Introduction to Novel: History, Background

and Literary Elements& Devices

Lecturer Assist. Estabraq Al-Wazzan

Translation Dept.
University of Basrah – College of Arts
Year 2

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What is Novel?
A novel is a long-form work of narrative fiction that tells a story through prose. Novels are a
prominent literary form and one of the most common forms of written fiction. They can vary
greatly in terms of style, content, and genre but are typically characterized by their length and the
depth with which they explore characters, plot, and themes. Novels can encompass a wide range
of subjects and can be set in various time periods, locations, and fictional worlds.

History:
1-Ancient and Medieval Origins:

The novel as we know it today has its roots in ancient and medieval storytelling traditions. Ancient
texts like "The Tale of Genji" (11th century) by Murasaki Shikibu in Japan and "The Golden Ass"
(2nd century) by Apuleius in Rome are considered early examples of long narrative fiction.

2-The Renaissance and Early Modern Period:

The Renaissance period in Europe saw the emergence of prose fiction in the form of romances and
picaresque novels. One of the earliest European novels is "Don Quixote" (1605) by Miguel de
Cervantes, often regarded as the first modern novel.

3-The 18th Century:

The 18th century marked a significant development in the novel's history. Novels became more
accessible to a wider readership, thanks to the rise of the printing press and the growth of literacy.
Works like "Pamela" (1740) by Samuel Richardson and "Tom Jones" (1749) by Henry Fielding
gained popularity during this period.

4- The 19th Century:

The 19th century saw the novel reach new heights of popularity and diversity. It was a period of
great innovation and experimentation in the genre. Writers like Jane Austen, Charles Dickens, Leo
Tolstoy, and the Brontë sisters produced some of the most enduring and influential novels in
literary history.

5-The 20th Century:

The 20th century brought further diversification of the novel, with various modernist and
postmodernist movements challenging traditional narrative structures. Notable works include
James Joyce's "Ulysses" (1922) and Franz Kafka's "The Trial" (1925). Science fiction and fantasy
novels, such as George Orwell's "1984" (1949) and J.R.R. Tolkien's "The Lord of the Rings" (1954-
1955), also gained prominence.

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 6-Contemporary Novels:

In the contemporary era, the novel continues to evolve, incorporating new forms, themes, and
perspectives. Authors like Salman Rushdie, Toni Morrison, Haruki Murakami, and J.K. Rowling have
achieved international acclaim and popularity.

7-Digital and Electronic Novels:

The advent of digital technology has given rise to electronic novels and web novels, which are often
distributed online. These new formats have expanded the reach of the novel to a global audience
and opened up opportunities for self-publishing.

Throughout its history, the novel has been a versatile and dynamic literary form, reflecting the
cultural, social, and technological changes of its time. It remains a vital medium for exploring the
human experience, telling stories, and conveying complex ideas. The novel's adaptability and
enduring popularity ensure that it will continue to evolve in response to the ever-changing literary
landscape.

Importance of Studying Novels

Studying novels is important for several reasons:
1. Cultural and Historical Insight: Novels often reflect the cultural, social, and historical contexts in
which they were written. They provide valuable insights into the attitudes, values, and concerns of a
particular time and place.

2. Development of Critical Thinking: Analyzing novels helps develop critical thinking skills by
requiring readers to interpret and evaluate complex characters, plot developments, and themes.

3. Empathy and Understanding: Novels allow readers to step into the shoes of characters from
different backgrounds, cultures, and experiences. This fosters empathy and a deeper understanding
of diverse perspectives.

4. Language and Literary Techniques: Novels showcase the creative and artistic use of language,
including various literary techniques such as symbolism, metaphor, and allegory. Studying these
aspects can enhance one's own writing and communication skills.

5. Entertainment and Enjoyment: Novels provide entertainment and pleasure through engaging
storytelling. They offer an escape into fictional worlds and the opportunity to experience a wide
range of emotions.

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Types of Novels:
There are many types of novels, often categorized based on various criteria, including genre, style,
and content. Here are some common types of novels:

1. Mystery: Mystery novels revolve around solving a crime or unraveling a puzzle.

e.g. Arthur Conan Doyle's "Sherlock Holmes" series.

2. Romance: Romance novels focus on the development of romantic relationships.

e.g. Authors like Jane Austen are known for their contributions to this genre.

*Pride and Prejudice novel by Jane Austin

3. Science Fiction: Science fiction novels explore futuristic or speculative concepts, often involving
advanced technology or extraterrestrial life.

e.g. Isaac Asimov's "Foundation" series.

4. Fantasy: Fantasy novels create imaginative worlds with magical or supernatural elements.

e.g. J.R.R. Tolkien's "The Lord of the Rings" is a classic in this genre.

5. Historical Fiction: Historical fiction novels are set in specific historical periods and often blend real
events with fictional characters and stories.

e.g. Hilary Mantel's "Wolf Hall" .

6. Dystopian: Dystopian novels depict bleak, oppressive, or totalitarian societies.

e.g. George Orwell's "1984" and Aldous Huxley's "Brave New World" are iconic dystopian works.

7. Adventure: Adventure novels feature thrilling journeys and daring exploits.

e.g. Jules Verne's "Twenty Thousand Leagues Under the Sea" and Robert Louis Stevenson's "Treasure
Island."

8. Young Adult (YA): YA novels are written for a teenage audience, often dealing with coming-of-age
themes and teenage protagonists.

e.g. The "Harry Potter" series and "The Hunger Games" series fall into this category.

9. Literary Fiction: Literary fiction explores complex themes and character development. It often
emphasizes artistic and stylistic qualities.

e.g. F. Scott Fitzgerald's "The Great Gatsby" and Toni Morrison's "Beloved."

10. Erotic Fiction: Erotic novels focus on explicit sexual themes and relationships. They cater to an
adult audience and often include romantic or dramatic elements.

e.g. Lady Chatterley's Lover novel by D. H. Lawrence

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 ▪ Analyzing literature allows readers to articulate their interpretation of a text. To interpret
literature, readers should consider elements like the following:

Literary
Definition Sample Analytical Questions
Elements

• How do the characters change throughout

the story?
Characters The people in the story
• Do the characters represent universal
ideas or qualities?

• How does the dialogue impact the reader's

The conversations characters have understanding of the characters?
Dialogue
in the story
• How does the dialogue shape the plot?

The use of words beyond their • How does figurative language impact the
Figurative literal definitions. Types include meaning of the text?
language simile, metaphor, and • How are types of figurative language
personification. related to other literary elements?

• What is the main conflict?

Plot The events of the story • How does the author build feelings like
suspense and confusion through the plot?

• Is the story told from the first, second, or

Point of The perspective the story is told third point of view? How does that
view from influence the reader's understanding of
the story's events?

• What themes does the author explore in

The universal idea the author
Theme
explores in the story
this text?
• Why are these themes important?
• How does the author use literary elements
to explore the theme?

The attitude the author expresses • Does the tone change throughout the
Tone
through writing text?

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 • How does the tone impact the message of
the story?

• How does the setting relate to other

elements like theme?
Setting Where the story takes place
• Does the setting impact the characters'
feelings, actions, or conflicts?

• Is the narrative linear or non-linear?

The order the events of the story
Structure • How does the structure shape the
take place in
meaning?

Literary Elements:
Literary elements are the components or techniques that authors use to create and enhance the
structure and meaning of a novel. Here are some key literary elements often found in novels, along
with examples:

1) Plot: The plot is the sequence of events that make up the story. It typically includes elements
such as exposition (introduction), rising action, climax, falling action, and resolution.

Examples: The central plot involves Harry's quest to defeat Voldemort, as seen in various books
like "Harry Potter and the Sorcerer's Stone," where he learns about the Sorcerer's Stone and its
connection to Voldemort, or "Harry Potter and the Deathly Hallows," where he seeks to destroy
Voldemort's Horcruxes and defeat him.

Key Elements of Plot:

Exposition: This is the introductory phase of the plot where the author provides essential
background information, introduces the setting, and introduces the main characters. It sets the
stage for the story.

Example: In the exposition of "Harry Potter and the Sorcerer's Stone," readers are introduced to
the ordinary world of Harry Potter, who lives with his cruel aunt, uncle, and cousin. We learn about
Harry's parents' tragic deaths and the mysterious scar on his forehead.

Inciting Incident: The inciting incident is the event or circumstance that sets the central conflict in
motion. It disrupts the equilibrium of the story and propels the protagonist into action.

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Example : The inciting incident occurs when Harry receives a letter addressed to him in a most
unusual manner, leading to a series of events that ultimately result in Hagrid's arrival to inform
Harry that he is a wizard and has been accepted to Hogwarts.

Rising Action: The rising action is the series of events that follow the inciting incident and build
tension and suspense. During this phase, the characters face challenges, make choices, and the
conflict escalates.

Example: The rising action encompasses Harry's journey to Hogwarts, his initial experiences at the
school, and the mysteries surrounding the Sorcerer's Stone, which has the power to grant
immortality.

As Harry and his friends Ron and Hermione become more involved in the magical world, they
uncover clues about the stone's whereabouts and the potential threat it poses.

Climax: The climax is the turning point of the story and the moment of greatest tension and
emotional intensity. It's the point at which the central conflict reaches its peak, and the protagonist
faces a critical decision or challenge.

Example: The climax reaches its peak when Harry, with the protection of his mother's love residing
within him, prevents Voldemort from obtaining the stone, causing Quirrell's defeat.

Falling Action: After the climax, the falling action consists of the events that follow the resolution
of the central conflict. Loose ends are tied up, and the story begins to wind down.

Example: After the climax, the falling action includes the revelation of the truth about the
Sorcerer's Stone, the departure of Professor Quirrell, and the restoration of normalcy at Hogwarts.

The book wraps up with Dumbledore's explanations and words of wisdom to Harry about the
power of love.

Resolution (or Denouement): The resolution is the final part of the plot where the story's central
conflict is resolved. Questions are answered, and the story reaches a sense of closure.

Example: The resolution of "Harry Potter and the Sorcerer's Stone" sees Harry returning to the
Dursleys for the summer, but with a newfound sense of identity and belonging in the wizarding
world. He has made friends, discovered his talents, and begun his journey as a wizard.

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 Common Plot Devices:

Foreshadowing: Hinting at future events in the story to create anticipation and prepare the reader.

▪ Hints or clues provided by the author about future events in the story.

Example: Professor Trelawney's prophecy in "Harry Potter and the Prisoner of Azkaban"
foreshadows the ultimate confrontation between Harry and Voldemort, setting the stage for the
series' climax.

Flashback: Presenting events that occurred before the current time in the narrative to provide
backstory and context.

Example: Throughout the series, there are occasional flashbacks or glimpses into the past of Harry's
parents, James and Lily Potter, and their friends, known as the Marauders. These flashbacks help
develop the backstory of characters like Sirius Black, Remus Lupin, Peter Pettigrew, and Severus
Snape.

Conflict: The central driving force of the plot, which can be internal (within a character) or external
(between characters or forces).

▪ The central struggle or problem that drives the plot.

Example: The central conflict revolves around the battle between good (Harry and his allies) and
evil (Lord Voldemort and his Death Eaters). This conflict is rooted in Voldemort's desire for power
and Harry's mission to stop him.

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 Plot Twist: A sudden and unexpected change in the direction or outcome of the story to surprise
the reader.

Example : Professor Quirrell's Betrayal (Harry Potter and the Sorcerer's Stone/Philosopher's Stone):
The first book in the series contains a significant plot twist when it is revealed that Professor
Quirrell, who initially appears to be timid and harmless, is working for Lord Voldemort. Quirrell is
the one who has been trying to steal the Sorcerer's Stone, and Voldemort is revealed to be living
on the back of Quirrell's head.

Red Herring: A misleading clue or distraction intended to divert the reader's attention from the
real solution or outcome.

Example: Pettigrew as Scabbers (Harry Potter and the Prisoner of Azkaban): Throughout the series,
Ron Weasley's pet rat, Scabbers, is thought to be an ordinary pet. However, it is eventually
revealed that Scabbers is actually Peter Pettigrew in his Animagus form. This revelation is a red
herring because it initially diverts suspicion away from Pettigrew, who is believed to be dead, and
instead focuses attention on an innocent-seeming pet.

MacGuffin: An object or goal that drives the characters' actions and motivations but may not have
significant intrinsic value.

Example: The Sorcerer's Stone is introduced in the first book, "Harry Potter and the Sorcerer's
Stone" (or "Harry Potter and the Philosopher's Stone"), and it serves as a central element of the
plot. The stone is said to have the power to grant immortality and turn any metal into pure gold.
Voldemort, the series' primary antagonist, seeks the stone in an attempt to restore his full strength
and immortality. the stone itself is not the primary focus of the entire series. Its significance lies in
how it brings characters together and sets the stage for Harry's initial confrontation with
Voldemort.

Symbolism: Using objects, characters, or events to represent deeper, often abstract, meanings or
themes in the story.

▪ The use of symbols or objects to represent deeper meanings.

Example: Harry's lightning bolt scar is a symbol of his connection to Voldemort and his status as
the "Boy Who Lived." It also represents the theme that love can conquer even the darkest of forces.

Irony: Creating a discrepancy between appearance and reality to create plot twists and surprise
endings.

▪ A literary device involving a contrast between appearance and reality, in which there is a gap
between what is said or expected and what actually occurs.

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 Example: Dramatic irony occurs when readers know more than the characters. For instance,
readers are aware of Tom Riddle's true identity as the villain in "Harry Potter and the Chamber of
Secrets" while the characters remain unaware.

Example: Harry inherits an invisibility cloak that he believes is just a valuable magical item.
However, it is later revealed to be one of the Deathly Hallows, objects of great power.

Suspense: Building anticipation, uncertainty, and tension to keep readers engaged.

Example: Mystery Surrounding Voldemort's Return: The series establishes early on that Voldemort
is not truly defeated, and there is an ongoing mystery about how he might return to power. This
mystery creates a sense of impending danger and drives the suspense as readers wonder when
and how he will return.

2) Character: The individuals who inhabit the story and drive the narrative.

Example: Harry Potter, Hermione Granger, and Ron Weasley are the main characters who grow
and evolve throughout the series. Each character has unique traits and contributes to the overall
narrative

Protagonist: The main character around whom the story revolves. Protagonists typically face
challenges or conflicts and undergo character development throughout the story.

Example: Harry Potter is the primary protagonist of the series. His journey from a young wizard
discovering his abilities to a hero facing the Dark Lord Voldemort forms the central narrative arc.

Antagonist: The character or force that opposes the protagonist. Antagonists create conflict and
obstacles for the protagonist and may have their own motivations and goals.

Example: Lord Voldemort, also known as Tom Riddle, is the main antagonist of the series. His quest
for power and desire to eliminate Harry Potter drive much of the conflict.

Major Characters: Major characters are central to the story and play significant roles in its
development. They often undergo character arcs, experience growth or change, and have a
substantial impact on the plot. Protagonists and antagonists are typically major characters, but
other important characters can also fall into this category.

Examples: Hermione Granger and Ron Weasley are major characters who accompany Harry
throughout his adventures. They play essential roles in the story, providing friendship, support,
and crucial contributions to the plot.

Minor Characters: Minor characters, as the name suggests, have less prominent roles in the story.
They may appear briefly or infrequently, and their primary purpose is often to support the major
characters or advance the plot in some way. Minor characters may not undergo significant
development or have as much depth as major characters.

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Example: Luna Lovegood is a minor character known for her eccentricity and unique perspective
on the magical world. She adds depth to the Hogwarts student body.

Dynamic Characters: Dynamic characters undergo significant internal changes or development as

a result of their experiences in the story. They evolve emotionally, morally, or psychologically.

Example: Severus Snape is a dynamic character who’s past, motivations, and complex relationships
with other characters are gradually revealed, altering the reader's perception of him.

Static Characters: Static characters remain relatively unchanged throughout the story. They do not
experience significant personal growth or development.

Example: Nearly Headless Nick, the ghost of Sir Nicholas de Mimsy-Porpington, remains a static
character throughout the series. His personality and role do not significantly change.

Round Characters: These characters are well-developed and exhibit a range of emotions,
motivations, and personality traits. They often undergo significant growth or change during the
course of the story.

Example: Albus Dumbledore is a round character with a multi-dimensional personality. His wisdom,
enigma, and moral complexity make him a central figure in the series.

Flat Characters: Flat characters are less complex and typically have one or two defining traits or
characteristics. They serve specific roles in the story but lack depth.

Example: Moaning Myrtle is a flat character primarily defined by her constant sadness and her
haunting of a Hogwarts bathroom.

Foil Characters: Foil characters are used to highlight and contrast the traits or qualities of another
character, often the protagonist. They help emphasize certain aspects of the main character's
personality or motivations.

Example: Draco Malfoy serves as a foil to Harry Potter. His contrasting beliefs, upbringing, and
rivalry with Harry highlight the differences between the two characters.

Stock Characters: These are stereotypical or archetypal characters that are instantly recognizable
due to their common traits and behaviors.

Example: Professor Minerva McGonagall embodies some characteristics of the stern but fair
teacher archetype often found in literature.

Antihero: A protagonist who lacks traditional heroic qualities and may have morally ambiguous or
even negative traits but is still the central character of the story.

Example: Severus Snape can be seen as an antihero due to his morally ambiguous actions and
complex motivations.

Tragic Hero: A protagonist who has a fatal flaw or makes a critical mistake that leads to their
downfall or a tragic ending.

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 Example: Sirius Black can be considered a tragic hero, as his life is marked by noble qualities, but
he ultimately meets a tragic end.

Comic Relief Characters: These characters provide humor and light-heartedness in a story, often
in contrast to more serious or dramatic elements.

Example: Fred and George Weasley provide comic relief throughout the series with their
mischievous pranks and humorous personalities.

Symbolic Characters: Symbolic characters represent abstract ideas, themes, or concepts within a
story. They are often used to convey deeper meanings or to serve as symbols for something beyond
their individual characteristics. For example, a character might symbolize innocence, hope, or
corruption.

Example: Dobby, the house-elf, serves as a symbol of the injustices and prejudices against magical
creatures in the wizarding world.

Catalyst: A catalyst is not a type of character but rather a narrative device or element. A catalyst is
something or someone that initiates or accelerates a change or action in the story. It often sets the
plot in motion by creating conflict or pushing the characters to make decisions. Catalysts can be
events, objects, or even characters who spark significant developments in the narrative.

Example: Rubeus Hagrid often serves as a catalyst character, as his actions and information
frequently set key events in motion, such as introducing Harry to the wizarding world.

3) Setting: The time and place where the story unfolds.

Example: The series is primarily set in the magical world, with iconic settings such as
Hogwarts School of Witchcraft and Wizardry, Diagon Alley, and the Weasley's Burrow.
These locations create a vivid and immersive backdrop for the story.
4) Theme: The central ideas or messages explored in the novel.

Example: One prominent theme is the power of love and self-sacrifice, exemplified by Lily Potter's
sacrifice to save Harry. Friendship and loyalty are also recurring themes, particularly in the strong
bonds between Harry, Ron, and Hermione.

5) Point of View: The perspective from which the story is narrated.

Example: The series is primarily narrated in the third-person limited point of view, providing insight
into Harry's thoughts and feelings while allowing readers to understand the perspectives of other
characters.

The third-person limited perspective allows readers to see the world through Harry's eyes while
also maintaining a degree of narrative distance to reveal other characters' thoughts and actions.

Types of point of view:

1- First-Person Point of View:

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In first-person POV, the narrator is a character within the story who refers to themselves as "I."
The reader experiences the story through the narrator's personal thoughts, experiences, and
feelings.

Example: "I woke up early that morning, my heart racing with excitement as I prepared for the
adventure that awaited."

2. Second-Person Point of View:

Second-person POV is relatively rare in literature. It directly addresses the reader as "you,"
immersing them in the narrative as if they are a character in the story.

Example: "You step into the dark, mysterious room, your flashlight trembling in your hand."

3. Third-Person Limited Point of View:

In third-person limited POV, the narrator is an external observer who focuses on the thoughts,
feelings, and experiences of a single character. The narrator uses third-person pronouns (e.g., "he,"
"she," "they").

Example: "She looked out the window, wondering if she would ever see him again. Little did she
know, he was already on his way home."

6) Tone: Refers to the author's attitude or emotional expression toward the subject matter,
characters, or audience

Example: Throughout the series, there are many moments of emotional depth and heartfelt
connection between characters. For instance, the tone becomes deeply emotional when Harry
mourns the loss of loved ones, such as the deaths of Sirius Black and Dumbledore. These moments
evoke a sense of sadness and empathy in the reader.

7) Mood: Refers to the atmosphere or emotional feeling created by a text. It's the overall
impression or vibe that a story conveys to the reader. The mood is often achieved through the
author's choice of words, imagery, setting, and tone.

Example: In "Harry Potter and the Half-Blood Prince," there's a pervasive mood of mystery and
suspense as Harry and his friends uncover the secrets of Tom Riddle's past, Horcruxes, and the
identity of the Half-Blood Prince. The dark and enigmatic atmosphere of these revelations creates
a mood of tension and anticipation.

*While “tone” is the writer's attitude, “mood” is the feeling the reader gets from the writing. Tone
often describes the writing overall, but the mood of a piece of writing can change throughout it.

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Some Common Literary Devices:
1. Simile: A figure of speech that compares two unlike things using "like" or "as" to create a
vivid image or highlight a similarity. For example, "Her smile was as bright as the sun."

2. Metaphor: Similar to a simile, a metaphor compares two things, but it does so directly,
often by saying one thing is another. For example, "Time is a thief."

3. Symbolism: The use of symbols to represent ideas, concepts, or emotions. Symbols can be
objects, characters, or even actions that carry deeper meaning. For example, a dove may
symbolize peace.

4. Foreshadowing: The technique of giving hints or clues about future events in the story,
creating anticipation and tension. It can be subtle or more overt, depending on the
author's intentions.

5. Personification: Giving human qualities or attributes to non-human entities or objects. For

example, "The wind whispered through the trees."

6. Irony: A contrast between what is expected and what actually happens. There are several
types of irony, including verbal irony (sarcasm), situational irony (a surprising turn of
events), and dramatic irony (when the audience knows something the characters don't).

Example: Someone says, "Oh, great! It's raining on the day of our outdoor picnic. That's just
what we needed.

7. Alliteration: The repetition of consonant sounds at the beginning of words in close

proximity. For example, "Peter Piper picked a peck of pickled peppers."

8. Imagery: The use of descriptive language that appeals to the senses (sight, sound, touch,
taste, smell) to create vivid mental pictures for the reader.

Example: “The first bite of the ripe, juicy peach was a burst of sweetness on her tongue."

9. Flashback: A literary device that interrupts the chronological sequence of a story to

provide information about events that occurred in the past. This helps readers understand
characters or situations better.

10. Onomatopoeia: Words that imitate the sound they represent. Examples include "buzz,"
"crash," and "whisper."

11. Hyperbole: Exaggerated statements or claims not meant to be taken literally. It is often
used for emphasis or to create a dramatic effect. For example, "I've told you a million
times."

12. Anaphora: The repetition of a word or phrase at the beginning of successive sentences or
clauses. It can be used for emphasis and rhythm. For example, "I have a dream..."

13. Allusion: A reference to a well-known person, place, event, or work of literature. Authors
use allusions to evoke certain associations and deepen the meaning of their writing.

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