modern ethical theory a main distinction is drawn between conse-
quentialist moral theory, deontology and virtue ethical theory. Important
points of reference in the discussion of ethical theory in this book are among
others Consequentialism and its Critics (1988, ed. Scheffler), Nussbaums
Loves Knowledge (1992), A Companion to Ethics (2006, ed. Singer), Vellemans
Love as a Moral Emotion (1999), Platos Republicc (2000), Aristotles The
Nicomachean Ethics (2004), Chappells Ethics and Experience (2009), and
Annas Intelligent Virtue (2011).
11. Imagery here connotes both the mental pictures experienced by the reader,
the pictures made out of words in the text, and all the objects and qualities
of sense perception referred to [in the text] whether by literal description,
by allusion, or in the vehicles of its similes and metaphors (Abrams and
Harpham, 2009, p. 151).
12. Dan Shen (2008) and Seymour Chatman (1990, p. 151) place the implied
reader outside the text in their respective narrative communication diagrams,
while James Phelan places the implied reader inside the text, assuming that
the real reader seeks to become the authorial audience (the authors ideal
reader); a text-internal instance.
13. The paranarratable: what would not be told because of formal convention
(Warhol, 2008, p. 226).
14. This books draws on Wolfgang Isers term negation, derived from his view
of the literary text as a vehicle for bringing unfamiliar meaning into the
world (Iser, 2006, p. 67). I understand Iser to mean that in order to express
the unfamiliar, literature relies to some extent on the vocabulary of the
familiar, in which it communicates, even if the familiar contexts are reas-
sembled into new meanings. This means that contemporary social and ideo-
logical values are encoded in the text, even though they may be negated.
15. The term coduction, coined by Wayne C. Booth (1988), connotes a similar
transformation, which occurs to a reader or critics immediate emotional
responses and appraisal of a narrative when engaging in critical conversation
about such appraisals.
16. Currie shapes his scepticism towards the ethical role of literature on a
Platonic mould. An argument or thought presented in a fictional text may
seem right because it affects us emotionally and not because it is right in and
of itself, Currie holds. I suggest that one of the reasons we enjoy complexity
in fiction () is that it provides the kind of distraction that lowers vigilance,
236 Notes
helping thereby to generate an illusion of learning. Paradoxically, the sheer

complexity of great narrative art, so often taken as a sign of cognitive rich-
ness and subtlety, may increase its power to spread ignorance and error
(Currie, 2014).
17. Wrongness: a sense that the world as a whole has gone askew (Clute and
Grant, 1999, p. 339).
18. Thinning: a fading away of beingness (Clute and Grant, 1999, p. 339).
19. Recognition: the moment at which () the protagonist finally gazes upon
the shrivelled heart of the thinned world and sees what to do (Clute and
Grant, 1999, p. 339).
20. Return: the recovery of the land (Clute and Grant, 1999, p. 339).
21. Mendlesohn holds that portal-quest narratives are structured around reward
and the straight and narrow path and so are a sermon on the way things
should be (Mendlesohn, 2008, p. 5).
22. Attebery draws on Cawelti here (Cawelti, 1976).
23. Salers temporal placement of the New Romance coincides with Clutes tem-
poral location of the origin of modern fantasy (see Clute and Grant, 1999,
p. 338).
24. For a discussion of the definition of transmedia relative to adaptation and
franchise, see Hutcheon and OFlynn (2013, pp. 179206).
25. On this view fantasy and its fanzines and fan conventions have prepared
people for the contemporary cultural and technological reality that requires
the ability to mentally inhabit multiple worlds simultaneously.
2 Ethics and Form in The Lord of the Rings

1. There are many editions of The Lord of the Rings, since Tolkien, and later his
son Christopher, corrected and revised the text (Sturgis, 2007, p. 386). The
HarperCollins 50th Anniversary Edition is chosen because it is based on all
the emendations made in previous printings, drawing on 50 years of Tolkien
scholarship in order to achieve as accurate a text as possible (LotR xix).
Furthermore, it is widely available, something which is important relative to
this books project of examining the text as a popular work.
2. The description of the history of the Shire closely matches that of the early
history of England (Shippey, 2003, p. 102).
3. Phelan distinguishes between the mimetic, thematic and synthetic compo-
nents of character narration. The ways in which characters work as repre-
sentations of possible people is their mimetic function (Phelan, 2005, p. 12).
When characters work as representatives of larger groups of ideas they serve
thematic functions, and when they work as artificial constructs within the
larger construct of the work they serve synthetic functions (Phelan, 2005,
pp. 1213). All three functions may be activated simultaneously.
4. Due to Sams desire to see Elven magic he and Frodo get to glance in
Galadriels mirror. All Sams wishes come true. He is aware of this fact, and
comments upon it (LotR 921, 934, 950, 954).
5. On the aesthetic role of sound in the moral argument(s) of The Lord of the
Rings see also Guanio-Uluru (2013a).
6. Reading the front matter the readers entrance may take place earlier.
Notes 237
7. They trace the view that evil is nothing back to the Gorgias of Plato, c. 375 BC.
8. Platos contemporaries regarded moral and social law as changeable and cul-
ture specific. Plato rejected this view, claiming that there is an unchanging
moral reality, albeit one which is hard to access (the realm of Forms) (Buckle,
2006, pp. 1612).
9. Christopher Tolkien stresses that the most remarkable thing about The
Music of the Ainur is how little it has changed in all its subsequent versions
(Tolkien, 2002, Part One, p. 62).
10. This version is presented in The Silmarillion, and confirmed by Tolkien in one
of his letters (Carpenter, 2006, p. 178).
11. Stephen Buckle notes: For Aristotle a things nature is its inner principle of
change, and a change will be natural if it is the work of this inner principle.
() Aristotles account does not imply that the natural (or real) is unchange-
able; it requires only that changes occur as the result of the natural inner
workings of a being (Buckle, 2006, p. 163).
12. Shippey has introduced into Tolkien criticism the concept of asterisk real-
ity: philologists were able to make inferences on the basis of comparative
grammar that allowed them to reconstruct older word forms though no
records exist of their use (Shippey, 2003, p. 28). The * is the accepted sign
for the reconstructed form. Asterisk reality denotes cultures, practices
and ways of life reconstructed from word changes and other linguistic
evidence.
13. This particular aspect of tree-myth was shared by many early European
cultures (see Frazer, 2009, pp. 835).
14. Variously translated as The Tree of Knowledge of Good and Evil or as the Tree
of (all) Knowledge.
15. This sense of moral order as closely associated with natural order evokes the
Homeric tradition, based on a mythology supposing a single cosmic order.
Sin, in this system, is related to the wilful pride of overstepping the cosmic,
natural and moral order of the universe (MacIntyre, 2007, p. 10). Tolkiens
mythology, as well as the definition of good and evil in The Lord of the Rings,
can be said to rest on a similar notion of order.
16. The preservation of Lothlriens ancient beauty depends on Galadriels
wielding of one of Saurons Rings of Power, so that Lothlrien too must van-
ish as Sauron is destroyed.
17. Rivendell and Lothlrien are mild, sunny and flowering even in fall and
winter, whereas Mordor is chilly and barren.
18. The morning before the downfall of Sauron the suns light is completely
eclipsed by shadow, confusing the characters natural sense of time reckon-
ing. This sense of evil as a confusion or eclipse of the natural sense of time
occurs several times: when the company passes through the dark Mines of
Moria, and for Gimli especially on the Paths of the Dead.
19. The model has been heavily criticized by modern anthropologists, but sur-
vives in the idea of memes (see Lewens, 2007).
20. The distorting effects on the vision of the Dark Lords power is underscored
by the account of how Denethor goes mad and kills himself after looking too
frequently in his Palantr towards Mordor.
21. In sense 5 as defined by Collins Concise Dictionary and Thesaurus (1991):
Theol. Supernatural or mystical.
238 Notes
22. The Men of Rohan are famous for their horsemanship, and battle is signalled
by horn blowing and the flying of banners and standards. Combatants often
clash man to man on horseback with drawn swords.
23. Coates considers the crusades to result from a stance to war rooted in mili-
tarism, where war was considered a religious vehicle (Coates, 1997, p. 46).
24. Isildur cut the Ring from the physical hand of the fallen Sauron after he was
defeated in the Second Age. Consequently, both Sauron and Frodo become
Nine-Fingered.
25. Frazer traces cross-culturally the belief that the health of the king and the
health of the land are associated, so that the king is replaced when showing
signs of diminishing health (Frazer, 2009, Book II). In The Lord of the Rings
the causal chain is reversed: as the land is showing signs of diminishing
health, the king or ruler must be replaced.
26. In other versions of this tale, Melkor helped make the pillars for the lamps,
but deceitfully made them out of ice (Tolkien, 2002, Part One, p. 87).
27. The story of Beren and Lthien is echoed in the relationship between Arwen
and Aragorn.
28. Galadriel is pardoned for following Fanor and is allowed to return into the
West. Tolkien also devised an account in which Galadriel fought against
Fanor and came to Middle-earth separately (Fisher, 2007, p. 228).
29. Elrond reveals that he has not called anyone to council to deliberate about
the Ring, and implies that they have been summoned by providence
(LotR 242).
30. A similar idea is presented through the experience of Sam when he is moved
to abstain from killing Gollum by a feeling of pity.
31. According to Catholic doctrine, natural law is available through human
reason, and is considered universal and unchanging. Human positive law
includes both civil law and the ecclesial law created by the church to guide
moral decision, and is a contextual application of natural law, and divine
positive law (which is recorded in sacred scripture this is the law of God
and cannot be altered by any human). Human positive law may be altered
by the church when appropriate (Crook, 2006, p. 29).
32. Characters in The Lord of the Rings may fight without much hope of a reward,
but ultimately several of them are rewarded for their fight for the right
cause: most prominently Aragorn wins Arwen and a double kingdom,
whereas Sam gets his Rosie and a flourishing Shire. Thus, the readerr could
infer that doing ones duty may pay off in terms of worldly happiness and
prosperity. Opposed to such an interpretation, stands the stark example of
Frodo.
33. The shortest definition for the Kingdom of God is the rule of God. It
denotes an ethical community in which right and wrong, good and bad are
determined by the purposes of God that is, the aim of the individual is
obedience to what is perceived as Gods will (Crook, 2006, p. 80).
34. Langer argued that symbolism underlies all human knowing and under-
standing and thus saw it as the central concern of philosophy.
35. Although this was no moral accomplishment on the part of Gollum, his life
in a sense gains in moral significance and worth as he becomes the instru-
ment that secures Saurons demise.
Notes 239
3 Ethics and Form in Harry Potter

1. Partridge notes: Popular relativism and the revision of traditional concepts
of deity are of course encouraged by contemporary consumer-centric cul-
tures that are driven by an insistence on variety and individual choice. ()
as a consequence, religion is increasingly a private rather than a public mat-
ter (Partridge, 2004, p. 15).
2. Occulture is a term coined by Partridge, formed by a conjunction of the
words occult and culture (Partridge, 2004, p. 62).
3. Ironic regression: layer upon layer of irony that complicates the reading by
making all judgement, choice, and ranking of priorities difficult, not to say
impossible (Lothe, 2000, p. 37).
4. Following Phelans taxonomy (Phelan, 2005), the narrator is here unre-
liable at least in terms of underreading (narrators lack of knowledge or
sophistication yields an insufficient interpretation of an event), but also
potentially in terms of misregardingg (unreliability on the axis of ethics and
evaluation).
5. With a few exceptions, as when shifts in focalization are used deliberately to
distract the reader from important clues in the text, for example in Philosophers
Stonee when focalization shifts to Ron, Hermione and then Snape to cover up
the fact that Harrys broom is cursed by Quirrell (Fife, 2005, p. 143).
6. The call for help resounds through much of Deathly Hallows, for instance
when Harry and Ron are incarcerated in the cellar of Malfoy Manor. It also
harks back to Dumbledores words to Harry in Chamber of Secrets, which
he remembers whilst captive: Help is always given at Hogwarts to those who
ask for it. Here the call is answered and help arrives in the form of Dobby,
whose death by Bellatrix knife gives rise to another cry for help, when Harry
realizes he cannot prevent Dobbys death: Dobby no HELP! (DH 385,
emphasis added).
7. Harry has been labelled Undesirable No 1 by the Ministry under Voldemorts
control.
8. In her book On Virtue Ethics this is how Hursthouse characterizes a Pakistani
boy campaigning for childrens rights at the age of eleven in spite of a
deprived childhood (Hursthouse, 2001, p. 143).
9. Jakob Elster has raised the objection (in personal correspondence) that
this similarity between Plato and the fragmentation of Voldemorts soul
may be superficial, since Plato describes a psychological process that may
affect anyone, whereas Voldemorts fragmentation requires dark magic.
In my view an important aspect of Voldemorts predicament seeing as
great that which is in fact horrendous is aptly characterized through
this comparison with Plato. I thus regard the character of Voldemort as
a metaphorical caricature of the view of the fragmented soul outlined by
Plato.
10. Do not fear those who kill the body but cannot kill the soul; rather fear him
who can destroy both soul and body in hell (Matt. 10:28). This statement
seems to allude to the Devil (in hell) rather than God, but commentary
uniformly holds it to refer to God (see for instance http://bible.cc/matthew/
10-28.htm).
240 Notes
11. According to Rowling, she has borrowed freely from the various myths of
folklore (BBC, 2001).
12. In a narrative where evil is characterized by a split soul created through black
magic and murder, Snape fears that killing Dumbledore may damage his
own soul.
13. Tom Riddle sends the basilisk on Harry by commanding it in Parseltongue.
Yet it never occurs to Harry to use Parseltongue to redirect the serpent even
if earlier the same year he did just that to prevent another snake from attack-
ing a fellow student.
14. See Guanio-Uluru (2012).
15. Rowlings extra-textual revelation that Dumbledore is gay further compli-
cates the analysis of love in Harry Potterr (BBC News, 2007). The textual focus
of this book means that I do not go into that debate here.
16. Shira Wolosky has argued that Kants distinction between respect for persons
as ends versus the use of them as means is fundamental to the opposition
between Voldemort and Harry (Wolosky, 2012, p. 200). My argument here,
that Dumbledore uses Harry and Snape as means to an end, demonstrates
how Dumbledore in this respect mirrors Voldemort, blurring the binary of
good and evil.
17. Snape worries for the effects on his soul when Dumbledore pressures him to
perform euthanasia on him (DH 548).
18. Sidgwicks view on esoteric morality has been defended by de Lazari-Radek
and Singer, who argue that paternalism is not always wrong (De Lazari-Radek
and Singer, 2010, p. 36).
19. You have used me. Meaning? (DH 551).
20. In this sense the Hallows are a clear parallel to the Ring in The Lord of the
Rings.
21. See Situationism (Homiak, 2011).
22. I am indebted to James Phelan for this example and for the point about the
implied authors aesthetic development.
23. When asked if she believes in God, Rowling has said: Yes. I do struggle with
it; I couldnt pretend that Im not doubt-ridden about a lot of things and
that would be one of them but I would say yes. When asked if she believed
in an afterlife, she said, Yes; I think I do (Runcie, 2007).
4 Ethics and Form in the Quest-Fantasy

1. Here, nature has won over industrial technology. In the context of human
nature relations this situation parallells the Ents thrashing of Isengard.
2. Having been affected by Dementors, there is the restorative power of choco-
late which in its power to re-boost morale can be read as a secular parallel
to lembas.
3. Barthes terms nuclei and catalyst (Barthes and Duisit, 1975, p. 248) do not
cover the narrative dynamics that I am pinpointing in these texts, since
Barthes terms operate on the level of the development of the plot, whereas
the central archetypal symbols in these primary texts function primarily
in relation to the texts ethical aspects. The symbols become visible as an
emphasis of form that underscores the ethical thematics of each narrative,
Notes 241
and which possibly serve to engage the reader more deeply in these, given the
power of archetypes to engage the emotions.
5 Ethics and Form in Twilight

1. Kokkola reads the grotesque portrayal of pregnancy and childbirth in
Twilight as a scare tactic typical of the morality of young adult romance
(Kokkola, 2011, p. 176).
2. Granger is drawing on Albert Zuckerman (1993) here.
3. Walking out from a screening of Breaking Dawn, Part 1, I was literally laugh-
ing: the hyperbolic Goth-drama of Bellas delivery is just too over the top
very much like the Goth version of a bad sit-com but with the satirical
glance provided through Jacob there is comic relief.
4. (Male) werewolves involuntarily imprint on their true (human, female)
soul mates when first encountering them. The experience re-centres the life
of the imprinter to revolve around that of the imprintee, and is characterized
by the werewolfs deep need to protect and please the imprintee.
5. In some early twentieth-century British films, Mormons were actually por-
trayed as vampires in order to scare British girls from joining Utah Mormons
(DArc, 2007). Thus, Twilights fictional Mormon vampires exist against a
back story of real life cultural stigma.
6. While the portrayal of race in Twilight may reveal embedded cultural ste-
reotyping, racial bigotry has been a problematic issue in Mormon teachings.
The book of Mormon, which was first published in the late 1820s, describes
dark skin as a punishment from God for iniquity (2 Nephi 5:21). During the
leadership of Brigham Young (184777), a church ban was instituted on con-
ferring the priesthood on African American men (women have no right to
priesthood, and their only avenue to salvation is through marriage), which
also forbade their participation in temple rites a ban that was not lifted
until 1978 (Stack, 2013).
7. I am indebted to Torbjrn Tnnsj for the suggestion that Transhumanism
is a relevant ethical intertext to Twilight.
8. There are visions of the posthuman that differ from the transhumanist one,
see for instance Nichols (1988), Hayles (1999), Rahimi (2000) and Braidotti
(2013).
9. See Meyers (2001) and Serio (1999).
10. Bellas first guess regarding Edwards superpowers is that he is akin to
Superman.
6 Comparisons and Conclusion

1. Alternatively, drawing on the ideas of Pierre Bourdieu, one might regard Bella
as a victim of symbolic violence in her willingness to discard her own norms
to accept those of the culturally and economically dominant Cullen elite (see
Bourdieu, 1984).
2. In The Lord of the Rings it is not primarily the mind that checks destructive
desire, but moral virtue; the ability to feel compassion is more important than
the ability to control ones mind.
242 Notes
3. Clute defines wainscot societies as invisible or undetected societies living in

the interstices of the dominant world (Clute and Grant, 1999, p. 991).
4. This function of symbols as temporal prints is underlined by the observa-
tion that the contemporaries Woolf (18821941) and Tolkien (18921973)
both structure their narratives (Orlando and The Lord of the Rings) in terms of
passing ages that are linked by reference to a symbolic tree: in The Lord of the
Rings it is The White Tree of Gondor, and in Orlando it is the poem The Oak
Tree that serves to narratively link disparate ages.
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Index
abortion, 173 Arpaly, Nomy, ix, 18, 112, 184

abstinence, 165, 182, 184, 189, 213, arrival, 37, 107
215, 222, 232 Arwen, 40, 78, 147
Adam and Eve, 478, 1756 Asclepius, 127
addiction, 188, 215 ashvattah tree, 47
adult romance, 163, 166 asterisk reality, 45, 237
Aeschylus, 1013 Attebery, Brian, 12, 1819, 2301
Oresteia, The Libation Bearers, 101 Augustine, 412, 51, 52, 224
aesthetics, 41, 5960, 78, City of God, The, 224
see also narrative aesthetics Austen, Jane, 203
Age of Techne, 233 Northanger Abbey, 205
Agy, Nils Ivar, ix Pride and Prejudice, 2034
Ainur, 434 authorial audience, 312, 235
alchemy, 5, 87, 120, 121, 122, 126, 155 axis mundi, 60
Allen and Unwin, 25
Altes, Lisbeth Korthals, 15 Bahbha, Homi, 16
altruism, 112, 197, 225 Bal, Mike, 234
Andersen, Hans Christian, 182 Bakhtin, Mikhail M., 1415, 234
Ugly Duckling,g The, 163, 183 Beauty and the Beast, t 164, 228
Anderson, Douglas A., 32 Beauvoir, Simone de, 208
animism, 63 Second Sex, 208
animistic reason, 20 Bella, 1834, 1923, 205, 20914
Annas, Julie, ix, 154, 235 choice, 1946,
Intelligent Virtue, 235 focalization/voice, 1689
Anne Rice, 164, 201 martyrdom, 188
Interview with the Vampire, 164, Bennet, Elizabeth, 2034
20102 Beowulf,f 45, 48
anthropocentrism, 49, 63 Beren and Lthien, 64, 238
Apollo, 127 best-selling ethics, 1
apotheosis, 167 Beyond Good and Evil, 109
Apparition, 91, 153 Bible, the, 70, 71, 119, 1746, 201
Aquinas, Thomas, 74, 75 Bilbo, 33, 345, 66, 70
Aragorn, 37, 82 Bildungsroman, 99, 139
and Arwen, 40, 147, 238 Black Gate of Mordor, 38, 39
moral reasoning, 679 black riders, 36, 38, 52
prophecy, 1457 blameworthiness, 130
arbour vitae, 60 bling, 221
archetypes, 789, 1578, 1241, see also blockbuster, 169, 170
trees, shape-shifter, vampire, wise Bodhi tree, 47
old man Boellstorff, Tom, 20, 233
Aristotle, 910, 17, 44, 74, 81, 154, 237 Boethius, Anicius Manlius Severinus,
Nicomachean Ethics, 74 412
Poetics, 9 Boethian view of evil, 412, 51
253
254 Index
Bond, James, 86 Christian beliefs and values, 459, 54,

Bombadil, Tom, 27, 47, 5460, 76, 578, 712, 75, 801, 87, 11314,
80, 84 119, 121, 134, 1412, 1567, 175,
The Book of Trees, 60 186, 214
Booth, Wayne C., 7, 15, 213, 235 Christie, Agatha, 124
Boromir, 37, 60, 61, 68 chromosome pairs, 189, 191, 216
Bostrom, Nick, 199200, 217 Cinderella, 164, 228
Bourdieu, Pierre, 241 City of God, The, 224
Breaking Dawn, 164, 168, 169, 171, Cloak of Invisibility, 1078
176, 181, 183, 187, 195, 207, Clute, John, 1213
221 Coates, A. J., 238
plot summary, 173 coduction, 235
Bront, Emily, 203, 205 collective unconscious, 19
Wuthering Heights, 203, 205, comedy, 231
230 coming-of-age stories, 141, 227, 2302
Buddah, 47 Commitment in Reflection, 18
Buffy the Vampire Slayer,
r 209 communication model of narrative, 7
Byatt, A. S., 152 A Companion to Ethics, 235
completion, 40, 7984, 1404, 2148
Campbell, Joseph, 2, 1501 consequentialism, 69, 118, 129130,
The Hero with a Thousand Faces, 2 134, 142
cannibalism, 186 Consequentialism and its Critics, 235
Carlisle Cullen, 184, 222 courtly love, 163, 166
altruist, 197, 225 cross-over literature, 232
carnivalesque subversion, 88 crusades, 58, 238
catalyst, 240 cultural feminism, 210, 216
Cawelti, John, 236 cultural infantilism, 88
Chanel, 202 Currie, Gregory, 9, 2356
Chappell, Timothy, ix, 1011
Ethics and Experience, 235 Dante, Alighieri, 205
character, 73 Inferno, 205
as concept, 1434 dark fantasy, 1656
Hobbit character, 335 dark magic, 98, 222
innate character traits, 110 deconstruction, 16
and phronesis, 1547 deep ecology, 623, 152
character functions, 236 dementors, 153
mimetic, 27, 138, 236 dendrolatry, 60
thematic, 54, 123 deontological constraints, 70
synthetic, 138, 143, 174, 236 deontology, 6970, 75, 130
Chatman, Seymour, 235 Derrida, Jacques, 16
Chaucer, Geoffrey, 203 designer clothes, 189, 198
childbirth, 21314 destiny, 29, 667, 81, 181, 213
childrens fantasy, 139, 141, detective genre, 86, 124
158 Dobby, 134, 136, 141, 239
childrens literature, 87, 88 doubt, 679, 99, 144, 150, 156, 174,
chivalric tradition, 58, 238 213
Chomsky, Noam, 79 Dracula, 209
Christ figure, 71, 113, 122, 185, Dracula-myth, 16
221 The Dream of the Rood, 48
Index 255
Dumbledore, 89, 95, 106, 115, 117, Facebook, 223

1367, 1401 the fantastic, 12
denouements, 978 Fantasy and Mimesis, Responses to
ideas of power, 1102 Reality in Western Literature, 1718
moral reasoning, 12833 Fantasy: The Literature of Subversion, 16
Dungeons and Dragons, 201 fairy tale patterns, 164
Dursleys, 8993, 99, 108, 152 Beauty and the Beast,t 164, 228
Duty, 6971, 146 Cinderella, 164, 228
dwarfs, 43 Snow White, 164
Ugly Duckling,g The 164, 183
Erendils star, 645 familiar, 127
easternization, 88 Fantastic Beasts and Where to Find
Eclipse, 169, 171, 173, 180, 183, 187, Them, 4
195 fantasy genre, 1, 3, 1215
eco-gothics, 198, fantasy literature, 5, 1215, 229, 232
ecology, 63, 149, 1512 and collective evil, 17
Edward, 17980, 183, 184, 204, 223 prophecy, 89, 98, 1458
narrative voice, 172 structural approach, 2
trustworthiness, 1923 Faramir, 61, 74
Elbereth, 63 farewell, 40, 137
Elder Edda, 45, 234 fascism, 104, 105, 121, 150
Elder Wand, 1078, 127 fashion industry, 214, 215
elixir of life, 97 fate, see destiny
Elrond, 37, 51, 60, 66, 69, 78 Faulkner, William, 203
Elster, Jacob, ix, 239 Fawkes, 127
elves, 41, 435, 59, 62, 76 Fanors curse, 6465
encapsulated interest,t 130 feedback-loop, 10
enchantment, 87 The Fellowship of the Ring,g 27
disenchantment, 87 female initiation, 230
re-enchantment, 87 feminism, 16, 163, 20714, 216
Entmoot, 66 feraculture, 62
entrance, 35, 96, 104 fertility myths, 4954
Ents, 46, 66, 82 fictionalism, 20
Entwives, 46, 78 Fifty Shades of Grey, 234
environmentalism, 623, see ecology filtering consciousness, 27
Epic of Gilgamesh, 227 Fire and Ice, 2045
equal opportunity, 208 First Age, 43, 45, 59
esoteric morality, 130 Flamel, Nicolas, 97, 140
ethical argument, 6, 2345 Flaubert, Gustave, 205
ethical polysemy, 163 Madame Bouvary, 205
ethics, 7 Flieger, Verlyn, 82
best-selling ethics, 1 focalization, 3, 34, 389, 77, 934,
Ethics and Experience, 235 106, 16672, 1923, 215, 225,
eucatastrophe, 778, 83 234
Eucharist/communion, 122, 168, 221 focalization shifts, 27
euthanasia, 123, 240 focalized, 234
existentialism, 87, 142 focalizer, 234
exposition, 32, 37, 94, 106 forms of reading, 9
external focalization, 103, 234 Fourth Age, 25, 29, 44
256 Index
frame narrator, 38 Grindelwald, 133

franchise, 236 Guernca, 17
Frankenstein, 198 Gupta, Suman, 121, 136
Frankenstein-myth, 16
Frazer, James Georg, 534, 745 hacking, 2234
The Golden Bough, 63 Hagrid, 95, 96, 152
Freud, Sigmund, 18 Hallows, 100, 108, 133, 154
Frodo, 27, 28, 39, 40, 645 Hammond, Wayne G., 32
free will, 66 Hardin, Russel, 130
moral reasoning, 67 Harry Potter, 92, 968, 13940
Frost, Robert, 204 as focalizer, 934
Fire and Ice, 2045 moral character, 11213
fuzzy set,
t 12 moral choice, 1336
soul, 115
Galadriel, 37, 48, 645, 712, 238 Harry Potter and the Chamber of Secrets,
Galadriels phial, 38, 56, 645, 82 96, 97, 121, 127, 144
Gandalf, 37, 53, 556, 61, 71, 119 Harry Potter and the Deathly Hallows, 4,
laughter, 767 85, 92, 97, 110, 124, 133, 13740,
moral reasoning, 667 143, 156, 220
wise old man, 1489 cover, 100
Garden of Eden, 47, 489, 1756 epigraph, 1003
gender roles, criticism, 1613 narration, 1034
Genesis, 435, 47, 174 progression, 1008
Genette, Gerard, 28, 103, 234 Harry Potter and the Goblet of Fire, 4,
genocide, 17, 121 98, 99, 110, 117, 121, 141
genre, 1415 Harry Potter and the Half-Blood Prince,
germ-line engineering, 200 98, 116, 123, 125, 138
Ginnungagap, 45, 46 Harry Potter and the Order of the
Glaucon, 42 Phoenix, 95, 98, 117, 124, 127
global instability, 35, 94, 96, 97, 103, Harry Potter and the Philosophers Stone,
1789 95, 97, 108, 109, 121, 140, 143,
Glorfindel, 36, 56 239
Godricks Hollow, 106 Harry Potter and the Prisoner of
The Golden Bough, 63 Azkaban, 98, 102
Golding, William, 17 Harry Potterr series, 1, 45, 219
Gollum, 27, 28, 32, 38, 52, 61, 83, genre, 867, 158
151 implied author, 94, 99, 116, 119,
good will, 184 126, 137
Gorgias, 237 love, 11112, 12930, 2247
Goth, 206, 215, 217, 222, 226, 228, narration, narrative perspective,
229, 241 8994, 1145, 1367
gothic novel, 222 religious controversies, 856
Government house utilitarianism, 130 self-sacrifice, 87, 142
Granger, John, 5, 122, 163 soul, metaphysics, 11620
Great Apostasy, 175 primary and secondary worlds, 91
Grey, E. L., 234 progression, 94100
Fifty Shades of Grey, 234 prophecy, 1478
Grey Havens, 40, 57 surprise ending, 96, 124, 142
Grmisml, 47 Harry Potter theme park, 4
Index 257
Healing/return, 236 Iser, Wolfgang, 235

Hermione, 96, 99, 151 Isildur, 61, 238
The Hero with a Thousand Faces, 2
heteroglossia, 1415, 31, 234 Jackson, Peter, 4
High Elves, 36, 40 Jackson, Rosemary, 16, 18
Hillis Miller, Joseph, 16 Fantasy: The Literature of Subversion,
The Hobbit,t 33, 45, 234 16
hobbits, 334, 50 Jacob, 170, 177, 17980, 187, 1934,
Hogwarts, 91, 97, 102, 106, 110, 113, 223, 226
117, 125, 128, 137, 152 imprinting, 2067
Holocaust, 17 as narrative device, 174
Homeric natural order, 50, 237 as narrator, 170, 194
Horcrux, 100, 106, 108, 113, 116, socio-economic status, 179
117, 134, 140, 154 Jewish eschatology, 119
horror fiction, 203, 222, 228 Joyce, James, 13
horticulture, 62 Ulysses, 13
house elves, 99 Jung, Carl Gustav, 78, 158
human positive law, 238 just war theory, 57
Hume Kathryn, 1718
Fantasy and Mimesis, Responses to Kant, Emmanuel, 129, 240
Reality in Western Literature, 1718 King Lear,
r 30
Hursthouse, Rosalind, 113 King of Gondor, 58, 60, 62
On Virtue Ethics, 113 Kingdom of God, 745, 238
hybrid ethic, 142
Langer, Susanne K., 79, 238
icon, 1819 Last Judgement, 150
imagery, 6, 235 launch, 38, 42, 120, 178
immersive fantasy, 12, 13, 14 liberal feminism, 210
immortality, 60, 111, 120, 1267, 140, Le Guin, Ursula, 17, 20
175, 212, 220, 227 leit-motif, 61, 207
implied author, 78 lembas, 71, 240
implied reader, 8, 235, see also Levinas, Emmanuel, 16
authorial audience The Libation Bearers, 101
imprinting, 173, 181, 195, 2067, Lima, Manuel, 60
228, 241 The Book of Trees, 60
incest, 186 liminal fantasy, 12, 13, 16, 213, 219,
Inferno, 205 223
initiation, 34 literature
Intelligent Virtue, 235 aesthetic and cognitive complexity,
interaction, 38, 99, 106 11
internal focalization, 104, 234 effects on ethical ability, 910
Interview with the Vampire, 164, local instability, 35
20102 The Lord of the Rings, 1, 24, 145, 151,
intrusion fantasy, 12, 13, 14, 1634, 219, 241
166, 218, 232 aesthetics, 412, 50, 59, 78, 236
ironic distance, 8990, 95, 206 compassion, 72, 83, 146
ironic imagination, 20 duty, 6971, 146
ironic regression, 89, 99, 158, 239 environmentalism, 623
irony, 8, 90, 92, 99, 206, 213 focalization, 268, 389, 49, 157
258 Index
The Lord of the Rings continued Nss, Arne, 63

free will, 445, 667, 81 Nagini, 127
implied author, 545, 58, 59, 130 narration, reliable and unreliable, 234
prophecy, 1457 narrative aesthetics, 67
self-sacrifice, 723 narrative ethics, 1517
the good, 5960 ethics of alterity, 15, 16
virtue, 735 political approaches, 15, 1617
Lothe, Jacob, ix, 239 pragmatist and rhetorical ethics, 15
Lothlrien, 489, 50, 62, 71, 237 narrative perspective, see focalization
Love as a Moral Emotion, 235 narrative voice, 3, 15, 301, 84, 104,
Loves Knowledge, 205, 235 16872, 186, 206, 215, 216, 234
narrator
MacDonald, George, 15 as communicative instrument, 8
MacIntyre, Alisdair, 15, 237 ethical position, 234
Madame Bouvary, 205 reliable or unreliable, 234
male initiation, 2301 Native American beliefs, 191
Manechian view of evil, 41, 42, 67 natural law, 45, 69, 81, 176, 238
Manes, 41 negation, 57, 58, 235
Marquez, Gabriel Garcia, 13 Neo-Aristotelian, 10
martyrdom, 186, 188, 213, 217, 221 Neo-Platonism, 41, 42, 237
materialism (ethics), 118 newborn vampires, 173, 202, 205
materialism (consumerism) 2201, 197 New Moon, 168, 169, 173, 185, 187,
memes, 237 195, 204
Mendlesohn, Farah, 12, 13, 215, 223, New Romance, 20
235, 236 New Testament, 31, 113, 119, 142
Rhetorics of Fantasy, 18 New York Times Bestseller-list, 4
The Merchant of Venice, 203 Nicomachean Ethics, 74
metamorphosis, 1228 Nietzsche, Friedrich, 109, 142
Metamorphosis, 227 Beyond Good and Evil, 109
method, 611 Nikolajeva, Maria, ix, 88
Meyer, Stephenie, 56 Noble Savage, 190, 192
Midnight Sun, 168, 172, 183, 195, Norse mythology, see Old Norse
206 mythology
Midgard, 46 Northanger Abbey, 205
Midnight Sun, 168, 172, 183, 195, 206 nuclei, 240
A Midsummer Nights Dream, 195, 203 Nnning, Ansgard, 7
mimesis, 17, 19 Nussbaum, Martha, 910, 15, 129,
Ministry of Magic / MOM, 99, 106 205, 235
mistaken identity, 1245 Loves Knowledge, 205, 235
moral reform, repentance, 512, 11920
Mordor, 502 object of the focalization/gaze, 48,
More Fruits of Solitude, 100 234
Morgoth, 45 occlumency, 223
Mormonism, 163, 1756, 214, 222 occulture, 88, 239
The Morphology of the Folktale, 2 Odin, 46, 47
motherhood, 225 Old Norse mythology, 458, 57, 73,
motherhood mystique, 208 80
Mud-bloods, 17, 104 On Fairy Stories, 15, 43, 59, 77
Murdoch, Iris, 17, 18, 196 Orcs, 43, 45, 52
Index 259
Oresteia, 101 Prince Charming, 164

original sin, 175, 222 Professor Snape, 97, 103, 105, 108,
Orlando: A Biography, 16, 20914, 216, 1224, 125, 1367, 140, 156
218 progression, 31, 235
Orwell, George, 17 prophecies, 1458, 178
Ostwalt, Conrad, 87, 120 Propp, Vladimir, 2, 12
Secular Steeples, 87 The Morphology of the Folktale, 2
other, 1801 Prose Edda, 456, 73
ouroboros, 127 prosimetrum, 3, 31, 79
Ovid, 227 pulp fiction, 86
Metamorphosis, 227 pure-blood, 104
Pynchon, Thomas, 17
pacifism, 578, 80, 84, 1467
paganism, 86, 1212 queer theory, 16
Palantr, 46, 237 Quileute, 1901, 226
paranarratable, 235
paranormal romance, 1, 165 radical feminism, 210
parody, 205 Ragnark, 73
parseltongue, 110 readerly dynamics, 31, 235
Partridge, Christopher, 87, 120, 239 readerly hospitality, 11
The Re-Enchantment of the West, t 87 rebirth, 122, 1268
paternalism, 240 recognition, 12, 236
patriarchy, 208, 225 Red Book of Westmarch, 26
Patronus Charm, 98, 153 re-enchantment, 87
Penn, William, 100, 102 The Re-Enchantment of the West, t 87
More Fruits of Solitude, 100 reincarnation, see rebirth
Pensieve, 106, 109 religion in popular culture, 87
Phelan, James, 6, 7, 142, 235, 236 Renesmee, 185, 192, 217, 226
principles of his literary approach, Republic, 9, 42, 117, 205, 235
10, 13, 15 research questions, 6
phoenix, 1268 Resurrection Stone, 108, 138
phronesis, 1545 rhetorical theory of narrative, 6
Pierce, Charles Sander, 18 Rhetorics of Fantasy, 18
Plato, 9, 42, 50, 117, 205, 237, 239 Ring of Gyges, 42
Gorgias, 237 Ring of Power/ Ruling Ring, 40, 567
Republic, 9, 42, 117, 205, 235 inscription, 45
Poetics, 9 Ringwraiths, 153
polysemy, 163, 223 rites of passage, 231
polytheism, 63 Roman Empire, 186
portal-quest fantasy, 11, 12, 13, 166, romantic drama, 139, 163, 215, 218
215, 223, 224, 232 232
position, 2, 234 Romeo and Juliet,t 2034, 230
post-colonial theory, 16 Ron, 96, 151
post-human, 199, 214, 241 Rorty, Richard, 15
postmodern, 13, 131, 137 Rowling, J. K., 45, 240
postsecularism, 26 Fantastic Beasts and Where to Find
praiseworthy, 222 Them, 4
Pride and Prejudice, 2034 The Tale of the Three Brothers, 107,
primary world, 91 134
260 Index
Saler Michael, 26 soul, 115, 11620, 2201

Sam, 567, 62, 65, 767 spirituality/ spiritual, 55, 57, 878,
as focalizer, 278, 39 182
moral reasoning, 689 Spivak, Gayatri, 16
Sartre, Jean-Paul, 142 stable irony, 90, 213
Saruman, 3940, 51, 57, 62 stewardship, 623
satire, 8990, 92, 93,206, 212, 215, Stoker, Bram, 209
220 Dracula, 209
Sauron, 26, 36, 46, 57, 62, 75, 77, 81 story archetypes, 19
disembodied evil, 42 Strategies of Fantasy, 12
Saussure, Ferdinand, 79 Sturluson, Snorri, 456
Scheffler, Samuel, 235 Prose Edda, 456, 73
Consequentialism and its Critics, 235 subconscious, 19, 178
science fiction, 13, 229 sub-creation, 43, 82
Scull, Christina, 32 subject of the focalization/gaze, 48,
Second Age, 43, 59 234
secondary world, 91 Superman, 241
Second Sex, 208 supermodel, 197, 215
Secrets and Lies, 131, 133 supernatural fictions, 12
Secular Steeples, 87 surrealism, 12
secular, 86, 120, 200, 240 survivors narratives, 17
self-flagellation, 186 sustainability, 198
self-loathing, 198 symbolic violence, 241
Shakespeare, William, 30, 195, 2034 Syse, Henrik, ix
King Lear,
r 30
The Merchant of Venice, 203 The Tale of the Three Brothers, 107, 134
A Midsummer Nights Dream, 195, Tales of Beedle the Bard, 107
203 Taoism, 187
Romeo and Juliet,t 203, 204, 240 TDF, see Template Dark Fantasy
shape-shifter, 125, 149, 158, 227, 228 Team Edward, 2, 161, 1667, 168, 169
shape-shifting, 1228, 180 Team Jacob, 2, 162, 1667, 168, 170,
Shelley, Mary, 198 171
Frankenstein; or, The Modern Template Dark Fantasy, 161, 1656,
Prometheus, 198 180, 229
Shen, Dan, 7 textual dynamics, 31, 235
shipping/shippers, 162, 167 theological determinism, 66
Sidgwick, Henry, 240 thinning,
g 236
Silmarillion material, 3, 25, 435 Third Age, 25, 29, 43
Silmarils, 645 thumos, 117
The Silmarillion, 24, 25, 41, 435, 49, Todorov, Tzvedan, 16, 213
645, 79, 80 Toker, Leona, ix, 18
Singer, Peter, 130, 240 Commitment in Reflection, 18
A Companion to Ethics, 235 Tolkien, J. R. R., 23, 15
Sirius Black, 101, 105, 124 On Fairy Stories, 15, 43, 59, 77
situationism, 240 The Fellowship of the Ring,
g 27
skin colour, 18991, 216 The Hobbit,t 33, 45, 234
slash fiction, 167 philological approach, 3, 59, 79
Snow White, 164 The Silmarillion, 24, 25, 41, 435,
Socrates, 18 49, 645, 79, 80
Index 261
tragedy, 231 Valar, 434, 45, 634

transcendence, 57 vampire, 1212, 2203
transhumanism, 199200, 217, 241 Velleman, J. David, 12930
transmedia, 236 Love as a Moral Emotion, 235
treaty-negotiation, 190 video-games, 21
Tree of Knowledge, 4, 47, 1756, virtual worlds, 21, 223
237 virtue ethics, 71, 735, 144, 154, 235
Treebeard, 27, 47, 56, 62 Voldemort, 92, 956, 979, 1012,
trees, 605, 157, 149 1212, 129, 1401, 142, 150, 220
as narrative structuring device, 157, character, 10912
242 fascism, 1045
Trelawney, Sybill, 98, 147 as focalizer, 1034
Triwizard Tournament, 112 Volturi, 192, 209, 223
trust, 128, 1301, 1334, 149 Vlusp, 234
truth, postmodernist, 1313, 193 Von Franz, Marie-Louise, 25, 153,
Twilight series, 1, 5, 178, 182 161, 178
aesthetics, 6, 167, 168 Vonnegut, Kurt, 17
axes of value, 1889 voyage, 44, 122, 133
fashion, 182, 197, 2145
feminism, 20714 wainscot society, 229, 242
the good, 185, 229 Warner Brothers, 5
implied author, 169, 170, 187, Weber, Max, 20, 87
1934, 215 White Tree of Gondor, 602, 126, 157
narration, 16672, 215 Williams, Bernard, 130
plot summary, 1734 wise old man, 1489, 155, 229, 230
self-sacrifice, 182, 186, 201, 213, Wizengamot, 132
214 Woolf, Virginia, 16, 209, 242
Twilight,
t 168, 169, 172, 173, 183, 184, Orlando: A Biography, 16, 20914,
195, 221 216, 218
The Twilight Saga: New Moon, 162 wrongness, 236
Wuthering Heights, 198, 203, 205, 230
Ugly Duckling,
g The, 163, 183 www.pottermore.com, 4
Ulysses, 13
uncanny, 18 Yggdrasil, 4, 47, 60
unity of the virtues, 197 young adult romance, 163, 166, 217,
unreliable narration 240
misregarding,
g 239
misreporting,
g 215 zero focalization, 28
underreading,
g 215, 239 zombie, 221
urban fantasy, 165 Zuckerman, Albert, 241

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Ethics and Form in Fantasy Literature

Ethics and Form in Fantasy

ISBN 978-1-349-56000-4 ISBN 978-1-137-46969-4 (eBook)

Typeset by MPS Limited, Chennai, India.

Evil is unfeeling: caring is good 109

My thanks to the Faculty of Humanities, the Department of Literature,

LotR: The Lord of the Rings

The initial motivation for undertaking the research presented in this

The primary authors and texts

Tolkien: The Silmarillion and The Lord of the Rings

to complete the entire manuscript (Scull and Hammond, 2006, p. 540).

belief, may be discerned in different parts of The Lord of the Rings.

Rowling: the Harry Potterr series

Consequently, from 2001 to 2007 there were parallel releases of new

Meyer: the Twilight series

Analytical aims and methodology

sense of that term.11 Ethics deals with values with assessments of

apprehended and to an extent co-created by the real reader based both

These features (a systematizing of reason into as general maxims as

This book pays attention both to conscious ethical arguments in the

A fantasy text is a self-coherent narrative. When set in this world, it

This definition distinguishes fantasy from dream tales, surrealism and

The one theoretical generalization I would offer is that there is no

Drawing on the narrative methodology of Phelan, this book consequently

marked by the dialogic complexity characteristic of this genre. With the

Narrative ethics and fantasy

This books emphasis on the relationship between ethics and form

Research on the Holocaust is another strand of political approaches to

Fantasy, psychology and iconic mimesis

No contemporary philosopher I know of, moral psychologists

Fantastic literature is full of loaded images, concrete emblems of

Atteberys notion of fantasy as mimetic in an iconic sense is useful to

Fantasy as contemporary trend

With the rising popularity and prominence of genre fiction in the

fantasy as marginal literature is changing. Ursula Le Guin has pre-

and Dragons role-playing game () which was crucial to the devel-

Narrative voice and perspective

overheard bickering of Orcs is always focalized by the narrator, the

signalled in the opening sentence of Book IV: Well, master, were in a

A further point to consider in The Lord of the Rings, both as a narrative

Sing now, ye people of the Tower of Anor,

Progression in The Lord of the Rings

The narrative proper begins with a prologue in which the hobbits as

hobbit character before being introduced to the events presented in The

emphasis here on the derived or secondary nature of evil, since evil is

and Frodos subsequent departure from the Fellowship (which results in

A significant narrative change in Book IV is the shift in focalization

Middle-earth: views of good and evil

Boethius, Manes, Augustine and Plato

that presented by Glaucon, however, in that central characters in The

Genesis in The Silmarillion

Middle-earth was thus created by the song of the Ainur; beings

by sub-creating beauty in the world. The inner principle of men in

Old Norse myth and Judeo-Christian beliefs

teaches that ignorance (and obedience) is bliss. This moral lesson is

It seemed to him that he had stepped through a high window that

sensibilities. Mordor, the realm of Sauron and the stronghold of evil, is

throwing a golden ring into a particular fire, by Frodos sacrifices of his

The mastery of Bombadil

represents something that I feel important, though I would not be pre-

This something important that Bombadil represents in The Lord of the

First, the startling thing about Bombadil as the hobbits encounter

emphasis on a counterview depicted as morally superior to armed battle

in a very long perspective is perhaps partly derived from Tolkiens