Fairy Tale and Fantasy: From Archaic to Postmodern

Author(s): Maria Nikolajeva

Reviewed work(s):
Source: Marvels & Tales, Vol. 17, No. 1, Considering the Kunstmärchen: The History and
Development of Literary Fairy Tales (2003), pp. 138-156
Published by: Wayne State University Press
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 Maria Nikolajeva

Fairy Tale and Fantasy:

From Archaic to Postmodern

The conceptsand termsused in thediscussionof themanytypesof "non-

realistic"narrativesare oftenimpreciseand ambiguous.In different studies
and reference sources, the conceptsoverlap and are used interchangeably
withoutfurther argument, creatingconfusion.Fantasyhas been treatedas a
genre,a style,a mode,or a narrativetechnique(see e.g., Hume;Jackson;
Rabkin),and it is sometimesregardedas purelyformulaicfiction.Within
thecontextofchildren's literature,theconceptsoffairytalesand fantasy are
oftenused indiscriminately to denoteanythingthatis not straight realistic
prose(e.g., Sale). The leastadequatedistinction is thatfairytalesare short
textswhilefantasytakestheformoffull-length novels:
Althoughdrawingclear-cutbordersbetweenmyth,folktale,fairytale,
literaryfairytale,highorheroicfantasy, sciencefantasy,and so on,is impos-
sible and not alwaysnecessary, some basic genericdistinctionis desirable
for theoreticalconsideration.There are several ways of distinguishing
betweenfairytales and fantasy, of which threeseem to be most fruitful:
ontological,structural, and epistemological.
Whilefairytalesand fantasy areundoubtedly genericallyrelated,and it
may even be argued that fantasy grows out of thefairytale,theiroriginsare
quite different.Fairytales have theirrootsin archaicsocietyand archaic
thought, thusimmediately succeedingmyths.Mythshaveclose connection
to theirbearersand folktalesare "displaced"in timeand space,whileliter-
aryfairytalesand fantasy aredefinitelyproductsofmoderntimes.Although

Marvels
& Tales:
Journal Vol.17,No.1(2003),
Studies,
ofFairy-Tale pp.138-156. ©2003by
Copyright
State
Wayne Press,
University MI48201.
Detroit,

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 FAIRYTALEANDFANTASY

we may view certainancientauthorsin termsof fantasy(Homer,Ovid,

Apuleus),and althoughsome importantfeaturesof fantasycan clearlybe
tracedback toJonathanSwift,fantasyliterature owes its originsmostlyto
Romanticism withitsinterest in folktradition, itsrejectionof theprevious,
rational-age viewof theworld,and itsidealizationof thechild.
Traditional fairytalesgenerally striveto preservethestoryas close to its
original version as possible, even thoughindividualstorytellers mayconvey
a personaltouch,and each versionreflectsits own timeand society(see
Zipes). Fantasyliterature is a consciouscreation,whereauthorschoose the
formthatsuitsthembestfortheirparticular purposes.The purposesmaybe
instructive, religious,philosophical,social,satirical,parodical,or entertain-
ing;however, fantasy has distinctly losttheinitialsacralpurposeoftraditional
fairy tales.Fantasy is an eclectic genre,since it borrowstraitsnotjust from
fairytales,but from myth,romance,thenovelofchivalry, thepicaresque,the
gothicnovel,mysteries, sciencefiction, and othergenres,blendingseemingly
incompatible elementswithinone and thesamenarrative, forinstancepagan
and Christian images,magic wands and laserguns. The relation
betweenfairy
talesand fantasy is similarto thatbetweenepicand novelin MikhailBakhtin's
theory:the fairytale is a fullyevolvedand accomplishedgenre;fantasyan
eclecticgenreunderevolution(Bakhtin,"Epic").
Different sourcesgivedifferent information about"theveryfirstfantasy
novel"everpublished,and itis also primarily a matterofdefinition whether
a textshould be classifiedas fairytale or fantasy. Although most scholars
agree thatThe Nutcracker (1816) by E. T. A. Hoffmann matches most defi-
nitionsof fantasyand is therefore acknowledged as a pioneeringwork,it
can be questionedwhetherTheNutcracker reallyis a pioneeringwork,not
leastin thecontextofHoffmann's otherworks.Fantasybecamea strongtra-
ditionin Britainin thesecondhalfofthenineteenth centurybecause ofthe
workof such writersas Lewis Carroll,CharlesKingsley, and GeorgeMac-
Donald. Of the three,MacDonald standsclosestto fairytales proper(see
Prickett).At the turn of the twentiethcentury,Edith Nesbit, finding
impulsesfrommanypredecessors,renewedand transformed the fantasy
tradition, focusingon the clash betweenthe magicaland the ordinary, on
theunexpectedconsequencesofmagicwhenintroducedintoeveryday real-
isticlife.Unlikethefairytale,fantasyis closelyconnectedwiththenotion
of modernity; forinstance,EdithNesbiťs firsttime-shift fantasiesare evi-
dentlyinfluencedby contemporary ideas in thenaturalsciences,as well as
by thescience-fiction genre,particularly theworkofH. G. Wells.
The Golden Age of theEnglish-language fantasyarrivedin the 1950s
and '60s, withnames like C. S. Lewis, PhilippaPearce,Lucy M. Boston,
MaryNorton,and Alan Garner.All theseauthorsare obviouslyindebtedto
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 MARIANIKOLAJEVA

Nesbit,but theirfantasyascendsto a higherlevelofsophistication. Again,

this traditionwas affectedby the tremendouschanges thatthe modern
worldhad undergone.The development ofscienceand technology, thethe-
of and
ory relativity quantumphysics,experiments with atomic energyand
thefirst atomicbombsoverHiroshimaand Nagasaki,achievements in space
explorations, investigations of artificialintelligence, alternativetheoriesin
mathematics and geometry, new hypothesesabout the originsof the uni-
verse- all thischangedtheveryattitudetowardnaturallaws. Froma lim-
ited,positivistic viewof theworldhumankindhas turnedto a wider,more
open view of life.We have thusbecome sufficiently matureto accept the
possibility of the of
range phenomena that fantasy deals with:alternative
worlds, nonlinear time,extrasensory perception, and in generalall kindsof
supernatural eventsthatso farcannotbe explainedin termsofscience,but
that we are not willing to ascribe to the traditionalfairy-tale magic.
Therefore, since thebasic narrative patternsof contemporary fantasy, such
as themultitudeofmaterialworldsor nonlineartime,aredependenton the
ideas developedwithinquantumphysics,fantasymust be regardedas a
twentieth-century phenomenon.Further, iffairytales,displacedas theyare,
reflectarchaicthought,fantasyseems to reflectthe postmodernhuman
being'ssplitand ambivalentpictureof theuniverse.
Most fantasynovels have manysimilaritiesto fairytales. They have
inheritedthefairy-tale systemof characters, set up by VladimirProppand
hisfollowers: hero/subject, princess/object, helper,giver,antagonist(Propp;
Greimas).The essentialdifference betweenthefairy-tale heroand thefan-
tasyprotagonist is thatthe latter often lacks heroic features,can be scared
and even reluctantto performthe task,and can sometimesfail.Fantasy
rarelyends in marriageand enthronement; in contemporary philosophical
and ethicalfantasyit is usuallya matterof spiritualmaturation.Fantasy
also allowsmuchfreedomand experimentation withgendertransgression.
Further, fantasy has inherited manysuperficial attributes offairytales:
wizards,witches,genies,dragons,talkinganimals,flying horsesand flying
carpets,invisibility mantles,magicwands,swords,lanterns, magicfoodand
drink.However,the writers'imaginationallows them to transform and
modernizetheseelements:a geniemaylivein a beercan ratherthana bot-
tle;flying carpetsgiveway to flying rockingchairs,and supernatural char-
acterswithoutfairy-tale origins are introduced - for instance animated toys
(fora good overviewof fantasythemessee Swinfen).Nevertheless, their
functionin thestoryis essentiallythesame.
Fantasyhas also inheritedthebasic plot of fairytales:theheroleaves
home,meetshelpersand opponents,goes throughtrials,performs a task,
and returns homehavinggainedsomeformofwealth.It has inherited some

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 FAIRYTALEANDFANTASY

fundamental conflictsand patterns,such as the quest or combatbetween

good and evil.However,just as fairytalesarenota homogeneousgenrecat-
egory,featuring magicaltalesas wellas animaland trickster talesand so on,
so fantasyis a genericheadingfora varietyof different typesof narratives,
some takingplace in a fairy-tale realm, some depictingtravelbetweendif-
ferentworlds,some bringingmagicinto theeveryday(see Nikolajeva,The
MagicCode). Thereis, nevertheless, a principaldifference in theway fairy
tales and fantasyconstructtheirspatiotemporalrelations.Accordingto
MikhailBakhtin,theparticularconstruction ofspace and timein a literary
text,a featurehe calls chronotope(an interdependent unityof space and
is
time), genrespecific, thatis, each genre has its own unique chronotope
("FormsofTime").Withthisstructural approach,we maydefinefairytales
and fantasy by theway timeand space is organizedin them.
One elementthatwe immediately recognizeas characteristic of thefan-
tasychronotope is the of
presence magic, anyor other form of the supernatu-
ral, in an otherwiserealistic,recognizableworld. This presencemay be
manifest in theformofmagicalbeings,objects,or events;it maybe unfolded
intoa wholeuniverseor reducedtojust one tinymagicalbit.Thiselementin
itselfis notdifferent fromfairytales,buttheanchoring in realityis.
The spatiotemporal condition,or chronotope, offairytalesmaybe sum-
marizedin theinitialformulassuch as "once upon a time,not yourtime,
and not mytime,"("Es war einmal. . . "Il étaitune fois. . ."), "in a cer-
tainkingdom,""East of thesun,Westof themoon,""beyondthreemoun-
tains,beyondthreeoceans,"and so on. It can occasionallybe moreconcrete,
butstillmythicalratherthanrealistic:"In thereignofKingArthur..." (or
in Russian,"in thereignof Czar Green-Pea").Thus fairytalestakeplace in
one magicalworld,detachedfromour own both in space and in time.
Myths,too, take place in the eternalnonlineartime,kairos(see Eliade;
Heindricks;Nikolajeva,FromMythic).However,while thebearersof myth
are positionedwithinits time/space, thereaderor listenerof a fairytale is
detachedfromits space and time,which may again be emphasizedby
rhetoricformulas,forinstance"once upon a timein the week of seven
Sundays."For thelistener,thistimeis beyondreach.In fantasyliterature,
the charactersare temporarilydisplaced frommodern, linear time-
chronos - intomythical, archaiccyclicaltime- kairos - and returnto linear-
ityat the end of the novel.The eternity of the fairy-tale time,expressedin
thefinalformula"livedhappilyeverafter," is alien to fantasy. Thus,thepro-
tagonists ofTheLion, theWitchandtheWardrobe livea longlifein thearchaic
timespaceofNarnia,but arebroughtback and becomechildrenagain.
In mythand fairytale,the hero appears and acts withinthe magical
chronotope.In fantasy, the main premiseis the protagonist'stransition

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 MARIANIKOLAJEVA

betweenchronotopes.The initialsettingof fantasyliteratureis reality:a

riverbank in Oxford(Alicein Wonderland ), a farmin Kansas (The Wonderful
WizardofOz), a countryhouse in centralEnglandduringtheSecondWorld
War (The Lion, theWitchand theWardrobe), or a parkin Stockholm(Mio,
My Son). From this realistic setting,the characters are transported into
some magicalrealm,and mostoften,althoughnot always,broughtsafely
back.Alternatively, themagicalrealmitselfmayintervene intoreality,
in the
formofmagicalbeings(the Psammead,PeterPan,MaryPoppins),magical
transformations, or magicalobjects.Naturally, in fairytales,too,theherois
transferred to anotherrealm(Propp'sfunctionnumberfifteen), but as he
startsfrom"a certainkingdombeyondthricethreemountains,"thetrans-
portation is notas dramaticas forfantasy protagonists,who findthemselves
whisked away fromOxfordto Wonderland,fromKansas to Oz, from
London to Neverland,or fromStockholmto Farawayland.Similarly, when
thefairy-tale herobringsback magicalobjectsor helpersfromhis travels,
theyfitmuchbetterinto the "certainkingdom"thanin our own timeand
reality.In fact,manyfantasyplots are built around the impossibility of
bringinganything back from the magical travels.This in
anchoring recog-
nizablerealityis themostessentialdifference in theconstruction oftheuni-
versein fairytalesand in fantasy.
The most commondenominationforthe various representations of
in
magic fantasy literatureis the conceptof the Secondaryworld,originat-
ing fromJ. R. R. Tolkien'sessay "On FairyStories."Thus, fantasymaybe
roughlydefinedas a narrativecombiningthepresenceof thePrimaryand
theSecondaryworld,thatis, ourown realworldand at leastone moremag-
ical or fantasticimaginedworld.Althoughfairytales oftenincludetrans-
portationto some otherrealmbymeansofa magicalagent,theytakeplace
in one imaginary world,whichdoes not have any connectionwithreality,
at leastnotthereader/listener's Patterns
reality. ofintroducing magicintothe
everyday in fantasy literature,ofcombiningthePrimary and theSecondary
world,can varyfroma completemagicaluniversewithits own geography,
historyand naturallaws to a littlemagicalpill thatenablesa character in an
otherwiserealisticstoryto fly, to growand shrink,or to understandthelan-
guageofanimals.
Thereis one specificmotifin fantasyliterature thathas caused some
scholarsto view thetextswherethismotifoccursas a specialsubcategory
of fantasy:the motifof time distortion.It presumablyappears firstin
NesbiťsTheStoryoftheAmuletand, morethananyotherfantasymotif,is
influenced by contemporary scientific
thought,especiallythetheoryofrel-
The of
ativity. scope problemsfantasyauthorsmeetwhen theyventureon
theexplorationof timepatterns - thequestionsof predestination and free

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 FAIRYTALEANDFANTASY

will,of themultitudeof possibleparalleltimes,of timegoingat different

paces or evenin different directionsin separateworlds,themechanismsof
timedisplacement, and the varioustimeparadoxes- is irrelevant in fairy
tales(see Aers).Some scholarsmaintainthattime-shift fantasy is the most
intellectually demandingofall typesofmodernfantasy, forbothwritersand
readers.Indeed,time-shift fantasy allows the author more freedomto elab-
oratein sophisticated patterns while it allows thereaders to see themmore
clearly(see Cameron).However,complicatedtimerelationsare presentin
all fantasytexts,independentof thedominanttypeor theme.
The relationbetweenreal and magic time in fantasyis exactlythe
reverseof thatin fairytale.A commonfolktalemotifis theland (or island)
ofimmortality wheretheherospendswhatto himmayseema day,or three
days, or a week. When he returnsto his own world,it appearsthatmany
thousandyearshave elapsed. Here magical,mythicaltimebecomes com-
pressedand insignificant (see Bak). By contrast,in fantasy, the characters
mayeasily live a whole lifein theimaginary world while no timewill pass
in theirown reality.
Most scholarsmake a cleardistinction betweenwhattheyassume are
the two principalmotifs:Secondaryworlds (Alice in Wonderland, The
NarniaChronicles,Mio,MySon, TheNeverending )
Story and time traveling
or timedisplacement(The House ofArden , A Travellerin Time, Tom'sMid-
nightGarden , PlayingBeatieBow). There is undoubtedlymore obsession
withtimeas such in time-shift fantasy:theverynotionof time,its philo-
sophical implications, and its metaphysicalcharacter.But as to the con-
structionof a magicaluniverseand, as a directconsequence,thebuild-up
ofthenarrative, therearesurelymoresimilarities thandifferences in novels
involving time shiftor Secondary worlds as the dominatingpattern.The
principal feature of time fantasy, time distortion,is also presentin the
Secondaryworldfantasy. At thesame time,whatis believedto be theprin-
cipal pattern of the Secondaryworld fantasy,the passage between the
worlds, is most tangiblein timefantasy. The passageis oftenconnectedwith
patternssuch as thedoor,themagicobject,and themagichelper(messen-
ger),all ofwhicharealso manifest in Secondaryworldfantasy. All thesepat-
ternshave theiroriginsin fairytales.
Postmodernfantasytakesall the spatiotemporal conditionsone step
further. Heterotopiais themostexcitingexample.Heterotopia,or a multi-
tude of discordantuniverses,denotesthe ambivalentand unstablespatial
and temporalconditionsin fiction.It can be arguedthata multitudeof
worldsis notpreciselya new idea; we may,forinstance,recallthe Copper,
theSilver,and theGoldenrealms,withall thevariants,in fairytales.These,
however,are merelyduplicationsofsimilarspace. The "hetero"of theterm

143
 MARIANIKOLAJEVA

"heterotopia"emphasizesdissimilarity, dissonance,and ambiguityof the

worlds. In Philip Pullman'sNorthern Lights, the multitudeof worlds is
impliedonly at the end and does not evolve in itsfullviewuntilthesequels.
The novel,whichspecifiesitsinitialsettingas Oxford,verysoon appearsto
be takingplace in a worldsimilarto our own, but not identicalwithit,
which,amongotherthings,allows theauthorto playwithlanguage,geog-
raphy, and history.In thisalternative world,theReformation has neverhap-
the
pened, Inquisition still exists in thetwentieth century, pope has his
the
seatin Geneva,theTartarsravagein Muscovy,thefarnorthis inhabitedby
witchesand intelligent polarbears;quantumphysicsis called "experimen-
tal theology," electricityis "anbariclight,"Americais "New Denmark,"and
thefastesttransportation is byzeppelin.All thisinvitesreflections overthe
randomnatureofFate.Our ownworldis describedin thesequel,TheSubtle
Knife , throughtheyoungprotagonist Lyra'seyesbymeansofdefamiliariza-
tion,thatis, presenting familiarthingsas if theywereunfamiliar. A third
worldintowhichthe charactersescape is substantially morealien. In the
finalbook, TheAmberSpyglass , thereare stillmorestrangeworldsto keep
trackof (see Huntand Lenz 122-69).
Heterotopiais also the trademark of Diana WynneJones'snovels (see
Nikolajeva,"Heterotopia"). Like Pullman, Jonesfrequently startsin Other-
worlds,depicting our own world as strange- defamiliarization again.This
givesheran opportunity to viewour own worldthroughan outsider'seyes,
observingits unexpectedand peculiaraspects and thus questioningthe
valuesand attitudeswe takeforgranted.In ThePowerofThree , forinstance,
radios,cars, and dishwashers are perceivedby the inhabitants of Other-
worldas magic,while theirown magicalqualities,such as seeinginto the
futureor findinghiddenthings,are thoughtofas natural.
The most conspicuousdifference betweenour worldand the worlds
Jones'sprotagonists come from is the absence of magic.For theuniversal
travelerChristopher Chant,our worldis one of the bleakestand dullest,
and theonlyexcitingthingworthbringingfromit is girls'boarding-school
novels.In Otherworlds (namedby thenaivechildprotagonist of TheLives
ofChristopher Chant as Anywheres), magic is a naturalpart of the everyday,
and magicalpoweris a skillto be developedin a child,just like language,
math,or athleticachievements.
Our own, sober world devoid of magic is alwayssomewherein the
periphery inJones'snovels.In Howl'sMovingCastleone ofthefourdoorsin
the castleopens intowhatis eventuallyrecognizedas Wales, fromwhere
Howl thewizardoriginallycomes. In thesequel, Castlein theAir,it turns
out thatmostof the charactersin thisOriental-flavored storycome from
our own world,but have been transformed and trappedin a varietyof

144
 FAIRYTALEANDFANTASY

bizarreforms:an old soldier,twocats,a bottledgenie,and a flyingcarpet.

In theDalemarkquartet,wherethe threefirstpartstakeplace whollyin a
mythical, magicalreal,thelast volume,The CrownofDalemark , suddenly
brings in a connection with present-day Britain. Describing our own world
fromOtherworlďsperspectiveenablesDiana WynneJonesto discussexis-
tentialquestions,such as: Whatis reality?Is theremorethanone ultimate
truth? - questions pertinentto postmodernthinking.The multitudeof
worldsis thusnotmerelya backdropforadventures, but a reflection of the
youngprotagonists' splitand distortedpictureof therealityin whichthey
areliving.This is perhapspresentedbestin TheHomeward Bounders, where
theprotagonist is foreverlostin an infinite multitudeofworlds.Such chaos
is hardlypossiblein theorderedworldof fairytales.
The worldstructure in Deep Secretis themostexplicitand consistent
ofallJones'sworks.It is describedbythemagnificent neologismMultiverse,
whichhas theformof thesignofinfinity, 00, or Möbius strip,thisfascinat-
ing three-dimensional paradoxin whichtwo sides of a twistedband sud-
denly become one. In Multiverse,worlds are placed along the endless
continuumand multiplying incessantly. The infinity and instability of the
worldsmake thisstructure particularly disturbing. One halfof theinfinity
figure contains worlds thatare "negativemagically, or Naywards,and the
otherhalfis positive,or Ayewards" (1). This does not,however,merelysig-
nifygood or evilmagic,butprimarily theacceptanceofand attitudetoward
magicin the respectiveworld.In good worlds,magicis a naturalpartof
everydaylife,while in the evil,rationalworlds,to which our own Earth
belongs,magicis despisedand persecuted.Earthis situatedNaywards,in
thenegativeloop of thespiral.This is in no way a coincidence.Childhood
and adolescenceare not safeand stableplaces, contraryto the Romantic,
idealizingview of the innocentchild. By exposingthe youngcharacters
(and thustheyoungreaders)to a varietyof other,moreharmoniousand
solid,worlds,theauthorsuggeststhatharmonycan be achieved,perhapsat
some laterstagein life.
In thecourseof thenovel,as happensin severalotherworksbyJones
as wellas in Pullman'strilogy, theveryexistenceofMultiverse is threatened.
It is, however,notexplicitthatbysavingMultiversetheprotagonist is serv-
ing the of
purpose good. Good and evil changeplaces easily, everycon-
and
cept,everybelief, is relative.This is of course totallyimpossiblein fairy
tales with theirclear-cutand unequivocal ethical categories.Fairy tale
knowsno nuances;itscharacters are eitherthoroughly good or thoroughly
evil; they are not allowed any doubts or hesitation, or in generalany ethi-
cal choices.Earlyliteraryfairytale and fantasyfollowthisprinciple.The
Nutcrackeris noble, the Mouse Kingvile. The noble mustinevitablywin

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 MARIANIKOLAJEVA

over the evil. One of the firstcautiousinterrogations of thisrigidpattern

occursin TheLion, theWitchand theWardrobe , where Edmund,one of the
fourchildcharacters ofthestory, takessideswithevil- in Propp'sterms, he is
thefalsehero,theone who failsthetask.However,unlikethefairy-tale false
hero, Edmund is not evil as defined by his function in the narrative. He is
givensomeessentialpsychologicaltraits.The narrator evendefendshis dis-
gracefulbehavior,statingthathe had gone to the wrongkind of school.
Further, Edmundis enchantedby thefoodhe acceptsfromtheWitch,and
he knows fromthe startthathe is doing wrong.Fairy-talevillainsand
betrayers do notpossesssuch qualities.Edmundis givena chanceto evolve
and repent;indeed,in thesequels,he becomesa rightful hero.
Postmodern fantasygoes considerably furtherin itsambiguity. Lyra,the
singleprotagonist in Northern Lights, is thefocalizerofthenarrative, which
encourages the reader to adopt her subjectivity and therefore perceiveher
as essentially good. Not unexpectedly, is a
Lyra given special role:she is the
onlyone who can readand interpret thesignsofthealethiometer, themag-
ical truthmachine.The firmRomanticbeliefthat the child is good by
natureand therefore moresuitableto struggleagainstevil is centralin all
fantasy novels. However,Pullman'sheroineis moresubtlyportrayed. She
has in factcaused thedeathofherbestfriend,Roger.Morally, she is notas
pure and innocent as traditional fantasyprescribes. In the final novel,she
suddenly feelsremorse over her betrayal and decides to seek Rogerin the
RealmofDeath and bringhimback.
The ultimatebattleof good and evil in TheAmberSpyglassconcerns
Lyra,thechosenchildwho will decide thefatesof all theparallelworlds.
The problemis thatit is not self-evident whichchoice is therightone. As
readers,we are givento understandthatLyra,like Eve of theBible,willbe
subjectto a temptation. It is, however,farfromclearwhethershe is sup-
posed to fall
or to withstand, and in thefirst place whatconsequenceseither
of theseactionswill have. This dilemmaengagesthe readermuch more
thanthesimpletasksin fairytales,such as killinga dragon,winningover
an antagonist, or findinga treasure.
Some ofDiana WynneJones'snovelsgo so faras to makethechildpro-
tagonistexplicitlyevil,a representative of theOther- a tabooseldombro-
kenin children's fiction.The youngcharacterofArcher's Goonrealizesto his
dismayand horrorthathe is himselfone of the evil wizardshe has been
hunting.The storyis told fromHoward'spointof view,and up to thelast
pages of thenovel thereaderhas no clue to theidentityof theevil power.
A similardilemmais skillfully exploredin TheLivesofChristopher Chant,
wherethe protagonist successively - and quite reluctantly - discovershis
magical powers. Unlike Edmund,who succumbs to the White Witch's
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 FAIRYTALEANDFANTASY

charmsonlyto be redeemedand reformed, Christopherrepeatedlyserves

the abominablepurposesof his greedyand evil uncle,bringingprofitable
loot fromthemanyparallelworldshe visits,includingmermaidfleshand
dragonblood. As readers,we see Christopher's horribleerrorsas well as his
naiveblindnessand falseloyalties.In orderto do so, we have to freeour-
selvesfromtheprotagonist's subjectposition- a demandneverput on the
recipientofa fairytale.
Rupertin DeepSecretis a Magid,one ofthemanylower-rank magicians
who conscientiously servea higherauthorityto governa multitudeof re-
latedworlds.Ostensibly, theyareworkingforthebenefitofall, keepingthe
balanceofgood and evilin theMultiverse.Most oftenthisinvolvesmanip-
ulatingpeople to do the rightthingsat the rightmoments.Seemingly,
Rupertdoes a goodjob: "I had onlythedaybeforereturnedfromAmerica,
whereI had, almostsingle-handed, managedto push therightpeople into
sortingout some kind of peace in the formerYugoslaviaand Northern
Ireland"(2). However,the veryidea of some higherpower "sortingout"
worldaffairs is disturbing enough.As a magician,Rupertis superiorto mor-
talson Earth,and hisprimary taskis to servethehigherauthority. However,
he does notfindthismysterious authority, called theUpperRoom,particu-
larlygood or just. On thecontrary, as in othernovelsbyJones,notablyA
Tale of TimeCity ; The Homeward Bounders , and Hexwood,the authorityis
playingits own gamesof power,treatingtheinhabitantsof theMultiverse
as insignificant and worthless,merepawns in theirown games,whether
they live in good or bad worlds.Even Ruperthimselffeelsmanipulated,or,
in the special languageof the magicians,"Intended."At the same time,
Rupertdoes not hesitateabout manipulatingthe fatesof people when he
findsit useful.
TheHomeward Bounders and DeepSecretarenarratedin thefirstperson.
First-personperspectiveis traditionally uncommonin fairytales. John
Stephensgoes so far as to claim thatit is impossiblein nonmimeticnarra-
tives(251). I can add as a side commentthat,contrary to Stephens'sstate-
ment,first-person narration in
was used fantasy in worksas earlyas Alison
Uttley'sA Traveller in Timeor AstridLindgren'stwo fantasies,Mio My Son
and TheBrothers Lionheart. It is, however,truethatpersonalnarrationis an
uncommonand moredemandingformin fantasy, since both writersand
readerslack theimmediateexperienceof the characters.First-person per-
spectivein some contemporary fantasy novelsadds to theoverallshiftfrom
theaction-oriented towardthecharacter-oriented natureof thestories.
Not onlyprotagonists, but also supportingcharactersin postmodern
fantasy havelosttheclear-cutdistinction betweengood and evil.Sincesuch
charactersoftenperformthe roles of parentalsubstitutes, theirambiguity

147
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underminesthesense ofsecuritythatyoungprotagonists normallyreceive

fromsuchfigures. In fairytales,therolesofsupporting charactersareclearly
determined: theyare eitherhelpersor opponents;thereis eitherthebenev-
olent(oftendead) motheror theevilstepmother. In TheLion, theWitchand
the Wardrobe , the White Witch represents- in concordance with the
-
author'sChristianviews absoluteevil.Thereis no doubtthatherplansare
malicious,and in theprequel,TheMagician'sNephew ; we witnessherprevi-
ous destructionof yetanotherworldby means of a powerfulDeplorable
Word.The child characters'struggleagainsttheWhiteWitchis therefore
theonlyrightful thingforthemto do.
In AlanGarner'sElidor,theunnamedenemyofOtherworld is onlyrec-
ognizedthroughMalebron, sly the and unscrupulousmagicianwho lures
thefoursiblingsintoElidorin pursuitofhis own designs.Basedon ourpre-
viousexperienceoffantasy, we assumethatMalebronis "a good guy";how-
ever, his obsessive behavior does not speak in his favor,and his name
suggestsmalevolence.On closerlook, we cannotbe sure thatthedestruc-
tionofElidoris notdesirable.In supporting Malebron,thechildrenmayin
factbe runningevil'serrands,and at leastone ofthempaysa highpricefor
thisinvolvement.
In Pullman'strilogy, theambiguity ofgood and evil adultsis drivento
theextreme.Lyra'smother, Mrs.Coulter,is fromthebeginningpresentedin
a less favorablelight,and sinceshe is theprimary opponentofLyra'sfather,
LordAsriel,we assumethathe represents thegood forces.However,in the
end of the firstvolume,Asrielsacrificesthelifeof Lyra'sfriend,Roger,to
pursuehis own goals.His moralimageis strongly questioned,and together
withLyrawe do not trusthim anymore.When Mrs. Coulterin the third
book kidnapsLyraand keeps her asleep witha magicpotion,we immedi-
atelyclassifythis behavioras evil, althoughit finallyappears thatMrs.
Coulterhas been actingout of thebestintentions. It is hardto understand
hermotivation, and herultimatereformation, ostensibly drivenbyhersud-
den maternalinstincts, is psychologically implausible.However,witnessing
hermartyr's deathforLyra'ssake, mostreaderswill be convinced.Human
natureis enigmaticand inconsistent, and thecharacterofMrs.Coulteris a
good illustration.A fairy-talecharactercannotpossiblygo througha simi-
lartransformation; an evilstepmother cannotbe reformed. Further, thepor-
traitsof Mrs. Coulter and Lord Asriel reflecta typicalyoung person's
contradictory feelingstowardherparents.In fairytales,thebiologicalpar-
ents'primary functionis to be absent(Propp'sfunctionnumberone).
Such utterambiguity ofcharacteris based on thepostmodernconcept
ofindeterminacy, of therelativityofgood and evil.Byintuition, we decide
thattheforceswho wish to killLyraare evil,whilethosewho seek to hide

148
 FAIRYTALEANDFANTASY

and protectherare good. However,themotivationofbothsides is equally

dubious.We also learnthatthesubtleknife,one of themajorattributes of
the trilogy, featuredin the titleof thesecond novel,is of a double nature.
The magicalknifeor swordin fairytalesis necessarilyused forthepurpose
ofgood. Pullman'ssubtleknifeis used to open passagesbetweenthediffer-
ent worlds,and as such seems to servea good cause. Later,however,the
characterslearn thatthe passages theycreateare the verysource of the
threatto theuniversetheyare trying to save. Nothingand nobodyarewhat
theyseem to be in Pullman'strilogy, and thereaderis notgivenanyclues.
The twosequels to Northern Lightsalso pose thequestionof intersub-
Unlike
jectivity. the collectiveactant of TheLion, theWitchand theWardrobe
and manyothersimilarfantasynovels,Lyraand Will are not merelytwo
interchangeable figuresintroducedto keep the genderbalance. The post-
modernconceptof intersubjectivity presupposesthe absence of a single,
fixedsubjectin a literary text,insteadsuggesting thatthecomplex"subject"
ofa narrative has to be assembledbythereaderfromseveralindividualcon-
sciousnesses.This phenomenonmay also be describedthroughMikhail
Bakhtin'sconceptof polyphony, or heteroglossia, an interplayof different
voicesand perspectives withina narrative (Bakhtin,Problems). The principal
difference betweenthecollectiveand theintersubjective characterlies in the
absence, in the latter case, ofan omniscient perspective in which the narra-
torhas simultaneousaccess to severalcharacters' minds.While a collective
characteris a simplesum ofits constituents, an intersubjective characteris
constructed through an intricate in
interplay subjectpositions thetext.
of
Lyra is the sole protagonistand focalizerin Northern Lights.In The
SubtleKnifeshe is joined by a male companion,Will, who like Lyrapos-
sesses supernaturalpowers,even thoughhe comes fromour own, magic-
less world.ButWill is notmerelythefemaleheroine'sfaithful squire.He is
on a quest of his own, and the two characters'consciousnessesare pre-
sentedto the readeras enhancingand complementing each other.In The
AmberSpyglass , severalmoremindsareadded to thisinterplay ofthoughts,
beliefs,and opinions, without any narrative authority interferingwithour
interpretation. We are allowed to enterbothLordAsrieland Mrs.Coulter's
minds,as well as thoseof severalothercharactersfromboth sides. A key
person,whose role we do not realizeuntilverynear the end, is a female
researcher fromour own worldwho goes astrayin one of themanyparal-
lel worlds.Since we are primarilyinterestedin Lyra,thesesatelliteplots
may seem distracting, but we know of course thattheywill be brought
together, and that everything musthave an impacton Lyra'sfate.We are
thusmanipulatedto add up otherpeople'sperspectivesto illuminatethe
protagonist.
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 MARIANIKOLAJEVA

The concept of intersubjectivity can also be illustratedby Susan

Cooper'snovelSeaward, in whichwe followone ofthetwocharacters while
themindof the otherremainsopaque, accordingto the complementarity
principle.Seawardtakesplace in a complicatedmindscapeof thetwoado-
lescentswho have both gone throughlosses and psychologicaltraumas.
The dreamlikenarrativepromptsus to read it as a descriptionof internal
ratherthanexternalreality.However,such an approachusuallydemands
thatwe decidewho is dreaming.
Westerlyis introducedfirst,in the firstsentenceof the firstchapter:
"Westerly came down thepathat a long lope, slidingovertheshortmoor-
landgrass"(7). In thischapter,nothingsuggeststhatthestoryis otherthan
realisticor thatthesettingis otherthanperceptible We do notknow
reality.
wheretheboyis goingor why,but thereis nothingto lead ourgenreexpec-
tationstowardthe extraordinary. In the next chapter,Westerlyis aban-
doned, and we meet Cally in a similar in mediasresmanner:"Callysat in
theapple tree"(10). In contrastto theWesterly chapter,herewe areimme-
diatelyinitiated into Cally'sdilemma: her fatheris dying.The womanwho
has come to takehim,ostensibly, to a hospital,maybe seen as thesymbolic
figureof death.She says to Cally:"We'vemetbefore. . . but onlyat a dis-
tance.We shall meet again soon" (11). Apparently, Cally has seen death
before,"at a distance,"perhaps when a distantrelative died; themysterious
womanwill soon come to collectCally'smother,and Callywill presently
meetDeath itself,Lady Taranis,in thedarklandscapeof hermind.At the
same time,Taraniscan also be viewedas thedarkerside of Cally'smother,
which Cally has to recognizeand accept: "Callyhad a sudden nightmare
imageof her motherhostileto her,of a malevolenceaimed at her which
somehowwas retribution foreverything she had everfailedto do, or done
In
wrong. place of the lovingforgiveness she had alwaysknown,in her
mindshe saw hermother'sfacetwistedwithill-wishing[...]" (17). After
Callyhas escaped fromher dismalrealitythrougha mirror - a straightfor-
wardJungiansymbolrepresenting thedarkerside oftheego,theShadow-
the narrativeswitchesback to Westerly, and several more chaptersare
writtenin thisantiphonicmanner(chapters3 and 4 forWesterly, chapters
5 and 6 forCally),untilthetwocharacters finallymeet.Fromthispointon,
theymustcooperate,trust,and help each otherin orderto succeed.They
are focalizedalternately, yet the two pointsof view almostcoincide.The
charactersmergein theiractantialroles,but continueto complementeach
otherpsychologically: Callyhas intuition, Westerly is rationaland resolute.
Theiractionshaveimmediateimpacton one another;theymustlearnto be
sensitiveand considerate.In Jungianterms,Callyis Westerly's Anima,and
he is herAnimus.These positive,creativesides of theirrespectivepsyches

150
 FAIRYTALEANDFANTASY

must counterbalancetheirdark sides, the Shadows, Lugan and Taranis.

AlthoughLugan seems to be benevolent,while Taranisis evil, both are
ambiguousin theirmessages,and in the end both are equallytreacherous
and supportive.
For Westerly, too,LadyTaranisis thesymbolicmaternalfigure.His real
motherhad somehowmanagedto send him over to the Otherworld just
beforeshe was brutallymurderedin an unnamedtotalitarian country, far
away from Cally'speaceful Britishcountryside. Westerly feelsguilty about
herdeath.He is searchingforhis father, and Lugan,themale parentalsub-
stitute,playsthenaturalroleofguide:"I am your. . . watchman.As a hawk
hangswatchingin thesky.I see thosethingsthathappento you- but only
when theyare happening,not before.SometimesI may intervene.Not
always.Thereareperilsin thiscountry, but thereare also laws [...]" (30).
Interpreting the Otherworld as Westerly's mindscape,fullof fearand anxi-
ety, the novel presents his inner journey toward acceptanceof his parents'
death,thusparallelingCally'squest.The description of thejourneyis illog-
ical,almostincoherent; itevokestheunmistakable senseofa nightmare. The
worldwhereCallyand Westerly wanderis unstable,unpredictable, undeter-
minable.Duringthejourney,bothcome to theunderstanding thattheirpar-
entsareneitherperfect nortotallyreliable.Theyrecognizethetimehas come
to liberatethemselves fromparentalprotection and continueon theirown.
The goalofCally'sandWesterly's questis thesea. The sea inJungianpsy-
chologyrepresents theunconscious,and it is a verytransparent symbolin
thisnovel.It is introduced in thesecondchapter:"Callyhad neverheardthe
sea, or seen it" (10). Characteristically,
as it turnsout,Callyis a descendant
of selkies,the mythicalseal-people.However,the sea is also a symbolof
death.Cally'smothertellsher,in thebeginningof thenovel: "Yourfather's
goingawayfora littlewhile. . . He's goingto a specialhospitalby thesea"
(10). The mothersoon followshim,supposedlytovisit.Eventually, Callyhas
to acceptthatherparentsare not comingback. Similarly, Westerly has been
toldby his motherto travelseawardin searchof his father. Taranis,death
incarnated,triesto temptWesterlyinto followingher: "Come with me,
Westerly. I willtakeyou to thesea, and thereshallbe no morepursuingand
no moreperil.Comewithme,and I willsendyouovertheocean,to theland
ofTirn'AnOg, theeveryoung,wherethereis neitherloss norage norpain.
You will findyour fatherthere"(32). TaranispromisesWesterlyeternal
youth,but she enticeshim to followher into the realmof death- on the
mimeticlevel,to commitsuicide.She thensays thesame to Cally:"'Come
withme,CallyI willtakeyouto thesea, toyourmotherand yourfather, and
willbe safe All " The of the
you again. together' (49). duplication temptation
emphasizestheidenticalrolesofthetwocharacters in thestory.

151
 MARIANIKOLAJEVA

The intersubjective readingof the charactersenables us, just as in

Pullman'strilogy, to reconcilethetwoseparatenarratives, thetwoseparate
innerjourneys,viewingthemas twosidesofthesamequestforself,in which
thetwoconcretefiguresare interconnected, not leastbecause theirgender
complementarity makes theirstorymoreuniversal.They learn to under-
standand trusteach otherjust as an individualwould explorehis or her
ownpsychein an extremesituation.Theysharetheirfears,nightmares, and
visions;theyvirtually become one. Justas their
parentalfigures are the two
sides of one inseparablewhole: day and night,Lifeand Death,impossible
withoutone another,so Callyand Westerlyare ultimately twosides of the
same mindand soul. Once again,it is quite obvious thatfairy-tale heroes
neverreachsuch complexity.
I havein thislastanalysisinterpreted thefantasy realmas a mindscape,
an externalization oftheprotagonist's innerworld.Naturally, fairytaleshave
also beeninterpreted thisway,in thefirstplace bytheJungian-inspired crit-
ics (see, e.g.,vonFranz;J.C. Cooper)However,thepresenceofthereal,per-
ceptibleworldin fantasy novelssupportstheviewof thefantastic worldas
a symbolicrepresentation of thecharacter's mindin a mannermoreimme-
diate thanin fairytales.The protagonist of RussellHoban'sThe Trokeville
Way enters his own a
mindscapethrough picturepuzzle he has boughtfrom
a streetmusicianwiththeanagrammatic nameof Мое Nagic.The motifof
goinginsidea picturehas itsoriginsin folklore, themostprominent exam-
ple beingthemythofWu Lao Tsu,a painterwho disappearsintohis own
painting.The mythendswithhis disappearanceand showsno further inter-
est in his experience.In Mary Poppins , where thereare several episodes
depictingcharactersenteringpictures,the experiencedoes not go beyond
adventure and theverythrillofpassinga magicalthreshold. ForNick,in The
Trokeville Way ; the a
picture,showing bridge with twopeopleon it,is merely
a gateintothedark,frightening, and complexworldofhis own mind.Nick
is on thevergeofbecominga teenager, and crossingthebridgehe findshim-
selfin a nightmare, involving parents,his bullyingclassmate,thegirlhe
his
is interested in, and otherfigures ofhispastand present.Thereare,however,
no dragonsforNickto fight beyondthebridge,and no treasures to find.His
journeyis a pure quest of self-discovery, and the solidityof the old stone
is as
bridge just illusory as Мое Nagic'sdisappearancetricks.Nothingever
turnsout as it seems to be, and thewhole storyhas a disturbing sense of
uncertainty and indétermination.
This bringsme to thefinalquestionof thisessay,theepistemology of
fairytalesand fantasy, thematterofbeliefand the"suspensionofdisbelief."
The mostprofounddifference betweenfantasyand fairytalesis in factthe
position of the reader/listener towardwhatis narrated.In traditional fairy
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 FAIRYTALEANDFANTASY

tales,takingplace, as we have seen, in a clearlydetachedtimespace,read-

ers are not supposedto believein thestory.The addresseeof a fairytaleis
situatedoutside the text;the communicationis based on an agreement
between the sender and the addressee.Among others,VladimirPropp
maintainsthattheaddresseeofa fairytaleknowsthatthestoryis not true.
This factaccountsforthe recurrent finalpatternsof manytales,like the
famousRussian:"I havebeen to thefeastmyself, drankwine and beer,but
nevergotdrunk."The ironicassurancethatthestoryis "true"remindsthe
listenerofitsown conventionality. This is also, as has alreadybeen pointed
out, the basic difference betweenmythand fairytale: forthe bearerof a
myth,the eventsdescribedare true;mythis based on belief.The mythic
hero'sdeeds are essentialforthesurvivalofhis society.The hero'staskin a
fairytale is totallyimpossibleforan ordinaryhumanbeing;it is alwaysa
symbolicor allegoricaldepiction.In fantasy, charactersare ordinary;the
writersoftenassuretheirreadersthattheprotagonist is "justlikeyou."
In mostfantasy novelstherecan be at leasttwopossibleinterpretations
of the events.Theycan be acceptedas "real,"havingactuallytakenplace,
whichmeansthatas readerswe acceptmagicas a partof theworldcreated
by theauthor.Butmagicadventures can also be accountedforin a rational
way, as the protagonist'sdreams, visions, hallucinations,or imaginings
for
caused, instance, byfever, bypsychical emotionaldisturbance.
or or J.R. R.
Tolkienwas amongthefirstto questionthelegitimacy of rationalexplana-
tions. In his essay "On FairyStories,"he dismissesAlice in Wonderland
becausein theend theheroinewakesup,and heradventures turnout tohave
been a dream.Tolkien'sconceptof fantasy literature (althoughhe speaksof
fairy storiesratherthanfantasy)is based on thesuspension thatis,
ofdisbelief;
unlikethecase of fairytales,we as readersperceivefantasy, withinits own
premises, as "true."ForTolkien,genuineandskillful fantasy createsSecondary
Belief(unlikethe PrimaryBeliefof myth and religion),puttingthe reader
in a temporary stateof enchantment. As soon as suspensionof disbeliefis
disturbed, thespellis broken,and,Tolkienadds,arthas failed.For Tolkien,
TheTrokeville Waywould,unlikeAlice,qualifyas a genuinefairystory, since
Nick'sdreamis too much interwoven withreality, and it is impossibleto
separatehis mindscapefromtherealworldin whichhe lives.The readeris
thuskeptin suspensionofdisbeliefthroughout thestory, eventhoughNick
doeswakeup everynowand then,onlyto discoverthathisdreamhas indeed
been true.
Fairytales,on theotherhand,oftensubverttheirown credibility, either
in initialor in finalformulas:"Once upon a time,when pigs drankwine
[...]." The hero(and thereaderAistener) ofa fairytaledoes notexperience
wonderwhenconfronted withmagicaleventsor beings;theyare takenfor

153
 MARIANIKOLAJEVA

granted.The charactersof a fantasynovel,anchoredin thereal world,do

notnormallyexpecta rabbitto havea watchor to weara waistcoat;neither
do theyexpectto discovermagicalrealmsbehindlookingglassesor inside
wardrobes.The essenceoffantasy literature is theconfrontation oftheordi-
nary and the fabulous. Here, the categoriesproposedby Tzvetan Todorov
mayproveuseful.In his studyofthefantastic, Todorovdrawscleardistinc-
tionsamongtheuncanny, themarvelous,and thefantastic, in whichthelast
is characterized a
by strong sense of hesitation. Fairytaleswill,in thistypol-
ogy,chieflyfallunderthe categoryof themarvelous,while theessenceof
fantasylies in thehesitationof theprotagonist (and thereader)whencon-
frontedwith the supernatural - which can be anythingthatgoes beyond
naturallaws. I have in thisessayrepeatedlypointedout uncertainty, inde-
terminacy, and ambiguity as typicalfeatures ofpostmodern fantasy on every
level.Together withthefairy-tale hero,readersflisteners do notquestionthe
existenceof dragonsor witches,because theyare part of the fairy-tale
buildup.For thefantasyprotagonist, theencounterwiththesupernatural,
whethertheappearanceofwitchesor unicornsin his own reality, or being
transported into another a
world,presents dilemma, which readers must
share.The eventsmaybe actuallyhappening,causingus to accepttheexis-
tenceof magic,of parallelmagicalworlds,and of thepossibilityof travel
betweenworlds.Alternatively, characters(and readers)may decide that
are or
they dreaming hallucinating. In postmodernfantasy, theboundaries
betweenrealityand theOtherworld becomemoreelusive,and thepassage
oftensubtle,so thatthehesitationis amplified. Actually,Christopher Chant
initiallybelieves his explorations of Related World to be dreams. The
worldsconstructedas a Möbius stripmay be the productof a confused
young mind, and the nightmarish landscape beyond the bridgein The
TrokevilleWay most definitely invites being interpreted as the character's
mindscape.However, no definite answer is to be found in the text.Alice
wakesup fromhernightmare and can go freefromanyconsequencesofher
actionsin Wonderland.Dreamand realityare clearlydelineated.For post-
moderncharacters,therewill be no awakening,the boundariesbetween
dreamand realityare blurred,and theyoftenpay dearlyfortheirinvolve-
mentin Otherworlds.Further,followingthe developmentof naturalsci-
ence,fantasy literaturetendsto viewparallelworldsas equallyreal,so that
is,
nothing positivistically, acknowledgedas theutmostreality. In quantum
physics, which has inspiredpostmodernauthors, we meet the uncertainty
principle,developedby WernerHeisenberg.Contraryto the straightfor-
wardnessoffairytales,fantasy acceptsmorethanone realityand morethan
one truth.

154
 FAIRYTALEANDFANTASY

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