BEG 05 Fiction

FICTION
BEG - 05
GEG - 02
BA General
(Distance Mode)
Centre for Distance and Open Learning

Jamia Millia Islamia
New Delhi-110025
EXPERT COMMITTEE
Prof. Talat Ahmad Prof. M. Mujtaba Khan
Patron, Vice-Chancellor, Jamia Millia Islamia Officer on Special Duty, CDOL
Prof. Mohammad Miyan Mr. Prashant Negi
Hony. Chief Advisor, CDOL, Founder Director, CDOL Hony. Jt. Director, CDOL
Prof. Iqtedar Mohd. Khan Dr. Arvind Kumar
Department of Islamic Studies, Jamia Millia Islamia Hony. Jt. Director, CDOL
Dr. Vinod Sethi Dr. Farah Naaz
University of Delhi Department of Political Science, Jamia Millia Islamia
Dr. Kaneez Fatima Dr. Saima Iqbal
Department of Public Administration, Shaheed Bhagat Singh College,
MANNU, Hyderabad University of Delhi
Dr. Sreepati Ramrudu Dr. Naseeb Ahmad
Director, Centre for Social Exclusion & Inclusive Vice-Principal,
Policy, University of Hyderabad Jamia Sr. Secondary School, Jamia Millia Islamia
Dr. Bidhan Chandra Dash
School of Liberal Studies,
Dr. B.R. Ambedkar University, Delhi
PROGRAMME COORDINATOR
Shah Alam Khan, Academic Co-ordinator, CDOL, Jamia Millia Islamia
COURSE WRITERS
Dr. Amita, Lecturer Communication in Apeejay Satya University, Sohna
Units: (1.1-1.3, 1.5-1.9)
Adya Kumari Jha, Research Scholar, University of Delhi
Unit: (1.4)
Dr. Jyotsana Pathak, Assistant Professor, Dayal Singh College, Delhi University
Units: (2, 3, 6.1-6.2, 6.5-6.9, 11.1-11.2, 11.6-11.10)
Dr Madhu Rani, Assistant Professor, Sunder Deep Group of Institution, Ghaziabad
Units: (4, 5)
Dr. Shuchi Agrawal, Senior Lecturer, Amity University, Noida
Units: (6.3, 11.4)
Dr. Vibhuti Gaur, Assistant Professor, Department of English, Lakshmibai College, Delhi University
Units: (6.4, 11.3, 11.5)
Dr. Vivek Gaur, Assistant Professor, Satyawati College, Delhi University
Units: (6.4, 11.3, 11.5)
Dr. Saba Mahmood Bashir, Freelance Author, Delhi
Unit: (7)
R K Madhukar, General Manager, Canara Bank, Bengaluru
Units: (8, 15.1-15.3, 15.5-15.10)
Joshil K. Abraham, HOD Humanities & Applied Sciences, Asstt. Professor English, G. B Pant Engineering College, Indraprastha University
Units: (9, 10.1-10.3, 10.6-10.10)
Md. Shafey Danish, Assistant Professor English, Ramjas College, University of Delhi
Unit: (10.4)
Archna G, Assistant Professor (English Education), Dr. Kalaikannan College of Education For Women, Pondicherry
Unit: (10.5)
Dr. Ruchi Singh, Assistant Professor, Zakir Husain Delhi College, University of Delhi
Units: (12, 14, 15.4, 18.3, 19, 20, 22)
Dr Gifty Gupta, Asstt. Professor, Deptt. of English, Shaheed Rajguru College of Applied Sciences for Women, University of Delhi
Unit: (13)
Dr. Vijay Kumar Tiwary, Guest Lecturer, School of Open Learning, University of Delhi
Unit: (16)
Dr. Bhaskar Pridarshy, Guest Lecturer, School of Open Learning, University of Delhi
Unit: (16)
Sanjiv Nandan Prasad, Associate Professor, Department of English, Hansraj College, University of Delhi
Unit: (17)
Deb Dulal Halder, Assistant Professor, Department of English, Kirori Mal College, University of Delhi
Units: (18.1-18.2, 18.4-18.8, 23, 24)
Dr. Ellina Samantroy, Associate Fellow, V.V. Giri National Labour Institute, Noida
Unit: (21)
All rights reserved. Printed and published on behalf of the CDOL, Jamia Millia Islamia by Vikas® Publishing House, New Delhi
August, 2017
ISBN: 978-93-5259-681-2
All rights reserved. No part of this book may be reproduced in any form or by any means, electronic or mechanical, including
photocopying, recording or by any information storage or retrieval system, without permission in writing from the CDOL,
Jamia Millia Islamia, New Delhi.
Cover Credits: Anupama Kumari, Faculty of Fine Arts, Jamia Millia Islamia
SYLLABI-BOOK MAPPING TABLE
Fiction
Syllabi Mapping in Book
Block I Unit-1: An Introduction to Fiction

(Pages 3-40);
Unit-2: A Historical Background
(Pages 41-66);
Unit-3: Understanding Various Genres
of Fiction and its Emergence
(Pages 67-98);
Unit-4: E-mail Writing
(Pages 99-112);
Unit-5: Writing and Reporting Interviews
(Pages 113-136)
Block II Unit-6: An Introduction to 19th Century

England
(Pages 139-166);
Unit-7: Reading Thomas Hardy’s
Tess of the D’Urbervilles
(Pages 167-188);
Unit-8: Writing Memos and Minutes
(Pages 189-202);
Unit-9: Paragraph Writing: Cohesion
(Pages 203-210);
Unit-10: Writing Proposals,
Research Paper and Thesis
(Pages 211-266)
Block III Unit-11: An Introduction to 20th Century

(Pages 269-302);
Unit-12: Reading Ernest Hemingway’s
The Old Man and the Sea
(Pages 303-316);
Unit-13: Reading Animal Farm
(Pages 317-338);
Unit-14: Paragraph Writing: Coherence
(Pages 339-352);
Unit-15: Writing Instructions, Manuals
and Technical Descriptions
(Pages 353-388)
Block IV Unit-16: Introduction to the Historical

Background of India and
Independence Struggle
(Pages 391-470);
Unit-17: Reading Raja Rao’s
Kanthapura
(Pages 471-504);
Unit-18: Stress and Stress Pattern
(Pages 505-516);
Unit-19: Different Sounds
(Pages 517-528);
Unit-20: Sound Symbols
(Pages 529-548)
Block V Unit-21: An Introduction to the

Caste Issue in India
(Pages 551-584);
Unit-22: Reading Mulk Raj
Anand’s Untouchable
(Pages 585-602)
Unit-23: Phonetics 1
(Pages 603-620)
Unit-24: Phonetics 2
(Pages 621-652)
CONTENTS
BLOCK-I
UNIT 1 AN INTRODUCTION TO FICTION 3-40

1.1 Introduction
1.2 What is Fiction?
1.3 Short Story
1.4 Status of Fiction Writing in India
1.5 Summary
1.6 Key Words
1.7 Answers to ‘Check Your Progress’
1.8 Self-Assessment Questions
1.9 Further Readings
UNIT 2 A HISTORICAL BACKGROUND 41-66

2.1 Introduction
2.2 Old and Middle English (600–1485)
2.3 The Renaissance (1485–1660)
2.4 Restoration to Romanticism (1660–1789)
2.5 Summary
2.6 Key Words
UNIT 3 UNDERSTANDING VARIOUS GENRES OF FICTION

AND ITS EMERGENCE 67-98
3.1 Introduction
3.2 Emergence of Fiction
3.3 Genres of Fiction
3.4 Summary
3.5 Key Words
UNIT 4 E-MAIL WRITING 99-112

4.1 Introduction
4.2 E-mails: Art of Mailing Right
4.3 Writing an E-mail Message
4.4 Summary
4.5 Key Words
UNIT 5 WRITING AND REPORTING INTERVIEWS 113-136

5.1 Introduction
5.2 Types of Interviews
5.3 Appearing for an Interview
5.4 Conducting an Interview
5.5 Summary
5.6 Key Words
BLOCK-II
UNIT 6 AN INTRODUCTION TO 19TH CENTURY ENGLAND 139-166

6.1 Introduction
6.2 Nineteenth Century Fiction
6.3 The Victorian Age (1832–1885)
6.4 The Age of Literary Realism
6.5 Summary
6.6 Key Words
UNIT 7 READING THOMAS HARDY’S TESS OF THE

D’URBERVILLES 167-188
7.1 Introduction
7.2 Thomas Hardy
7.3 Plot Overview: Tess of the d’Urbervilles
7.4 Primary Characters of Tess of the d’Urbervilles
7.5 Summary
7.6 Key Words
UNIT 8 WRITING MEMOS AND MINUTES 189-202
8.1 Introduction
8.2 Memorandums
8.3 Minutes of Meeting
8.4 Summary
8.5 Key Words
UNIT 9 PARAGRAPH WRITING: COHESION 203-210

9.1 Introduction
9.2 Paragraph Writing: Meaning, Types and Process
9.3 Characteristics of Good Paragraph-Writing
9.4 Summary
9.5 Key Words
UNIT 10 WRITING PROPOSALS, RESEARCH PAPER AND THESIS 211-266

10.1 Introduction
10.2 Writing Proposals
10.3 Writing a Research Paper
10.4 Writing Norms in Thesis
10.5 Specifications for Thesis Format
10.6 Summary
10.7 Key Words
BLOCK-III
UNIT 11 AN INTRODUCTION TO 20TH CENTURY 269-302

11.1 Introduction
11.2 Fiction: Twentieth Century
11.3 Twentieth Century Literature
11.4 Twentieth Century and Post-Modernism
11.5 Black Fiction
11.6 Summary
11.7 Key Words
UNIT 12 READING ERNEST HEMINGWAY’S THE OLD MAN

AND THE SEA 303-316
12.1 Introduction
12.2 Ernest Hemingway
12.3 Primary Characters of The Old Man and the Sea
12.4 Summary
12.5 Key Words
UNIT 13 READING ANIMAL FARM 317-338

13.1 Introduction
13.2 George Orwell
13.3 Summary of the Novel
13.4 Major Characters of Animal Farm
13.5 Animal Farm as a Political Satire
13.6 Summary
13.7 Key Words
UNIT 14 PARAGRAPH WRITING: COHERENCE 339-352

14.1 Introduction
14.2 Paragraph Writing
14.3 Transitional Devices
14.4 Summary
14.5 Key Words
UNIT 15 WRITING INSTRUCTIONS, MANUALS AND

TECHNICAL DESCRIPTIONS 353-388
15.1 Introduction
15.2 Rules of Good Writing: Grammatical Correctness
15.3 Punctuation
15.4 Manuals
15.5 Technical Writing
15.6 Summary
15.7 Key Words
BLOCK-IV
UNIT 16 INTRODUCTION TO THE HISTORICAL BACKGROUND

OF INDIA AND INDEPENDENCE STRUGGLE 391-470
16.1 Introduction
16.2 Historical Background of India
16.3 India’s Struggle for Independence
16.4 Summary
16.5 Key Words
UNIT 17 READING RAJA RAO’S KANTHAPURA 471-504

17.1 Introduction
17.2 About the Author
17.3 Summary and Major Characters
17.4 Techniques and Themes
17.5 Summary
17.6 Key Words
UNIT 18 STRESS AND STRESS PATTERN 505-516

18.1 Introduction
18.2 Word Stress
18.3 Stress Pattern
18.4 Summary
18.5 Key Words
UNIT 19 DIFFERENT SOUNDS 517-528
19.1 Introduction
19.2 Sound Patterns of English
19.3 Phonemes and Allophones
19.4 Summary
19.5 Key Words
UNIT 20 SOUND SYMBOLS 529-548

20.1 Introduction
20.2 An Introduction to Sound Symbols
20.3 Consonants and Vowels
20.4 Summary
20.5 Key Words
BLOCK-V
UNIT 21 AN INTRODUCTION TO THE CASTE ISSUE IN INDIA 551-584

21.1 Introduction
21.2 Meaning and Origin of Caste System
21.3 Concept of Dominant Caste
21.4 Constitutional Provisions Towards Positive Discrimination
21.5 Summary
21.6 Key Words
UNIT 22 READING MULK RAJ ANAND’S UNTOUCHABLE 585-602

22.1 Introduction
22.2 About the Author and Untouchable
22.3 Critical Analysis of Untouchable
22.4 Major Characters of Untouchable
22.5 Summary
22.6 Key Words
UNIT 23 PHONETICS 1 603-620

23.1 Introduction
23.2 Organs of Speech
23.3 Vowels and Consonants
23.4 Summary
23.5 Key Words
UNIT 24 PHONETICS 2 621-652

24.1 Introduction
24.2 Consonant Clusters
24.3 Introductory Approach to Second Language Learning
24.4 Methods and Approaches to Second Language Teaching
24.5 Summary
24.6 Key Words
An Introduction to
Fiction
BLOCK-I
Literature as a term is used to describe written or spoken material. It consists of anything

from creative writing to technical or scientific works, but the term is most commonly used
while referring to works of the creative imagination, including fiction, drama, prose, etc.
Fiction is the most popular form of literature in today’s world. It is any narrative that deals
with events that are not factual, but rather imaginary. It is often applied to theatrical,
cinematic and musical work. This block consists of five units.
The first unit explains the concept of fiction, then differentiates between short story and
novel. It then identifies the status of fiction writing in India.
The second unit identifies the writings from the 7th century, till the 15th century. It traces the
styles and genres of writing in the Renaissance era from 15th to the 17th century. The unit
then discusses the novel writing styles of the period.
The third unit discusses the concept of fiction and its emergence. It also identifies several
genres of fiction.
The fourth unit explains the concept of e-mail writing.
The fifth unit presents different types of interviews. It also mentions the techniques of
appearing for an interview. The unit lists the essential guidelines for conducting an interview.
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An Introduction to
Fiction
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An Introduction to
Fiction
UNIT–1 AN INTRODUCTION TO FICTION
Objectives
After going through this unit, you will be able to:
x Explain the concept of fiction
x Differentiate between short story and novel
x Identify the status of fiction writing in India
Structure
1.1 Introduction
1.2 What is Fiction?
1.3 Short Story
1.4 Status of Fiction Writing in India
1.5 Summary
1.6 Key Words
1.1 INTRODUCTION
There are many prose forms. Novels, short stories, and works of criticism are kinds
of prose. Other examples include comedy, drama, fable, fiction, folk tale,
hagiography, legend, literature, myth, narrative, saga, science fiction, story, articles,
newspaper, journals, essays, travelogues and speeches. Each form of prose has its
own style and has to be dealt with in its own particular way.
In this unit, you will understand the concept of fiction. Fiction, as a form of art,
may be categorised such as historical, biographical, sentimental, psychological, or
realistic. To cite some examples, the novels of Jane Austen are based on her
experiences of life; the novels of Sir Walter Scott have history mingled with fiction;
those of Virginia Woolf are experiments in psychology.
1.2 WHAT IS FICTION?
Fiction is a literary narrative usually in prose. It is based on imagination, and not

reality. It could be an account of truth that is wrapped in fantasy. It is a narrative that
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An Introduction to
Fiction
has a free play of imagination, structure, characters, dialogue, theme, style, and
setting. A fictional piece is a liberal form of art that conveys a theme while aiming to
entertain the reader. Whether based on the writer’s real life experience or a complete
fantasy, a fictional piece has a theme and plot. Fiction therefore refers to a story that
has a plot, time, place, characters, dialogues and events that follow the classical
example of an exposition, climax and resolution.
Different Ages of Fiction

The fictional novel emerged as a popular and public literary form in the eighteenth
century with the coming of writers like Richardson, Fielding, Smollett, Sterne and
Defoe. While this was a late development, several sub-genres or forms of the novel
can be traced. Given below are some forms of the novel according to the timeline of
their development.
The Beginning of the English Novel (1719-1770)

This period can be termed as the first flowering of the English novel. It was aimed at
satisfying the taste of the readers from the middle-class. Daniel Defoe’s Robinson
Crusoe published in 1719 was based on the picaresque novel tradition that
originated in the sixteenth century in Spain. Picaresque novels/prose told the stories
of low and common rogues and their actions. Daniel Defoe’s Robinson Crusoe tells
the tale of a seminal castaway in this style. Samuel Richardson’s (1689-1761)
Pamela or virtue Rewarded (1740), Clarissa: Or the History of a Young Lady
(1748), and The History of Sir Charles Grandison (1753) fall under the category
of Epistolary novels; which are novels in the form of letters or documents.
Richardson’s works had profound moral and they all displayed sentimentality. As a
reaction to Richardson’s sentimentality, Henry Fielding (1707-1754) took to novel
writing. His subtle use of irony, satire and humour was exemplary and the plot in his
novels were very well-structured. The development of plot was noteworthy in the
hands of Henry Fielding and could be traced in his Joseph Andrews (1742), Tom
Jones (1749), Amelia (1751), Jonathan Wilde, etc. Other important novelists of this
period are Lawrence Sterne, Samuel Johnson, and Tobias Smollett. Lawrence
Sterne and Tobias Smollett wrote in the picaresque tradition. Lawrence Sterne
(1713-1768) wrote Tristram Shandy and A Sentimental Journey through France
and Italy (1760-1767). Tobias Smollett (1721-1771) wrote Roderick Random
(1748), Peregrine Pickle (1751) and Humphrey Clinker (1771). Oliver
Goldsmith’s Vicar of Wakefield (1766) became an inspiration to the following
generation of writers.
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An Introduction to
Fiction
Novel of Terror and Romance or Gothic Novel (1764-1818)

Among the prominent categories of novels, the Gothic novel was a popular one. The
Gothic novel usually had an Italian setting and recalled the medieval period. It had
elements of horror, romance, mystery and cruelty. The Gothic novels came about as
a reaction against the prosaic common sense of the eighteenth century and the strict
neo-classical trend of writing. It was full of romance and an expression of liberty and
rebellion. The first novel in this tradition was The Castle of Otranto (1764) written
by Horace Walpole. He combined horror, romance, mystery and cruelty in his novel.
After Walpole, Ann Radcliffe tried her hand at this kind of fiction and introduced a
serious, Byronic villain as her hero. Gothic is related to a type of medieval
architecture and the authors used these as a setting for their tales. The setting in most
Gothic novels is a lonely, far away castle where mysterious events take place.
Mysteries of Udolpho (1794) by Radcliffe is cited as a notable work in this genre.
William Beckford’s Vathek (1786), and The Monk (1796) by Matthew Lewis are
a few other notable Gothic fictional novels. Mary Shelley’s Frankenstein (1818)
was a mixture of Gothic and the romantic. It was also a stimulant for the next
generation of scientific fiction writers and is relevant even today because of the
science fiction aspect. It has been a popular subject for cinematization. The Gothic
fictional novels influenced the later generation of writers because of the use of
fanciful, romantic and the mysterious.
Romantic Novel (1790-1832)

The romantic novel flourished in the Romantic Age of English letters, during the
period of the Napoleonic Wars. Jane Austen was a major exponent. Austen’s
works, while being confined to a certain smaller territory of England, depict the
reality of human nature and relationships. Thus they have a universal appeal and are
widely read all around the world. Though she was not popular in her age, she was
regarded as a master craftsman in the following generations. Her chief works
include—Pride and Prejudice (1813), Sense and Sensibility (1811), Mansfield
Park, Persuation, Emma (1815), etc. Her Northanger Abbey (1798) is
considered a satire on the Gothic tradition. She was supremely gifted in handling
harmony and irony together. Sir Walter Scott (1771-1832) is a major romantic
novelist who is known as a pioneer of the historical novel in English. He combined
fact and fiction finely. His novels are categorised as historical romance. He wrote a
series of novels which is called ‘Waverley Novels’ (1814-1831). It includes The
Antiquary, Ivanhoe, and The Heart of Midlothian. He worked for the upliftment
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An Introduction to
Fiction
of the Scottish tradition and territory throughout his life. He was a very popular
writer in his lifetime.
Victorian Novel (1830-1900)

In the Victorian Age, novels became a dominant form of literature and became more
popular than poetry. Many writers in this form emerged during this period. It was in
the 1830s that English novel saw some changes in style and form. It was the period
after the Industrial Revolution. Various reforms in the society had started taking place
and the focus was on the upliftment of the society. The middle class emerged during
this phase and there was a rise in the poorer class as well. The novel was the literary
form that was to please the taste and satisfy the newly emergent middle class.
Authors like Dickens used the novel to elaborate the contemporary social themes in
his works. Later on, the theme of novel changed from social to moral to
psychological. As the writers explored various themes in this age, they also paid
attention to develop the novel as a literary genre. Since, this age saw the loss of faith
in religion and rise of social reform and a questioning attitude in people — the novel
tried to explore these in its themes. The Victorian age could be termed as the age of
the morals.
Charles Dickens (1812-1870) is one of the best known novelists of this period.
He has been regarded as a major pillar of the Victorian era of novel writing. In his
journey from a journalist to a pioneer literary figure, he wrote many famous novels.
His works focus on realism. Dickens, in his novels, draws the picture of London
streets where he had passed many sleepless nights as a child. Along with this realism,
he also has the gift of high imagination and a wide range of characterisation. He uses
these as tools to make his novels colourful, full of humour, and very interesting. In his
early writings his focus was more on incidents than a structured plot. This could be
because the early novels were published as serial episodes in periodicals. However,
all the same, they are extremely interesting. He described what he saw with a wide
range of fictitious characters. His major works include Pickwick Papers, Oliver
Twist, Great Expectations, A Tale of Two Cities, Little Dorrit, Nicholas
Nickleby, and Hard Times. His works mainly dealt with social problems raising
sympathy and awareness in the mind of his readers for the labour class, the
education system, politics, and the effects of industrialisation.
The Brontë sisters: Charlotte, Emily and Anne are known for their emotionally
charged worlds in their novels where they described experiences, mostly their own.
Jane Eyre (1847), Villette, Shirley are Charlotte Bronte’s (1816-1855) famous
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An Introduction to
Fiction
works. The character Jane Eyre is based on her own life. Agnes Grey (1847) and
The Tenant of Wildfell Hall (1849) are the only two works to Anne’s (1820-1849)
credit. Both of these relate to the experiences of the novelist herself. Wuthering
Heights (1847) by Emily Bronte is an emotional drama of an orphan called
Heathcliff who is a character synonymous with darkness. He is a tragic figure whose
love and hatred brings disasters upon two generations of the two central families
around which the whole story is woven.
William Makepeace Thackeray (1811-1863) was the second most prominent
novelist after Dickens of that period. His worldview differed from that of Dickens.
He focused on the society and human behaviour. His novels are called the novel of
ideas. His story developed through his characters. His Vanity Fair (1847) is a
classic novel. It is an excellent example of a novel where characters display certain
nature types. It is akin to Ben Jonson’s comedy of humours. His other works are
Pendennis (1849-1850), The Book of Snobs, The Newcomes (1855), and The
Virginians (1859). He also wrote an historical novel called Henry Esmond (1852).
Anthony Trollope (1815-1882) was the novelist from the upper class. His focus
was on on the lives of ruling and the professional class of the then society. His novels
were chiefly ‘an entertainment of an idle hour’. His novels are called Barsetshire
novels. He focused on the power of money in the society. Barchester Towers
(1857), The Warden (1855), The Way We Live Now are a few of his famous
novels.
There was a large group of Pre-Raphaelite poets, novelists and artists among
John Ruskin’s (1819-1900) associates. William Morris (1834-1896) was chief
amongst them as a novelist. He was a painter, poet and a writer of fantasy fiction.
The Wood Beyond the World, and The Well at the World’s End are among his
notable works. He revived the genre of medieval romance.
Another prominent novelist was Wilkie Collins (1824-1889) who revived the
tradition of epistolary novel. The Moonstone (1868) is the first novel in the detective
fiction sub-genre. The Women in White is another popular work by him.
George Eliot (1819-1880), the pen name of Mary Anne Evans, was another
great novelist during this period who perfected the art of novel writing. She is known
for her portrayal of village-life and the simplicity of characters. She is also known for
the psychological analysis of her characters. Her novels reveal the pathos of woman.
She believed deeply in the law of moral and used it to instruct readers. Her Mill on
the Floss (1860), Silas Marner (1861), Middle March (1871-72), and Daniel
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An Introduction to
Fiction
Deronda (1876) are very famous novels to this day. Set in provincial England, the
works are known for their realism and psychological insight. She was a pioneer
novelist who established the genre of ‘literary realism’.
Thomas Hardy (1840-1928) is known for his series of Wessex novels and
poetry. Under the Greenwood Tree (1872), Far From the Madding Crowd
(1874), The Return of the Native (1878), The Mayor of Casterbridge (1886),
Tess of the d’Urbervilles (1891), Jude the Obscure (1895) are a few of his best
known works. As a realist, setting his works into Wessex, an old county, he focused
on the society, human relationship, social constraints, and much more. He is an
important figure to have introduced classical tragedy into the English novel. He
enhanced the dignity of country-side and rural landscapes of England. Nature was
an important factor in his works; almost featuring as a universal character looking
over other characters as a guardian. Hardy is known for his marvellous tragedies
that are gloomy and sombre. While his tragedies are unsurpassed, it is not known
that Hardy has written lively, thriving romances and fantasies like A Pair of Blue
Eyes, Two on a Tower and The Well-Beloved.
H.G. Wells (1866-1946) wrote his famous Time Machine (1895) and many
other works during this period thus initiating the sub-form of science fiction. He has
been called the father of Science Fiction in English literature. The War of the Worlds
(1898), The Invisible Man, Tono-Bungay, The Shape of Things to Come (1933),
The Wheels of Chance (1896), are his other novels from this genre. He
concentrated on man and his scientific ability to progress and developed this plot
with a little play of irony.
20th Century English Fiction (1900-2000)

The Modern Age of English literature was an age of the two great World Wars and
the period after that. In this age, there were many new trends in English novel which
flourished in this period. Different group of writers influenced by different thoughts or
movements associated themselves with novel writing during this period and this
brought about a change in the genre. Some prominent novelists of this time period
are mentioned in the consequent paragraph.
David Herbert Lawrence (1885-1930) was a popular modern novelist. He was
influenced by Charles Darwin’s philosophy of nature. He was a major influence on
his contemporary and succeeding generation of writers. Lawrence wrote against the
crippled industrialised society of the early twentieth century that made man
mechanical and impotent. He set his novels in harmony with nature and natural urges
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An Introduction to
Fiction
of mankind. His chief works include The Rainbow (1915), Women In Love (1920),
The White Peacock (1910), Sons and Lovers (1913), and The Trespassers.
Lawrence inspired great writers such as T.S. Eliot, F.R. Leavis and E.M. Forster.
His Lady Chatterley’s Lover (1928) was banned initially after its publication
because of obscene language and frank portrayal of sex. It was later in the twentieth
century that Lawrence came to be regarded as the greatest amongst the novelists of
the world by the critics.
Virginia Woolf (1882-1941) is one of the most influential feminist writers of the
twentieth century. She is known for her daring experiments with the form of novel.
She used the ‘Stream of Consciousness’ technique in her novels. ‘Stream of
Consciousness was a phrase used by William James in his Principles of Psychology
(1890) to describe the unbroken flow of perceptions, thoughts, and feelings in the
waking mind; it has since been adopted to describe a narrative method in modern
fiction.’ (A Glossary of Literary Terms, M.H. Abram) It relates to the beginning of
the psychological novel which has its example in Richardson’s Pamela (1740). By
the end of the 19th century, Dorothy Richardson applied this narrative technique into
her thirteen novel sequence called ‘Pilgrimage’. ‘Pointed Roofs’ written in 1915 is
credited to be the first stream-of-consciousness novel. Following her, Virginia Woolf
adopted the same technique with more polish and sophistication in her works. The
most notable of Woolf’s novels are Mrs. Dalloway (1925), To the Lighthouse
(1927), Orlando (1928), The Waves (1931), A Room of One’s Own (1929), and
Between the Acts. Often this technique comes across as an interior monologue of
one character.
E.M. Forster (1879-1970) was another famous novelist in this period. He is
best known for his well-organized plot and structure. He also uses mystery, irony,
and moral instruction as techniques in his novels. Human relationships, cultural
invasion, class differences and hypocrisy of people form the major themes in his
novels. In his own words, the one principle underlysing all his writings was ‘only
connect’. His characters are gathered from different societies, countries and classes,
and make up a harmonious whole. His approach is humanistic and is tinged with
sympathy and positivity. His chief works include A Passage to India (1924) which
explores a colonised Indian society. In this novel, he focused on Hinduism as a very
deep and mystical religion — almost a living enigma. Also, he tried to bring many
cultures together with human sympathy that is remarkable for an Englishman. His
other works include Howards End, and A Room With A View.
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John Galsworthy (1867-1933), Nobel Laureate, was a very famous novelist

and playwright in the last century. His The Forsyte Saga (1922) was a trilogy which
deals with the theme of eponymous family and connected lives. His Forsyte Saga
along with his other novels like A Modern Comedy (1924-1928) and A Family
Man dealt with the social problems of the upper middle class. He highlighted man’s
self-centred, snobbish, acquisitive nature with a humane voice. He is considered one
of the first authors who challenged the Victorian values and ideals of English
literature. He spoke about the unhappy life of woman in marriage. Through his
works he championed various social causes such as prison reform, women’s rights,
animal welfare, and opposition of censorship. However, he did not highlight the
burdens of the lower class in the changing face of society. He was awarded the
Nobel Prize for literature in 1932.
Arnold Bennett (1867-1931) was a very famous novelist of his age. His origins
were humble and modest and he was kind towards others who had humble
beginnings. His most famous works are Clayhanger (1910) (a trilogy) and The Old
Wives Tale (1908). He saw ordinary people as interesting subjects for his stories.
Aldous Huxley (1894-1963) was a political thinker, essayist, and novelist. His
works foresee the future of man. Born in a family of scientists, Huxley’s novels
taught man how to live and deal with the changes in modern society. He hailed the
‘Bloomsbury group’ of English writers. The Bloomsbury group was a set of writers,
philospohers and intellectuals who met in Bloomsbury through the twentieth century.
Some of its prominent members included E.M. Forster, Virgina Woolf and Lytton
Strachey. His works concentrated on the dehumanising effect of our scientific
progress. His Brave New World (1932) anticipated the development in
‘reproductive technologies’ and ‘sleep learning’ that combined to change society.
Eyeless in Gaza, Ends and Means are his other notable works.
W. Somerset Maugham (1874-1965) was a famous modern novelist, dramatist,
short story writer and critic. Maugham was a very keen observer of human nature.
His The Magician (1907) is a supernatural thriller. Of Human Bondage (1915) is
an autobiographical novel which was initially criticized. It was eventually recognized
as a masterpiece and this was aided by the positive criticism of Theodore Dreiser.
Maugham loved discipline and showed in his works that what we inculcate in
childhood is a part of us throughout our lives.
Evelyn Waugh (1903-1966) was a prominent novelist of the modern age. He
wrote Decline and Fall, Vile Bodies, Black Mischief (1932), A Handful of Dust
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(1934), and Brideshead Revisited (1945). His novels satirised ‘bright young
things’ of the two decades 1920s and 1930s. However, his Brideshead Revisited
is about theology. He had travelled wide and far in his life and his works reflect this
beautifully.
James Joyce (1882-1941) was an Irish novelist and a contemporary of Woolf.
He experimented with the form of novel throughout his life. He was one of the most
influential writers of the modern England. He practised the Stream-of-Consciousness
technique most vigourously and effectively. He left an immovable imprint on the mind
through his works. His major works are Dubliners (1914), A Portrait of the Artist
as a Young Man (1916), Ulysses (1922) and Finnegans Wake (1939). He is
chiefly considered for his experimental narrative, literary allusions, and free dream
associations. He not only explored the world of themes, but also the language, plot,
form, technique, everything. He was a thorough artist who lived by the principle Art
for Art’s sake. In all senses, Joyce’s only three, but perfect novels, remain as icons
of modern literature.
Agatha Christie (1890-1976) was a writer of crime fiction. She wrote many
detective novels. Her works introduced the legendary characters Hercule Poirot and
Miss Marple. They were the sleuths in her fiction. She explored mysterious
happenings, the typical outcome of modern life, with a deft handling of plot. Murder
on the Orient Express (1934), Death on the Nile (1937), And then There Were
None (1939) are a few of her notable novels. Dorothy L. Sayers is also a great
writer of this genre.
Graham Greene (1904-1991) wrote novels which explored human psyche and
reflected human actions related to the psyche. He based his novels in the colonial
states of Britain. As a practising Roman Catholic, his novels depicted the theme of
sin and guilt. Brighton Rock, The Power and the Glory (1940), The End of The
Affair are a few of his Catholic novels. The Confidential Clerk, The Third Man,
The Quiet American, Our Man in Havana and The Human Factor are a few of
his novels related to international politics and espionage. Crime was a major theme
in Greene’s works. He portrayed the modern world most minutely with its
complexities. He was one of the most prolific writes of the post-modern era.
Born to Polish parents, Joseph Conrad (1857-1924) was a very prominent
English novelist. For a major part of his life, he worked with the British Merchant
Marine and remained at sea. His novels are set either in sea or on a sea port. His
novels have the British colonial States as a background. Using the point-of-view
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technique, he explored the human psyche in his works. Victory, Lord Jim (1900),
The Secret Agent, An Outcast of the Islands, Heart of Darkness(1902), and
Nostromo are some of his notable novels.
William Golding (1911-1993) received the Nobel Prize for literature for his Lord
of the Flies (1954). In this novel, he explored the psychology of man. He said that
the obstinate, cruel and sinning nature of man is inborn. His another famous novel is
Pincher Martin (1956). Golding came across as being a realist and innovator in his
works.
Check Your Progress - 1
1. When did the English novel originate?

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2. What was Agatha Christie famous for?

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1.3 SHORT STORY
Short story goes back to its tradition from Homer’s Iliad and Odyssey as a method
of oral story-telling. It is as a ‘prose tale’ that can be read on one sitting covering the
length of half an-hour to two hours and should be limited to ‘a certain unique single
effect’ to which all the details would be subordinate.
Definition
It is a literary form in prose. It has elements that a novel also has such as plot, style,
technique, theme, characters, and dialogues. Short stories can be romantic,
experimental, tragic, abstractedly philosophical. It can reflect modes of fantasy,
realism, naturalism, or can be psychological as The Duchess and the Jeweller by
Virginia Woolf. Its length is short. It has limits of 7,000 to 9,000 words.
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Objectives
In a short story, the focus of interest is always on the occurrence of events or on the
detection of events that have happened. Sometimes, they are full of adventure or
mystery to charm the popular taste. Sometimes, there are stories of character which
stress on psychological representation, or stress on moral qualities of the protagonist
for example, in Anton Chekhov’s stories where nothing else takes place than a
conversation between two people or just a meeting or an encounter. An innovative
writer Ernest Hemingway’s classic short story ‘A Clean, Well-Lighted Place’
captures only ‘a curt conversation between two writers about an old man who each
day gets drunk and stays on in the café until it closes’. It also includes their
inferences of the issue. Thus, a short story is supposed to maintain one classical unity
and that is the unity of action. The reason that it does so is it being short in duration.
It may maintain traits common to novel as well.
Difference between Short Story and Novel

A short story differs from a novel in its dimension. Novel has been estimated by the
term ‘Magnitude’. This term has been invented by Aristotle in the context of drama.
A novel is supposed to be more than hundred pages long. A short story is supposed
to cover a maximum of twenty to thirty pages. The length is the most important
feature of the short story. Short stories are supposed to be less complex, however
every work of art has exceptions to it. It focuses on one incident having a simple
plot, single setting, a small number of characters and has to cover a short span of
time. In a short length it has to look unified. Short stories have an exposition, crisis
and resolution like novels. They should often give some message—moral or
philosophical. Modern short stories occasionally display an exposition or opening of
events. However, nothing can be certainly remarked as its form varies from writer to
writer. When a short story carried a moral message, it was classified as a parable or
Fable. Edgar Allen Poe, the famous American short story writer, was responsible for
establishing the short story as a genre of literature. He is called the father of the
modern short story. He defined short story as a ‘prosetale’ that can be read on one
sitting covering the length of half an-hour to two hours and should be limited to ‘a
certain unique single effect’ to which all the details would be subordinate.
Practitioners
Short story originated as a part of a magazine or periodical in the beginning. Its early
practitioners were Washington Irving (1783-1859), Nathaniel Hawthorne (1804-
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1864) and Edgar Allen Poe (1809-1849) in America; and Sir Walter Scott (1771-
1832), Mary Shelley (1797-1851) in England; T. E. Hoffmann (1776-1822) in
Germany; Balzac (1799-1850) in France; and Gogol (1809-1852), Pushkin (1799-
1837), and Turgenev (1818-1883) in Russia. It was after these noted writers that
the form was adopted seriously by other writers. Almost, all notable novelists of all
European languages have contributed greatly in the realm of short stories. This form
has been practised vigorously in the United States. Frank O’Connor (1903-1966)
has named short story writing as their ‘the national art form’. The famous American
short story writers including the above ones are—Mark Twain (1835-1910),
William Faulkner (1897-1962), Katherine Anne Porter (1890-1980), Eudora Welty
(1909-2001), Flannery O’Connor (1925-1964), John O’Hara (1905-1970), J.F.
Powers (1917-1999), John Cheever (1912-1982), and J.D. Salinger (1919-2010).
Charles Lamb (1775-1834), Sir Walter Scott, R. L. Stevenson (1850-1894),
Arnold Bennett, Thomas Hardy, Huge Walpole (1884-1941), Elizabeth Bowen
(1899-1973), Sir Rudyard Kipling (1835-1936), H. G. Wells, Oscar Wilde (1854-
1900), Virginia Woolf, James Joyce, Sir Arthur Conan Doyle (1859-1930), W. W.
Jacobs (1863-1943), John Galsworthy, Joseph Conrad, D. H. Lawrence, Aldous
Huxley, Walter De La Mare (1873-1956), A. E. Coppard (1878-1957), H. E.
Bates (1905-1974), and Rhys Davies (1901-1978) are few notable short story
writers of England.
Famous Short Stories: The short story as a form originated as anecdote. It was
in the eighteenth and nineteenth centuries in the English literature, that short story
became popular as an individual form of literature. The best short stories in English
are Geoffrey Chaucer’s The Canterbury Tales and Boccaccio’s Decameron
written in the fourteenth century. The former belonged to England and the latter Italy.
Antoine Galland’s Translation of the Thousand and One Nights (or The Arabian
Nights) in 1710-12, Brothers Grimm’s Fairy Tales (1824-26), Nikolai Gogol’s
Evening on a Farm Near Dikanka (1831-32), Brown’s ‘Somnambulism’
(1805), Irving’s Rip Van Winkle (1819), and The Legend of Sleepy Hollow
(1820), Poe’s Tales of the Grotesque and Arabesque (1840) and Hawthorne’s
Twice-Told Tales (1842), Anton Chekhov’s (1860-1904) ‘Ward No. 6’ (1892). In
England, Charles Lamb was a famous essayist and short story writer. His ‘Tales
from Shakespeare’ is still the part of study curriculum in India. Ernest Hemingway’s
(1899-1961) novella The Old Man and The Sea is regarded as the ‘longest story
and the shortest novel’ of the world and it claimed the Nobel Prize for literature in
1954.
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Magical Realism has been a feature in the modern short stories of 1990s. Its
chief practitioners are Steven Millhauser, Robert Olen Butler. Tim O’Brien’s ‘The
Things They Carried’ speaks of the Vietnam War. Salman Rushdie’s Luka and
The Fire of Life (2010) is a recent publication. Jhumpa Lahiri (1967- ), Karen
Russel (1981- ) are recent short story writers. Stories of Birbal and Akbar (1542-
1605), Amar Chitra Katha, tales about religious deities are very popular in India.
1. Which story is regarded as the longest story and the shortest novel?
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2. Name some Indian short stories which are still popular today
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1.4 STATUS OF FICTION WRITING IN INDIA
Most Indian writers of fiction are bilingual. They are proficient in English as well as
their mother tongue. Many readers and critics feel that it is quite a challenge for such
writers to express the values and nuances of one culture in the language spoken by
another culture.
As a result, Indian prose writing in English is based on situations and
backgrounds that are usually Indian, but in a foreign language that has been so
comfortably adopted in the country.
Today, not just Indian English, but Indian writing in English has its own identity.
Anita Desai, won the Man Booker Prize for the year 2006, for her work The
Inheritance of Loss. Her debut novel created ripples in the literary firmament.
Hullabaloo in the Guava Orchard (1998) went on to win the Betty Trask Award,
an award given by the Society of Authors for the best new novels by citizens of the
Commonwealth of Nations under the age of 35. With two enviable achievements,
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Desai has joined the new breed of young, energetic writers who are responsible for
making Indian fiction popular globally.
Unprecedented growth of Indian English Literature began in the 1980s with
Salman Rushdie’s Midnight’s Children. This book won the Booker Prize, and also
featured in Time Magazine’s list of 100 best novels of all times. His subsequent
novels –Shame (1985), The Satanic Verses (1988), The Ground Beneath her
Feet (1999) and Shalimar the Clown (2005) have created ripples in global literary
circles. Critics, publishers and writers acknowledge the power of his writing.
Midnight’s Children provided inspiration to several Indians to not only start writing
fiction in English, but also begin writing in a daring and confident manner.
Following Rushidie’s success, probably the first Indian writer to get inspired was
Amitav Ghosh whose The Circle of Reason (1986) earned worldwide acclaim. The
same year Vikram Seth came up with his verse-novel The Golden Gate.
Githa Hariharan won the Commonwealth Best First Book award in 1993 for
The Thousand Faces of Night. Two years later, Vikram Chandra came up with
Red Earth And Pouring Rain.
Other writers who have become popular names for their works include:
x The Great Indian Novel (Shashi Tharoor)
x God of Small Things (Arundhati Roy)
x A Strange and Sublime Address and Afternoon Raag (Amit Chaudhuri)
x Shards Of Memory (Ruth Prawer Jhabvala)
x Looking Through Glass (Mukul Kesavan)
x The Ghosts of Vasu Master (Githa Hariharan)
x Byculla Boy (and Ashok Banker)
x A Fine Balance (Rohinton Mistry)
x The Calcutta Chromosome (Amitav Ghosh’s)
x The Impressionist (Hari Kunzru)
x The Interpreter of Maladies (Jhumpa Lahiri)
x Shangrila (Anju Mohan)
x Last Train to Innocence (Jayabroto Chatterjee)
x Beethoven Among the Cows (Rukun Advani)
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In 1988–1990, Indian fiction saw a whole lot of treats in the form of Amitav
Ghosh’s English August: An Indian Story, by Upamanyu Chatterjee, Rohinton
Mistry’s Such a Long Journey, which was short-listed for the Booker followed by
Vikram Sethi’s A Suitable Boy soon after.
Arundhati Roy bagged the big booker for The God of Small Things and the big
Booker. Jhumpa Lahiri’s Interpreter of Maladies in 1999 caused a stir in the
publishing world bagging many awards including the O. Henry Award for the short
story ‘Interpreter of Maladies’. She also won the New Yorker’s Best Debut of the
Year and the Pulitzer Prize for fiction in 2000.
Raj Kamal Jha won the 2000 Commonwealth Writers’ Prize for Best First Book
(Eurasia region) for his debut work The Blue Bedspread. His second novel If You
Are Afraid of Heights was nominated for the Hutch-Crossword Book Award in
2003.
Actually speaking, the most interesting aspect of fiction writing in India is the
emergence of new talent. Although, it is true that Indian English fiction has finally
come to be recognized globally, market researches and experts are not very
optimistic. The trend of getting published abroad they feel is a deliberate attempt to
ensure domestic attention.
A number of recent Indian novelists have produced significant novels, making a
mark in the literary world.
Many critics have admitted that Indian writing in English is seen as something
novel in the West. No doubt writers like Seth, Mistry, Ghosh, Shashi Tharoor and
Amit Chaudhuri get rave reviews, but the works do not always translate into huge
sales. Although, publishing circles in England expect a couple of great novels from
India every year, Indian writers have misconceptions about their popularity in the
West. Not all of them understand that Indian writers and their works are curiosities
there; and that their first audience exists here within India.
The good news, however, still remains that Indian writers are increasingly being
recognized and given the fame they so rightly deserve. The national and international
awards and acclaim coming the way of our Indian authors, their extraordinary
works, their popularity and sales and the widespread marketing by the media go on
to suggest that Indian English fiction has certainly come of age. It enjoys a definitive
place in world literature. Writers such as Hanif Kureishi, Meera Syal, Manju Kapur,
Bapsi Sidhwa and Shobha De and not to forget, veterans like Khushwant Singh and
Anita Desai, have made their presence strongly felt in the global literary arena.
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Modern Indian fiction has seen an increase of feminist writings or woman-

centered approach. It aims to project and interpret experiences from the feminine
perspective and sensibility. Feminism believes that women experience the world in a
different way.
It is not as if feminism suddenly arrived on the Indian literary scene recently. It
has taken its time to grow gradually with some of its features being anticipated by
writers of the past including Bankimchandra Chatterji and Rabindranath Tagore in
Bengali and Jainendra Kumar in Hindi.
Saratchandra Chatterji, who is known for creating the best and often
remembered portraits of women in Indian literature, was a feminist of sorts.
Naturally, some of his heroines, such as Kamal and Kiranmoyee were also feminists.
In Urdu, author Ismat Chugtai had created quite a stir with her outspoken
themes. In the 1930s, Rashid Jahan’s works Angare (Embers) and Aurat (The
Woman) focused on women’s problems alone, especially those belonging to the
Muslim community. She was one of the rare writers who dared to go the
unconventional way. Marathi literature too had its pearls including Vasumati Dharker,
who published several stories between 1930 and 1950. Her heroines and
protagonists were strong, daring and full of thought ahead of their times.
Clearly, premonitions of feminism became visible in Indian fiction in the 1920s
and 1930s. In the post-Independence period, especially from 1960 onwards, Indian
novelists began not just questioning but even rejecting conventional portrayal and
interpretation of women’s role and status in society. Ideals of womanhood
underwent transformation.
Oppressed and exploited women suffocating in a patriarchal society were
common figures in novels by Premchand and Saratchandra Chatterji.
While, in the past many prose writings glorified women’s suffering, Indian writers
in the last couple of decades have opted to present a more real picture. Some of the
famous Indian writers are discussed as follows:
Rabindranath Tagore (1861–1941)

Rabindranath Tagore was the father of English language in India. He was a great
poet and a prose writer. He was born in Calcutta in 1861 and had his initial
education in Oriental Seminary School. He promoted and propagated the naturalism
form of education. According to him, nature is the best teacher and so he founded
Shantineketan, which was far from the madding crowd of Kolkatta. There he
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emphasized on Rabindro sangeet. He strongly believed that one could get peace,
solace and tranquillity of mind through music.
Rabindranath Tagore
Rabindranath Tagore used English in countless letters. He delivered innumerable
lectures, gave numerous talks, speeches and addresses and composed many poem
and essays in English.
If Tagore himself is to be believed on most occasions his English writings are not
good at all. Skimming through the excellent Selected Letters of Tagore edited by
Krishna Dutta and Andrew Robinson, one is bound to find Tagore degrading his
own prose or acknowledging apologetically his poor command over the language, or
apologizing for writing in the language at all. Initially, he would even request people
who he knew were excellent in the language to help him edit his work. For example,
he wrote to Ezra Pound:
I am not at all strong in English grammar—please do not hesitate to make
corrections where necessary. In my use of words there must be lack of proportion
and appropriateness’. In another letter to Pound he wrote that he was afraid
that in his English version of Gitanjali poems would be bereft of their language
and suggestiveness. The success of the English version of his Gitanjali poems
and the demand for him in the American Lecture Circuit was even before he
received Nobel Prize. Not only Gitanjali but many others of his writings attained
almost wholly because of Tagore’s artistic skills. In addition to the strength of
his ideas and the intensity of his feelings, the main reason why his prose works
found an appreciative audience for a long time in the West can often be
attributed to his skillful use of the English language in his letters, lectures,
essays and speeches and his ability to adjust his style in accordance with the
occasion.
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Sadhana: The Realization of Life is the first book of prose that Tagore
published. It came out from London in October 1913, and it had eight essays that
he read out at the Harvard University. In the book he compared the walled
civilization of Greece with the forest habitation that Aryans built when they came to
India. The city walls that the Greeks built, he stresses euphoniously, ‘left their mark
in the minds of men’. By developing these contrasting image patterns, he says that
while westerners did not ‘realize their kinship with the world’ and lived in a ‘prison
house whose walls are alien’ to them, in India ‘men are enjoined to be fully aware to
the fact that they are in the relation to things around them, body and soul, and that
they are to hail the morning sun, the flowing water and the fruitful Earth.
The rest of Sadhana continued to display Tagore’s adroitness in wearing images
and sounds and manoeuvring syntax while utilizing stylistic devices such as repetition,
balance and parallel structures. His overall performance in these essays suggested
that far from being a novice writer of the English prose he had everywhere in them
an admirable control over the language as well as a poet’s liking for rhythm and
figures of speech.
S. Radhakrishnan (1888–1975)
S. Radhakrishnan was born on 5th September 1888, at Tiruttani in Chennai. His
early years were spent at Tiruttani in Tirupati. He graduated with Master’s degree in
Arts from the Chennai University. He wrote a thesis on the ethics of Vedanta titled
The Ethics of the Vedanta System had no Rooms for Ethics.
S. Radhakrishnan
In April 1909, he was appointed as a lecturer in the Department of Philosophy
at the Chennai Presidency College. From then onwards, he was engaged in the
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serious study of Indian Philosophy and religion. From 1936–1939 he was professor
of Eastern Religion and Ethics at the Oxford University. From 1939–1948 he was
appointed as the vice chancellor of the Banaras Hindu University. He was the
ambassador of India to the USSR from 1949–1952. From 1952–1962 he held the
office of the Vice President of India and after that he became the second president
of the independent India. Aldous Meexley, observed that Dr Radhakrishnan is the
master of words and no words. George P Longer said ‘......Never in the history of
philosophy has there been quite such world figure. With his unique appointment at
Banaras and Oxford, like a wearer’s shuttle, he has gone to and fro between East
and west, carrying a thread of understanding and wearing it into fabrics of
civilization.
Dr Radhakrishnan has written several books. It is noteworthy to say he has
published at least one book every year.
Some of his books are as follows:
x The Ethics of Vedanta and its Metaphysical Presupposition
x Essentials of Psychology (1912)
x Philosophy of Rabindranath Tagore (1918)
x The Reign of Religion in Contemporary Philosophy (1920)
x Indian Philosophy Volume I (1923)
x The Hindu View of Life (1927)
x The Bhagavad-Gita (1948)
x Great India (1949)
x The Dharmpada (1950)
x True Knowledge (1978)
x Towards the New World (1980)
Dr Radhakrishnan enriched the English writing in India although he started
writing in English when it was in infant state in India. He tried to establish the
philosophical fervour and the richness of English in India. This attributed a unique re-
evaluation of our country in world. His translation of the Bhagavad-Gita in English is
a master price. No one in any other language has surpassed his translation and
commentary on the Gita. He is considered as a forerunner of prose writing in English
in India and abroad.
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Jawaharlal Nehru (1884–1964)

Pt. Jawaharlal Nehru, the first prime minister of India was born on 14th November.
His father’s name was Motilal Nehru, and his mother was Kamala Nehru. Nehru
deserves to be seen, independently of the political man, as one of the Indian prose
writer of 20th century. Nehru was a man of letters in a more abiding sense.
Jawaharlal Nehru
Nehru’s style shows a vigour and clarity as pleasing and compelling to the ear as
to the mind. ‘Indeed, Nehru was among a handful of Indian writers, among which
Gandhi and Tagore were also prominent, who found a way to domesticate what for
most other Indians born in 19th century was an often puzzling colonial tongue. A
language the rules and moves of which could of course be learnt, as did many young
people wanting to make a career under the Raja, but could never be used with the
same vigour or pliability. English may have been the language of the enemy, yet both
Nehru and Gandhi wished to accommodate it alongside other Indian languages,
recognizing it as a vital link not just to the wider world but also between Indians
themselves. Nehru wrote up on every possible subject on which opinions were
divided, from cow slaughter to public health. The Discovery of India is a classic
example of Nehru’s elevating style—a sentence multi-claused, expansive yet
syntactically balanced and clear in sense and proceeding steadily.
Nehru had a naturally metaphoric cast of mind. He is often seen comparing
history to a great river. In a speech to the constituent assembly in 1947, he imagines
himself, ‘standing on the sword’s edge of the present between the mighty past and
the mightier future.’
The most stirring sentences of 20th century Indian writing in English were
composed by Nehru. These are the opening lines of his speech to the constituent
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assembly on the hour of India’s independence. It was a situation made for a man of
his talents and liking. ‘Long years ago, we made a tryst with destiny and now the
time comes, when we shall redeem our pledge, not wholly in full measure, but were
substantially. At the stroke of the midnight hour, ‘when the world sleep India will
awake to life and freedom,’ he begins, before moving onto a majestic seven part
sentence. ‘A moment comes, which comes but rarely in history, when we step out
from old to the new, when an age ends, and when the soul of a nation long
suppressed finds utterances.’
Nehru never wrote a better or more deeply felt line—it was what he had been
waiting to say almost all his life.
Toru Dutt (1856–1877)

Toru Dutt was the first Indian woman poet who wrote in English. Her prose is also
marvellously alive. The letters written by her are affectionate, observant, satirical and
touching. Her prose is completely modern. Toru Dutt’s literary influences were many.
The Dutt’s were Christians. They were baptized in Kolkatta in 1862. They were
known to missionaries from her great-grandfather’s time, and had deep rooted
connections with English literature as the Dutt family Album, a compilation of works
by family members, reveals.
Toru Dutt
The works of Toru Dutt included A Sheaf Gleaned in French Fields: Ballads
and Legends of Hindustan with an introduction by Edmund Grosse (1882), a novel
in French entitled Le journal de mademoiselle D’ Arvers (1879), published in Paris
and Bianca or The Young Spanish Maiden–an unfinished novel in English,
published posthumous in the Bengal Magazine in 1878. Her letters written to an old
friend in Cambridge, Mary Martin, is the main collection of her prose. In these letters
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she comes across as lively, warm, caring person who felt as deeply about life and
living as she did about the work in which she was constantly involved. After the
death of her brother and sister from consumption, Toru’s perspective in her poetry
changed, as she struggled to rise above the physical. She said ‘I knew in such a
world as this, no one can gain his heart’s desire, or pass the years in perfect bliss;
like gold, we must be tried by fire’.
Toru died at the age of twenty one, leaving behind only a suggestion of what she
could have accomplished had she lived longer to further develop her skills. In her
Life and Letters of Toru Dutt, Harihar Das quotes the French writer and critic
James Darmesteter who said of her: ‘This daughter of Bengal, so admirably and so
strangely gifted Hindu key race and tradition, an English women by education, a
French women at heart, poet and prose writer in English and French, made India
acquaint with the poets of France and English at the age of eighteen. She blended in
herself three souls and three traditions, and died at the tender age of twenty-one, in
the full bloom of her talent and on the eve of awakening of her genius.’
Pandita Ramabai (1858–1922)

Pandita Ramabai is considered as the greatest woman produced by Modern India,
and one of the greatest Indians in all history. Her achievements as a champion of
women’s rights and as a pioneer in the field of women’s education and social reform
remain unrivalled even after lapse of nearly a century since the first appeared on the
scene.
Pandita Ramabai
Ramabai’s ‘Famine Experience’ published in 1897 is noteworthy not just for the
autobiographical details it provides, but also for her scathing criticism of the way
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British officials dealt with the famine. It is poignant in parts, when she describes her
father’s decision to drown himself to escape starvation and how she and her brother
buried themselves up to their necks in sand to escape the winter in Punjab.
Ramabai’s life was an arduous one. Her father was prosecuted for trying to
educate his wife Laxmibai. To escape their prosecution, the family set out for a long
pilgrimage during which Laxmibai taught Ramabai Sanskrit. At twenty she was
honoured by Shastris of Calcutta. In 1880, just eighteen months her marriage, her
husband died of cholera, leaving Ramabai with her infant daughter Manorma.
Ramabai travelled to England in 1883 to study medicine. After many years in
England she went to the US where she was praised for her work. She lived there
from 1886 to 1888 and in 1887, published The High Caste Hindu Women.
She was reputed to be the first women to have read the Vedas in modern times. She
wrote in both, English as well as Marathi. Her writings in English included The Cry
of Indian Women (1883), An Autobiography Account (1883) and India Religion
(1886). All were published in England. Her some other books are as follows:
x Famine Experiences (1897)
x A Short History of Kripa Sadan (1903)
x A Testimony of our Inexhaustible Treasure (1907)
Vijayalakshmi Pandit (1900–1990)

Born on 18th August 1900, Vigjaylakshmi Pandit was the daughter of nationalist
leader Motilal Nehru, and sister of Jawaharlal Nehru, the first prime minister of the
independent India. She was the leader of the Indian delegation to the United
Nations in 1946–1951.
Vijayalakshmi Pandit
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In 1921, after receiving education in India and abroad, she married Ranjit Singh
Pandit, a fellow congress worker who died in 1944. In keeping with her family
tradition, she became an active worker in the nationalist movement for which she
was imprisoned thrice by the British.
From Ministry to Prison is a famous book written by her. In this, she has given
a vivid, day-by-day account of her time in prison. The small notes written by her
take into account everything from the politics and corruption that she encountered
while she was there, to the quality of prison food, lack of humanity and the daily
tragedies that befell poor young Indian women who were arrested.
She played an important role in the All India Women’s Conference, having been
its president from 1940 to 1942. In 1972, she published another book named The
Scope of Happiness: A personal Memoir. She spent the last years of her life at
Dehradun.
Sarojini Naidu (1879–1949)

Sarojini Naidu was a poetess, political activist, feminist and ardent nationalist. Often
known as Nightingale of India; Sarojini Naidu lived up to all these roles with equal
elegance. She was born in Hyderabad in an environment shaped to a large extent by
her father Aghornath Chattopadhyay—a brilliant scientist, linguist and a respected
scholar.
Sarojini Naidu
Sarojini Naidu contributed greatly to the women’s movement, lecturing all over
India, along with Annie Besant on the welfare of youth, dignity of labour, women’s
emancipation and nationalism. In 1924, Sarojini travelled to Eastern Africa and
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South Africa in the interest of Indians there and became the first woman president of
the National Congress the following year. Her anti-British activities earned her a
number of prison sentences. She also accompanied Gandhiji to London for the
second session of the Round Table Conference of Indian–British cooperation in
1931.
A deep love for her country and affection for Nehru and Gandhi are obvious in
her writing. Also evident is a love for nature as this excerpt from a letter written to
Nehru in 1925 shows: …. bravely I have dressed my post for a few weeks because
my soul needed and cried out for an atmosphere of beauty, burgeoning trees, nesting
birds, lyric poets, the children and dogs and old friends and a little leisure from the
constructive programme and the self-destructive programme of our so-called
politics.
There are bunch of other letters that suggest that Hindu–Muslim unity and a
secular India were the main mission of her life. 1917 to 1919 is considered to be
the most dynamic phase of her career as a public figure. She rallied public
opinions on the Khilafat issue, Rowlatt Act and Black-bills Montagu-Chelmsford
Reforms, Sabarmati Pact and the Satyagraha pledge. She went on to become
Gandhi’s most faithful lieutenant when he launched Civil Disobedience Movement
in 1919.
With independence Sarojini Naidu became the first woman Governor of the
United Provinces. She published four collections of poems, all in English–The
Golden Threshold (1905), The Bird of Time (1912) and The Broken Wing
(1917). She still remains a compelling figure who, apart from her contribution to the
Indian poetry in English, can be looked upon as an integral part of a group
responsible for shaping a new independent India.
Kamaladevi Chattopadhyay (1903–1988)

Kamaladevi Chattopadhyay was born in a wealthy Saraswat family of South
Karnataka. She was educated at a Catholic Convent and St. Mary’s College in
Mangalore. She married young—became a child widow while still in school—
before breaking with orthodoxy to marry the poet Harindranath Chattopadhyay, the
brother of Sarojini Naidu.
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Kamaladevi Chattopadhyay
She was an ardent nationalist and among the foremost leaders of the women’s
movement in India, actively participating in the freedom struggle and the emergence
of the nationalist women’s movement of the 1920s. During this period she served
three prison terms and later went on to court arrest a number of times.
As a leading socialist Kamaladevi set up labour organizations and extended her
fullest cooperation to the formation of the All India Women’s Conference in 1926
where she served as Secretary and later as President. Her research and concern for
women is obvious when one reads The Awakening of Indian Women, where she
takes the reader through a range of facts, statistics and hard-hitting truths about the
condition of women. ‘It is class that determines the fate of women, not sex’, she
says, adding ‘while men seek new pastures to enliven their idle hours and take to
intellectual pursuits, they deny entrance therein to women. Women are thus reduced
to the status of a reproductive machine, and while man’s sphere keeps expanding,
hers keeps contracting.’
While discussing man–woman relationship, Kamaladevi notes, not without
sarcasm that ‘The greater her submission to man and more the suffering at his hands
the surer and quicker is her road to heaven.’ She also attacks what she calls the
‘double standards of morality’ that create severe codes for women as the preservers
of social morals.
Kamaladevi was interested in empowering villagers by revive traditional
handicraft industries. She interacted with them, helped redesign traditional
handicrafts to make them marketable and was actively involved in developing the
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cottage industries emporium as an outlet for crafts. Many claim that the acceptance
the ethnic traditional weaving enjoys today is largely due to the work of people like
her.
Mulk Raj Anand (1905–2004)

Mulk Raj Anand, a stalwart in the field of Indo-Anglican fiction was born on
December 12, 1905, in Peshawar (now in Pakistan) in a Kshatriya family. Anand’s
mother, Ishwar Kaur, belonged to an agricultural family. He had inherited the typical
qualities of both his parents. Moreover, the class of society to which he belonged is
responsible for endowing him with a great sense of compassion for the poor,
exploited and the down-trodden people. Anand’s early life was lived in the midst of
poverty and misfortune. The suffering that he saw and underwent in his childhood left
a deep impression on him and later on reflected in his creative writing. An early
acquaintance with suffering prepared him to face the gross realities of life, which later
on became the inspiration for his creative writing. You can compare Mulk Raj Anand
with Charles Dickens in regards to a miserable childhood. Dickens, Premchand and
Mulk Raj Anand; all were brought up in the dark shadow of poverty and destitution.
Mulk Raj Anand

In the history of Indian fiction, the most prominent writer that contributed very
significantly to Indo-Anglican literature is Mulk Raj Anand. He was indeed the true
representative of the 20th century Indian literary scenario. His literary works reveal
that he was not merely a great intuitive observer but penetrating commentator on life
as well. The 20th century opened with gigantic upheavals in India. Freedom
movement of unparalleled magnitude forged a new moral order in the national and
international spheres. Anand, the internationally known novelist and short story writer
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is considered by many critics to be one of the best Indian writers in English. Anand
has established the basic form and themes of the Indian literature that is written in
English. He is one of the most renowned writers in this field. He has written sixteen
novels, novelette and nine collections of short stories to his credit, which rank him
the most prolific writer of Indian–English prose. In the form of book it is around 100
volumes of highly creative, as well as profoundly scholastic works. Mulk Raj Anand
was a path breaker. He, in compare with Raja Rao and R.K. Narayan, inaugurated
the age of what is labelled the Indian English or the Indo-Anglican novel.
Whatever the genres–prose, verse, biography criticism–Anand’s works bear the
stamp of excellence and hall-mark of culture.
R.K. Narayan (1906–2001)

R.K. Narayan was born in a middle class family of Chennai, on 10 October, 1906.
He is one of the most significant writers of Indian English literature, known for
his simple style and humour. Narayan has contributed to the growth of Indian English
literature in a big way. He began writing when Indian English writing was still in its
infant stage. Narayan won a magic with his most endearing character—Swami and
locating him in his fictional town of Malgudi. The characters are extremely endearing
because of their unpretentious simplicity and graceful charm. Almost all his works
are infused with a sense of humour which arises from happenings in the ordinary lives
of the residents of Malgudi. One factor which accounts for the immense popularity
of Narayan is that he weaves magic through his characters which are brimming with
life.
R.K. Narayan
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Narayan’s prose style is full of pathos and humour. Besides mastery in

representing the beauties of provincial life, Narayan’s works have a pervading sense
of irony. His work reveals the influence of various eminent writers. The endings of his
short stories show a strong influence of O’Henry.
Narayan has been criticized for many reasons but mostly for his simplicity of
narration. Critics opine that his works lack depth and therefore, his narration
appears colourless. He is best known for the following works:
x Swami and Friends
x The Bachelor of Arts
x The English Teacher
x The Financial Expert
He was awarded the Sahitya Akademi Award for his novel The Guide. A Hindi
movie by the same name has also been made based on the theme of this book. R.K.
Narayan was also awarded the Padma Vibhushan, the second highest civilian award
in India.
Khushwant Singh (1915–2014)

Khushwant Singh, the great novelist and columnist was born on 2 February 1915 at
Hadali (now in Pakistan). He was educated at Government College, Lahore, and
went to King College, Cambridge University and the Inner Temple in London for
further studies. He practised law at Lahore High Court for several years before
joining the Indian Ministry of External Affairs in 1947. Then he took up journalism
and served as a journalist with the All India Radio in 1952. He has been the founder
editor of Yojana and Illustrated Weekly of India (1979–1980). His Saturday
column ‘With Malice Towards One and All’ in Hindustan Times is by far one of the
most popular columns today.
He is known for his outstanding ability to observe and comment on society. He
was conferred with the Honest Man of the Year Award in 2000 for his courage and
honesty in his brilliant incisive writing. During the prize giving ceremony, the chief
minister of Andhra Pradesh referred to him as a homogenous writer and an
incorrigible believer in human goodness with a devil-may-care attitude and a
courageous mind.
Among the several books published, one of the significant ones is the classic of
two volumes in which he describes the history of the Sikhs. His other works include:
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Delhi, Train to Pakistan and The Company of Women. He has also done a
number of translations and written non-fiction books on Delhi, nature and current
affairs. The Library of Congress has ninety-nine works on and by Khuswant Singh.
He became the member of the Rajya Sabha (Upper House) from 1980-86. He
was conferred with the Padma Bhushan in 1974 by the President of India.
Amitav Ghosh
Amitav Ghosh was born on 11th July 1956 in Kolkatta. He is best known for his
work in the English language. Amitav Ghosh was educated at Doon School, and then
at St. Stephens College, Delhi University. Later he went to St. Edmund Hall, Oxford
where he was awarded a D. Phil. in social anthropology. His first job was at the
Indian Express newspaper in New Delhi. He has been the visiting professor to the
English Department of Harvard University since 2005.
Amitav Ghosh
His major works are as follows:
x The Circle of Reason (1986)
x The Shadow Lines (1983)
x The Calcutta Chromosomes (1995)
x The Glass Palace (2000)
x The Hungry Tide (2004)
x River of Smoke (2011)
His work provides a transnational understanding of the self. This is seen as the
intersection of the many identities produced by the collision of language and cultures;
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displacement and exile. Lives torn between India, Burma, England and elsewhere;
families torn by the violence, psychological rule and post-colonial dispossession.
His fiction is distinguished by its precise, beautifully rendered depictions of
characters and setting. It also stands out because of its sweeping sense of history
unfolding over generations against the backdrop of the violent dislocation of people
and regimes during the nineteenth and twentieth centuries.
The impact of western science and technology on the non-western world and the
consequent entanglement of political and environment upheaval often lies at the
centre of Ghosh’s work.
Amitav Ghosh’s work offers a panoramic treatment of twentieth century history
from a post-colonial perspective.
He was awarded the Padama Shree in 2007, and elected as fellow as the Royal
Society of Literature.
Salman Rushdie
Ahmed Salman Rushdie was born into a middle class Muslim family on June 19,
1947 in Mumbai, Maharashtra. His father was a businessman educated in
Cambridge while his grandfather was an Urdu poet.
Salman Rushdie
Rushdie published his first novel Grimus, a science fiction story inspired by the
12th century Sufi poem, the Conference of the Birds. However, Rushdie’s literary
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fortune changed in 1981. His second novel Midnigh’st Children brought him
international fame and acclaim. The story is a comic allegory of Indian history, and
involves 1,001 children after India’s declaration of Independence, each of whom
possesses a magical power. It won the Booker prize for fiction, an Arts Council
Writer’s Award and in 1993 and 2008 was named the ‘Booker of Bookers’,
acknowledging it as the best recipient of the Booker Prize for fiction in the award’s
history. His third novel Shame (1983) was commonly regarded as a political
allegory of Pakistani politics.
He published a book of children’s stories in 1990 titled Haroun and the Sea of
Stories, which won the Writers Guild Award (for Best Children’s Book) followed by
a collection of short stories, East West (1994). Then came another novel The
Moor’s Last Sigh (1995), The Ground Beneath Her Feet (1999) was Rushdie’s
sixth novel. His latest work is the novel Shalimar the Clown, published in 2005 and
a finalist for the Whitbread Book Awards.
Salman Rushdie is in fact one of the leading Anglo-Indian novelists of the
twentieth century, taking inspiration from a variety of genres in his writing. His style
is often likened to magic realism fantasy and mythology into reality. The way in which
he treats religion has also provoked criticism. Ayatolla of Iran had issued a death
threat in response to The Satanic Verses, his fourth novel.
Most of Rushdie’s works have been admired for their fusion of myth, history,
politics and fantasy. While some critics find his most recent novels pretentious and
unfocussed, there are others who appreciate the themes.
Raja Rao (1908–2006)

Raja Rao was born on Nov 8, 1908 in Hassan, in Mysore in South India. Rao
published his first stories in French and English. During 1831–32 he contributed four
articles written in Kannada to Jaya Karnataka, an influential journal.
Rao’s involvement in the nationalist movement is reflected in his first two books.
The novel Kanthapura (1938) was an impact of Gandhi’s teaching on non-violent
resistance against the British. The story revolves around a small Mysore village in
South India. Rao borrows the style and structure from Indian vernacular tales and
folk epic. The work is highly praised by the English writer E.M. Forster, whose A
Passage to India (1924) criticized British imperialism. However, Rao’s India is not
a certain geographical or historical entity, but more of a philosophical concept and a
symbol of spiritual calling. Rao returned to the tenet of Gandhism in the short story
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collection, The Cow of the Barricades (1947). In 1998, he published Gandhi’s

biography Great Indian Way: A Life of Mahatma Gandhi.
The Serpent and the Rope was written after a long silence during which Rao
lived in India and renewed his connection with his roots.
Cat and Shakespeare (1965) was a metaphysical comedy that answered
philosophical questions posed in the earlier novels. In the book, the Hindu notion of
Karma is symbolized by a cat. The hero discovers in his attempts to receive divine
grace, that there is no dichotomy between himself and God.
Raja Rao has received due acclaim for his innovative contribution to Indian
English Writing. He is clearly one of the founding authors of modern literature.
Ela Sen
Ela Sen was born in Bengal in 1899. She was one of the promoters of the ‘Stri
Sammelani’ and was associated with the management committee of the Blind
School. She was also a member of the Provincial Child Welfare Committee and the
Lady Stevenson Hall Management Committee.
Ela Sen has published biographies of Mahatma Gandhi and Indira Gandhi. As a
freelance journalist, she contributed to all leading Indian national dailies between
1938 and 1945. From 1946–54 she was special columnist for the Hindustan Times
contributing to Indian, British and other overseas broadsheets. She has also
translated Tarasambar Banerjee’s The Eternal Lotus (1945) and Premendra
Mitra’s Kaleidoscope: A Novel (1945).
Ela Sen has written two other collections of short stories. A child is Born and
Other Stories (1943) and Midnight on the Lakes and Other Stories (1943).
Testament of India (1939) is a collection of essays on major figures such as
Subhash Chandra Bose, Jinnah and also on subjects like younger socialists and
terrorism.
Her masterpiece, Darkening Days, was a narrative of famine-stricken Bengal in
which she describes the suffering during the great famine that swept through Bengal.
Her strong feelings about corruption, hoarders, rationing and price control come to
the forefront in this work.
A short story, The Queue from Darkening Days, focusses on a long queue for
food formed by victims of the famine, and presents the perspective of different
people as the line keeps moving forward gradually. While the queue keeps moving
without stopping for anyone, irrespective of their condition, one woman loses her
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baby, another sells herself for food, and yet another gives birth. Based on situations
in real life, the stories are all powerful.
The essay A Woman of Spain is as popular and powerful as her stories. This
essay is about Dolores Ibarruri also known as La Pasionaria, and documents her
fight against fascism. She is courage and heroism personified and described as the
unconquerable spirit of Spain.
Vikram Seth
Vikram Seth was born on June 20, 1952 in Kolkata, India. Although born in India,
Vikram Seth spent some of his early years in London. His father Prem Seth was an
executive in Bata limited and his mother Leila was the first woman Judge of Delhi
High Court.
Vikram Seth
Vikram Seth’s first prose novel A Suitable Boy (1993) has been considered by
critics and reviewers as a return to traditional ways of writing, particularly after the
1980s, a decade of experimentation in the novel. The book was heralded as the
return to more traditional ways of writing. At a time when the novel written in English
was considered to be in a state of expansion, explaining new possibilities the novel
by Seth was seen as solid ground to stand on in the confusion. The novel begins with
the search for an adequate husband for Lata the youngest girl of the Mehra family.
Seth is a writer who avoids being classified in one movement as he avoids being
attached to just one culture. Prior to A Suitable Boy, he had published some
volumes of poetry and a celebrated novel in verse, The Golden Gate in 1986.
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1. When was S. Radhakrishnan appointed as a lecturer in the Department of

Philosophy at Madras Presidency College?
................................................................................................................
................................................................................................................
................................................................................................................
2. Who accompanied Gandhi to London for the second session of the

Round Table Conference of Indian—British cooperation?
................................................................................................................
................................................................................................................
................................................................................................................
1.5 SUMMARY
x Fiction is a literary narrative usually in prose. It is based on imagination, and

not reality.
x The fictional novel emerged as a popular and public literary form in the
eighteenth century with the coming of writers like Richardson, Fielding,
Smollett, Sterne and Defoe.
x The romantic novel flourished in the Romantic Age of English letters, during
the period of the Napoleonic Wars. Jane Austen was a major exponent.
x Charles Dickens (1812-1870) is one of the best known novelists of this
period. He has been regarded as a major pillar of the Victorian era of novel
writing.
x The Modern Age of English literature was an age of the two great World
Wars and the period after that. In this age, there were many new trends in
English novel which flourished in this period.
x James Joyce (1882-1941) was an Irish novelist and a contemporary of
Mrs. Woolf. He experimented with the form of novel throughout his life. He
was one of the most influential writers of the modern England. He practiced
the Stream-of-Consciousness technique most vigorously and effectively.
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x Short story goes back to its tradition from Homer’s Iliad and Odyssey as a
method of oral story-telling.
x It is as a ‘prose tale’ that can be read on one sitting covering the length of
half an-hour to two hours and should be limited to ‘a certain unique single
effect’ to which all the details would be subordinate.
x Most Indian writers of fiction are bilingual. They are proficient in English as
well as their mother tongue.
x Rabindranath Tagore was the father of English language in India. He was a
great poet and a prose writer.
x Toru Dutt was the first Indian woman poet who wrote in English. Her prose
is also marvelously alive. The letters written by her are affectionate,
observant, satirical and touching.
x Kamaladevi Chattopadhyay (1903–1988) was born in a wealthy Saraswat
family of South Karnataka. She was educated at a Catholic Convent and
St. Mary’s College in Mangalore.
x Ahmed Salman Rushdie was born into a middle class Muslim family on
June 19, 1947 in Mumbai, Maharashtra.
x Rushdie published his first novel Grimus, a science fiction story inspired by
the 12th century Sufi poem, the Conference of the Birds.
x Vikram Seth was born on June 20, 1952 in Kolkata, India. Although born
in India, Vikram Seth spent some of his early years in London.
1.6 KEY WORDS
x Fiction: Fiction is the classification for any story, or element of a story,

derived from imagination and not based strictly on history or fact.
x Novel: A novel is a long narrative, normally in prose, which describes
fictional characters and events, usually in the form of a sequential story.
x Short story: It is a story with a fully developed theme but significantly
shorter and less elaborate than a novel.
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1.7 ANSWERS TO ‘CHECK YOUR PROGRESS’

1. The writing of English novel stared in the eighteenth century.
2. Agatha Christie (1890-1976) was a writer of crime fiction. She wrote
many detective novels.

1. Ernest Hemingway’s (1899-1961) novella The Old Man and The Sea is
regarded as the ‘longest story and the shortest novel’ of the world and it
claimed the Nobel Prize for literature in 1954.
2. Stories of Birbal and Akbar (1542-1605), Amar Chitra Katha, tales about
religious deities are very popular in India.

1. S. Radhkrishnan was appointed as a lecturer in the Department of
Philosophy at Madras Presidency College in April 1909.
2. Sarojini Naidu accompanied Gandhiji to London for the second session of
the Round Table Conference of Indian—British cooperation.
1.8 SELF-ASSESSMENT QUESTIONS
1. What is fiction? What are the different types of fiction? Give examples.
2. Write a short note on the genre of short story.
3. Give your estimation of the Victorian novel.
4. What are the differences between novel and short story?
5. What was the critical response to Vikram Seth’s prose novel A Suitable
Boy?
6. Write a short biographical note on Salman Rushdie.
1.9 FURTHER READINGS
Das, B.K. 2007. Critical Essays on Post-Colonial Literature. New Delhi:

Atlantic Publishers.
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Ramanan, M. 2004. Nineteenth Century Indian English Prose. New Delhi:

Sahitya Akademi.
Eicher, Terry, Jesse D. Geller. 1991. Fathers and Daughters: Portraits in
Fiction. New York: Plume.
Wright, Sarah Bird. 2007. Critical Companion to Nathaniel Hawthorne:
A Literary Reference to his Life and Work. New York: Infobase
Publishing.
Nayar, K. Pramod. 2013. Studying Literature an Introduction to Fiction and
Poem. Hydarabad: Orient Blackswan.
Sharma R C and Krishna Mohan. 2002. Business Correspondence and Report
Writing, 3e. New Delhi: Tata McGraw-Hill Education Company limited.
Prasad Birjadish and Haripriya Ramadoss. 2000. A Background to the Study of
English Literature (Rev. Ed.). India: Macmillan.
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A Historical Background
UNIT–2 A HISTORICAL BACKGROUND
Objectives
x Identify the writings from the 7th century, till the 15th century
x Trace the styles and genres of writing in the Renaissance from 15th to the
17th century
x Discuss the novel writing styles of the period
Structure
2.1 Introduction
2.2 Old and Middle English (600–1485)
2.3 The Renaissance (1485–1660)
2.4 Restoration to Romanticism (1660–1789)
2.5 Summary
2.6 Key Words
2.1 INTRODUCTION
Old English came into existence sometimes around the fourth and the fifth centuries.
England, at that point of time, was also known as Angleland, i.e., land of the Angles.
The Angles, the Saxons, and the Jutes were the first to invade Britain and occupy it.
The original inhabitants of England went to Wales after being driven out by the
invaders. That is how they came to be known as the Welsh. This phase of Old
English period was identified as the Dark Ages or The Age of Savages by the
Romans. It was around this time that after coming in contact with the Old English
people, the Romans introduced the concept of Noble Savage (though savage yet
they had something which was ‘noble’ that could be imitated by decadent Rome).
Rome was the home of Christianity during the Old English period. England was
Christianized in 597 after the arrival of Augustine and other monks to Kent. The
King of Kent, Ethelburg, was the first to be Christianized. The Pre-Christian era is
synonymous with the Pagan/Heathenic civilization. The practice of writing or record-
keeping began only after the process of Christianization began.
41
Bede, also referred to as Saint Bede or the Venerable Bede, composed the
Ecclesiastical History of Britain in the ninth century. King Alfred was the first
patron of English prose. Old English poetry was written in single meter. It was a four
stress line and contained a caesura (a distinct pause within a line) between the
second and the third stress. The alliteration links the two halves of the line. Old
English was not static, and its usage covered a period of approximately 700 years,
from the Anglo-Saxon invasion of Britain in the fifth century to the late eleventh
century, sometime after the Norman invasion. The oldest surviving text of Old
English literature is Cædmon’s Hymn, composed between 658 and 680.
The history of Old English can be sub-divided into:
x Prehistoric Old English (c. 450 to 650)
x Early Old English (c. 650 to 900), the period of the oldest manuscript
traditions, with authors such as Cædmon, Bede, Cynewulf and Aldhelm.
x Late Old English (c. 900 to 1066), the final stage of the language leading up
to the Norman Conquest of England and the subsequent transition to Early
Middle English.
The Old English period is followed by Middle English (twelfth to fifteenth century),
Early Modern English (c. 1480 to 1650) and finally Modern English (after 1650).
In this unit, you will learn about the development of the language and the resultant
literature in English. You will also learn about the various trends, styles of writing and
the genres that emerged and became popular, up till the 20th century.
2.2 OLD AND MIDDLE ENGLISH (600–1485)
The extant 30,000 lines of Anglo-Saxon poetry have survived in four manuscripts.
These are as follows:
(i) MS Cotton Vitellius, in the British Museum. It contains the epic poem
Beowulf and Judith along with three prose works and is dated c. 1000.
(ii) The Junius Manuscript in the Bodleian Library, Oxford. It contains the so-
called Caedmonian poems Genesis, Exodus, Daniel and Christ and
Satan.
(iii) The Exeter Book donated by Bishop Leofric to Exeter Cathedral circa
1050. It contains two poems with Cynewulf’s runic signature and Christ,
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Juliana, The Wanderer, The Seafarer. Widsith, Deor and also other short
poems.
(iv) The Vercelli Book in the Cathedral Library at Vercelli near Milan. It
contains Andreas, The Fates of the Apostles, Address of the Soul to the
Body, The Dream of the Rood and Elene. Elene contains Cynewulf’s
runic signature. It contains works on exclusively religious themes.
These extracts from before the Norman Conquest in 1066 form a substantial body
of work. Since, the monks and nuns in the monasteries were the only ones who
could read and write, they became the guardians of culture. It is interesting that most
of the native English culture they preserved is not in Latin, the language of the church,
but in Old English, the language of the Angles, Saxons, and Jutes (the Anglo-
Saxons). In fact, it is through the texts preserved by the Church over time that we
can trace the development of language towards Early Middle English in the thirteenth
century.
Personal and Religious Voices

The first fragment of literature is Caedmon’s Hymn from the late 7th century.
Caedmon is said to have been a lay worker in the monastery at Whitby. One day
God’s voice came to him and he began composing hymns. Caedmon’s Hymn is the
first song of praise in English culture, and the first Christian religious poem in English.
It is the overtly religious piece of Anglo-Saxon poetry.
The Seafarer describes the day-to-day life of a seafarer. Deor’s Lament
recounts the day-to-day trials of life, naming several heroes of Germanic origin and
their sufferings, with the repeated chorus, ‘That evil ended. So also may this!’ After
this recounting, the poet moves to his own troubles: he was a successful bard, or
minstrel, who sang for an important family, but now another bard has taken his place.
He believes that just as the sufferings of the heroes of antiquity ended so will his one
day: everything passes. The Wanderer, like the other two poems, is also an elegiac
poem of solitude, exile, and suffering. The poem deals with the suffering of an
outcast who has lost the protection of his noble lord. In this poem too, memory
plays a significant part in the speaker’s thoughts. The Dream of the Rood, found on
the Ruthwell Cross, written at the end of the 7th century is in Old English. It deals
with suffering and redemption and the sense of being alone and the need of spiritual
support from the cross. Like other texts of the time, it has many references to Latin
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hymns and liturgy. Though Anglo-Saxon poetry primarily focuses on martial

prowess, one can find some type of love poetry during the age. Poems like The
Wife’s Lament and Wulf and Eadwacer could be said to belong to this genre.
Cynewulf is the only other poet known to us. He probably lived in the eighth or
ninth century. He is credited with the authorship of four poems: two in The Exeter
Book and two in The Vercelli Book. His poems include stories of saints, The Fates
of the Apostles, and Christ’s Ascension.
The church preserved a variety of texts in various genres. The focus was on
works with a religious element. It is thought that works with a predominantly pagan
element were either Christianized and preserved or were saved inadvertently by the
monks. Historical works like Bede’s Latin Ecclesiastical History of the English
People and The Anglo-Saxon Chronicle were some of the works the Church
fathers created and preserved. Other genres that the church writers focused on and
preserved were devotional works like Ancrene Rewle (12th century). The
philosophical writings of Alcuin and Saint Anselm also fall in this category. These
mark the beginnings of a philosophical tradition. Parts of the Bible, especially the
Book of Genesis were translated. One version was translated from Saxon into Old
English. This attempt to familiarize the population with the Christian story reflects the
desire of the Church to strengthen the Christian faith throughout the island and to
assert a local linguistic and cultural identity.
French Influence and English Affirmation

The Norman Conquest in 1066 was a game changer in the history of English
literature. It led to the introduction of French language and culture to England. For
the next two centuries the two languages, French and English, struggled to integrate.
French became the language of the court and was widely used from the 12th to the
late 14th century. The transition to English as a court language began only after 1204
when the Norman aristocracy started developing an English identity. More French
words started entering the English language. Rising lay literacy meant that more
books were produced for consumption. By this time London had been established
as the capital city and its dialect, which was influenced by the Midlands, became the
dialect of the country. However it was only in 1415 that King Henry V finally
rejected French and declared English the official language of the country. This in turn
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paved the way for the construction of an English identity and the creation of a
uniquely English literature.
The first major author of the English affirmation is Layamon. He is the first voice
in Middle English. He wrote Brut, in the early thirteenth century. Layamon’s Brut is
the first national epic in English. It draws tales from the Dark Ages and goes up to
the arrival of Saint Augustine, the first Archbishop of Canterbury, in 597. King
Arthur and the Knights of the Round Table also figure here. His immediate source is
the 12th century French work by Wace. This in turn is based on Geoffrey of
Monmouth’s history and traces Britain’s foundation back to Brutus, Aeneas’ great
grandson. This search for classical roots reveals a desire for historical continuity and
for an element of political myth-making. In this epic, one can see the desire to
subsume the dominating French influences into an essentially dominant English
culture. In other words, it is an attempt to create and define Englishness in the face
of French influences.
In Provence in the south-east of France, poets called ‘troubadours’ gave voice
to the concept of courtly love. For these poets love was akin to religious passion,
and the greatest love was that which remained unfulfilled. This gave rise to the
concept of ideal love which was chaste but passionate. This love often took on a
religious note and explains the worship of the Virgin Mary that began to spread in the
12th century in Europe. The Crusades, the fight for the Holy Land against the infidel
Muslims, began around this time as well. This meant that warriors were absent from
their homes and away from their women for long periods. The women were
expected to wait at home embodying patience, beauty and ideal virtue. This in turn
gave rise to the romantic notion of fidelity embodied in the cult of the rose. Le
Roman de la Rose (The Romance of the Rose) is the most influential text of the
early Middle English period. Imported from France, it established a code of
behaviour which placed great value on chastity and placed women in a subordinate
role vis-a-vis men. Within this framework, the rose symbolized the lady’s love. Le
Roman is not a treatise on love and is full of sexuality. In fact it is a multi-faceted
examination of the nature of love in all its forms, from the idealized to the earthy,
from a male point of view. This type of love poetry romanticized love but did not
allow it to become anarchic and subvert the order of things. While, this courtly love
tradition was developing under French influence, a local tradition of songs and
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ballads was also growing. While the lyric celebrated the seasons and had a happy
ending; the ballad generally told a story based on a character and ended tragically.
The ballad of Lord Randal is an example.
The Old English period lasted till the Norman Conquest in 1066 and was
followed by a period of French influence. The Middle English period began in the
late 12th century and ended in 1485. Language was in flux and writers wrote not
only in English but also in French and Latin. Robert Mannyng’s Handling Synne
derived from a French source is a verse treatise on the Ten Commandments and the
Seven Deadly Sins. John Gower also wrote Confessio Amantis in English. Vox
Clamantis is in Latin while Mirour de l’Omme is in French. English received a fillip
later. Chaucer wrote exclusively in English, though he drew inspiration from his
works from other European sources like Latin and Italian.
This period saw the consolidation of the London dialect as the preferred
language of artistic expression. The foundation of the university cities of Oxford and
Cambridge in the 13th century further cemented this position. London finally
became the centre of court, law, trade and literature. While Chaucer and Langland
used this dialect, literature was written in other dialects as well. Sir Gawain and the
Green Knight, Patience, Pearl and Cleanness are some examples. Anonymous
works like Winner and Waster, Pearl, and Patience are part of the Alliterative
Revival (1350 to early 15th century) and recall the earlier Anglo-Saxon use of
alliteration. Pearl is a forerunner of utopian writing about a perfect world and also
examines human limitations and knowledge. Nevertheless, as the use of English
became more pronounced the writers developed a more colloquial and familiar
style, using idioms and proverbs to bring their writing closer to the reader. This in
turn is indicative of the increasing assertion of a national linguistic identity despite
centuries of Latin (the language of religion) and French (the language of the
conquerors) hegemony.
Works of the Old English Period

The Owl and the Nightingale (1225) is a debate (conflictus) to show differing
attitudes and values, and uses the English countryside as a setting. The debate
between the serious (the owl) and the light-hearted (the nightingale) reflects the
period’s concerns between religious issues and the new thoughts of love. Winner
and Waster (1360) is a more serious debate contrasting a miserly and carefree
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approach to money. King Horn (1225) is the earliest surviving verse romance in
English. It is a tale of love, betrayal, and adventure. A study of the text reveals that
the characteristics of French courtly stories have been assimilated and adapted by
the British to a local setting.
Sir Gawain and the Green Knight takes the fantasy element to new heights.
Sir Gawain is one of the Knights of the Round Table. The poem operates under
the ideal of courtly love. However, this tradition is subverted when the Green
Knight offers the severing of his head if he gets the opportunity to strike a return
blow one year later. In other words, the value of heroism and historical myths is
questioned.
Mandeville’s Travels (published 1356-67) is one of the first travel books which
introduce Europeans to the Orient. It is a guide to the Holy Land, Tartary, Persia,
India and Egypt. It is a highly entertaining book which inter-mingles scientific details
with marvels and fantasy.
Chaucer
Chaucer was a professional courtier, a kind of civil servant. He wrote in English. It
was the extensive range and variety of his English that helped establish it as the
national language. Chaucer also contributed much to the formation of standard
English based on the dialect of the East Midlands region which was basically the
dialect of London which he himself spoke. He visited France and Italy during the
course of his work and met Dante, Petrarch, and Boccaccio.
His Works
His first work, The Book of the Duchess (1368) is a dream-poem written on the
occasion of the death of Blanche, Duchess of Lancaster, and wife of John of Gaunt.
It is a consolation poem and has a simplicity and directness of emotion. The House
of Fame (c.1374–85) too is a dream poem and reveals the influence of Dante’s
The Divine Comedy. In this poem, Chaucer is an active participant and visits Ovid’s
‘house of fame’ to learn about love. Troilus and Criseyde draws inspiration from
Boccaccio. It brings together the classical Trojan war story, the Italian poetic version
of that story, and the sixth-century philosophical work of Boethius, The Consolation
of Philosophy. It has been called ‘the first modern novel’ and draws attention to the
poet’s descriptive capacity. As part of this, he uses the reader’s ability to recognize
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and identify with what is being described. The Legend of Good Women also deals
with the theme of joy and pain that love brings. A salient feature of this poem is that
assumes a primarily female audience. It is also the first poem to use heroic couplets.
Chaucer’s fame rests on The Canterbury Tales probably written between 1387
and his death in 1400. He uses the idea of The Legend of Good Women; i.e., the
use of a series of linked stories. A major innovation is the use of the ‘here and now’:
the London area and English society of the time. The Tales comprise a series of
stories told by the pilgrims as they journey from Southwark to Canterbury. These
two places are used because they connect the religious and the secular. The inn at
Southwark represents the city while Canterbury is the site of the martyrdom of Saint
Thomas Becket in 1170. The stories reveal the new social order, apart from the
aristocracy and the lower peasants that are arising due to changing social situations.
Even though Chaucer individualizes the various characters, the reader is aware that
they are also stereotypical characters. The poet merely presents the characters and
does not pass any kind of judgment on them. Through the simple storytelling
framework, Chaucer gives a view of the 14th century world and its people and its
literary, historical, religious, social, and moral concerns.
Characteristics of Chaucer’s works

The following are the characteristics of Chaucer’s works:
x Though, Chaucer wrote in English, we find words of French or Latin via
French origin in his works. There is extensive use of everyday colloquial
speech which contains Old English-derived words.
x Even though his characters are presented realistically, a tone of irony
permeates this description.
1. Mention the first Christian religious poem in English.

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2. What was the role of Norman Conquest in English literature?

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2.3 THE RENAISSANCE (1485–1660)
The 15th century was marked by radical changes. The War of Roses ended and the
Tudors assumed the throne, Columbus discovered the new world and Caxton
published Mallory’s Le Morte D’Arthur. These brought new ideas and learning and
acted as the precursors to the Renaissance.
In his desire for a son, Henry VIII wanted to annul his marriage to Catherine of
Aragon. Since, the Catholic Church refused to allow this, he took the drastic step of
breaking from it and established himself as the head of the church and the state. This
is the Reformation. Its impact was drastic. The King became the ‘Defender of the
Faith’ and was the closest human being to God; England became Protestant and its
political and religious identity were redefined; Protestantism became the official
national religion and the King became the head of the church. In response to the
Reformation, England reaffirmed its identity historically in two ways: conquest of the
Empire, and the domination of the seas.
Erasmus’ and Martin Luther’s beliefs played an important role in this break.
Erasmus’ enthusiasm for classical literature was influential in the revival of classical
learning. He decried narrow Catholic monasticism, found its rituals unnecessary and
the sale of pardons and relics reprehensible. Though he criticized the Catholic
Church, he wanted to reform it and not break away from it. Luther’s reaction was
more extreme in his total rejection of the Catholic Church. In fact many historians
consider 1517, when he pinned his 95 Theses against the Sale of Papal
Indulgences, the start of Reformation and the birth of Protestantism. Though, he
was excommunicated, it did not stop the spread of the idea of religious individualism
in Northern Europe. Jean Calvin further developed Luther’s ideas. He considered
the Bible the literal word of God and followed it strictly. As a result an austere
lifestyle was promoted in Geneva, his centre. Drama was censored, adultery
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punished severely and patriarchy strengthened. These ideas influenced and

triumphed in Cromwell’s Puritan Commonwealth.
The Reformation led to a revaluation of man’s relationship to God, and of man’s
place in the world. When Columbus discovered the new world and Copernicus and
Galileo proved that the earth was not the centre of the universe they only furthered
this exploration. In light of this, Erasmus’ humanistic thinking becomes extremely
important.
Characteristics of the Reformation

The following are the characteristics of the reformation:
x Individual expression and meaning, and not the church ethos, became the
ordering principle of life. This explains the increasing influence of Greece
with its ideals of harmony of the universe and the perfectibility of mankind.
x A questioning and revaluation of held mores occurred on all fronts. This is
reflected in the experimentation with form and genre, modes of expression
and linguistic and literary innovations.
x Reason became the driving force in the search for rules to govern human
existence. The marvellous ceased to matter and the focus shifted to man’s
ability to use his powers, capability and free will. In many ways, it was a
project to redefine what it meant to be human.
The impact of the Reformation was massive. It gave a cultural, philosophical and
ideological impetus to English Renaissance writing. Since old beliefs no longer
applied, the search for a new order resulted in the birth of modern science,
mathematics and astronomy. The Copernican system replaced Aristotle’s view of the
universe, Harvey discovered the flow of blood in the body, and clocks, telescopes
and thermometers etc. were designed to study the visible and invisible world. It the
field of literature it led to a new religious, social and moral identity.
Elizabeth’s reign though prosperous was also an unsettled time. The Catholic
dissent (the Counter-Reformation) culminated in the Gunpowder Plot, Catholic
persecution was common and the Puritan threat was constant. Despite these
disruptions her reign is marked by a sense of national stability and triumph which
was further cemented by the victory over the Spanish Armada in 1588. This
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increasing prosperity and importance of England lay the foundation of theatre. In fact
the first public theatre was built in 1576.
Renaissance Prose
Classical influences are reflected in prose as well. John Lyly’s Euphues (1578–80)
is an example. Bacon’s essays (The Advancement of Learning and more
importantly his Essays) modeled on Montaigne’s French essays perfected the form
in English. He wrote on aspects of law, science, history, government, politics, ethics,
religion and colonialism, as well as gardens, parents, children and health. He
considered the pursuit of knowledge useful for the individual and society. Richard
Hooker wrote Of the Laws of Ecclesiastical Politie (published in 1593 and
1597). It is a defense of Anglicanism against Puritanism, advocates intellectual liberty
and opposes dogma. While Bacon criticizes traditional beliefs, Hooker affirms a
new outlook. The Marprelate tracts were published anonymously in 1588–89 using
the name Martin Marprelate. They are an exceptional piece of satirical writing.
Books on manners were also written in this period. The Courtyer (1561) described
how young gentlemen of style should behave. How to books were also published:
The Book Named the Governour (1531) by Sir Thomas Elyot and The Gull’s
Hornbook (1609) by Thomas Dekker. The large number of sermons, religious
tracts, and versions of the Bible show the use of prose for argumentative and
descriptive purposes. Travel writing also spread. It began with Sir Thomas More’s
Utopia (1516), written in Latin. Richard Hakluyt was a master in this format. Most
of his writing focuses on Drake, but he also highlighted the discoveries of other
navigators. A Discourse Concerning the Western Planting (1584) reflects his
support to Raleigh’s plan to colonize Virginia. Samuel Purchas, his assistant also
wrote travel books about China and Japan. Raleigh, the archetypal man of the
Renaissance wrote History of the World (1614). Nash is credited for having
‘invented’ modern narrative, particularly with The Unfortunate Traveller (1594). It
is a mixture of genres and styles from picaresque to mock-historical, from parody to
character comedy. Robert Burton’s The Anatomy of Melancholy (1621) was a
profoundly important analysis of human states of mind – a kind of early
philosophical/psychological study. He sees ‘melancholy’ as part of the human
condition, especially love melancholy and religious melancholy. Sir Thomas
Browne’s Religio Medici (1642) also had a medical thrust. Browne’s Urn Burial
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(also known as Hydriotaphia, 1658) is an early work of archaeology. It uses the

idea of the fragility of monuments to underscore the affirmation of faith.
Translations of the Bible

King James I commissioned the authorized or King James Version of the Bible, in
1604. It can be seen as confirmation of the domination of English language in
England. Bible translation has a long tradition in England: it began with Aelfric in the
Anglo-Saxon era and continued to Wycliffe’s Lollard Bible (late 14th century). Both
these translations were from the Latin Vulgate. In the Renaissance, translations took
a new turn. Tyndale translated the New Testament from Erasmus Greek text and the
Old Testament from a Hebrew text. The Miles Coverdale Bible (called Geneva
Bible) was produced after the formation of the Anglican Church. The Bishop’s Bible
(1568) was translated from the Latin Vulgate and tried to counterbalance the
Calvinist Geneva Bible. The King James Version was largely based on the Bishop’s
and Geneva Bibles. It can be seen as affirmation of Protestant England and a
celebration of its freedom from Rome.
1. What were the subjects of Bacon’s essays?

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2. What differences did Renaissance bring about in translation of the Bible?

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2.4 RESTORATION TO ROMANTICISM (1660–1789)
The monarchy was restored in 1660 when Charles II was crowned king. However,
in reality monarchical power was replaced by a parliamentary system with two
parties—the Tories and the Whigs. Both parties benefited from a system which
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encouraged social stability rather than opposition. The Age relied on reason and
facts rather than on speculation. Flights of fancy and risk taking were abhorred. A
society, Puritan, middle class and unthreatened by any repetition of the huge and
traumatic upheavals of the first part of the seventeenth century emerged. This
explains why James II’s overthrow in 1688 is called the ‘Glorious’ or ‘Bloodless’
Revolution. The focus of society was on commerce, respectability and institutions.
This idea is best reflected in Hobbes’ Leviathan. The Royal Society represents the
trend towards the institutionalization of scientific investigation and research in this
period. The other highly significant institution, one which was to have considerably
more importance in the future, was the Bank of England, founded in 1694. There
was also a return to religion and traditional religious beliefs. Milton’s Paradise Lost
and Bunyan’s The Pilgrim’s Progress need to be seen in this context.
Some characteristics of the age are as follows:
x Growth of a city-based middle-class economy
x The rise of the novel as a popular if critically unprestigious genre
x The growth of journalism and magazines, with a corresponding growth in
professional authorship
x A noticeable increase in literary criticism, leading to the establishment of
what was critically acceptable and what was not
x A decline in the reputation of contemporary drama, while the theatre
attracted increasing support
x A reaction to Augustan neoclassicism in poetry, with moves towards the
funereal mode, or the rediscovery of simpler values
x Towards the end of the eighteenth century, an attraction for the fantastic,
the exotic and the primitive.
Journalism
The rising middle classes increased the readership of journal and newspapers.
Richard Steele found The Tatler (ran from April 1709 to January 1711). He,
together with Joseph Addison, began The Spectator which ran till 1714. The latter
became the journal of a gentleman’s club. Its spokesperson Sir Roger de Coverley
was a fictional character through whom issues like the relation of the city and the
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country between social classes were discussed. This established the tradition of the
witty observation of and comment on life. There was no direct engagement with the
issues of the time and a conscious distance was maintained and this in turn
perpetrated class values. The Gentleman’s Journal, Gentleman’s Magazine, The
Grub Street Journal and The Monthly Review were other journals published
during the time. They established London as the cultural capital of the country.
Many journals did grapple with the controversial issues of their time. Daniel
Defoe’s The Review was one such. He later went on to edit the trade journal The
Mercator before becoming a novelist. His strong opinions often put him on the
wrong side of libel laws. Like him Dr Johnson also practiced journalism before
launching his literary career.
Scottish Enlightenment, Diarists and Gibbon

The Scottish Enlightenment occurred in the 18th century in Glasgow and Edinburgh.
Its aim was ‘improvement’ based on philosophical enquiry and its practical
applications. Its effect can be seen in Thomas Reid’s Nature which gives the cause
and effect of man’s relationship with God using the ‘common-sense’ approach.
Adam Smith’s The Wealth of Nations (1776) revolutionized concepts of trade and
foretold the rise of America.
Writing for private consumption increased. This explains the rise in diary and
letter writing in the new literate middle class. The Diary of Samuel Pepys is one
example and gives an essentially private and highly personal insight into his life. It
also gives an account of the Great Plague (1664–65) and the Great Fire of London
(1666). These are also found in John Evelyn’s Diary (or Memoirs). The best known
letters are Lord Chesterfield’s to his son, from 1737 until the son’s death in 1768.
When they were published in 1773 they became a kind of handbook of good
behaviour, a vivid manual of how society saw itself, and an indication of how
appearance and ‘manners maketh the man’. The rise of publishing gave spurt to
historical writing and The Decline and Fall of the Roman Empire was published
between 1776 and 1788.
The Novel
The Augustan concern with experience meant that the novel and fiction became the
dominant forms. The genre built up on travel accounts from the 14th and 16th
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century after it was subsumed into an English middle-class way of thinking. In the
picaresque novels therefore, the experience was within recognizable bounds. The
readership was largely female and upper or upper-middle class. In many novels, a
new morality covering relationships between the sexes and figures of authority is
seen. Aphra Behn’s Oroonoko deals with slavery. She wrote this ‘novel’ 30 years
before Defoe, who is credited with writing the first proper novel. She was politically
active and spoke for women’s rights and sexual freedom. She was accused of
lewdness and of plagiarism. Delarivier Manley wrote The New Atalantis (1709), a
political allegory dealing with rape, incest and homosexuality. Her work was also
considered immoral and anti-government. The Secret History of Queen Zarah
(1705) is a refined political satire on contemporary politics. It is clear that
scandalous novels—one which dealt with sexual themes, asked difficult questions
regarding the religious or political situation were deemed unacceptable and muzzled.
Propriety became a key concept in literature, and was directly related to the critical
concerns of the Augustan, or neoclassical age.
Daniel Defoe’s novels reflect the thinking of the 18th century. A Journal of the
Plague Year is a quasi-factual journalistic account of London between 1664 and
1665. Robinson Crusoe is his most famous work. This novel shows the working
out of Hobbes’s belief that life is ‘brutish’ and that it is important to establish and
accept authority. This is what Crusoe, a colonizer, does on the island. He is the first
capitalist hero who overcomes extreme difficulties to reach economic security.
Similarly, Moll Flanders, his famous heroine in the novel by the same name may
spend her life as a prostitute and incestuous wife; but she does it only after she has
been accepted back into society and has improved her behaviour. The novel is also
a social comment on the distinction between the haves and have-nots of society.
These novels reflect the triumph of the middle-class ethos, where money is the
driving force.
Jonathan Swift criticized authority figures with increasing venom in his work.
Gulliver’s Travels (1726) is seen as a children’s tale. However, it is a severe attack
on the political parties of the time, the pointlessness of religious controversies
between different denominations within Christianity (through the debate between the
Big-endians or Little-endians), the scientific institutions of the time and the
preference to reason over emotion (through the contrast between the yahoos and the
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Houyhnhnms). He also wrote A Tale of a Tub (1704), on corruption in religion and

learning and The Grand Question Debated, in 1729.
Samuel Richardson made his money as a writer and printer. He first published a
version of Aesop’s Fables and a manual of letter-writing. He turned this into the
epistolary novel, Pamela (1740). The novels traces Pamela’s journey till her
marriage to Mr. B. The novel established the prototype of male domination with its
implied sensuality and female submission with its implication of restraint, submission
and virtue. Fielding parodied this novel in his Shamela.
Richardson’s next epistolary novel, Clarissa (1747–48), has four letter writers
and marks a major step forward. This allows for greater detailing of character. In his
work the novelist is concerned with male and female roles and identities, and the
interplay of his characters’ psychology. Further, the epistolary form allows the
correspondents to present multiple points of views, and through this creates the
impression of diversity leading to consensus.
Fielding began his career with Shamela. His next work Joseph Andrews (1742)
was also intended as a parody until it took on a life of its own. With an omniscient
narrator it is a humorous and ironic tale. His focus is on male characters and
manners. In contrast to the chaste Joseph Andrews, his next hero Tom, in Tom
Jones (1749), is a foundling enjoying his freedom. Both these novels are picaresque
journeys from innocence to experience, from freedom to responsibility. The hero
undergoes a personal crusade until he gains respectability in the end. A difference in
mores with respect to sex is seen: while a woman ‘falls’ if she indulges in carnal
relations, for a man it is a matter of pleasure and enjoyment. Jonathan Wild the
Great (1743) presents one of the first real anti-heroes in English literature. It is an
epistolary novel with a satiric strain to reveal the hypocrisy and double dealing of the
times. The novel shows how the criminal Jonathan escapes Newgate. A contrast
between the two novelists reveals that while Richardson wrote what could be called
a psychological novel; Fielding’s novels were more social and comic in tone.
Eliza Haywood was a female writer who wrote Betsy Thoughtless (1751) and
ran the periodical The Female Spectator, one of the first magazines intended
specifically for a female readership. Betsy Thoughtless is a ‘quest’ novel. Oliver
Goldsmith published The Vicar of Wakefield, pastoral parable in 1766. It is
inspired from Don Quixote.
56
Johnson
Dr Samuel Johnson was a journalist and is remembered for his Dictionary, the
Rasselas (1759), and The Vanity of Human Wishes (1749). He also wrote Lives
of the English Poets (1779–81) which blends biography with literary criticism.
Boswell’s Life of Johnson, published in 1791, carries on Johnson’s own
contribution to the growing art of biography, and consolidates Johnson’s position as
a major literary figure, who, although a poet and a novelist, is remembered more for
his academic and critical achievement than for his creative writings.
Sterne, Smollett and Scottish Voices

The rationalism of the early years of the 18th century gave way to humour and
expression of emotion in the middle of the century. The novel form took on greater
range and diversity to become the dominant art form.
Laurence Sterne’s Tristram Shandy can be seen as the originator of the ‘stream
of consciousness’ movement. The novel parodies the conventions of the novel as a
genre as practices in his time and points out the absurdity of relating time, space,
reality, and relationships in a linear form. He breaks the traditional order of a
beginning, middle, and end in the structure of the novel. While, Fielding’s omniscient
author/narrator establishes a direct relationship with the reader, Sterne’s narrator
addresses the reader directly. He rambles on wherever his thoughts take him. His A
Sentimental Journey through France and Italy (1767) is a parody of the travel
journal.
Scottish writing played an important role in the 18th century. The major figures
are the novelists Tobias Smollett and Henry Mackenzie, and the poets Robert
Fergusson, Ossian and Robert Burns. Smollett’s novel Humphry Clinker (1771)
underlines the differences rather than unity in the United Kingdom, created by the
Union of the Parliaments in 1707. Smollett was a journalist whose work is marked
by anger. He also wrote picaresque novels which reflected his interests and
experiences. His characters (Roderick Random, Ferdinand Count Fathom, Sir
Lancelot Graves, and Humphry Clinker) come from all levels of society and undergo
a variety of experiences. Roderick Random (1748) was a defense of
homosexuality. Complete History of England (1757–58) and The Present State of
All Nations (1768–69) are non-fictional works. Smollett keeps alive the tradition of
57
bawdiness of English Literature. He uses rude wordplay for social observation and
criticism.
The Man of Feeling by Henry Mackenzie also typifies the opposing tendency
towards ‘sensibility.’ It has a new type of hero: the man who cries. Harley is an
innocent and represents the acceptance of the ‘feminine’ elements in the masculine
hero. This type of hero continues the exploration of sexual roles in contemporary
society. The novel takes the form of the mutilated manuscript from which whole
sections have been lost.
James Macpherson wrote Fingal (1762) and Temora (1763), which purported
to be translations of Gaelic epics by Ossian in the same form. He went to Gaelic
roots not just for sentimental reasons but also to prove that the roots of British
literature lay in a Northern culture. Primitive here meant simple and natural values as
opposed to the city values of a sophisticated society. To a certain extent, this was
also a reaction against neoclassical theory and practice, a return to a time of
innocence and goodness.
The Gothic and the Sublime

There is a shift to ‘the sublime’ in the poetry of the 18th century. In Philosophical
Enquiry into the Origin of Our Ideas of the Sublime and the Beautiful (1757–
59) Burke explains this concept. The sublime goes beyond natural beauty. The link
between the sublime and terror is most clearly seen in the imaginative exaggeration
of the Gothic novel—a form which concentrated on the fantastic, the macabre and
the supernatural. Walpole’s The Castle of Otranto (1764) is the first novel of this
genre. Ann Radcliffe was an accomplished writer of gothic novels. Her The
Mysteries of Udolpho (1794) is her most famous work. Other novels are Clara
Reeve’s The Old English Baron (1777) and Charlotte Dacre’s Zofloya, or the
Moor (1806). A fashion for exotic locales and action, closely related to the Gothic,
led to such outrageous works as Vathek (1786) by William Beckford.
The Romantic Period (1789–1832)

The period begins with the publication of the Lyrical Ballads in 1798 and ends in
1832 when the First Reform Bill was passed. It was an age of political and social
revolution. The country changed from an agricultural to an industrial one. Power
passed from the landed aristocracy to the mercantile class. The enclosure system
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was introduced to increase efficiency and led to the displacement of many farmers.
They migrated to the city and became the new labourers or the working class
concentrated in cities. Increased mechanization in cities resulted in unemployment
and pollution. This prompted Disraeli to say that the country had ‘two nations.’
American independence in 1778 and the French Revolution in 1789 influenced the
intellectual climate in Britain. Debate in England was polarized between the radical
beliefs espoused by Tom Paine in Rights of Man (1791) and the conservative
ideology of Edmund Burke in Reflections on the Revolution in France (1790).
Godwin advocated a gradual move towards eradication of poverty and an equitable
distribution of wealth. Individuals professing such beliefs were called Jacobins or
radicals. As the French Revolution developed, support for it in Britain declined. The
violence and bloodshed of the aristocracy eroded support for the Revolution in
England. This feeling of dismay is evident in Wordsworth’s changing responses from
ecstasy to a feeling of lost opportunity. England’s defeat of France resulted in social
unrest when soldiers came home and found themselves unemployed. To suppress
them the ruling classes adopted harsh methods culminating in the ‘Peterloo
Massacre’ of 1819 when soldiers charged on a group of workers. This event is
described by Samuel Bamford in Passages in the Life of a Radical (1884).
The Preface to the 1800 edition of the Lyrical Ballads is a poetic manifesto.
The move towards greater freedom in political affairs is reflected in the creation of a
new poetic order: poets would now use ‘the real language of men.’ Romantic
temperament prefers feelings and intuition. The Romantics believe that since the child
is close to God he is innocent and pure and can only be corrupted by civilization.
For them the child is the source of all natural and spontaneous feeling. Another
important aspect of this poetry is that it is inward looking into the life of the
imagination. For this reason the irrational, mystical and supernatural world assumes
importance. Since, this poetry celebrates the individual, it is critical of society and its
injustices. The rising middle classes colluded with the working classes and the
liberals (the Whigs) to pressurize the Tories to pass the First Reform Bill to extend
the electorate.
The highlight of the Romantic age was a reaction against the ideals of
Enlightenment and the evils of Industrialization. It was an intellectual movement that
informed the literary, artistic, cultural and philosophical modes of the eighteenth
century. In contrast to the austerity and scientific rationalization of the age of
59
Enlightenment, Romanticism was in favour of uninhibited, untamed expression of

strong emotions and indulging in the richness and sublimity of aesthetic experience.
The predominant theme of literature written during this age was treatment of nature.
While even earlier in the works of writers such as Cowper, Gray, Crabbe, etc.,
nature was abundantly used as a literary theme; their manner of treating the same
was very different from how the writers of the Romantic Age perceived nature. As
Edward Albert says,
In the work of Cowper, Crabbe and Gray, the treatment is principally the simple
chronicle and sympathetic observations of natural features. In the new race of poets,
the observation becomes more matured and intimate. Notably in the case of
Wordsworth, the feeling for nature rises to a passionate veneration that is love and
religion too. To Wordsworth, nature is not only procession of seasons and seasonal
fruition: it is the eye of all things, natural and supernatural, into which the observant
soul can peer and behold the spirit that inhabits all things. Nature is thus amplified
and glorified; it is to be sought, not only in the flowers and the fields, but also in the
light of the setting suns,
And the round ocean and the living air,
And the blue sky, and in the mind of man
Broadly speaking, the term Romanticism is used to connote the ideals and works of
certain writers, artists, as well as philosophical and social thinkers who were deeply
influenced by the ideologies of the French Revolution. The most discerning aspect of
the Romantic Age is its pervasive theme of return to nature. Disillusioned by the
inhuman conditions that prevailed with the onset of Industrial Revolution, intellectuals
all over Europe pinned their hopes upon the French Revolution. The Revolution was
seen as the harbinger of a new era with its ideals of liberty, equality and fraternity.
Wordsworth, in particular, was deeply influenced by the ideals that informed the
French Revolution and much of his early writings are infused with the spirit of liberty
that defined the French Revolution. However, as the fervour of French Revolution
declined and its ideals turned to dust, disappointment, dejection, despair and
disillusionment took precedence. This is especially true of Wordsworth’s later
writings, which are expressive of his feelings of discontent and sorrow at the
hollowness of the ideals of the French Revolution.
60
The Novels
Sir Walter Scott gave up writing poetry in 1814. The same year he produced
Waverly; it was published anonymously. This was followed by Guy Mannering,
The Antiquary, The Black Dwarf, Old Mortality, The Bride of Lammermoor and
other novels. These novels deal with scenes of Scotland. He also wrote Ivanhoe set
in Plantagenet England; and The Monastery and The Abbot which are again set in
Scotland. His last works are Count Robert of Paris and Castle Dangerous and
reflect his bodily and mental anguish. Most of his novels were composed hurriedly to
pay debts, so they are haphazard in composition, are hurriedly developed and
carelessly finished. He uses an ornate style but because of a lack of rhythm the
sentences are shapeless. Scott’s greatest contribution is that he brought to life the
historical novel. He was also instrumental in developing the domestic novel through
the Waverley series. His characterization leaves much to be desired: the villains are
melodramatic and the hero and heroine are wooden and dull. Though his style lacks
suppleness it is powerful. The use of the Scottish vernacular gives it a naturalness it
would otherwise not have had.
Jane Austen is quite different from any novelist before her, and an important part
of the difference is that for many years she was not consciously writing for
publication. What Jane Austen did—and no author before her had attempted it so
successfully—was to apply the techniques of the novel to the acute observation of
society in microcosm. She deliberately avoids effect, exaggeration and excess. Her
novels do not have a didactic, moral or satiric purpose. They are simply
representations of universal patterns of behaviour and documents of an aspect of the
provincial society of her time. Her achievement was to create in each novel a fully
realized and populated world, strictly limited in scope, such that the reader can
observe—without being made to judge—a group of characters whose emotions are
recognizable, whose faults are human, whose traits are familiar. The ‘issues’ may
seem small-scale, when compared to the wars being waged outside the limits of the
village; but it is precisely the universality of the characters’ preoccupations that
makes these issues, and their expression, attractive in a lasting way to a great many
readers. Her major novels are Sense and Sensibility, Northanger Abbey,
Mansfield Park, Emma and Persuasion. Northanger Abbey begins as a
burlesque of the Radcliffian horror.
61
Frankenstein is a Gothic horror story in the tradition established in the late

eighteenth century by Ann Radcliffe, William Beckford and Horace Walpole. They
continue a tradition which challenges the emphasis on reason, control and order
which characterizes early eighteenth-century literature. Gothic novels such as
Frankenstein explore the deepest recesses of human psychology, always stressing
the macabre, the unusual and the fantastic and preferring the realities of the
subjective imagination. Frankenstein underlines a shift in sensibility and a movement
towards the uncanny, the marvelous, the rationally uncontrollable and the
psychologically disjunctive. Such a shift also has political repercussions in that the
worlds depicted represent a clear challenge to the existing order and to rational
modes of thought and of social organization.
1. What was the aim of Scottish Enlightenment?

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2. What is the specialty of the epistolary form?

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3. Which work marks the beginning of the ‘stream of consciousness’ style of

writing?
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2.5 SUMMARY
x The first fragment of literature is Caedmon’s Hymn from the late 7th
century. Caedmon is said to have been a lay worker in the monastery at
Whitby.
62
x Caedmon’s Hymn is the first song of praise in English culture, and the first
Christian religious poem in English.
x The church preserved a variety of texts in various genres. The focus was on
works with a religious element.
x The Norman Conquest in 1066 was a game changer in the history of
English literature. It led to the introduction of French language and culture
to England. For the next two centuries the two languages, French and
English, struggled to integrate.
x In Provence in the south-east of France, poets called ‘troubadours’ gave
voice to the concept of courtly love. For these poets love was akin to
religious passion, and the greatest love was that which remained unfulfilled.
x The Old English period lasted till the Norman Conquest in 1066 and was
followed by a period of French influence.
x Chaucer was a professional courtier, a kind of civil servant. He wrote in
English. It was the extensive range and variety of his English that helped
establish it as the national language.
x His first work, The Book of the Duchess (1368) is a dream-poem written
on the occasion of the death of Blanche, Duchess of Lancaster, and wife of
John of Gaunt.
x Chaucer’s fame rests on The Canterbury Tales probably written between
1387 and his death in 1400.
x The 15th century was marked by radical changes. The War of Roses ended
and the Tudors assumed the throne, Columbus discovered the new world
and Caxton published Mallory’s Le Morte D’Arthur.
x Classical influences are reflected in prose as well. John Lyly’s Euphues
(1578–80) is an example. Bacon’s essays (The Advancement of
Learning and more importantly his Essays) modeled on Montaigne’s
French essays perfected the form in English.
x King James I commissioned the authorized or King James Version of the
Bible, in 1604. It can be seen as confirmation of the domination of English
language in England.
63
x The monarchy was restored in 1660 when Charles II was crowned king.
However, in reality monarchical power was replaced by a parliamentary
system with two parties—the Tories and the Whigs.
x The rising middle classes increased the readership of journal and
newspapers. Richard Steele found The Tatler (ran from April 1709 to
January 1711).
x The Scottish Enlightenment occurred in the 18th century in Glasgow and
Edinburgh. Its aim was ‘improvement’ based on philosophical enquiry and
its practical applications.
x Dr Samuel Johnson was a journalist and is remembered for his Dictionary,
the Rasselas (1759), and The Vanity of Human Wishes (1749).
x The Preface to the 1800 edition of the Lyrical Ballads is a poetic
manifesto. The move towards greater freedom in political affairs is reflected
in the creation of a new poetic order: poets would now use ‘the real
language of men.’
x Sir Walter Scott gave up writing poetry in 1814. The same year he
produced Waverly; it was published anonymously. This was followed by
Guy Mannering, The Antiquary, The Black Dwarf, Old Mortality, The
Bride of Lammermoor and other novels.
x Jane Austen is quite different from any novelist before her, and an important
part of the difference is that for many years she was not consciously writing
for publication.
2.6 KEY WORDS
x Troubadours: Troubadours refers to one of a class of lyric poets and poet-

musicians often of knightly rank who flourished from the 11th to the end of
the 13th century chiefly in the south of France and the north of Italy and
whose major theme was courtly love.
x Alliteration: Alliteration means the occurrence of the same letter or sound
at the beginning of adjacent or closely connected words.
x Sonnets: A sonnet is fundamentally a dialectical construct which allows the
poet to examine the nature and ramifications of two usually contrastive
64
ideas, emotions, states of mind, beliefs, actions, events, images, etc., by

juxtaposing the two against each other, and possibly resolving or just
revealing the tensions created and operative between the two.
x Masques: Masques were private performances held for the king and his
court.
They were generally held in royal halls and were an expensive proposition
with lavish costumes, elaborate stage designs and machinery and
spectacular effects.

1. Caedmon’s Hymn is the first song of praise in English culture, and the first
Christian religious poem in English.
2. The Norman Conquest led to the introduction of French Language and
culture to England.

1. Bacon wrote on aspects of law, science, history, government, politics, ethics,
religion and colonialism, as well as gardens, parents, children and health.
2. In the Renaissance period, translations took a new turn. Tyndale translated
the New Testament from Erasmus Greek text and the Old Testament from
a Hebrew text.

1. The aim of the Scottish Enlightenment was ‘improvement’ based on
philosophical enquiry and its practical applications.
2. The epistolary form allows the correspondents to present multiple points of
views, and through this create the impression of diversity leading to
consensus.
3. Laurence Sterne’s Tristram Shandy can be seen as the originator of the
‘stream of consciousness’ movement. The novel parodies the conventions
of the novel as a genre as practices in his time and points out the absurdity
of relating time, space, reality, and relationships in a linear form.
65
1. What were some of the religious writings in old English? What was the role
of the church in these writings?
2. What was the English Affirmation? Write about some authors associated
with this period.
3. Write a short note on the writing style of Charles Dickens.
4. What were the characteristics of Chaucer’s works? Explain with examples.
5. List the characteristics and impact of Reformation.
6. State the characteristics of the Romantic age.
Sanders, Andrew. 2004. Short Oxford History of English Literature, Oxford

University Press, London.
Deacon, Terrence W. 1997. The Origin of Language, Penguin Publications,
London.
Courthope, William John. 1904. A History of English Poetry, Macmillan and
Company, California.
Beum, Robert and Shapiro, Karl. 2006. The Prosody Handbook: A Guide to
Poetic Form, Dover Publications, London.
66
Understanding Various Genres of
Fiction and its Emergence
UNIT–3 UNDERSTANDING VARIOUS GENRES OF FICTION

AND ITS EMERGENCE
Objectives
x Discuss the concept of fiction and trace its emergence
x Identify several genres of fiction
x Discuss the features of sentimental and picaresque novel
Structure
3.1 Introduction
3.2 Emergence of Fiction
3.3 Genres of Fiction
3.4 Summary
3.5 Key Words
3.1 INTRODUCTION
Novel is a literary form of art that is a recent development. It came to picture in the
eighteenth century in English literature. It is an extended fictional narrative in prose
having a plot, characters and a theme. It is published in print on paper. It should be
of a considerably longer length. Novel comprises of a subject matter and a theme
that should appeal universally. Novel is a sustained story in prose having characters
and events usually imaginary. It has two primary aims: entertainment and instruction.
This unit will discuss the various genres of fiction and its emergence.
3.2 EMERGENCE OF FICTION
The novel as a genre in comparison to other literary forms such as epic, drama,
poetry, prose, etc., is of relatively recent origin. Critics have tried to establish the
century in which the novel as a genre originated, but it is a much debated issue with
different literary theorists temporally situating the novel in different ages. For
instance, the conservatively held view is that novel as a genre emerged with the
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publication of Cervantes’ Don Quixote, whereas the contemporary Russian cultural

theorist, Mikhail Bakhtin asserts that novel had its origin in the time of Hellenistic
Greece in the form of Hellenistic romances. While it is difficult to authoritatively
establish (temporally speaking) the genesis of novel, it is equally difficult to define the
novel as a genre. Literary theorists have tried to define it in multiple ways, but an
exhaustive definition of novel is still lacking. William Hazlitt, as early as in the eighteenth
century, defined the novel as, ‘…a close imitation of man and manners; (where) the
very web and texture of society (is represented) as it really exists, and as we meet it
when we come into the world. If poetry has ‘something more divine’ in it, this savors
more of humanity. We are brought acquainted with the motives and characters of
mankind, imbibe our notions of virtue and vice from practical examples, and are taught
knowledge of the world through the airy medium of romance.’
Lionel Trilling in his celebrated critical work, ‘The Liberal Imagination’ writes
in appreciation of this genre saying that, ‘…its greatness and its practical usefulness
lay in its unremitting work of involving the reader himself in the moral life, inviting him
to put his own motives under examination, suggesting that reality is not as his
conventional education has led him to see it. It taught us, as no other genre ever did,
the extent of human variety and the value of this variety. It has the literary form to
which the emotions of understanding and forgiveness were indigenous, as if by the
definition of the form itself.’
German philosopher Hegel saw novel as the ‘epic of a prosaic modern world. It
has all the range and richness of the epic, without, for the most part, its supernatural
dimension. The novel resembles the classical epic in its consuming interest in
narrative, dramatic action and the material world. It differs from it, however, in being
a discourse of the present rather than of the past. …the epic deals with a world of
nobles and military heroes, whereas the novel deals with the common life. It is the
great popular genre, the one mainstream literary mode which speaks the language of
the people.’
Interestingly, as novel emerged after epic poetry, dramatic form, prose had
reached their pinnacle as literary genres; its definition is always done in context
of these literary forms. To explain further, both Hazlitt and Trilling’s definition of
novel is in context of a comparative analysis of novel with regards to other
literary forms.
In fact, Terry Eagleton states that the novel comprises different attributes of all
genres. In his work, The English Novel, Eagleton defines the novel as ‘a piece of
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prose fiction of a reasonable length.’ Although, Eagleton’s definition appears to be

complete, he himself goes on to denounce this very simplistic definition of novel as
having too many loopholes. For instance, as he himself points out not all novels are
written in prose; for example, Vikram Seth’s Golden Gate is a novel in verse. Then
again the question arises what suffices as reasonable length? The question arises that
how does one differentiate between a novel, a novella and a short story? If length is
one criterion then Eagleton argues how we can classify Anton Chekhov’s The Duel
as a short story and Andre Gide’s The Immortalist as a novel when both are of
relatively same length. Eagleton thus argues his point only to establish that according
to him novel as a literary form is a genre which defies precise or exact definition. He
says that it is a form which weaves together several literary modes so as to defy
being classified as a one single pure genre. To quote Eagleton, ‘You can find poetry
and dramatic dialogue in the novel, along with epic, pastoral, satire, history, elegy,
tragedy and any number of other literary modes…The novel quotes, parodies and
transforms other genres, converting its literary ancestors into mere components of
itself. …’. Hence, one can safely conclude that the rapid growth of novel was largely
possible because it merged in itself the most appealing features of almost all literary
genres. Thus, after having discussed and defined novel as a genre let us study the
beginnings of novel as a genre.
A study of the growth of English literature reveals that the novel as a literary
form gained ascendency around the turn of the seventeenth century. There were
several factors that precipitated this surge. Every new genre that gained popularity,
be it Elizabethan drama or prose in the Augustan age, it was the result of interplay
of social, cultural, literary forces. For instance, around the years 1580–90 there
was a sudden manifestation of Elizabethan drama with the flowering of Marlowe,
Kyd and the greatest of all dramatists, Shakespeare. Prior to that only mystery
and morality plays had existed and nothing anticipated the rapid growth of drama
as a literary form. With novels, again there were no signs signaling the emergence
of this genre.
Moreover, there was not even a classical model to serve as a precursor.
Cervantes’ Don Quixote is often cited as one of the most significant influences that
shaped the modern novel. Coming back to Cervantes’ Don Quixote even after its
translation into English another 130 years were to pass before Henry Fielding’s
Joseph Andrews was published. The earliest works that are often cited as being
close to the genre of a novel are Geoffrey Chaucer’s prologue to The Canterbury
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Tales, Troilus and Criseyde, etc. Besides this, Bunyan’s work The Pilgrim’s
Progress published in 1678 is also regarded as a significant precursor of the modern
novel.
Initially, novels were looked upon with disdain, most critics regarded it as trash
to be pursued only by females and servants as it was considered as a low genre and
not to be taken seriously. It was with the publication of Richardson’s Pamela or
Virtue Rewarded that the novel started to be regarded as a serious art form.
Walter Allen in his very significant critical work, The English Novel, says that
the time period for which novel as an art form flourished was very short lived. To
quote Allen, ‘The first great flowering of the English novel began in 1740, with
Richardson’s Pamela, or Virtue Rewarded and ended thirty-one years later with
Smollett’s Humphrey Clinker.’
Commenting on its origin and growth as a literary genre, Eagleton opines that it
is difficult to assert with precision when the form gained ascendancy. He differs with
the most commonly held view that Cervantes Don Quixote and Daniel Defoe’s
works can be said to be the first precursors to the English novel; rather Eagleton
quotes the cultural theorist Mikhail Bakhtin in whose view the novel can be traced
back to ancient Hellenistic romance which as a literary form does not develop as a
mode consistently. Virginia Woolf regarded novel as the most pliable of all literary
forms.
The nineteenth century was a great age of English novel. This was to some extent
because this essentially middle class form of literary art was bound to flourish
increasingly. The middle class rose in power and importance partly because of the
steady increase of reading public with the growth of lending libraries and
development of publishing in the modern sense. The novel presented the picture of
life lived in a given society against the stable background of social and moral values.
The people who wrote the novels were recognizably like the people encountered by
the readers and the novels painted the kind of picture of life the middle class reader
wanted to read about.
Hardy criticizes certain social constraints that hindered the lives of those living in
the 19th century. Hardy’s characters often encounter crossroads, which are
symbolic of a point of opportunity and transition. The hand of fate is an important
part of many of Hardy’s plots. Thomas Hardy’s works reflect the impact of 19th
century evolutionary thought and naturalistic doctrines. He saw man as an alien in an
70
impersonal universe, at the mercy of environment, heredity, and blind chance. Most
of his fiction poignantly presents tragic human situations, and thus Hardy earned a
reputation for pessimism.
1. When was The Pilgrim’s Progress published?

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2. Define the term ‘novel’ in the literary genre.

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3.3 GENRES OF FICTION
In this section, you will learn about the various genres of fiction.
Novel of incident (1719–1731)

As a prolific prose writer and journalist, Daniel Defoe (1607–1731) contributed with
Robinson Crusoe (1719), Moll Flanders and Roxana to the early eighteenth
century English novels. Robinson Crusoe is a story and fictional autobiography of
the protagonist who is a castaway who spent 28 years on a remote, tropical island
near Venezuela, facing Native Americans, captives and persecutors before he is
rescued. Alexander Selkirk, a famous Scottish castaway was the influence behind
this novel who had survived for four years on the Pacific island called Más a Tierra
later to be called Robinson Crusoe Island in 1966 in Chile. Defoe was inspired by
the translations of Tufail’s Hayyibn Yaqdhan, a novel set on a desert island. It is also
influenced by Cervantes as it is in the famous picaresque tradition.
Crusoe, a surname from German Kreutznaer or Kreutznar sets on a voyage
from Queen’s Dock in Hull, in August 1651. He is on a journey beyond his parents’
wish who want him to stay home and pursue a career in law. His journey is perilous
having borne a ship-wreck by a storm but he sails again. He is a passionate sailor
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who is abducted by sea pirates. They make him a slave to a moor where after two
years’ slavery, he is rescued in a boat with a boy called Xury. Later on, Crusoe is
befriended by the captain of a Portuguese vessel off the west coast of Africa. That
ship had to sail to Brazil. In Brazil, Crusoe becomes the owner of a plantation with
the help of the captain. Years after, he participates in an expedition which is to bring
slaves from Africa though in this voyage too, he faces ship-wreck in a storm when
they are forty miles away in the sea on an island; Crusoe called it the island of
Despair, in 1659. All people who travelled with him are dead except for three
animals.
His tools from the sinking ship help him erect a habitation. Singly, he survives
having searched means to stay on and creates a world to live with agriculture and
animal husbandry. He keeps a parrot, reads the Bible and becomes religious. He is
thankful to God for keeping him alive, though he misses human company. He meets
native cannibals who visit to kill and eat prisoners. He decides to murder them first,
but later sensible wisdom dawns on him where he feels the cannibals did not commit
a crime knowingly. He helps a prisoner to escape, tames him to learn English and
converts him to Christianity. Now, these two bring a crusade against the cannibals in
favour of the prisoners. They come to know of other civilized men and Spaniards on
that island before they leave for England. By this time, his family had declared him
dead and left him no will. Crusoe returns to Lisbon to reclaim his estate in Brazil; he
brings that to England. The rescued prisoner, Man Friday, now his faithful friend,
accompanies him.
His Moll Flanders (1722), another fictional autobiography portrays much that
Defoe underwent in his own life. It is the story of a girl born to a convict, who serves
as a servant in a family, where she is married to one of the sons, after many
adventurous happenings, she comes to know that her mother–in–law had actually
been her biological mother, her husband her half-brother. She leaves that past to
come back to England, leaving two of her own kids behind, and goes to Bath with
a new husband. She develops some relationships there too like earlier. At 42, she
has another lover who is a banker, then after him she again marries another. She has
several children by many men here; later she turns a thief and calls herself Moll
Flanders. In the end, she repents her misdeeds to reunite with her Lancashire
husband. There is revelation of a long history and relations, wealth and plantations till
she is 69 years of age. She returns to England. Defoe’s characters are convincingly
set in a solidly realized world. This was the first example of the Novel of incident
(M.H. Abram). His novels are deeply realistic and portray lives of ordinary human
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beings. They are often deeply critical of the then English society. England and her
colonies, voyages, continent tours, human greed, illegitimate child, nameless heirs of
street, difficult struggling life, a strong moral instruction—all colour the canvas of
Defoe’s novels at one stroke. His realistic approach inspires later generations to
keep his tradition alive.
Picaresque novel (1742–1768)

Picaresque as a term means relating to an episodic style of fiction dealing with the
adventures of a rough and dishonest but, appealing hero. Its origin is from French,
and Spanish picaresco, or picáro meaning ‘rogue’ in the sixteenth century. ‘Picaro’
means ‘rogue’ in Spanish. Such a story deals with the escapades of a careless young
man who lives by his wits and is hardly subject to change of character through the
succession of adventures which he undergoes. Spanish writer Cervantes’s Don
Quixote (1605) is its most celebrated example. ‘Gil Blas’ (1715) by Le Sage, a
Frenchman is also a very famous picaresque narrative. This kind of novel is realistic
in style, episodic in structure, and often satiric and ironical in tone. This is an episodic
recounting of the adventure of a single hero or an anti-hero on the road. In England,
the followers of this tradition were many and all presented stories through their own
point of view adding some new element to it.
Henry Fielding (1707–1752): Fielding is one of the most well-known figures of
English letters. He was a great explorer of human nature and had wide experience of
life. His works were lively and strong. Though in his lifetime, he was seen as ‘dirty
and low’ as a writer, he appears to have influenced the authors of the following
centuries. He had been the pioneer of English novels. His masterpiece Tom Jones
(1749) is ranked by Maugham among the ten greatest novels of the world. His
novels are categorized as novels of reason. He had lively realism, great play of
humour, irony and satire; tolerance for human weaknesses, keen eye for humour,
engaging narrative, gift of strong plot and theme, vivid characterization, and plenty of
comic dialogues. Through Fielding’s narrative—a reader is never bored. He was
frank in describing human folly.
Fielding’s Contribution: A sound technique and logical following of life are Henry
Fielding’s gift to English novels. Fielding influenced the posterity more than any other
novelist of his age. As far as development of novel as a form of art is concerned,
Fielding’s contribution remains far above his contemporaries. He can be called the
father of the modern English novel.
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Realism: Fielding is a pioneer of realism in English literature. In fact, the English

novel was born out of the characteristic of realism. He began novel writing late in
reaction to Richardson’s Pamela and sentimental novels of morality. It did not mean
that he was immoral. His novels too instruct but with comic and humour. His
sentiments are in the right place without exaggeration. His canvas is big with a wide
range of characterization. His prose is realistic and at ease. Even tense or pathetic
situations are imbued with irony and humour like in the works of Ben Jonson. His
novels are pictures of his Age and people. He speaks his truth pungently but through
the vein of comic. He speculates into the nature of man very deeply in an intellectual
and moral way.
Humour, Comic and Irony: He is considered one of the greatest humorists of his
age. In fact, it was after Fielding’s political satires that the Licensing Act was passed.
He had followed into Cervantes’s footsteps. His humour has a wide range: it may be
a humorous fight of his hero on a highway or the pathetic side of human life viewed
ironically. His humour is subtle, not boisterous. It is soft, mild and unpretentious. His
humour is not pungent but pleasant and full of irony. He his Tom Jones is considered
among world’s ten best novels. He considered his Joseph Andrews a ‘comic epic in
prose’. The character Parson Adams is influenced by Sancho Panza of Don
Quixote. Fielding is considered ‘a cheerful, sunshiny, breezy spirit that prevails
everywhere strongly’.
Philosophy and Moral: Fielding began writing Joseph Andrews as a parody of
Richardson’s Pamela. He made Joseph Andrews Pamela’s brother. It was in order
to laugh at the exaggerated morality and sentimentality of Richardson. In Joseph
Andrews, he shows an intellectual depth with greater human philosophy having
broad insight into human nature. His characters are genuine products of higher
intellect and observation of morality and ethics. It is inherent in their nature. Born in
a rich family, Fielding himself had seen quite a lot of human life because of the
vicissitudes that he underwent. His characters are generous, good humoured and
thoughtful. They act with wisdom and presence of mind.
Gift of Solid Plot: Fielding is known for strong plot narrative. Tom Jones, Joseph
Andrews, Amelia, and Jonathan Wilde are all great examples of good plot-
construction. Coleridge compared him with Sophocles and Ben Jonson in this
regard. A strong plot means that a story never falls down the level of interest through
different incidents. His novels are considered an ‘amazing tour de force of plot
construction.’
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Art of Characterization: Plot moves through various incidents and characters.

Fielding’s characters are though sometimes caricatures like Andrews or Shamela
(1741) but they are ‘not men but manners, not an individual but the species.’ There
is a wide variety of characters in his novels. His characters create humour and amuse
the readers through their nature and events both. His characters do not attack any
idea but their behaviour and its outcome is humorous. Sometimes their activities are
humourous like that of Parson Adams. His range of characters is comparable to that
of Chaucer and Jonson.
Fielding’s Works: Joseph Andrews (1742) is considered ‘a comic epic in prose’
by Fielding. It is his first published work. It is a satire about Joseph Andrews, the
brother of Richardson’s Pamela, and his adventures. In this novel, he targeted to
satirize Richardson’s exaggerated morality and sentimentalism portraying it in a man.
It tells how Lady Booby aims at the virginity of Andrews and puts him under trial.
She tries her best to separate him from Fanny, his beloved but after a lot of fun—the
two are married at the end.
Jonathan Wild (1743) is a real story and a political satire aimed at Robert
Walpole. It is considered a loose narrative inspired by his age. It is a great example
of irony. Wild, born to a poor family, becomes a Thief–Taker General, who while
working on the side of law became dishonest to fill up his own pocket. He is
arrested, tried and executed. Tom Jones (1749) is divided into 18 books, making a
huge novel that relates the history of a foundling. It is considered Fielding’s
masterpiece for which he has been placed amongst world’s greatest novelists. Tom
Jones, a ward of Squire Allworthy, falls in love with Sophia and he is a vigorous and
lusty youth, but honest and soft-hearted. Sophia is his neighbour and from a rich
family and the elderly gentleman opposes their love, but in the end they are united.
Tobias Smollett (1721–71): Smollett is considered a great novelist of the
eighteenth century, after Richardson and Fielding, though his work is not considered
as great as theirs. His novels are steeped in the picaresque style. His Roderick
Random (1748), Peregrine Pickle (1751), and Humphrey Clinker (1771) are
famous novels. As an artist, he was a realist gifted with a fine flow of narration and
colourful events. He was a sharp observer of life and its rough sides. He put brutal
and coarse facts of life into fiction. He is not as lively as others of his age but realistic
in nature. His novels are full of new situations and events.
Lawrence Sterne (1713–68): Lawrence Sterne was also one of the four notable
writers of the eighteenth-century English novel. Tristram Shandy, The Gent (1759–
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1767) is his masterpiece which is in nine volumes: a mixture of unconnected

incidents; it comprises of fancies, knowledge of human life, humour, and pathos. His
plot is scattered and his story develops late. Sterne is sentimental in his approach.
He is still known by his streak of sentimentality. His art of characterization is wide
and vivid.
The sentimental novel (1740–1780)

The sentimental novel is characterized as novel of character or psychological novel.
Samuel Richardson is called the father of sentimental novel. His ‘Pamela, or Virtue
Rewarded’ (1704) has been written in an epistolary manner which is regarded as the
first English novel. Here Richardson has narrated the story of a meek and pious lady
of low birth. He has depicted a rustic lady’s emotions, who fights for her modesty in
the presence of a dissolute master. She is, in the end, married to the same man who
changes morally.
His other work was Clarissa Harlowe (1747–48) written in epistolary style in
eight volumes. It is conveyed only through the exchange of letters. It is the story of
a tragic heroine, Clarissa, who is a beautiful and virtuous young lady. She is a neo-
rich whose grandfather has left property to her but only if she marries Richard
Lovelace, an enemy of their family. Lovelace at one point of time, under his passion
of love and hatred for her family, drugs and rapes her. She becomes more adamant
and abhors him because he had put her into a brothel. She escapes from there and
commits suicide. She makes a will which irrespective of her hatred is passed over to
Lovelace. He becomes ashamed to see how Clarissa responded to his villainy —
with a good heart — and that pains him very much. Lovelace feels ashamed of
himself as he comes to know its purport. He goes to Italy, fights a duel and becomes
injured on purpose and dies. His last novel is Sir Charles Grandison (1754) in
which the hero is a virtuous Christian gentleman who has been very careful and
scrupulous in his love affair.
Richardson’s Gifts: Samuel Richardson has dwelt keenly into the female
psychology. He was a great reader of human behaviour. He was also adept in
describing the emotional problems of human life. He made a great effort in liberating
novel as a form from a conservative outlook. He is known for his psychological
analysis and introspection and social realism. His stress on morality and
sentimentality made him popular across Europe. However, he is often considered a
writer of lengthy novels; his morality is considered smug or prudish. His description
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of the emotional details of the protagonist’s psychology is a quality which makes him
an immortal writer.
Lawrence Sterne (1713–68): Sentimental novels depend on emotional response of
both the characters and the readers. The plot in a sentimental novel advances in an
emotional manner rather than in action. Lawrence Sterne is a notable writer of this
genre. His novel Sentimental Journey (1768) is a famous sentimental novel.
Sterne’s journey through France and Italy is the subject here. It is travel writing: a
discussion of personal taste and sentiments of men’s manners and morals over
classical learning. The narrator is Reverend Mr Yorick whose adventures are
recorded in this book. This is an amorous tale representing a series of self-contained
episodes. In style, it is more elegant than his Tristram Shandy, The Gent which is
the story of the eccentric Shandy family.
Other Important Novelists: Tobias Smollett’s The Expedition of Humphrey
Clinker (1771), Frances (Fanny) Burney’s Evelina (1778) are good examples of
this type. In Evelina, the heroine, intrinsically good and raised in a village, is
educated and trained for proper living. Henry Fielding’s Tom Jones and Joseph
Andrews are stories of emotional and sentimental people. But they are a subtle
comment on excessive emotionalism and sentimentality. These novels focused on the
weaker society such as orphans and convicted men. It aimed at softer punishment
and not a harsh one. Goethe’s Werther (1774) and Richardson’s Pamela are the
greatest examples of the sentimental novel. The sentimental novel gave birth to the
following generation of Gothic novel.
Gothic Novel or Novel of Terror and Romance (1717–1850)

Age of Transition: Between the changes of the strict classical and realistic
depiction of society in novels of the eighteenth century and the nineteenth century
where new liberties were taken regarding this form of art, we have the Gothic novel.
The Gothic novel recalls the medieval set-up of Italy and has elements of romance in
it. It deals with cruelty and sins of the hero. It is also associated with the Gothic
architectural revival of distant past.
It portrays the appreciation of the joys of extreme emotion, mysterious
atmosphere, thrill, fearfulness and calmness. English Gothic writers associated with
mediaeval gothic architecture and created an atmosphere where darkness dominated
day and night. The pictures are full of terror having harsh laws of human nature
enforced on certain characters by torture. It also embodied mysteries, fantasy, and
superstition. Nature ruled such primitive buildings very harshly. The image of
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anti-hero prevailed in a mysterious, dark atmosphere in the gothic tales. The

movement of classicism and realism prevailed into the eighteenth century English
literature and in such a time, the gothic novel revived romanticism and the middle
ages. Thus, it was a reaction against the literature of the eighteenth century.
Horace Walpole (1717–97): Son of the Prime Minister Richard Walpole, Horace
Walpole was a famous antiquary and originator of the gothic fiction and the harbinger
of the great romantic age of English literature like his friend Thomas Grey. Rich and
widely travelled, he and his friend Grey both looked beyond their age. The crass
realism and mechanical depiction of the then literature forced these intellectuals to
rebel against the set norms of poetry, drama and prose. His first novel, The Castle
of Otranto (1764) is considered the first gothic novel. It was his reaction against the
realism, sentimentalism and didacticism of the eighteen century literature. For this he
chose a set-up quite distant in the twelfth or thirteenth century Italy where mystery,
romanticism and supernatural prevailed. It had the element of criminality in it.
Walpole created a Gothic mansion at Strawberry Hill where Manfred, the lord of the
castle, lived with his family. The beginning of the novel marked the wedding day of
his sickly son called Conrad and Princess Isabella. After the wedding, Conrad is
crushed to death by a huge, gigantic helmet which falls on him from above.
Manfred himself marries Isabella being afraid of his death as the ownership of
this castle had to automatically pass on to its real owner and not to any member of
the family. He divorced his wife Hippolita who could not become a mother. Isabella
escapes to a church having been helped by Theodore, a peasant, to avoid
Manfred’s touch. Manfred ordered to murder Theodore taking the help of a Friar
but Theodore is later recognized as the Friar’s son by him at the point of his murder.
There are people from other kingdoms who come to free Isabella. Manfred murders
Mattilda in lieu of Isabella. At last, Theodore is revealed as a true Prince of Otranto
and he marries Isabella. Manfred is murderous and he is repentant for his acts. It is
a mixture of tragedy and comedy; mystery and romance; terror and crime. It has
elements of supernatural and fantasy. In his presentation of horror, romance and
mystery, Walpole is compared to Shakespeare. Though this type of novel is
considered an escape from the real world—it had a trail of followers who tried their
hands on the same line of plot.
Mrs. Ann Radcliffe (1764–1823): Mrs. Radcliffe began as an imitator of Horace
Walpole, but it was she who explored the wider range in the perspectives of the
Gothic novel. She was more articulate and successful as a writer. Her famous novels
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The Mysteries of Udolpho (1769) and The Italian (1797) are unique of this
tradition of fictions. The Mysteries of Udolpho has the setting of Italy which is used
for a formula or pattern to give the desired background to the story.
A beautiful youth is put into prison by a hard-hearted sadistic villain in a lonely
castle. He is rescued by the hero who is not as heroic as traditionally heroes are.
The heroes and heroines are almost the same in all of her works with a slight change
in complexion and gait but not of heart. There are components in the story to evoke
terror, like dungeons, secret vaults, hiding places and all these culminate to create
the Gothic effect. She did not use supernatural as Walpole did. She explained what
seemed supernatural, but it was reckoned as something else at the end of the story
when she revealed the truth. She also used the natural description to make her
pictures more colourful. She dwelt on scenic beauty and its description more
powerfully which Walpole did not. Walpole had widely travelled and had seen such
constructed castles in reality and based his world of imagination on what he saw. But
Mrs. Radcliffe had never seen about what she wrote.
So her picture of the gothic was her own creation based completely on her
imagination and fancy. Both she and Walpole lacked the proper knowledge of
history. The years referred to in her novels cannot be ascertained as real. She
presents a mixture of the eighteenth century didacticism and sentimentalism with
romance. In this sense, she differs from Walpole who constructed his world of gothic
fiction with the essence of romanticism only.
Matthew Gregory Lewis (1775–1818): Lewis’s The Monk (1797) has different
elements from Mrs. Radcliff’s novels. It is a tale of blood and terror. The story is
about Ambrosio who is a pious, revered monk of Spain and it is the story of his
decline and downfall. He goes mad after physical lust for his student, Matilda, a
woman in disguise of a monk who allures and tempts him to it. However, once he
comes into the trap of this indulgence and sin, he enjoys his lust which is fulfilled by
a pupil every now and again. He becomes addicted to this fulfillment and makes the
innocent Antonia his prey forcefully. Matilda helps him to do so because she is
secretly empowered by Satan in the female form. She helps him to rape and kill
Antonia. She causes Ambrosio’s downfall from the beginning. The novel has some
other Gothic tales within the story like Bleeding Nun. Ambrosio faces Inquisition
and prefers an escape like Faustus by selling his soul to Satan. There is a devil which
prevents Ambrosio from the final repentance and he has a prolonged, torturous end.
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Later on, the devil reveals to him that the woman he raped and killed was his own
sister.
Minor Writers of the Age

The following are the minor writers of the age:
Miss Clara Reeve (1729–1827): Ms. Reeve’s Champion of Virtue, later to be
called The Old English Baron, was inspired by the Gothic tradition. In it, she deals
with an historical event like Walpole without the clear picture of history. Charles
Robert Maturin (1782–1824) also wrote novels in the Gothic tradition. The Fatal
Revenge (1807) was inspired by Mrs. Radcliff. His masterpiece is Melmoth the
Wanderer (1820) which is considered as the greatest terror novel. It has a strong
plot and a vivid analysis of motifs.
Mary Shelley (1797–1851): Shelley’s wife, Mary Shelley, wrote Frankenstein
(1817) which is a tale of terror having the elements of science in it. It is about the
devastation caused by a machine man which itself is destroyed at the end. The theme
has time and again been used by movie-makers and proved to be a successful and
entertaining story. She was the only novelist of this period who seems to have
inspired the entire generation of science fiction writers of the modern age.
William Beckford (1760–1844): Beckford is considered a novelist of very fertile
imagination. His Vathek (1786) has been set in Arabia and he seems to be inspired
by oriental stories. The story belongs to Vathek, a Caliph and sort of Muslim
Faustus who sells his soul to Eblis or the devil. It is his story of life till death and hell
which is very much terror-evoking. The description of his death is a terrific and
horrifying picture. The description of blood-shed and crime is woven into the very
texture of the novel. The novel is in the tradition of gothic fiction.
The Historical Novel (1814–2010)

The historical novel is that which uses setting or background from the true history of
a period and attempts to convey the spirit, manners, social, economic and political
conditions of that age. The historical fact should be true to its existence and the past
comes alive to the readers. It informs the readers about the period in which it is
written. The recent award-winning novel Wolf Hall by Hillary Mantel is an example
of a historical novel. It deals with the period of Cromwell and King Henry VIII. Thus
the tradition of the historical novel has not died. Daniel Defoe’s Robinson Crusoe
(1719) was an attempt in the picaresque tradition and historical representation of the
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hero. The German author Benedikte Naubert (1756–1819) wrote around fifty
historical novels. In technique, he focused his attention on the person of minor
historical significance and explained the incidents and events which they
experienced. The same trend was followed by Sir Walter Scott, the greatest of all
English novelists of this genre. The historical novels began as a literary form of art in
the nineteenth century England by Sir Walter Scott. Though Horace Walpole and
Mrs. Radcliffe tried to base their Gothic novels historically, but their knowledge of
history failed to give a true historical charm to their stories.
Sir Walter Scott (1771–1832) was a notable Scottish writer of the historical
novel. He had explored the works of Shakespeare, the Bible, Spenser, Dryden,
Swift, and historical stories keenly. He was the first English writer who had an
international career and had followers in Europe, Australia, North America, etc. He
was also a poet and playwright at the same time. Scott had worked throughout his
life to revive the history of Scotland. Not only did he revive his country’s historical
past, but also made it live and presentable to the readers. He had studied his culture
deeply and had a lively imagination to support the true facts. In other words, he
made history live and walk in his times: he took real men from history and the dates
and transformed them into interesting tales. However, he did not transcend his time
like Walpole. He had explored a lot in history. He was a voracious reader. Since he
picked up history as his setting and filled in his ideas to bring alive those men and
women, his novels are called historical romance. He began by translating works
from German and first published his three–volume set of collected ballads, ‘The
Minstrelsy of the Scottish Border’. Since, then he delved deep into the historical
past of Scotland to revive it in the memory of his generation. His historical figures of
Scotland were men and women who were not famous. They were minor historical
figures. This might be the influence of his age as the entire age of romanticism sought
its refuge in humanism and upliftment of the society. As a novelist he had a wide
range and his novels are popularly termed as Waverley Novel. They are a long
series of publications. He did not write his name on his first venture as a novelist
called ‘Waverley’ (1814). Later too, he used this phrase to denote his identification,
‘by the author of Waverley’, instead of his name. ‘Waverley’ (1814) is a tale of the
Jacobite rising of 1745 in the Kingdom of Great Britain. The hero is Edward
Waverley who had been bought up in a Tory family and so, he was sympathetic to
the Jacobite cause. His novels became very popular. The time when he began
writing, he became a popular subject of conversation in England and was a famous
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name at the Royal family because George, Prince Regent invited and dined with him.
He was anxious to see the author of Waverley.
Scott’s central interest was a subject related to chronicling. He did not center the
novel on a certain character, but on a historical period or event. As a novelist, his
range is surprising for he wrote incessantly. In 1819, he chose a subject that related
to England and not specifically Scotland in his Ivanhoe. This novel is about a Jew
called Rebecca who is a sympathetic character. The novel came at the time of
struggle for the Emancipation of the Jews in England. His The Bride of the
Lammermoor is based on a real story of two lovers in the backdrop of
Lammermuir Hills. In this novel, Lucie Ashton and Edgar Ravenswood promise each
other in love but it is later discovered by Lucie’s mother that the man is the enemy of
their family. She forces her daughter to marry Sir Arthur Bucklaw, a rich inheritor.
However, Lucie, on her wedding ceremony stabs her groom, becomes mad and
dies. Scott was a very famous author throughout his life and career as a novelist. He
was popularly read and liked throughout the world. He was granted the title of
Baronet for his excessive popularity and was regarded highly everywhere. He
became Sir Walter Scott in 1820.
In service to his country, he organized the visit of King George IV to Scotland.
He was a man on whom the glory of the importance of Scottish literature rests. It
was in 1827 that he announced himself as a writer of Waverley novel publications.
The following may be considered among his famous novels: Waverley (1814), Guy
Mannering (1815), The Antiquary (1816), Tales of My Landlord (1816–1818),
Rob Roy (1818), Ivanhoe (1819), The Abbot (1820), Kenilworth (1821), The
Talisman (1825), Scottish Borders, The Fair Maid of Perth (1828), Anne of
Geierstein (1829), Count Robert of Paris (1831), Castle Dangerous (1831).
The name Waverley which Scott chose for his title for the long series of publications
is a local government district in Surrey, England.
Through his novels Scott aimed at exploring the history of the middle ages. Scott
had also established a printing press. He was equally famous in the US in his times.
Mark Twain, a popular American novelist, ridiculed Scott in his Huckleberry Finn
by calling a sinking boat as Walter Scott. There have been critics who have praised
and regarded his works optimistically but there were those who wrote against his
popularity. In his lifetime, Scott was one of the most famous novelists of the world.
He always served his country and men. He often fought for public causes. He never
bored the readers by repetition. He did not describe his characters psychologically.
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He did not portray the troubles inherent in our life. His characters are often accused
of being important only in the context of history, but he himself condemns them by
calling Waverley a ‘sneaking piece of imbecility.’ He did not care much for plot.
The period after Scott: Scott laid down the foundation of historical fiction in
England, but it spread its luminous wings towards countries such as France and
Germany due to his influence. In England, Mrs. Anna Eliza Bray came to be known
as Scott’s successor whose novel, The Protestant (1828) depicts the persecution
of the Protestants in the reign of Queen Mary Tudor. GRP James was also a famous
minor writer who wrote almost hundred historical novels in the period of 1825 to
1850. William Harrison Ainsworth (1805–1882) was also a popular novelist for two
decades whose first work was Rockwood (1834). Bulwar Lytton (1803–1873)
wrote five historical novels among which The Last Days of Pompeii (1834) was the
most popular. He stuck to moral instruction and historical truth in all his works. His
historical novels therefore, are mere representation of facts and they are not as lively
as Scott’s. His novels are full of historical accuracy and details.
Some Victorian history novel writers used the theme of history for the sake of
sectarian bias. Charles Kingsley’s (1819–1875) Hypatia (1853) attacked the
Roman Catholics. Newman’s fiction called Callista: A Sketch of the Third
Century represented the same genre. Thackeray’s Henry Esmond (1852) is also a
chronicle novel about the life of the eighteenth century England. Dickens’s A Tale of
Two Cities and Barnaby Rudge are also the novels of this genre. George Eliot’s
Romola describes the life of Italy in the period of Renaissance. In the twentieth
century, Sir Arthur Quiller-Couch (1863–1944) wrote Hetty Wesley (1903) and
The Splendid Spur (1889); Jacob Wassermann (1873–1934) wrote The Triumph
of Youth; Ford Madox Hueffer (1873–1939) wrote The Fifth Queen (1908); Ms
Phoebe Gay wrote Vivandiere (1929).
There were many other minor writers of historical fiction also during the
centuries after Scott. In the 21st century, Hilary Mantel (1952- ), an Englishwoman,
wrote Wolf Hall (2009) which is a historical novel. It won the Man Booker Prize for
literature in 2009. This novel is set in the period from 1500 to 1535, a fictionalized
biography which embodies the rapid rise of power of Thomas Cromwell, First Earl
of Essex in the court of Henry VIII of England. It illustrates the old Latin saying
‘Man is wolf to man’. The French writer Alexandre Dumas’s (1802–1870) The
Three Musketeers (1844) is a famous historical novel.
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Romantic Novel (1775–1850)

In the history of England, Jane Austen has a great place as a novelist and critic of life
whose accuracy about details is rare. Born in 1775 in Hampshire, England, Austen
was taught by her father in her house. She lived in the country side for the most part
of her life and hardly moved anywhere outside. Her books were taught in schools
and made for popular reading, but no one knew the name of the writer. Even her
nephews did not know that they were reading their own aunt’s novel in the school
curriculum. She was rated below Maria Edgworth or Fanny Burney in her age.
However, by the end of the Victorian age, she was immensely popular and the
twentieth century established her fame as a novelist of the first rank in the world. She
produced little, but all her fictions work are keen and sensitively observed pictures
of the society and human relationships. She wrote them charmingly and perfectly. It
is very difficult to question her art as she is one of the most profound artists of the
fiction world. Her pictures are carefully drawn from her own surroundings, based on
the classical unities of time, place and action accurately. They depict human
sentiments and actions based on reason. She points out human follies and mistakes
embedded in behaviour. She is regarded as one of the best novelist of England even
today. Her novels spoke of the manners of men and women.
What Congreve did in the field of drama, Austen has done in the art of novel
writing. The word ‘romantic’ means that which is characterized or inclined towards
sentimental and idealized love. Whatever is related to this saying in literature, art and
music is called ‘romantic’. So, the fiction that depicts the theme related to love and
union is called romantic fiction. Therefore, romantic novels focus on the relationship
of romantic love between two people which must end in an emotionally satisfying
manner.
In such fiction, an optimistic end is always appreciated. In English literature, the
trend of romantic novel was born in the beginning of the nineteenth-century.
However, Samuel Richardson is regarded as the progenitor of this trend through his
‘Pamela’. Love and courtship became centre of interest in almost all the novels of
Jane Austen who was the pioneer novelist of this genre.
Almost all her works are good and make for pleasurable reading. As an artist
she is perfect for she herself said: ‘The little bit (two inches long) of Ivory on which
I work with so fine a brush as produces little effect after much labour.’
Charlotte Brontë (1816–1855): Charlotte Bronte explored the depths of
romanticism wrapped in passion and depth of emotionalism in love. As children, the
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Brontës were very sharp and disciplined kids nestled by a stern clergy father whose
Irish sentiments never left him. Being the eldest surviving child, she played the role of
a mother to her siblings and that careful depiction of a sensible young lady is overt in
Jane Eyre (1847) her first novel. Austen’s heroines thrive in a smug social circle, but
Charlotte Brontë’s heroines are independent, earning and decision-makers for
themselves. Jane Eyre is an orphan, left in the care of her maternal aunt, a very
austere elite woman who tortures the child in the ‘red-room’ besides pampering her
own ill-mannered children. She is put in a seminary which is equally bad and
becomes a governess in future much like the author herself. She falls in love with the
master of the family, a rich married man whose genetically mad wife is locked up in
the same house and as she comes to know the secret, she leaves that place.
She wanders like a vagabond to be restored home by a clergy who is later
discovered to be her own cousin. Meanwhile, her paternal uncle leaves her a
considerable estate. She escapes to her former lover discarding the proposal of the
second lover-cousin and unites with him who has become handicapped in course of
time. The story is full of passionate love, mystery, romance, chivalry, wooing,
depicting love for spontaneity and independence in human nature. Her other
important works are Villette (1853), Shirley (1849) and Professor (1857). Though
Charlotte wrote very few novels they all cry for woman’s emancipation, social-
fetters, gender inequality, effect of Industrial Revolution, feminist appeal, frank
portrayal and acceptance of a woman’s love, etc. More so they seem to be dreams
of an enthusiastic young woman full of burdens of life and responsibility who looks
forward to a better future.
Emily Brontë (1818–1848): Emily Jane Brontë is one of the most unique women
writers of her century. A thoroughly objective artist, Emily has just one novel to her
name. In her novel, she chose the setting of Yorkshire where she lived and died. Her
novel Wuthering Heights is set in the bleak Yorkshire moors where two prime
mansions are the subject of the story: one is Wuthering Heights placed at the top of
the moors where nature plays havoc and the house is furnished with only necessary
comforts to survive; the second, Thrushcross Grange which is close to the territory
of the village situated in the valley where all comforts are available. The former is
occupied by the Earnshaws and the second by the Lintons. Their life is normal and
steady until a small, dark waif is picked and brought home by old Mr. Earnshaw. He
is called Heathcliff, whose mutual and passionate affection for Catherine Earnshaw
brings disaster to both the families. Heathcliff is bullied by Catherine’s brother after
Mr. Earnshaw’s death. Hindley Earnshaw reduces him to the status of a servant,
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separates Catherine from him, and asks Catherine to be prepared for a better future
with Edgar Linton, the son of the Magistrate. Heathcliff cannot bear this separation
and Catherine’s devotion to Linton and he neglects himself. Catherine chooses
Linton to shock Heathcliff whereupon he leaves home to return three years later as
a rich and educated man. He first shocks Catherine by marrying Linton’s sister. Then
he makes Hindley an addict of drinking and gambling and he also dies. He forces
Edgar into death by abducting and forcing marriage of his daughter to his sickly son
Linton Heathcliff. He brings up Hindley’s son as an extremely boorish, uncultivated
and uneducated youth and possesses both the properties. At last, he dies without
making his will. The story is about thunders of atmosphere, passion, pathos, cruelty,
emotion, metaphysics, horror, supernatural and mysticism. Emily’s picture of life is
stark, brave, exposed to nature, full of cruel realities, embittered and broken
relations, and eternal love.
Anne Brontë (1820–1849): The youngest amongst the Brontës, Anne was a soft,
much cared for and frail child who grew up in a close family atmosphere and went
out to earn her livelihood as her elder sister Charlotte. Anne wrote two novels
Agnes Grey, and Tenant of Wildfell Hall. Her Agnes Grey is the story much like
her own about a young girl who goes to work in a family as governess and tacitly
falls in love with a clergy man. However, the man does not disclose his love for her.
She has friends and rivals among those girls with whom she is working. Meanwhile
her already sick father is dead and her brave mother opens a seminary at the sea-
side where Agnes joins her. Accidentally, she sees a clergyman while walking at the
beach one day. He comes and introduces himself as a Rector — rich and affluent
and in a mannered way asks the permission of her mother for her hand and marries
her. The Tenant is a story full of tragic situations and pathos about an addiction-
ridden hero whose nature resembled her own brother Patrick Branwell’s. All the
Brontë sisters pleaded for freedom of expression, informal representation of human
nature, realism, poverty, broken family relations and stress on passionate love. Their
novels are full of natural descriptions of beauty. Thomas Love Peacock (1785–
1866) was also a famous author of this genre. His Nightmare Abbey (1818) and
Crotchet Castle (1836) are notable romantic pieces of fiction.
Novel of Purpose (1812–1950)

A social novel of purpose deals with a social problem and propagates a message. It
is related closely with social criticism. When this style of writing began, it was meant
for the middle class and the labour class people. The Industrial Revolution, the class
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difference, the ever-burdened dependent class came to be its subject. This genre of
novel was used prominently by those who themselves had seen a hard, unendurable
life. Social novel describes the foibles of the institutions of the society: like the effect
of corrupt politics, the dominance of the elite or ruling class, plight of the
downtrodden, etc. Such a novel depicts the experiences of real life with a little bit
of melodrama or exaggeration in its texture to create reader’s interest. It maintained
the romantic style of freedom of subject and form. It is full of imagination and vivid
characterization. Its dialogues are full of emotion, pathos and tragic descriptions.
Novel of Realism (1775–1925)

A realistic novel attempts to portray in fiction the effects of realism. They describe
complex characters having more than one motive representing a certain social class
who manage their society. They depict their interaction with the society, their faults,
experience and everyday life. The tradition of the realistic novel came through Defoe
and Fielding in the eighteenth century but developed in the hands of master novelists
of the nineteenth century such as Jane Austen, George Eliot, Anthony Trollope,
William Dean Howells and Henry James in England; and Stendhal, George Sand,
Balzac and Flaubert in France; and Turgenev and Tolstoy in Russia. In the novels of
Jane Austen, Edith Wharton and John P. Marquand, there is focus on the customs,
day to day interactions, manners and estimation of a particular social class. So they
are called the novel of manners also.
In Mansfield Park, Fanny Price’s problem to be adopted by some relative is
the main issue. In the novel, we see the problem of financial insecurity and of
adoption of a poor relative who is sent to different relatives for staying there and is
treated as a burden everywhere. Her other novels are Sense and Sensibility,
Emma, Northanger Abbey and Persuasion. All of them are fine pictures of an
upper-middle class society reflecting the modes and manners. They are objectively
crafted, fine pieces of art, firmly delineated and formally perfect. George Eliot
(1819–1880) combines two important traits of which the first is a strong intellectual
tendency to analyse the problems of life, and the second is to give solutions for them
by instruction. Her novels are deeply imbued in the social life of the countryside: a
true picture of men and their behaviour with a strong moral undercurrent in them.
She instructs that our duty is the most important part of our life. She attaches value
to the individual as a part of universal moral forces and tries to establish that moral
law is the basis for human society. As Dickens portrayed the streets of London and
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Thackeray, the upper class gentry, George Eliot revived the realism-based depiction
of the country life.
For her pictures of realism with a fine portrayal, she holds the prime rank among
the novelists of the world. She started writing fiction in the second phase of her life
when she produced Adam Bede, Mill on the Floss, Silas Marner. In her last
phase, she wrote Romola (1862–63), Felix Holt (1866), Middlemarch (1871–
72) and Daniel Deronda (1836).
Her novels of the first phase of writing depict the experiences related to the
author herself, their stories and scenes are set in the rural England, their characters
are the people of the Midlands whom she had seen and known. They are works of
permanent value because of their picture of realism with spontaneity, naturalness and
humour. The novels of the latter period reflect deep analysis of character not as vivid
as the early country-life portrayals. They all reflect as she herself said—
psychological realism. They present the inner struggle of a soul and open up motives,
emotions and genetic influences which control human activities. She concentrates
upon either the moral growth or decline or development of a soul and her characters
show this particular trait essentially. The characters of Tito and Romola reflect such
a growth from good to bad and bad to good. Silas Marner is considered artistically
her most perfect work which embodies powerful, long-lasting effect of realism and it
is the story of a poor weaver. Ms. Eliot is attributed to have given birth to the
modern psychological novel.
Anthony Trollope (1815–1882) composed novels as ‘Entertainment for an Idle
Hour’, much like Thackeray. His works reflect social realism. He is a formalist in art
portraying society with a wide range of characters full of humour and their daily
activities with utmost finery and polish of delineation. His notable work is Barchester
Towers (1857) depicting the life of a Cathedral town with pictures of bishops,
clergies, their families and dependents. Following the same ideals, he wrote The
Warden (1855) and The Last Chronicle of Barset (1867) and other novels of the
same series portraying the social interaction of men and women true to the picture of
real life. His novels display strong merit and powerful representation of an upper
class social manners and characters.
Bulwer Lytton (1803–73) is regarded as the genius who portrayed the upper
class social men and manners in his novels. Pelham (1828) is about a Byronic
gentleman. He studies contemporary manners in the high society in his novels like
Thackeray. Ernest Maltravers (1837), The Caxtons (1848–49), My Novel
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(1853) and Kenelm Chillingly (1873) explore deep social realism. Although he is
most notably known for his romantic and historic fiction, he has contributed his best
to the genre of realistic fiction.
Henry James (1843–1916) is considered one of the most celebrated writers of
the twentieth century. He was a clever observer of the society and men and manners.
He focused seriously on human thought and feelings. His novels are the picture of
social contrasts and comparisons. He presents the study of people of many countries
which were economically on the rise alike and juxtaposed them against each other in
his work. His Portrait of a Lady (1880–81) is his masterpiece where the heroine
makes a mistake by choosing an Italian husband owing to his formal refinement, but
the nature of the man is in reality different and disgusting. In his The Wings of the
Dove (1902) and The Ambassadors (1903) again, James compares the
‘unsophisticated vitality of America with the elegant decadence of Europe’. They
present the picture of realism and human relationships. His technique of narration is
known as ‘point of view’ which presents a character as a mirror who is ‘the centre
of consciousness reflecting upon the actions’. Strether in The Ambassadors and
Isabel Archer in Portrait of a Lady are some examples. Arnold Bennett (1867–
1931) portrays the daily life of society in Anna of the Five Towns (1902) and The
Old Wives Tale (1908) as a master of realistic approach into fiction. He depicts the
exact details of ‘the nature of provincial life in the Potteries area of Straffodshire’
where people, as in small places, make a big issue of even an inconsequential
incident. He was often blamed for his materialistic outlook by Mrs. Woolf because
his work focuses on the material realities of a certain social environment and the
detailed happenings of the provincial life.
Novel of Ideas (1811–1980)

In the novel of ideas, plot is subordinate to the philosophy of life. William
Makepeace Thackeray (1811–1863) is an excellent observer of this mode of
expression. He is considered the rival of Dickens. Thackeray is the second most
popular novelist of the Victorian age. He belonged to a comfortable and rich family
background. He was kind, good-humoured and respected what was pure and
morally correct. He finds the society pretentious, deceptive and full of vanities, and
pictured them in his novels. He dissects through the high society with realism and
morality. Big lords and ladies are judged with cool observation by him and the
reflection of their real life is mentioned in his fiction. He satirizes people who are
morally impure and mercenary in their attitude and exposes their moral evil. Though
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he seemed to be influenced by Fielding and Swift but is devoid of their bitterness

and coarseness of expression. His satire is mild and soft in tone. Both Dickens and
Thackeray complete the picture of all the social classes of the Victorian England.
Vanity Fair (1847–48) is considered his masterpiece which is a reading of the
characters of his society. It depicts the famous journey of the Christian and Faithful
to the Heavenly city. His Vanity Fair is the same that Bunyan used in his Pilgrim’s
Progress. In this fair there are many stalls which sell ‘all sorts of vanities’ and in our
visit to different stalls, we come to know and meet different characters and items
such as ‘juggling, cheats, games, plays fools, apes, knaves, rogues, and that of every
kind.’ Thackeray’s Vanity Fair, unlike Bunyan’s who made it a small stay in a long
journey which we all have in order to grow or do better, is a longer stay where his
characters spend a fair share of their lives.
The whole novel, without any specific hero, concentrates upon Amelia, a pure
pious woman and Becky Sharp, ‘a keen, unprincipled intriguer, who lets nothing
stand in the way of her selfish desire to get the most out of the fools who largely
constitute the society.’ It is a powerful picture of social realism. Pendennis (1849–
1850) is about a hero who is ‘neither angel nor imp’. Here, Thackeray presents a
genuinely drawn young man of the society, taken exactly as he saw him–carrying
carelessness, humility and selfishness. He pursues life for his own interests. It is a
profound moral study. The Newcomes (1855) and The Virginians (1859) are his
other works in which the former is a sequal to Pendennis and the latter to Henry
Esmond. Henry Esmond is his attempt at the historical novel. His novels describe
human weaknesses and follies. He is a social critic with profound realism.
He declared: ‘I have no brains above my eyes; I describe what I see’. He was
a gentleman and found voice in mild satire which is objectively and formally perfect.
His novels portray the beauty of virtue and the ugliness of vice. His chief weapon
was irony and he used his novels to propagate ideas. But he wrote novels at his own
leisure and its impact can be witnessed on the loose plot-structure that they have.
His other famous work is Book of Snobs.
Aldous Huxley (1894–1963) was a modern satirist who propagated his message
through his fiction. His Crome Yellow (1921), Antic Hay (1923), Point Counter
Point (1928), Brave New World (1932), Eyeless in Gaza (1936), Ape and
Essence (1948), Island (1962), etc are famous novels. In Brave New World he
presented the picture of the future having test-tube babies called ‘Soma Gas’ and
man overcome by his scientific inventions incapable to lead a natural life. He is
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intellectual and pedantic but rather disheartening to those who prize inventions as the
way to growth. George Orwell wrote Animal Farm, a very optimistic satire which
reveals the effects of Communism. It is a lively picture of human life and is regarded
as the best among his fiction.
Novel of Nature (1840–1930)

The Victorian Age gave numerous profound and scholarly geniuses and trends of
fiction writing to the English literature. One of those is the group of novelists who
based their novels on nature and its guidance. The Victorian age was of questioning
religion on the behalf of proliferating science. However, amidst all these hubbubs of
the city streets lay a few relatively prolific minds who chose to settle in the
countryside and devote their power of expression to serve a specific purpose which
contributed to the development of the area. They are often criticized for regionalism
in literature. The novels of nature depict the portrayal of life around nature, in a
country-setting, speaking of the naturally rustic but naïve folk. It also describes the
lives of the cultivated people of villages, their day to day life and manners and their
society, their aims, desires, etc. In this genre of novel, the most prominent author
who revived devotedly the lost territory of England called ‘Wessex’ was Thomas
Hardy (1840–1928), setting his fourteen masterpieces in the same region. He was a
classicist, realist, lover of perfect form and applied direct and simple approach to life
in all his novels. He presented man as an atom in this large universe and claimed to
have aimed at no ‘harmonious philosophy.’ Man and his relationship with the
universe is the subject that he penetrates very deeply into. He studies minutely the
scheme of things and his observation of human life magnifies the powerful role of
destiny which is mostly sombre and brooding in behaviour and that which forms their
actions and events. All his characters are peasant stalks and the gentry at the
countryside ‘Wessex’ where he hailed from. His novels depict ‘a general drama of
pain’ arriving from the simplest causes. The portrayal of tragedy for which he is
compared with Shakespeare, evolves from simple reasons and permeates through
the leaves of the trees of the surrounding and the dusty roads along which his
characters move and breathe. In his novels, nature and universe have voice and
character-like stability in their presence and they are not silent spectators like the
background. Like his architectural monuments, his novels too were perfectly crafted
bit by bit, portraying the eternal essence of humanism, simplicity and power of our
inborn nature. His genius as a narrator lies in the fact that he explores the psychology
of his characters very deeply without inserting himself anywhere in the prose and
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makes use of gentle humour and innocence. His artistic language bestows life into his
art of narration which puts soul into even the inanimate objects of nature. He is a
keen observer of human life and presents its insignificance in front of the gigantic
nature around us which are so mysterious, so large, so full of magnitude and power
of devastation.
However, Hardy is a compassionate observer of mankind and is full of human
sympathy with a broad outlook towards life. His heroes go out to study and come
back to educate the rustic folk in the village like Clym Yeobright of The Return of
the Native. His novels are a mixture of comedy, tragedy and tragic-comedy. His
notable comedies are—Under the Greenwood Tree (1872), A Pair of Blue Eyes
(1873), Far from the Madding Crowd, etc. His noteworthy tragedies are —The
Return of the Native (1878), The Woodlanders, The Mayor of Casterbridge,
Tess of the D’Urbervilles (1891) and Jude the Obscure (1895). Hardy’s tragedies
imitate Aristotle’s principles of tragedy in his ‘Poetics’ in style. He is a classical and
traditionalist writer. Nature is a strong force in his novels surpassing all human wishes
and activities where men and women succumb to its greatness and become prey to
its schemes at the end. In his tragedies, fate plays havoc in man’s life, manipulates
him and torments him to painful death. Everything goes out of man’s power of
handling, even his actions, and they are governed by relentless fate. His ‘Tess’, one
of the greatest examples modern tragedy, is the story of an innocent’s descent from
an ancient and respected family to being wildly crushed and ‘deflowered’ by Alec,
the villain and a socially powerful man. By the freak of fate, she falls into his hands
at the end and kills herself in search for peace.
D. H. Lawrence (1885–1930) was also a lover of the philosophy of nature. All
his novels are set in the atmosphere where flowers and men blossom naturally.
Through his works, he gives a message to man to go close to nature which is fertile
and reproductive. He portrays the infertility of man which is because he wants to
grow with the gifts of science. Man behaves as machine in this modern world and
has lost the real pleasure and importance of life. He condemns intellectual obstinacy
which lacks power to penetrate deeply into human feelings and wishes, and suggests
that human beings must acknowledge nature as their greatest ally and spend life
close to it or cultivate naturalness in their personalities. They should seek pleasure in
nature’s society and power to live, and feel the pleasure of the senses. His message
rebounds in all his novels. The then banned novel Lady Chatterley’s Lover by
Lawrence is a frank portrayal of sex and human desires related to that aspect of
nature. His Sons and Lovers (1913), The Rainbow (1915), The Trespasser
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(1929) and Women in Love (1920) are considered his masterpieces. The White
Peacock (1911), The Virgin and the Gypsy (1926) and The Plumed Serpent
(1923) are also his famous works of fiction. Though, his novels focus primarily on
man and his sensual urge but via this theory, he instructs that man by his close
association with nature can gain a healthy and fruitful life. In Lady Chatterley’s
Lover (1928), the wife of an impotent industrialist called Conny, goes for union with
her own game-keeper. He gives a theory that for the natural urges a person does not
see who is cultivated or sophisticated and who is boorish. For that, physical strength
is needed. Close to nature only a human being can have that pleasure and
satisfaction of pleasures of life for which he or she craves but cannot fulfil singly.
Through the description of sensual pleasure, he explores the mysteries of nature as
in his The Virgin and the Gypsy. Lawrence presents nature as the generator of man
and his protector. He believes that people who are uncultivated have greater
potency, force and vigour. His novels are satire upon the crippled, machine-driven
and upper-class sophisticated society. He was a follower of Charles Darwin and his
theory of naturalism.
Psychological Novel (1890–1950)

The psychological novel is the product of modern outlook chiefly explored by the
Georgians —Aldous Huxley, D.H Lawrence, Virginia Woolf and James Joyce. They
were all conscious innovators of the art of novel writing and added particular change
of style into the art of narration. They were more interested in exploring human
subconscious and noting image atom by atom as it falls to mind. They present the
picture of the determination of characters as the subconscious receives images
through our conscious. There the plot becomes dwarfed by the subject of
psychological research. Sometimes it records merely the images one by one as they
fall to human consciousness with little or no coherence as in Mrs. Dalloway by
Virginia Woolf. Such a psychological research is called ‘stream of consciousness’
technique: it is an unbroken flow of perceptions, thoughts, and feelings in the waking
mind (M. H. Abram). It describes long passages of introspection in which the
narrator records in detail what passes through a character’s awareness. They were
all inspired by the psychological theory of Sigmund Freud. They adopted the method
for freedom of expression. Their candid expressions, put innovatively, breaks all the
conventional norms of novel writing. This form was used for spinning ‘contemporary
vision of reality’. The vision was influenced by the theories of Henry Bergson and
Freud. Bergson changed the old concept of Time and Freud, of human
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consciousness. The new concept of Time was that of continuous flow while the
conventional one was that of a series of separate incidents. This was the contribution
of Bergson and William James’s scientific analysis of human consciousness. They
believed that a human mind is open—to the past, present and future alike. It is
changing still ‘continuous, multiple yet one’. According to the theories of Marcel
Proust (1871–1922), human mind can be very flexible and is exposed to the present
and the recapitulation of the past simultaneously. It is intuitive. So the old concept of
chronological fall of events in order was laid aside now. The theories of Freud and
Jung, the psychologists, explored that the objective science could describe a man
better where human consciousness could carry not only his own but all the ancestral
experiences, and stressed on its flexibility and multiplicity. This consciousness could
travel back and stay in the present observing events at the same time. This theory
affected the art of characterization in the modern novel where the conscious handled
the nature of man. Its best examples can be cited in D.H. Lawrence’s novels as
observed by E.M Forster ‘the greatest imaginative writers of the twentieth century.’
Technically Lawrence did not go as deep into the exploration of the conscious as
Mrs. Woolf or Joyce. His Women in Love is an expression of deep symbolism
where the pattern is in harmony but The White Peacock displays the Jamesian
‘point-of-view’ technique where the main coherence is the consciousness of one of
the characters. His Sons and Lovers, The Trespasser and The Lost Girl express
the conventional flow of events and the conscious and symbolism. He dwelt on
man’s psychological demands and settled his descriptions there, especially the
suppression of sexual urges due to the modern outlook and demands of life. His
novels are free and frank expressions of human urge of the subconscious which a
man suppresses in order to show control over his purpose of existence in a civilized
society. However, it is the consciousness with which he is created. His notable fiction
works are Aron’s Rod (1922), Kangaroo (1923), The Rainbow (1915), The
Plumed Serpent, and Lady Chatterley’s Lover.
More subtle explorer of the subconscious was Dorothy Richardson’s (1873–
1957) Pilgrimage, a series of twelve novels where the first one called Pointed
Roofs (1915), was the one which initiated this technique. James Joyce (1882–1941)
experimented with the stream of consciousness technique most vigourously. He was
an experimentalist, unconventional, complex and precise in details, among the
modernists. He was linked with the Aesthetic Movement of the nineties which
apparently resulted in his Dubliners (1914) and A Portrait of the Artist as a
Young Man published in The Egoist (1916). His Portrait is a rebel literature
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against the conservative Irish life and Roman Catholicism but it reveals that both very
strongly influence him. A Portrait depicts the early to youthful years of Stephen
whose wish to pursue education clashes with the traditional background of his family
and its present condition. The novel describes his family background, atmosphere
and love life and sex at sixteen. It ends declaring him a rebel in all. The language and
style of narration are highly stylistic and technical. Its prose has musical effect.
Ulysses (1922) is a continuation of Stephen’s life embodying motives of ‘Art for
Art’s sake’ where Stephen returns from Paris after his mother’s death having
completed his education and decides where to start his career. The theme of these
novels explores the Greek story of Telemachus. However, Leopold Bloom having
lost his son in infancy is the real hero here. Joyce was the inventor of the technique
called ‘epiphany.’ He wove mythology and the present together, a method used by
Eliot in his The Wasteland (1922). Finnegan’s Wake (1939), written after 17 years
of effort, is his last novel which depicts a Dublin Publican’s life, his family and
customers. It is through these that the author presents a complete picture of human
life. The very title of the novel represents true Irish connotation of death, funeral and
resurrection. It is a complex novel. Such books can be appreciated by the well-
qualified, intellectual and learned class.
Virginia Woolf (1882–1941) was a very famous novelist who exploited the
narrative technique stream of consciousness in each of her fiction works. Her novels
represent the mind’s experience. Her characters speak about their inner experiences.
Mrs. Dalloway, the protagonist, recapitulates the time-scheme of one day in the life
of an MP’s wife. She is talking about a party that is to take place at night when an
old friend whom she loved once has just arrived from India. The novel describes
only what her conscious follows whether it is past or the present. The narrative looks
incoherent and not so comprehensive though it is stylized particularly to display the
stream of consciousness technique. In her latter novels, there is a message
interwoven as in To the Lighthouse, a place on an island where the family of Mrs.
Ramsay and a few close acquaintances arrive to celebrate holiday. This method of
capturing the unconscious and conscious is quite improved here because it seems to
relate itself to the plot in a harmonious manner. She has the gift of moral which Joyce
lacked. His other prominent works are Between the Acts, The Waves, and
Orlando. The Waves is called her most articulate exercise of all the artistic
potentialities. Her novels show an experimentalist’s way of expression with a new
style and for this she is regarded amongst the most prominent and influential writers
of the modern age.
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1. Who is also known as the father of the modern English novel?

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2. What is the sentimental novel?

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3.4 SUMMARY
x The novel as a genre in comparison to other literary forms such as epic,

drama, poetry, prose, etc., is of relatively recent origin.
x A study of the growth of English literature reveals that the novel as a literary
form gained ascendency around the turn of the seventeenth century.
x The nineteenth century was a great age of English novel. This was to some
extent because this essentially middle class form of literary art was bound to
flourish increasingly.
x Hardy criticizes certain social constraints that hindered the lives of those
living in the 19th century.
x As a prolific prose writer and journalist, Daniel Defoe (1607–1731)
contributed with Robinson Crusoe (1719), Moll Flanders and Roxana to
the early eighteenth century English novels.
x Fielding is one of the most well-known figures of English letters. He was a
great explorer of human nature and had wide experience of life.
x Fielding is a pioneer of realism in English literature. In fact, the English novel
was born out of the characteristic of realism.
x Fielding is known for strong plot narrative. Tom Jones, Joseph Andrews,
Amelia, and Jonathan Wilde are all great examples of good plot-
construction.
96
x Between the changes of the strict classical and realistic depiction of society
in novels of the eighteenth century and the nineteenth century where new
liberties were taken regarding this form of art, we have the Gothic novel.
x The historical novel is that which uses setting or background from the true
history of a period and attempts to convey the spirit, manners, social,
economic and political conditions of that age.
x In the history of England, Miss Austen has a great place as a novelist and
critic of life whose accuracy about details is rare.
x A social novel of purpose deals with a social problem and propagates a
message. It is related closely with social criticism.
x A realistic novel attempts to portray in fiction the effects of realism. They
describe complex characters having more than one motive representing a
certain social class who manage their society.
x In the novel of ideas, plot is subordinate to the philosophy of life. William
Makepeace Thackeray (1811–1863) is an excellent observer of this mode
of expression.
x The Victorian Age gave numerous profound and scholarly geniuses and
trends of fiction writing to the English literature. One of those is the group
of novelists who based their novels on nature and its guidance.
x The psychological novel is the product of modern outlook chiefly explored
by the Georgians —Aldous Huxley, D.H Lawrence, Virginia Woolf and James
Joyce.
3.5 KEY WORDS
x Picaresque: Picaresque as a term means relating to an episodic style of fiction

dealing with the adventures of a rough and dishonest, but appealing hero.
x Realism: Realism was an artistic movement that began in France in the
1850s, after the 1848 Revolution. Realists rejected Romanticism, which
had dominated French literature and art since the late 18th century.
x Gothic novel: It is an English genre of fiction popular in the 18th to early
19th centuries, characterized by an atmosphere of mystery and horror and
having a pseudo-medieval setting.
x Fiction: Fiction is the classification for any story, or element of a story,
derived from imagination and not based strictly on history or fact.
97

1. The Pilgrim’s Progress was published in 1678.
2. A novel is a fictitious prose narrative of book length, typically representing
characters and action with some degree of realism.
1. Henry Fielding is also known as the father of the modern English novel.
2. The sentimental novel is characterized as novel of character or
psychological novel.
1. Write a short note on the novel of realism.

2. Discuss the prose writing style in Hardy’s novels.
3. What were the features of the sentimental novel?
4. Who were the main proponents of the sentimental novels and what were
their representative works?
5. Write short notes on: Novel of Purpose and Novel and Realism.
Sanders, Andrew. 2004. Short Oxford History of English Literature, Oxford

University Press, London.
Deacon, Terrence W. 1997. The Origin of Language, Penguin Publications,
London.
Courthope, William John. 1904. A History of English Poetry, Macmillan and
Company, California.
Beum, Robert and Shapiro, Karl. 2006. The Prosody Handbook: A Guide to
Poetic Form, Dover Publications, London.
98
E-mail Writing
UNIT–4 E-MAIL WRITING
Objectives
x Explain the art of e-mail writing
x Identify the techniques for writing an e-mail
x Discuss the steps to be considered while sending an e-mail message
Structure
4.1 Introduction
4.2 E-mails: Art of Mailing Right
4.3 Writing an E-mail Message
4.4 Summary
4.5 Key Words
4.1 INTRODUCTION
E-mails, as they are popularly called, are messages that are composed, transmitted
and usually read on the computer screens. They have virtually replaced the
traditional letters and are perhaps soon going to replace the telephone as the
preferred means of communication. In fact, e-mails have become so popular that
there is a substantial increase in the amount of information we are flooded with
through this medium. In this unit, you will learn the proper techniques of writing an
e-mail.
4.2 E-MAILS: ART OF MAILING RIGHT
Due to their speed and cost benefit, e-mails are virtually sent without giving much
thought to the urgency of the message and the quality of the written communication
which at times creates problems.
x E-mails are different from traditional forms of written business
communication like letters.
x E-mails are extensively preferred for their speed and broadcasting power.
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E-mail Writing
x Their quick turnaround time makes them a preferred means of

communication in today’s jet age.
x The quick turnaround time also makes it more ‘conversational’ than paper.
x This conversational aspect also makes it less formal than the traditional
letters even in business related E-mails.
x In fact, people generally do not follow netiquettes—an informal code of
conduct or set of rules that E-mail users are expected to follow while
sending messages on the Internet.
x E-mail language also tends to be informal and one needs to keep in mind
the language one uses while sending out mails to superiors.
x Difference in hardware and software between the sender and the receiver
can result in the mail looking very different from how it was sent.
x In composing E-mails, one needs to keep in mind the subject lines, page
layout, emphasis, status, language and attachments.
x You should ensure that you write brief descriptive subject lines for your messages
as people often choose to open or ignore mails after reading the subject lines. It
should, therefore, give a clear idea of the content of the message.
x Avoid sending messages with the subject line blank.
x Restrict the paragraph length of your mails to two-three sentences.
x Unnecessary marking of CC should also be avoided.
x All capital letters are perceived as shouting and the excessive use of the
uppercase is considered bad netiquette.
x E-mails need to be specifically checked for grammatical mistakes as many
people feel offended if they receive mails that are full of errors.
x E-mails are a permanent record of what one has written and can easily be
forwarded to other people. Therefore, one has to be extremely cautious
about what and how one is writing.
x Another major advantage of E-mails is the ease at which different types of
files (Word, Excel, JPEG, etc.) can be attached.
x Check if it is all right to send very heavy files before you actually go about
sending them as they take long to download and use a lot of disk space.
x While forwarding messages, put a couple of comments on top of the
message.
x Overuse of acronyms should be avoided.
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E-mail Writing
1. Mention two advantages of e-mail writing.

................................................................................................................
................................................................................................................
................................................................................................................
2. State any two essentials steps to be followed while writing an e-mail.

................................................................................................................
................................................................................................................
................................................................................................................
4.3 WRITING AN E-MAIL MESSAGE
As mentioned earlier, E-mail account can be accessed by logging on to e-mail

account. To write an E-mail, you need to perform the following steps:
The Compose option on the left hand side of the screen enables you to write an
E-mail message. Attachments can also be appended along with the E-mail messages
wherever they are required. On selection of the compose option, a screen will
appear. The following steps are to be followed for writing and sending an E-mail
message:
x To: It is a field in which the valid E-mail address of the recipient like User
ID@domain.com is typed in, so that the message can be delivered
correctly. In case of multiple recipients, E-mail address of each recipient is
typed in the same box separated by comas.
x Cc: It signifies the E-mail address/(s) of the recipient/(s) to whom a carbon
copy of the message is to be transmitted. The recipient/(s) specified in To
field also receives the E-mail address/(s) of the recipients in their messages
indicating that E-mail address/(s) in the Cc field also receive/(s) the same
message.
x Bcc: It denotes the E-mail address/(s) of the recipient/(s) to whom a copy
of the message is transmitted. However, in this case, the recipient/(s) in
both To and Cc field remain oblivious of the other E-mail addresses, to
which the message is sent. Bcc stands for blind carbon copy.
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E-mail Writing
x Subject: This box enables the sender to write the subject of the message,
so that recipient/(s) on receiving the message, could have a clear idea of
what the E-mail message is about.
x Message box: It is the field in which you type your message which is to
be transmitted.
An attachment can also be appended to the E-mail message before sending it.
There exists an Attachment button within the compose mail box. On clicking on the
Attachment button, you are asked to provide the location of the desired file to be
attached. You then click on the Browse button which enables you to select the
desired file from your computer. Finally, clicking on the Attach or OK button
attaches the document along with your E-mail message.
Your message with or without attachment is now ready to be transmitted. Now, you
need to follow the following steps:
1. If you want to postpone transmitting of your message, you have another
option called Draft in which you can save your message to be transmitted
later. The message saved in the Draft can also be modified before
transmission. The Draft webpage provides you a Send button. On clicking
on it, your message is transmitted and a copy of the message is saved in
your Sent mailbox, provided the send and save option has been set.
2. If you do not want to postpone the transmission of your message, then just
click on the Send button. On clicking on it, your message will be
transmitted and a copy of the message will be saved in your Sent mailbox.
Making, Accepting and Turning Down Offers

In this section, we will discuss the following:
Making Offers
Of late, E-mail facility has been used commonly for correspondence by businesses
and various organizations to make offers. Offers could be regarding jobs or
products.
A job offer on E-mail is usually a precursor to the formal letter of offer on the
company’s letterhead. Such an offer E-mail should contain details like the job title,
date when the employment will start, probation period if any, the terms of offer and
the action required (in terms of furnishing additional information, qualification proofs
or other documents).
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E-mail Writing
The E-mail should state that the formal letter of offer would be handed over to
the concerned candidate (on a specified date) when he/she gives a positive response.
The concerned employer may even scan the hard copy of the offer letter on the
company’s letterhead and send it as an attachment.
Accepting Offers
If the offer letter comes via E-mail, you will be expected to send an acceptance via
E-mail itself. Even if the offer letter has come to you in hard copy, it will be a good
idea to send an E-mail to confirm receipt of the written form of the job offer and
also to inform that you have signed it and sent it back. This serves the purpose of
informing the employer that the process of employment is moving in the right
direction or is making progress.
Here is a sample E-mail accepting a job offer.
Dear Mr Sharma,
I received your formal job offer earlier today. I have carefully gone through the
mail and am sending you this mail as acceptance of the same.
I thank you for giving me this wonderful opportunity and look forward to joining
A-One Ltd. on 26 November 2008.
Please let me know if you need any other information from my end or if there is any
paperwork to be completed.
Regards
Anita Nayar
9818853006
a.nayar@gmail.com
Declining Offers
Offers may not always be accepted. If you have to decline a job offer, make sure
you do it gracefully. This helps to maintain good relations with the company which
will be of use to you in your professional career.
The letter should not be too long. You should also ensure that no negative
statement against the organization or the post is made in the letter. It is not necessary
for you to focus on or explain why you have declined. If you have another offer in
hand, you could mention it, but even that is not really necessary. All you need to do
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E-mail Writing
is thank the sender for the offer and for their effort and decline the offer in a formal
manner.
Here is a sample:
Dear Mr Sharma,
Thank you very much for offering the position of Executive Assistant with
A-One Ltd. While I am quite sure that the position at A-One offers a lot to a
prospective employee, I happen to have another offer in hand that matches my
profile better. Therefore, after much thought, I have decided to decline this offer.
I thank you for your time and effort and wish you and your company well.
Yours sincerely
Meera M.
Placing Orders
While placing orders via E-mail, care has to be taken about including all relevant
details. Details regarding the product or service required should be stated clearly.
The quantity and quality should be specified too. Here are a couple of examples of
orders being placed via E-mail.
Dear Ms Sharma,
I have gone through the catalogue on your website and would like to order the
following books via COD.
The details of the titles I require are as follows:
1. Lessons on Cartooning by Kevin Ken (ABC Publishing House)
2. Cartooning with A. Nayar (XYZ Publishing Company)
3. How to Draw Cartoons (A-One Publishing Ltd)
You are requested to ship them to the address mentioned below. Kindly let me
know by when the parcel would arrive.
Regards
Meera M.
A-32, Sector 5, Noida
Mobile no. 9817742005
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E-mail Writing
Most online shopping sites provide a form wherein all details regarding the
requirement can be filled. Such forms contain fields for providing information about
the payment mode, shipping process/details, expected date of delivery, etc., which
make it very convenient for the customer to place his order.
Responses
If you, as a candidate, are contacted by the employer on E-mail, it is alright for
you to respond via E-mail itself because it is quite an accepted norm nowadays.
Just make sure that you read the mail carefully and follow the instructions given. If
there is certain information that you have been asked to provide or certain
clarifications that have been sought; and the same is stated in the form of a
bulleted list, make sure that you respond to each of those points in a similar list
and in the same order.
Sometimes, the sender of the E-mail wants you to actually send a response to
somebody else. The Assistant Human Resource Manager of A-One Ltd, for
example, may send you an offer letter as an attachment (usually a scanned copy of
the offer on the company’s letter head) and instruct you in the mail to send your
acceptance to the Sr. Human Resource Manager. Therefore, don’t be in a hurry to
dash off a reply. Read the mail carefully and respond to the E-mail address that you
have been asked to respond to.
Responding to a forwarded mail requires time. If the mail has been forwarded
many times, it will take a while for you to understand or interpret the message and
the reactions by going through the trail mail. Don’t just respond to the sender of the
mail. Go through the other mails and respond to the right person.
While responding to E-mails, ensure that the subject of the mail remains the
same. It is also advisable to retain the content of the previous mail. This will
save the receiver the trouble of checking his old mails to understand what you are
replying to.
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E-mail Writing
Let us now look at a sample E-mail and a response to the same.
From: Anita Nayar

To: Rahul S.
Sent: Monday, 30 April, 2008 12:25 PM
Subject: Résumés for suitable position
Attachments: Résumé1.doc; Résumé 2.doc
Hello Rahul,
I am enclosing two résumés that were forwarded to me by some friends. Please
take a look and call them for an interview if you find them suitable.
Regards
Anita
From: Rahul S[srahul@aone.com]

Sent: Mon 4/30/2008 12:50
To: a.nayar@aone.com
CC: Virendra Singh
Subject: Re: Résumés for suitable positions
Anita, thanks for the résumés.

Virendra, please call them for an interview if they are found suitable for any of the
vacancies we have currently. We need one secretary, one admin. assistant and
one receptionist.
Thanks,
Rahul
Conveying Regrets
Mails conveying regret can be written to job seekers who cannot be absorbed by
the organization for some reason or other; they can be written to express regret at
the inconvenience caused to customers who have complained about a particular
service or product; letters can be written by organizations regretting some slip on
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E-mail Writing
their part such as a magazine failing to send a particular issue to a subscriber, and
so on.
Here is a sample mail written to a hopeful candidate by an organization regretting
their inability to appoint him/her.
Dear Ms Anita,
On behalf of the hiring team, I want to thank you for your interest in joining A-One
Ltd. However, we would be unable to employ you right away.
All the same, we would like to inform you that we are quite impressed by your
qualifications and experience and have placed your name at the top of the eligibility
list of ten candidates that we have prepared for similar vacancies. We will definitely
inform you if a vacancy comes up in any of our branches in the next couple of
months. If you wish to have your name deleted from this eligibility list for any
reasons, please let us know at the earliest.
You could also check our website www.aoneltd.com regularly for information on
vacancies.
Thanking you for your cooperation,
Yours sincerely,
Rohit Mehta
Sr. Manager HRM
011-2222678
Sending Firm Reminders

In any business organization, the need for sending reminder letters crops up quite
often. The credit collection department may have to send letters to customers to
remind them of pending payments, customers may have to be reminded about
renewing their annual maintenance contracts, and so on. Reminder letters may have
to be sent internally to employees of an organization. The human resource
department, for instance, may have to send reminder letters to employees regarding
documents to be submitted by them, a senior manager may write to an executive
reminding him about a pending report, team leaders may write reminder letters to to
their team members about various tasks and their deadlines.
When a reminder is sent for the first time, it is not difficult to compose the letter
as it would be like any other letter. It would be in the form of a request. However,
when the reminder has to be sent a second time, it would have to be crisp and firm.
The idea is to sound polite and at the same time strict and firm. While writing to a
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E-mail Writing
customer, a reminder letter has to be worded very cautiously. However, use of E-

mail is rare when it comes to writing to customers.
You have to get the customer to take you seriously and also respond positively.
At the same time, you cannot afford to offend or make the customer angry. Any foul
or offensive language can lead to the loss of a valuable customer.
E-mail reminders are most commonly used within organizations. Let us now look
at the points that you should keep in mind while writing reminder letters.
(i) Your letter should sound confident and authoritative so that the letter is
seriously read and not ignored at any cost by the receiver or addressee.
The idea is to ‘remind’ and not sound like a nag.
(ii) Your instructions should be clear. The readers should know and understand
exactly what he/she is required to do.
(iii) The mail should have a tone of urgency.
(iv) If it is a reminder for late payment or pending payment, let the reader know
what the consequences of late or non-payment will be in a simple manner
without using legal language.
(v) Reminders sent to a customer or external entity should contain all contact
details of the sender. The E-mail address will go to the receiver
automatically, but it would be a good idea to send the phone numbers as
well as the complete postal address.
(vi) Attach all relevant documents with the reminder mail so that the receiver
knows what is being referred to. In case of payments, a copy of the original
bill can be attached.
(vii) In case of a third reminder, you can afford to be less polite. Get to the
topic directly and state the consequences of ignoring the mail. Bring more
urgency into your tone.
Sometimes, you may send a reminder to a person who may have already
responded to your earlier reminder or done the needful. In such situations, the mail
should contain a request to ignore the contents if the addressee has already sent the
payment or done the needful.
If you find that the addressee has taken the appropriate action after you have
sent off the mail, ensure that you send an apology without a delay requesting the
addressee to ignore the mail and thanking him for his response or action.
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E-mail Writing
Acknowledging Receipt
It is very important to acknowledge receipt of any mail that you receive, whether in
the written form or in the electronic form. Acknowledgements are especially
significant in the service industry where customer service is of utmost importance.
Similarly, you should acknowledge the receipt of a job offer or an interview call.
It is always courteous to send a receipt of acknowledgement to a friend on E-mail
on receiving a gift, or an invitation to a wedding or birthday party. Within an
organization, acknowledgement of receipt is sent on receiving the agenda for an
important meeting, on being informed of the last date for submitting certain
documents, etc.
1. What parameters should be considered while declining offers?

................................................................................................................
................................................................................................................
................................................................................................................
2. What points should be considered while writing reminder letters?

................................................................................................................
................................................................................................................
................................................................................................................
4.4 SUMMARY
x E-mails, as they are popularly called, are messages that are composed,
transmitted and usually read on the computer screens.
x Due to their speed and cost benefit, emails are virtually sent without giving
much thought to the urgency of the message and the quality of the written
communication which at times creates problems.
x E-mail language also tends to be informal and one needs to keep in mind
the language one uses while sending out mails to superiors.
x E-mails are a permanent record of what one has written and can easily be
forwarded to other people. Therefore, one has to be extremely cautious
about what and how one is writing.
109
E-mail Writing
x Of late, email facility has been used commonly for correspondence by

businesses and various organizations to make offers. Offers could be
regarding jobs or products.
x If the offer letter comes via email, you will be expected to send an
acceptance via email itself.
x Offers may not always be accepted. If you have to decline a job offer,
make sure you do it gracefully. This helps to maintain good relations with
the company which will be of use to you in your professional career.
x While placing orders via email, care has to be taken about including all
relevant details. Details regarding the product or service required should be
stated clearly.
x Responding to a forwarded mail requires time. If the mail has been
forwarded many times, it will take a while for you to understand or
interpret the message and the reactions by going through the trail mail.
x In any business organization, the need for sending reminder letters crops up
quite often.
x When a reminder is sent for the first time, it is not difficult to compose the
letter as it would be like any other letter.
x In case of a third reminder, you can afford to be less polite. Get to the
topic directly and state the consequences of ignoring the mail. Bring more
urgency into your tone.
x It is very important to acknowledge receipt of any mail that you receive,
whether in the written form or in the electronic form.
4.5 KEY WORDS
x Netiquette: Netiquette is a combination of the words network and

etiquette, and is defined as a set of rules for acceptable online behaviour.
x Acronym: An acronym is a word or name formed as an abbreviation from
the initial components in a phrase or a word, usually individual letters (as in
NATO or laser) and sometimes syllables (as in Benelux).
x E-mail: E-mail (electronic mail) is the exchange of computer-stored
messages by telecommunication.
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E-mail Writing

1. The following are the two advantages of e-mail writing:
x E-mails are extensively preferred for their speed and broadcasting
power.
x Another major advantage of emails is the ease at which different types
of files (Word, Excel, Jpeg, etc.) can be attached.
2. The two essential steps to be followed while writing an e-mail are as
follows:
x Avoid sending messages with the subject line blank.
x Unnecessary marking of CC should also be avoided.

1. The following parameters should be considered while declining offers:
x The letter should not be too long.
x You should also ensure that no negative statement against the
organization or the post is made in the letter.
2. The points that should be considered while writing reminder letters are as
follows:
x Your instructions should be clear. The readers should know and
understand exactly what he/she is required to do.
x The mail should have a tone of urgency.
x Reminders sent to a customer or external entity should contain all
contact details of the sender.
1. Write an e-mail to inform a client that his complaint regarding machine

malfunction has been received.
2. Explain the concept of electronic mail.
3. Why are e-mails preferred over the traditional means of communication.
Give reasons for your answer.
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E-mail Writing
4. What in your opinion are the problems associated with writing an e-mail?
5. List the etiquettes of e-mail writing.
Madhukar, R. K. 2010. Business Communication. New Delhi: Vikas Publishing

House.
Rai, U. S., S. M. Rai. 1989. Business Communication. New Delhi: Himalaya
Publishing House.
Rayudu, C. S. 2010. Communication. New Delhi: Himalaya Publishing House.
Ray, Reuben.1997. Communication Today. New Delhi: Himalaya Publishing
House.
112
Writing and Reporting
Interviews
UNIT–5 WRITING AND REPORTING INTERVIEWS
Objectives
x Identify different types of interviews
x Mention the techniques of appearing for an interview
x List the essential guidelines for conducting an interview
Structure
5.1 Introduction
5.2 Types of Interviews
5.3 Appearing for an Interview
5.4 Conducting an Interview
5.5 Summary
5.6 Key Words
5.1 INTRODUCTION
Interviews are yet another significant facet of social and business communication.
Interviews relate to a meeting, often formal, where information-gathering and
assessment takes place. There are two parties to any interview—the interviewer and
the interviewee. The interviewer elicits information with an aim to make an
assessment of the interviewee through the process. The objective of an interview, in
its broader sense, is to gather details and elicit relevant information, and thereafter
make an appraisal or evaluation about the suitability of the candidate for the offer or
position available.
The Oxford Advanced Learner’s Dictionary provides the following different
descriptions of an interview:
x A formal meeting at which the candidate is asked questions to see if he/she
is suitable for a particular job, or a course of study of a college, university,
etc.
x A job interview, or an admission interview.
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Interviews
x A meeting (often a public one) in which a journalist asks somebody

questions in order to find out the person’s opinions.
x A television interview, a radio interview and a newspaper interview.
x To give an interview is to agree to answer questions.
x A private meeting between people where questions are asked and
answered.
x An interview with the career adviser.
x The police waiting to interview an injured man.
x To ask somebody about their life, opinions, etc., especially on the radio or
television or for a newspaper or magazine.
Together, these descriptions present a variety of interviews. Interviews have
become an integral part of social and business life. Be it for a playschool, where
parents seek admission for their child, to corporate interviews, their importance
cannot be undermined. These interviews may be public or private, formal or
informal, social or business, personal or telephonic, and career-related or otherwise.
Interviews are always goal-oriented. The need for an interview arises because
there is a choice due to competition, and because there are limited vacancies for a
large number of aspirants. The purpose of the interview is to assess suitability and
make a selection and get the most suitable candidate. In this unit, you will be able to
identify various types of interviews. This unit will also discuss the method for
conducting an interview.
5.2 TYPES OF INTERVIEWS
In social and business life, there are various types of interviews. The interviewees
stand to gain and benefit when they put up their best during the interview. It is
therefore, expected that the candidate for the interview shows a high level of
keenness to face and do well in the interview. This should translate into reaching on
time, being presentable, good listening, sincere communication and proper body
language on the part of the interviewee. It is also expected that the interviewer does
the utmost to make the interviewee comfortable, and the process of the interview
pleasant, whatever be the outcome. The job interview, although a powerful factor in
the employee selection process in most organizations, may not deserve all the
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Interviews
attention it receives. Other background checking and work history references

provide the much needed factual information, to make hiring decisions. Nonetheless,
the job interview remains a key to assessing the candidate’s cultural fit and to
effectively selecting the people who best fit organizational needs. To do this,
interview process, questions, and exchanges must be legal, ethical, and must never
offer assurances that potential staff can interpret as promises.
The telephone interview or candidate screen allows the employer to determine if
the candidate’s qualifications, experience, workplace preferences and salary needs
are congruent with the position and organization. The telephone interview saves
managerial time and eliminates unlikely candidates. Recruiting the ‘right’ employees
is a lengthy process that can include a candidate returning to the company to
interview five to six times. Sometimes a candidate may participate in upto 20
interviews for the same position.
Behavioural interviews are the best tool to identify candidates who have the
behavioural traits and characteristics essential for the position open. To make it to an
interview, a candidate has already passed a review of his resume, cover letter, a
comparison against all of the other current candidates applying, and possibly, a
telephone screening. It is a meeting that could be the beginning of a great opportunity
or the end of the employment road. The ability of candidates to handle an interview
could enable them to stand out from their competition.
1. What is the purpose of an interview?

................................................................................................................
................................................................................................................
................................................................................................................
2. What is the importance of telephonic interview?

................................................................................................................
................................................................................................................
................................................................................................................
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Interviews
5.3 APPEARING FOR AN INTERVIEW
Since, choosing the right career is very important for every individual, conscious
efforts have to be made in every aspect of the job-seeking effort cited above. The
final selection would be a culmination of all these efforts. A good resume, strong
testimonials, appropriate references and effective participation at group discussions
together facilitate a high level of confidence as the candidate faces an interview for a
job. Interviewers are normally provided with the bio-data, testimonials, references
and a brief report on their performance in the group discussion as reference material
for the interview. Any extra care the candidate takes in these areas would certainly
provide that welcome edge in facing the interview panel. Job interviews constitute
the last leg of the career selection process for any candidate.
Kinds of Interviewers
It would be advantageous for the interviewee to understand the types of interviews
he may face. Every interview has a human dimension. Like the interviewee, a person
on the opposite side is an individual and, as such, it would be desirable to be
informed about various kinds of interviewers. Some focus on positives, some on
negatives. Some are easily satisfied, some are much more demanding. Some look
for concepts and theories, some are more into specifics. Some focus on knowledge,
some on ignorance. Some lead you to the right answers, some into traps. Some are
soft, some are bullies. The interviewee has to be conscious of the many faces of an
interviewer. One should learn to make a quick assessment and be prepared to deal
with each type. Every candidate facing an interview should learn to understand and
evaluate the kind of person the interviewer is and respond appropriately. It would be
unrealistic for candidates to always expect an interviewer who makes it easy for the
interviewee to give one’s best. The real challenge for any candidate is to face a very
tough interview panel and emerge successful.
Given the significance of performing at one’s best at the interview, the
preparation has to start well in advance and should cover many areas. The
knowledge-related and subject-specific inputs apart, success in the interview calls
for a positive orientation, high level of self-confidence, active listening, effective
communication, pleasing disposition, noticeable interpersonal skills and the right
temperament. The following are the various aspects that candidates need to pay
keen attention prior to, during and after the interview:
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x Prior to an interview
(i) Do your homework
Preparation for an interview starts with trying to learn about the organizations
business, track record, strengths and weaknesses, hierarchical structure, values and
future plans. Then comes details about the job on offer—how many vacancies there
are, place of posting, the remuneration package, the work culture, the job
description and attributes sought, and so on.
Preparing for an interview is important for an applicant’s success. Before an
interview, candidates should always do a thorough research into the company whose
representatives they will be meeting with. Knowing the company’s approach to
business could guide an interviewee to properly approach many of the basic
questions a recruiter may ask.
The employer’s website is a good source to gain insight into a company’s culture
and environment. Candidates need to pay particular attention to the mission
statement and what’s important to those in charge. This information will help
applicants determine if an employer is a good fit for them.
Having questions prepared to ask the interviewer is another important strategy.
The questions must be well thought out and relevant to the position. Questions
regarding company culture or the recruiter’s personal experiences with the employer
may be prepared beforehand. Preparing answers to commonly asked questions may
also enable the interviewee to ensure a smooth meeting. There are quite a few
resources out there to help a candidate navigate this task.
Candidates need to be attentive and maintain eye contact. Candidates should
sell themselves and their skills. Even if those skills are not exact, applicants can
match what skills they have with the company’s needs—all it takes is a creative
mindset, and showing the recruiter that they can handle the job.
Responding to questions about a former employer, where the separation was not
amicable, can be difficult. A mistake that is often made is for the applicant to bad
mouth the employer or managers, hoping to gain a sympathetic ear. No matter how
a work relationship is severed, candidates must never display the negative situation
for the recruiter to see. There are ways to disclose the information needed without
anger. This can illustrate a candidate’s professionalism and ability to handle tense
situations.
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Though interviewing can seem like an intense and intimidating experience, by

putting in the effort and preparation needed a candidate can ensure a smooth and
successful process.
Suitability for the job is very essential. In essence, the interview panel would be
looking for candidates who match the job profile. Relevant details about the
organization and the job on offer must be collected. The job profile must fit the
candidates’ aspirations. If yes, preparations in right earnest should start. If not, the
candidate should not waste his or the interview time.
(ii) Anticipate questions
After learning whatever one can about the organization and the job, a candidate
must get ready to face the interviewers’ questions. An applicant should put
themselves in the interviewer’s shoes and try to anticipate questions. Questions will
be of different types. They may be general or specific. They may be personal or
professional. They may be knowledge-oriented or attitude-oriented. They may be
easy or tough. They could even be tricky and provocative. The questions may cover
the details a candidate has mentioned in his application and resume. Think of all the
likely questions and the right way of answering them. Some typical questions are as
follows:
x What would you like to say about yourself?
x Why do you consider yourself suitable for this job?
x Why are you leaving your present job?
x Why have you changed so many jobs?
x What kind of a career are you seeking?
x What will you do if you get a better offer?
x What are your strengths and weaknesses?
x Are you prepared to work in any place?
x Given your qualifications and experience, should you not be looking for a
higher level position?
x Why are you not seeking a job in line with the subjects you have studied?
x In which extracurricular activities have you excelled?
x What significant contribution have you made in your previous jobs?
x Why should we prefer you over somebody who has more experience?
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x How well can you work as a member of a team?

x Why have you been without a job for so long?
x What kind of books do you read, music you like and what is your favourite
pastime?
x What do you know about our organization?
Depending on the type of organization and nature and level of position you are
seeking, the questions can get more penetrating. The questions would normally
cover your: (a) academic qualifications, (b) work experience, (c) extracurricular
activities, (d) personal contribution, (e) subject knowledge, (f) general business
awareness, (g) management concepts, (h) health and fitness and (i) ability to cope
with higher responsibilities and stress.
Remember, while it is helpful to anticipate the probable questions and prepare
the answers, it is prudent to be in readiness to face unanticipated questions too.
(iii) Do not get worked up
It is very necessary that the candidate keeps cool when getting ready to face the
interview. While some legitimate concerns are perhaps unavoidable, considering
what is at stake, getting unduly worked up should be consciously avoided. This is
true of all important interviews, be they job interviews, promotion interviews or
assignment selection interviews. Too much tension and edginess starts showing up
and gives a wrong message to the interviewer. The candidate should not get unduly
worried about the type of preparations made by other competitors. Similarly, the
candidate should not get tense about areas which have not been covered during his
preparation. If one is composed and in control of himself, he will think of the right
reply. The candidate should try to be at ease with himself. It helps applicants
become more attentive, listen well and organize their thoughts better as they face the
panel.
(iv) Reach on time
Reach well on time for the interview. This is an obvious, yet very essential
requirement. It gives an applicant sufficient time to find the exact venue, get used to
the ambience and be comfortable. Arriving late for the interview may lead to guilt
feelings and put him at a disadvantage, besides creating an unfavourable impression
on the interviewer. If the place of interview is in a city/area with which the candidate
is not very familiar, he must make sure to either visit the place earlier or start
sufficiently early.
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(v) Physical appearance

Any interview is much more than a question and answer session. For the candidate,
it is actually the challenge of marketing oneself. Given this reality, the overall
impression a candidate makes on the interview panel assumes significance. The
candidate makes the first impression on presentation of oneself. It is very necessary,
therefore, that the candidate dresses well for the occasion. Being well-dressed for
the interview gives the message that one is keen on creating the right impression.
Although, what dress is appropriate for a particular interview may depend on the
nature of the organization, category of a post, the climate and such other factors, it
is very essential that the appearance is not casual.
There is one more reason why a candidate should dress well for an interview,
i.e., on account of the level of confidence it generates for the candidate. It is
important to be self-confident. It is always desirable to avoid the feeling of being
under-dressed for such an occasion. If the candidate is not comfortable and at ease
with a suit or a tie, they must get used to it by practising it well in advance. At the
same time, it should not deter him from putting his best foot forward.
x During an interview
(i) Appropriate body language
Looks apart, there are several dimensions to body language. The candidate for the
interview should be conscious of them. Erect posture, alert look, firm handshake, not
looking nervous, a confidant and clear voice, and appropriate eye-contact help
create the right impression. Slouching, drooping, sitting with a hunchback, fidgeting,
blinking and shaking the legs create a negative impression. More than anything else,
it is important to wear a smile. A smile projects as well as reinforces confidence.
(ii) Build a rapport
It is important to build a rapport with the interviewer or the members of the
interview panel. This is done by looking confident, smiling, greeting and a firm
handshake not just with the chairman of the interview panel, but with the other
members as well. A candidate must establish eye-contact with and reply to the
person who asked a question. He should be conscious of his mannerisms. He must
refrain from making statements such as ‘you have got me wrong’, ‘you have not
understood me’, ‘what you are saying is not correct’, ‘it is impertinent’ and the like.
The applicant should not look either grim or casual. Also, he should not interrupt
when the interviewers are speaking to each other.
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(iii) Understand the question

The candidate should make sure that he has understood the question. This is possible
when he is attentive. Active listening is very essential. The candidate should let the
interviewer complete the question. If the interviewee does not interrupt, there is a
possibility that the interviewer will give him some hints of what he/she is driving at.
However, after the question has been put forth, if the candidate is not clear about it,
he should feel free to seek a clarification. In doing so, he must be polite. He should
state what he has understood and seek a confirmation. For example, ‘Sir, as I
understand, you want me to...’
(iv) Think before answering
It is essential that an interviewee quickly organizes his thoughts and gives earnest
replies. He should state whatever he knows with confidence and must give correct
facts and figures. It is advisable that he not only brings out his knowledge or depth
of understanding of the subject, but also his attitude and concerns. He should use
bright, sharp and appropriate words that are relevant to the discipline or profession.
An applicant must be assertive but should also avoid extreme positions. There are
some questions where it is possible to hold different views; this implies that a very
rigid, ‘Anything else is incorrect’ type of statement is to be avoided and a balance
should be maintained. The reply is required to be as brief or as long as the
interviewer expects. For this, a clue should be taken from the way the question is
worded. When questions are tricky, a candidate should take his time in organizing
his thoughts.
(v) Be sincere and truthful
It is important that an applicant answers what he knows for sure with confidence. He
should state it when he is doubtful and must admit that he does not know the answer,
if that is the position. If a candidate knows only a part of the answer, he should state
it in clear terms and if he is guessing the rest, he should state so. The interviewer
accepts that the candidate knows some and does not know some, but no
interviewer will accept deliberate lies. Credibility is very important. Some
interviewers even encourage a candidate to make false statements so that he talks
himself into a trap. An interviewee should be sincere and truthful.
(vi) Do not offend the interviewers
As an interviewee, one should conduct oneself in such a way that the interviewer is
not offended. Argumentation should be avoided. An interviewee must be assertive
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without being offensive. Even if he disagrees with the interviewer, or if he holds a

diametrically opposite point of view, he should bring it out as his experience or
understanding. He must never unnecessarily correct the interviewer’s observations
or challenge statements. He should always remember that he is not keen on winning
the argument if it means losing the job.
(vii) Do not brag
A person should not state his achievements, contributions and strong points, as and
when called for, but must keep it in perspective. Loud-mouthing, making pompous
or boastful statements should be avoided. Braggarts, or those who blow their own
trumpets, are not favoured with the interviewers. One must not overstate his
achievements. He should gracefully accept his shortcomings and weaknesses. A
candidate should state the efforts he is making to overcome them, if there is an
opportunity to do so. He must give due credit to the teamwork, favourable
circumstances and other such factors that have helped him perform well. Honest
self-assessment always carries a favourable impression. At the same time, an
applicant must not miss the right opportunity to mention his high points.
(viii) Avoid long pauses
An applicant should take his time to organize his thoughts and give his replies. All the
same, he should avoid long pauses. Long pauses lead to communication breakdown
and result in an awkward situation. A candidate must keep the conversation going.
Sometimes the panel members offer hints and tips which are helpful in collecting the
thoughts. A candidate should make the best use of such gestures. He should know
when and how to keep the conversation going from his side. For example, there are
some open-ended questions where the answer should be much more than a Yes and
No.
Obviously, in all such cases, the interviewer will be looking for some positive and
logical back-up statements rather than just a mere affirmation.
(ix) Grab opportunities
Interviewers generally follow a set pattern. They start with the candidate’s academic
and professional background before coming to job-specific and knowledge-
assessment questions. Quite often, the questions get progressively tougher. Every
candidate is very likely to get a mix of easy questions and tough questions. The
candidate should grab the opportunity and make it a point to score more on the easy
questions. Among the panel members too, some ask general questions while some
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others persevere and ask probing questions. The candidate should be alert enough
to take advantage of the opportunities as and when they show up. There may be
breaks in between on account of tea breaks, telephone calls and consultations
among the panel members. The candidate can make gainful use of such breaks to
review earlier replies and especially what was missed out. The candidate may
elaborate on the earlier replies and make such additional points as are to his or her
advantage when the interview resumes. An alert candidate makes it a point to grab
any such opportunity.
(x) Be aware of your body language
Looks apart, there are several dimensions to body language. The candidate for the
interview should be conscious of them. An erect posture, alert look, a firm
handshake, a confidant and clear voice, and an appropriate eye-contact help create
a good impression of the interviewee. Slouching, drooping, sitting with a hunchback,
fidgeting, blinking and shaking the legs create a negative impression. More than
anything else, it is important to wear a smile. A smile projects as well as reinforces
confidence.
(xi) Try to be distinctive
In an interview, any candidate is obviously competing with a host of other
candidates. All of them have been called for the interview after the usual process of
screening, which means that all of them meet the minimum eligibility criteria. Given
this reality, those candidates who are distinctive and try to stand out from the rest of
the candidates are more likely to be successful. Within the short span of time, they
try to make their presence felt. They leave behind an impression on the interview
panel members. This is done in many ways—noticeable appearance, depth of
understanding of the subject, confident conduct, quick responses, command over
language, positive attitude, optimistic approach and so on. In the ultimate analysis,
impressions do matter. Be conscious of the need to create the right impression.
(xii) Concluding the interview
A candidate has had his interview maybe for 10 minutes or 30 minutes or for
whatever time and it is time to conclude. The chairman of the interview panel, in
consultation with others suggests that the interview has come to an end. At that time,
sometimes, an interviewee may be asked, ‘Anything else you want to say’ or the
applicant himself may on his own venture to add, if the conditions are right,
something which he may not have had the opportunity to say. A candidate should
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make good use of any such opportunity. He should say something which puts him in
an advantageous position. If necessary, he should seek details about the organization
and the position without being too inquisitive. Anything that would suggest that a
candidate is interested. At the same time, a candidate should assess the mood. A
candidate should not say something that is likely to detract from the favourable
impression that he has created.
x After an interview
(i) Cope if matters are not in control
A candidate completes his interview, says ‘thank you’ to the chairman and other
members of the panel and walks out of the room. He may feel that he has performed
very well, reasonably well, not so well, or very badly. He does not have to advertise
and talk about how he has done to people waiting outside, especially if he feels that
he has not done well. For one thing, it is how he thought his interview was. Second,
what matters is relative performance—how a candidate fares vis-à-vis his
competitors. How a candidate really performs depends not only on his knowledge
and sense of preparedness, but also on a host of other factors over which a
candidate has no control. It may start with a delay. A candidate may not get the right
questions or adequate time. One of the interviewers may be hostile. It may start off
on a wrong note. By the time his chance comes, the interviewers may be fatigued.
Therefore, despite all his preparedness, it is likely that the delivery and the final
outcome during the interview is not the way he wanted it. A candidate should try to
get a realistic sense of his interview by evaluating the impression he made on the
following:
x Confident or nervous x Sharp or dull
x Positive or negative x Well informed or perfunctory
x Precise or vague x Relaxed or worked up
x Enthusiastic or lack-lustre x Truthful or insincere
x Quick or slow x Meticulous or careless
(ii) Remain calm
After the interview, while waiting for the results, a candidate should learn to keep the
anxiety level low. The outcome can be either way. Maybe they have done well, but
there might others who have done better. Maybe a candidate has done very well in
the interview, but there might be other requirements which he could not meet. There
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might be a few posts and many competitors. He should keep his sense of
equanimity.
Further, it is also desirable that no direct contact is made with the interviewer/
interview panel members to know the results. Not only are such requests generally
not entertained, but are also considered improper.
(iii) Do not blame yourself
In the event that an interviewee receives a regret letter, it may not be his fault that he
lost the opportunity. He should gather his spirits and strengthen his resolve.
Accepting rejection or failure, whatever be the reason, is an important trait for any
person seeking success in career and business. It helps build resilience or the ability
to cope with failure and spring back into further action. Those who know how to
cope with failure are more determined than before to seek success. Learn the right
lessons from the experience. In what ways can a candidate position himself better to
meet such challenges in future?
1. What are the essential guidelines to be followed prior to an interview?

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2. What points should candidates keep in mind during an interview?

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5.4 CONDUCTING AN INTERVIEW
A well-planned and well-conducted interview enables the interviewer to select the

best candidate for the open position. The interviewer is essentially trying to identify
and select the most suitable candidate for the post. The interviewer is trying to match
the job profile with that of the candidate. Will the candidate deliver the goods on the
job? Will the candidate measure up to expectations? Will the candidate find the job
exciting and stay on? Will the job measure up to the candidate’s expectations? If
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not, the entire exercise will become futile. Will the candidate quit after appointment?
Will the organization find the selected candidate not up to the mark on the job? Any
interview panel is always conscious of the time, effort and resources involved in
organizing the interviews and the consequent imperative of making them worthwhile.
As the candidate for interview, one should put oneself in the interviewer’s shoes
and try to assess what the organization is looking for. The interview panel normally
decides beforehand the various qualities or attributes appropriate for the job, and
the relative weightage for each of them. Depending on whether the job is that of a
generalist or a specialist, a line job or a managerial position, a customer contact job
or otherwise, the weightage to skills and qualifications sought would vary. Each
member of the interview panel would be provided with a score sheet where they will
note down the marks scored by each candidate during the interview under each
major parameter. While some interviewers would give numerical scores for each
parameter, others would settle for a gradation—A+, A, B+, B, etc. or qualitative
remarks—excellent, very good, good, satisfactory, poor, etc. Some relevant
parameters based on which the final selection of the candidate is made would
include: (a) academic qualifications (b) previous experience (c) attitude and
temperament (d) communication skills (e) inter-personal skills (f) subject knowledge
(g) general awareness (h) age (i) extracurricular activities (j) motivation and
(k) health and fitness. Apart from the Intelligence Quotient or IQ, Emotional Quotient
or EQ also assumes significance when the jobs carry high levels of stress and
responsibility.
Table 5.1 Interview Score Sheet Name of the candidate
A+ A B+ B C+ C
Appearance
Subject knowledge
Conceptual clarity
Logical thinking
Attitude
Motivation
Communication skills
Interpersonal qualities
General knowledge
Initiative
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Table 5.1 lists some of the more common qualities on which the evaluation takes
place in most interviews, there is bound to be some difference depending upon the
nature of the post and position in the hierarchy. All these parameters do not always
carry equal or identical weight. For example, in a marketing job, appearance and
communication skills are given higher weight. In a specialist or R&D job, subject
knowledge and conceptual clarity have greater weight. In positions of leadership,
inter-personal skills, communication skills and initiative are accorded higher weight.
Thus, so far we have looked at the process of an interview largely from the
interviewee’s perspective. Let us now move to the other side of the table and look
at the interview process from the interviewer’s perspective. Over a period of time,
the job-seeking interviewee gets a job, gains experience and moves up the career
ladder. The person then becomes a manager, an executive, a faculty member, an HR
functionary or a subject matter specialist, and gets an opportunity to be a part of the
interview panel and conduct interviews. Moving up still further in the hierarchy, on
attaining a senior-level position, he or she gets designated as the chairperson of the
interview committee. Conducting any interview efficaciously is a valuable skill for
any career-oriented person. Likewise, people who are good at interviewing are also
frequently called upon to serve as members of the interview panel.
The following guidelines should be kept in view while conducting an interview:
(i) Be well informed
The interviewer should be well informed about the organization, the nature of the
post, the number of vacancies, the number of candidates being interviewed and
other such relevant information that is essential for making the interview worthwhile.
In particular, the interviewer should be quite clear about the job requirements and
which traits are essential for carrying out the duties and responsibilities associated
with the post. The interviewer should also have a fair idea about the job market and
the demand-supply position.
(ii) Do your homework
By homework, what is meant in this context is the preparatory reading concerning
the assignment. It would mean reading the advertisement calling for applications in
order to know the relevant details. It would mean knowing what kind of screening
has already taken place before sending interview-call letters to the candidates. It
would also mean taking a quick look at the resume or bio-data of the candidates
being interviewed.
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(iii) Understand your role

If there is only one interviewer, the role is well-defined but if there is an interview
panel, or interview committee, then it is essential for every member to know what
their specific role is. If an interviewer is a subject specialist, his questions will be
confined, by and large, to his area of specialization. The chairperson and other
members will normally expect that particular interviewer to ask questions that will
bring out conceptual clarity, depth of understanding and technical competence of the
candidates. If that interviewer is the head of the department where the candidate, if
selected, will be posted, the interviewer will have to particularly assess the
candidate’s suitability to meet the specific job requirements.
(iv) Role of the chairperson
The chairperson of an interview panel has the overall responsibility of ensuring that
the interviews are time bound and result-oriented. The chairperson has to coordinate
the efforts of the other members on the panel. He has to maintain a balance so that
every candidate gets to answer an appropriate mix of questions. He has to take the
initiative and be in command of the situation. He has to talk to the other members of
the panel beforehand and arrive at a consensus regarding the modalities of
conducting an interview. He has to greet the candidates as they come in and help
them settle down. He also has to pass the baton to other members. He has to the
interview by intervening as and when desirable. At the end, it is the chairperson who
conveys to a candidate that the interview has concluded. After the interview, the
chairperson of the committee consults with colleagues and draws up the final list of
candidates based on their performance in the interview. The chairperson has to take
the responsibility for conducting interviews and finalizing the results thereof.
(v) Put them at ease
The interviewer has to put a candidate at ease before shooting off questions.
Candidates can be asked some preliminary personal questions that will help them
settle down and establish a wavelength with the interviewer/interview panel. If need
be, the interviewer should refer to the biodata and seek details and clarifications.
Any interview is an interactive process and can progress well when both the parties
are comfortable with each other.
(vi) Test knowledge, not ignorance
Interviewers should focus on testing the knowledge of a candidate, not the level of
ignorance. The knowledge level of any person can only be limited. In any interview,
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it is possible to ask questions that leave a candidate baffled and demoralized.

Questions must, however, be asked with a view to bring out the expanse of
understanding and depth of knowledge relevant to the job on offer. At the same time,
too many unrelated questions, especially when a candidate pleads ignorance, are
best avoided. One good way of testing knowledge is to make the questions
progressively tougher. Start with the easier ones and move on to searching
questions.
(vii) Supply of questions
Interviews comprise questions aimed at bringing forth the knowledge, understanding,
aptitude, preparedness, attitude and suitability of the candidates. In order to facilitate
asking relevant questions, the interviewer too should be equipped adequately. A
mental note should be made, or if need be a written list, of questions that would be
appropriate for the interview. This exercise will be of help in many ways. First, the
interviewer will have an adequate supply of questions, which can be put to the
candidates till the end, without resorting to repeating questions. Second, the
interviewer will be in a position to have a vast coverage of all important areas
germane to the specific interview. More important, as the questions are pooled
together in advance, the interviewer also knows the correct answers, which makes
the evaluation easy. After all, if say 30 candidates have to be interviewed for about
15–20 minutes each, there has to be a ready supply of a fairly large number of
relevant questions, available on tap.
(viii) Listening skills
Like it is for the interviewee, for the interviewer too, good listening skills are relevant.
The interviewer will be facing a host of candidates during the course of the day.
These candidates may come from different economic and social backgrounds,
geographical regions and language groups. They may have varied accents,
pronunciations and speaking styles. They may or may not be well organized and
articulate. The interviewer, therefore, will have to be quite focused to comprehend
what the candidates are stating and prompt them as and when required. By active
listening, the interviewer contributes to the success of this interactive process.
(ix) Follow a process of elimination
In respect of most of the interviews, the number of candidates appearing for an
interview is quite large in relation to the jobs available. In order to do justice to the
interview process, the interviewer will have to arrive at the most suitable ones, or
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what may be termed the final selection zone of candidates. In other words, an
interviewer will have to consciously eliminate all those candidates falling short of the
qualifying zone. When candidates are many and the number of posts limited, the final
selection can be a very challenging task. Limiting this final number by eliminating the
non-qualifiers would be of great help.
South West Airlines: Focus on Attitudes

Service organizations sometimes give greater weight to attitudes rather than
academic qualifications and experience. Good service providers hire people who
have a helpful attitude and are service-oriented.
South West Airlines of the United States of America is a consistent topper in

customer service polls and has been rated as the safest airline for over 20 years.
It also has the distinction of being one of the ten best companies to work for in
America.
The recruitment process in South West Airlines is understandably rigorous. There

are at least half a dozen interviews. But these are not psychological tests. Here is
what the company looks for.
‘What we are looking for first and foremost is a sense of humour.’
‘Then we are looking for people who have to excel to satisfy themselves and
work well in a collegial environment.’
‘We don’t care much about education and experience, because we can train
people to do whatever they have to do.’
‘We hire attitudes.’
People who can listen, who care, who smile, who say ‘Thank You’ and who are
warm, are the people the Airlines hires for accounting jobs as well as reservation
agents and flight attendants.
Source: As reported by Tom Peters in Pursuit of Wow
(x) Finalize the performance-rating matrix beforehand

After every interview, there is an evaluation. This evaluation has to be done taking
into account all the relevant parameters. The selection or performance-rating matrix
should be clearly defined before the interview commences. In doing so, due
consultations have to take place among the interview panel members themselves, as
also between the interviewers and the organization/department for which recruitment
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is taking place. In the ultimate analysis, selection is a matching process. The job
profile and candidate profile should agree with each other. Mismatches are to be
avoided. In order to achieve this, an interview evaluation sheet has to be finalized in
advance, clearly stating the parameters and their relative weightages. All parameters
may or may not carry equal marks. Both would vary depending upon whether it is
an entry level job or a senior position, customer-oriented job or a file pushing job,
technical job or managerial job. Relevant attributes and requirements would be
evaluated.
Performance-rating parameters would generally include the following:
x Academic qualifications
x Personality
x Knowledge
x Experience
x Publications
x Age and fitness
x Family background
x Motivation
x Emotional strength
x Attitude
x Communication skills
x Team work
x Computer literacy
x General knowledge
It should also be kept in mind that quite often interview performance is only one
of the criteria and not the sole criterion for selection. An interview evaluation sheet,
therefore, should contain only those parameters which can be evaluated through the
interview. Other details would constitute background information to interviewers.
(xi) Conduct with dignity
Interviewers generally have the responsibility of ensuring that interviews are
conducted in a purposeful and orderly manner. Inordinate delays, whimsical
questions, questions that get too personal or which carry sexist bias, statements
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Interviews
which denigrate candidates, impertinent jokes, temperamental outbursts and other

such undesirable indulgences have to be strictly avoided. Candidates often look
upon members of the interview panel with respect and admiration and hence they
have to live up to that image. Interrupting other colleagues, argumentation, boastful
statements and airing of unconnected personal views should also be eschewed while
conducting an interview. On the positive side, every effort must be made to ensure
that interviews are a pleasant experience for both parties.
(xii) The ultimate test
Interviewers should be conscious of the fact that any interview carries with it an
onerous responsibility. It has implications on the future and aspirations of
candidates. Also, the organization concerned is reposing faith in the interview
panel in making an objective and merit-based recommendation. An interview
process has to measure up in terms of justice and fair play. Candidates appearing
for an interview should perceive it to be fair, objective and unbiased. The ultimate
test for any interviewer is an affirmative answer to the question, ‘Did the best of
the candidates make it?’
To sum up, any job interview is a sensitive and interactive goal-oriented
communication process. The organization concerned as well as the interviewers on
one hand, and interviewees on the other, have to put in their earnest efforts to make
the process fair and effective.
1. Mention the relevant parameters which lead to the final selection of the
candidate.
................................................................................................................
................................................................................................................
................................................................................................................
2. List the performance-rating parameters for the interview.

................................................................................................................
................................................................................................................
................................................................................................................
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Interviews
5.5 SUMMARY
x In social and business life, there are various types of interviews.

x The interviewees stand to gain and benefit when they put up their best
during the interview.
x The telephone interview or candidate screen allows the employer to
determine if the candidate’s qualifications, experience, workplace
preferences and salary needs are congruent with the position and
organization.
x Behavioural interviews are the best tool to identify candidates who have the
behavioural traits and characteristics essential for the position open.
x A good resume, strong testimonials, appropriate references and effective
participation at group discussions together facilitate a high level of
confidence as the candidate faces an interview for a job.
x Preparation for an interview starts with trying to learn about the
organizations business, track record, strengths and weaknesses,
hierarchical structure, values and future plans.
x Candidates need to be attentive and maintain eye contact. Candidates
should sell themselves and their skills.
x After learning whatever one can about the organization and the job, a
candidate must get ready to face the interviewers’ questions.
x It is very necessary that the candidate keeps cool when getting ready to
face the interview.
x Any interview is much more than a question and answer session. For the
candidate, it is actually the challenge of marketing oneself.
x It is important to build a rapport with the interviewer or the members of the
interview panel. This is done by looking confident, smiling, greeting and a
firm handshake not just with the chairman of the interview panel, but with
the other members as well.
x As an interviewee, one should conduct oneself in such a way that the
interviewer is not offended.
x Interviewers generally follow a set pattern. They start with the candidate’s
academic and professional background before coming to job-specific and
knowledge-assessment questions.
x A candidate has had his interview maybe for 10 minutes or 30 minutes or
for whatever time and it is time to conclude.
x A candidate completes his interview, says ‘thank you’ to the chairman and
other members of the panel and walks out of the room.
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Interviews
x A well-planned and well-conducted interview enables the interviewer to

select the best candidate for the open position.
x The chairperson of an interview panel has the overall responsibility of
ensuring that the interviews are time bound and result-oriented. The
chairperson has to coordinate the efforts of the other members on the panel.
x Interviews comprise questions aimed at bringing forth the knowledge,
understanding, aptitude, preparedness, attitude and suitability of the
candidates.
x In respect of most of the interviews, the number of candidates appearing
for an interview is quite large in relation to the jobs available.
x Interviewers generally have the responsibility of ensuring that interviews are
conducted in a purposeful and orderly manner. Inordinate delays,
whimsical questions, questions that get too personal or which carry sexist
bias, statements which denigrate candidates, impertinent jokes,
temperamental outbursts and other such undesirable indulgences have to be
strictly avoided.
5.6 KEY WORDS
x Behavioural interview: A job interviewing technique whereby the

applicant is asked to describe past behavior in order to determine
whether he/she is suitable for a position is known as behavioural interview.
x Telephone interview: The telephone interview is a tool for the recruiter to
assess whether you are a serious applicant and decide whether or not to
take you further through the application process. The questions are more
likely to focus more on your general competences and skills.
x Interview: An interview is a conversation where questions are asked and
answers are given.

1. The purpose of the interview is to assess suitability and make a selection
and get the most suitable candidate.
2. The telephone interview or candidate screen allows the employer to
determine if the candidate’s qualifications, experience, workplace
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Interviews
preferences and salary needs are congruent with the position and
organization. The telephone interview saves managerial time and eliminates
unlikely candidates.

1. The essential guidelines to be followed prior to an interview are as follows:
x Anticipate questions
x Do not get worked up
x Reach on time
x Physical appearance
2. During an interview, candidates should keep in mind the following points:
x Appropriate body language
x Build a rapport
x Understand the question
x Think before answering
x Be sincere and truthful
x Do not offend the interviewers
x Do not brag
x Try to distinctive

1. The relevant parameters which lead to the final selection of the candidate
are as follows:
x Previous experience
x Attitude and temperament
x Communication skills
x Inter-personal skills
x Subject knowledge
x Extracurricular activities
2. Performance-rating parameters would generally include the following:
x Personality
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Interviews
x Knowledge
x Experience
x Age and fitness
x Team work
1. What do you understand by behavioural interviews?

2. Discuss the various aspects that candidates need to pay keen attention
prior to, during and after the interview.
3. List the various guidelines that should be kept in view while conducting an
interview.
4. Assume that you are the general manager of a particular department in a
company named Tims &Co. You would be interviewing candidates for the
post of your assistant. What are you going to ask the candidates?
5. What is an interview method?
Madhukar, R. K., 2010. Business Communication. New Delhi: Vikas Publishing

House.
Rai, U. S., S. M. Rai. 1989. Business Communication. New Delhi: Himalaya
Publishing House.
Rayudu, C. S. 2010. Communication. New Delhi: Himalaya Publishing House.
Ray, Reuben.1997. Communication Today. New Delhi: Himalaya Publishing
House.
136
An Introduction to
19th Century England
BLOCK-II
Towards the beginning of the nineteenth century, a marked change had taken place in the
intellectual life of Europe. It influenced not only literature but also art, music and philosophy,
and manifested itself not only in England but also in Germany and France. The simplicity,
harmony and purity of the Augustan age were substituted by the mystic and passionate as
well as the free-spirited and capricious standards of the Middle Ages. The leading advocates
of the spirit of idealism as opposed to realism were Rousseau in France, and Schelling,
Schlegel and Lessing in Germany. In England, the rise of Methodism from the teaching of
John Wesley made religion a vital personal experience, revealing its social responsibilities and
becoming a recognized and political factor. The literary aims and ideals of the eighteenth
century were swept aside.
The development in all fields of literature, especially in poetry, fiction, essay and literary
criticism was truly significant and great. English letters were characterized by an emotional
and imaginative quality as well as individuality in style. The Lake School of poets expressed
new theories regarding the subject-matter and language of poetry. The novelists succeeded
in making their works rival the popularity of poetry, the romantic essayists developed a new
prose type and the later romanticists were poets of revolt, who, unlike the Lake School,
never recanted their revolutionary principles. It was an era of individualism. It was an age in
which not only the watchwords of the French Revolution, but Democracy and
Humanitarianism too, became the central focus of the major English romanticists. This block
consists of five units.
The sixth unit identifies the writings of the nineteenth century. It then analyses the emergence
of novel form in the nineteenth century. It also explains the development of fiction in the
nineteenth century.
The seventh unit presents the critical analyses of Thomas Hardy’s Tess of the d’Urbervilles.
Further, you will examine the character sketch, and the role of fate in this novel.
The eighth unit analyses the procedure for drafting memos. It then discusses the procedure
for recording the minutes of a meeting.
The ninth unit discusses the process of paragraph writing. It also explains the points to be
kept in mind while writing a good paragraph.
The tenth unit deals with writing proposals, research paper and thesis. The unit interprets the
procedure of preparing manuscripts and copies.
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An Introduction to
UNIT–6 AN INTRODUCTION TO 19TH CENTURY ENGLAND
Objectives
x Identify the writings of the nineteenth century
x Analyse the emergence of novel form in the nineteenth century
x Explain the development of fiction in the nineteenth century
Structure
6.1 Introduction
6.2 Nineteenth Century Fiction
6.3 The Victorian Age (1832–1885)
6.4 The Age of Literary Realism
6.5 Summary
6.6 Key Words
6.1 INTRODUCTION
The Victorian age began when Queen Victoria came to the throne in 1832. This
was a period of economic expansion and development. Britain became the centre
of trade and industrial inventions. It was an age of optimism, but ‘The Victorian
compromise’ wherein national success went hand in hand with the exploitation of
lower classes. It was a compromise between philanthropy and repression. The
First Reform Bill excluded the working classes from suffrage and caused dissent.
The Great Exhibition of 1851 was the high point of Victorian faith in itself. It was
badly shaken by the Crimean War and the publication of Darwin’s Origin of
Species.
In this unit, you will learn about the Victorian Age. You will also learn about the
various trends, styles of writing and the age of literary realism.
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An Introduction to
6.2 NINETEENTH CENTURY FICTION
In this section, you will learn about the great authors of the 19th century fiction.
Dickens
Charles Dickens is the dominant figure of the Victorian Age and started out as a
journalist. His novels were serialized. His Sketches by Boz (1836) are humorous
sketches. Pickwick Papers, with their use of class and dialect difference are also
written in the same vein. A Christmas Carol has a clash of wealth and poverty but
nevertheless has a happy ending. A more serious study of social problems is seen
Oliver Twist onwards. This novel highlights the condition of the poor children in
workhouses. Nicholas Nickelby also deals with the exploitation of children in the
schools of Yorkshire. Though these novels of the 1840s are realistic, Dickens
remains optimistic as is evident in the happy ending of David Copperfield. His
novels of the 1850s expand beyond the individual to examine society: A Tale of Two
Cities and Great Expectations fall in this category. Hard Times too examines the
dehumanizing impact of industrialization.
Harison Ainsworth combined history with gothic elements. He was primarily an
entertainer who capitalized on the Victorian liking for historical fantasy. He, along
with Lytton, also wrote on fictional criminal subjects. Charles Reade was a
‘reforming’ novelist who wrote of prison life. Carlyle was a major influence of
Dickens. He had strong views on leadership, which novelists translated into heroic
behavior. Such actions were important in an unheroic age. He also influenced
George Eliot. Macaulay was another historian who wrote during the time. Marx’s
Das Kapital was the most influential work of the age. In it he is critical of private
property and advocates a class war. The Oxford Movement, when Anglicans
moved to Catholicism, occurred during this time. Cardinal Newman’s autobiography
deals with this issue. Religious debate begins again.
Mid 19th century saw a glut of self-improvement handbooks. Smiles’ Self-Help
is an example. Disraeli wrote political novels and wanted to influence political
opinion through them. He wrote the trilogy Coningsby, Sybil and Tancred.
Thackeray was a journalist. Vanity Fair is written in the perspective of the
Napoleonic War. The lives of his heroes are a ‘series of defeats’ to be overcome
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An Introduction to
and not the simple Victorian progression to prosperity. He also wrote The
Virginians and The Newcomes.
The provincial novel developed in the early 19th century in Ireland and
Scotland. Trollope was a novelist whose novels earned him fame. His novels give
insight into Victorian ‘progress.’ He wrote the Barsetshire and Palliser series of
novels. These novels are marked with many complications. Meredith wrote novels of
discovery and self-discovery.
George Eliot, Elizabeth Gaskell and the Bronte sisters are some of the female
authors of the time. They adopted acronyms so that they would be taken seriously.
Charlotte Bronte’s Jane Eyre is a bildungsroman. It shows the victory of the good
character after it has undergone suffering. Emily Bronte’s Wuthering Heights is a
cyclical novel which moves from harmony to violence to harmony again. Anne
Bronte wrote The Tenant of Wildfell Hall. It depicts a woman’s departure from an
unhappy marriage in search for happiness. These works are novels of psychological
exploration and offer a new way of portraying women.
George Eliot’s novels focus on social and philosophical concerns and moral
commitment. In novels like Daniel Deronda and Middlemarch she touches the
concerns of her age. She also wrote Adam Bede, Silas Marner and Mill on the
Floss. These show her concern for the outsider in society.
Mrs. Gaskell, Samuel Butler, George Gissing and George Moore are late
Victorian novelists. Mrs. Gaskell wrote social novels on the Manchester scene.
Butler satirized the Victorian ideal of family life with the father as the moral centre.
Gissing was a naturalist writer whose work shows a sympathy for the poor. Moore
wrote realistic novels on a variety of themes. He presented social realism in his
‘seduction novels.’ Arthur Morrison wrote ‘proletarian’ novels depicting the
condition of the working poor. W. E. Tirebuck wrote industrial novels on the ‘Two
Nations’ theme.
Victorian Fantasy
As the Victorian world became unpalatable there was a rise of the fantasy novel:
science fiction, detective stories, ghost stories, utopian writing and children’s books.
Lewis Carroll wrote fantasies, like Alice in Wonderland. Wilkie Collins wrote
detective fiction. Sheridan Le Fau wrote stories with a gothic strain. William Morris
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An Introduction to
wrote utopian fantasies. The rise of the middle class meant that there was an
increasing demand for ‘wholesome’ children’s literature. This was found in the works
of Charles Kingsley, Thomas Hughes and Charlotte M. Young. R. L. Stevenson’s
Treasure Island also belongs to this category.
Wilde and Aestheticism

The Aesthetic Movement insisted on the idea of ‘Art for Art’s sake.’ The Victorian
search for absolutes in an ever changing world meant that even abstract ideas like
art and beauty were given absolute values. John Ruskin and Walter Pater were
involved in the re-evaluation of art. Ruskin is the first art critic who preserved
architecture in the face of industrialization. Pater was an academic whose study of
Italian Renaissance painting influenced Wilde. Wilde was a dandy. Therefore when
he was tried and sentenced for homosexuality, the dichotomy of his personal life
versus his public persona can be taken to be indicative of the crises of Victorian
morals. The divergence between Victorian assumptions and values is seen in The
Picture of Dorian Gray. Critics read the story as a criticism of the Aesthetic
movement.
Hardy and James

Hardy’s work shows the exploration of moral issues and responsibility. His
protagonists are individuals whose natures make them outsiders even as they fall
victim to the changing economic, social and sexual mores. This is seen in the novels
Tess of the D’urbervilles, Far from the Madding Crowd and The Woodlanders.
He wrote tragedies showing that ironies govern life. His novels are episodic and
show the disruption caused to rural communities by mechanization. The 1890s
marked the end of the ‘triple decker.’ Soon shorter novels were being written which
people could buy and keep at home. This sounded the death knell for the lending
libraries.
The Pre-Raphaelites
They stressed their admiration for the Italian art during the High Renaissance. They
favored medieval simplicity, closeness to nature in representational clarity and moral
seriousness of intent. The main figures of the movement are the Rossetti brothers.
Their view of nature is mystical. They influenced the visual arts more than writing.
Swinburne, William Morris and Ernest Dowson were influenced by them.
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An Introduction to
In Hopkins’ work Victorian despair reaches its apotheosis. He carries Victorian

doubt into the 20th century. His major poem is Wreck of the Deutschland.
Victorian Drama
Dramatists couldn’t compete with the novel form. Realistic drama began in the
1860s. Robertson wrote plays like Society, Caste, and School. He was the first
playwright to insist on a realistic setting and gave rise to the ‘cup and saucer drama.’
Shaw’s and Wilde’s plays indicate the flood of new ideas that were coming. Wilde
staged epigrammatic comedies.
The Modern Age (1900 to the Present)

By the turn of the 20th century most people in England lived in cities. The idea of
local communities had given way to the anonymous existence of cities. The 20th
century also saw the Empire being challenged and its eventual break up. The rise of
literacy is another feature. This led to a large reading public and the growth of a low
brow culture which was perpetually in opposition to the esoteric avant-garde. The
century is also marked by the death of all certitudes and the democratization of
institutions. The drama form revived and there were experiments in other art forms.
The novel—19th and 20th Century

Together with the increase in objectivity given by outsiders, who permitted a
different view of English society—or, in Conrad, Kipling, and Forster, a clearer
depiction of colonialism and its effects – there can also be found a greater degree
of subjectivity in the novels of writers whose concern was more with the inner life
of characters. The early years of the century produced the novels of Hardy and
Gissing, Wilde and George Moore, as well as the realism of Arnold Bennett and
John Galsworthy, and the new ‘great tradition’ of writers such as James, Conrad,
Lawrence, Joyce and Woolf. The definite shape of a novel’s plot, which organizes
characters and events, gave way to less logical and sequential modes of
organization. There was a stress on the individual’s sense of what is valid in
experience, and techniques of subjectivity were evolved to represent this. The
whole nature of what made a fictional hero or heroine was also questioned. The
individual could no longer be a model for behavior. The ‘stream of consciousness’
technique was developed in various ways by writers in order to render directly
and in depth, the experience of individual characters. Time was not a series of
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An Introduction to
separate chronological moments, and consciousness was seen as a continuous

flow, with past and present merging. Under the general influence of work by
psychologists such as Sigmund Freud and Carl Jung, writers came to believe that
we are our memories, that the present is the sum of our past and that the form and
style of the novel have to capture this understanding. One result was that the novel
concentrated less on a social, public world and more on the inner world of unique
and isolated individuals or the shapeless, unstructured sensations of life. In all, the
novel became a less rigid, plotted and naturalistic form. Henry James was
concerned with the study of how characters reacted in unfamiliar situations. He
was obsessed with technique as is apparent from the reworking of his earlier
novels. His novels focus on the charm of the Old World on the American outsider
and the adjustment needed to live here. Conrad was a sailor and his novels are set
in exotic surroundings. He reveals character in flashes so that a composite picture
is created when the novel ends. Hough he had a profound sense of the tragedy of
life he was not bitter about it. He was influenced by Flaubert and Maupassant. He
presents the story in an easygoing manner through a narrator. H.G. Wells wrote
scientific romances, the most famous being Time Machine. His novels reflect his
concern with contemporary issues especially the problems individuals face in
conforming to social rules and expectations. He supported women’s education and
political equality.
D. H. Lawrence’s novels present the reader with a personal interpretation of life.
He is concerned with the basic problems of human existence and with man’s
relationship with others and the larger universe around him. His novels reflect a
hatred of the mechanized world and a love of the primitive. James Joyce presents his
narrative in a straightforward manner. His subject is human relationships. In
Finnegan’s Wake Joyce used a ‘private’ style of broken narratives and abrupt
transitions. Virginia Woolf reacts against the novel of social manners and uses the
‘stream of consciousness’ method in her novels. Aldus Huxley also wrote during this
time.
The uncertainty of the second world war is reflected in the novels of the mid
20th century. The novels deal with a disintegration of society, a lack of positivism
and sadism. The novels are a mixture of realism, cynicism and dark comedy.
American fiction flooded England during this time. The major writer in England
was Graham Greene who presents actions as being fundamentally right or
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An Introduction to
fundamentally wrong in his work. Charles Snow gives an insight into the 1920s
society. Evelyn Waugh’s work is great satire. He criticizes the world for valuing
nothing more than money. His main characters are snobs whose cardinal sin is
vulgarity. One feature of the modern novel which takes on great importance is the
use of dialogue and conversation, especially when presented with very little
narratorial intervention. This gives the reader the challenge of filling out the ‘script’
– it is minimalism of quite a different kind from the interior monologue mode.
Novelists as different as Evelyn Waugh in the 1920s and 1930s and Iris Murdoch
in the 1960s and 1970s have experimented with this kind of speech presentation
William Cooper and Kingsley Amis are also late 20th century novelists. Cooper
may be considered the original angry young man. Kingsley Amis deals with the
anti-hero infiltrating society only to be disillusioned by it.
1. What is the focus of George Eliot’s novels?

................................................................................................................
................................................................................................................
................................................................................................................
2. What is generally the theme of D.H. Lawrence’s novels?

................................................................................................................
................................................................................................................
................................................................................................................
6.3 THE VICTORIAN AGE (1832–1885)
Let us analyse the various features of the Victorian Age.

Social and Economic Conditions: The eighteenth century had seen a bloodless
revolution in England. The invention of the spinning jenny, the ‘mule,’ the power
loom, the steam engine, the smelting of iron ore by pit coal—all hastened the growth
of industrial towns and of a powerful banking system. New centers of population
arose. Industrial England, aided materially by the system of laissez faire, grew
wealthy. The factory system was established. Against the unspeakable misery and
degradation that developed was raised a potent cry for better conditions in factory,
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An Introduction to
poorhouse, and prison, for more humane treatment of children, for improved
educational facilities.
While, industrial England presented its problems, agricultural England had its
own. Large farms took the place of small holdings; wages were inadequate; housing
conditions were bad: pauperism increased, particularly in the period following 1845
there was great distress: unemployment, bad harvests, heavy war debt, and
disregard of the rights of labor. From 1784 to 1830 the Tory party was supreme.
Not until 1832, when the Reform Bill was passed, were the middle classes
enfranchised. Finally, the transition from an agricultural and commercial society to
modern industrialism brought in its wake the evil of slums, the exploitation of the
masses, and the economic fluctuations between boom and depression. Not yet have
these vast economic problems been decisively settled: perhaps the most influential
interpretation is KarlMarx’s Das Kapital (1867-1894).
General View of the Literature: By the beginning of the nineteenth century a
marked change had taken place in intellectual life. It influenced not only literature, but
also art, music, philosophy; it manifested itself not only in England, but also in
Germany and France. For the simplicity, harmony, and purity of the Augustan age
were substituted the mystic and passionate, the free-spirited and capricious
standards of the Middle Ages. The leading advocates of the spirit of idealism as
opposed to realism were Rousseau in France, and Schelling, Schlegel, and Lessing
in Germany. In England the rise of Methodism, from the teaching of John Weslely,
made religion a vital personal experience, revealed its social responsibilities and
became a recognized and political factor. The literary aims and ideals of the
eighteenth century were swept aside.
Great was the development in all fields of literature—in poetry. In fiction, in the
essay, and in literary criticism. English letters were characterized by an emotional and
imaginative quality and by individuality in style. The pendulum swung from idealism to
disillusionment from revolt to reaction. The so-called Lake School of poets
expressed new theories as to the subject-matter and language of poetry; the novelists
succeeded in making their works rival the popularity of poetry; the romantic
essayists developed a new prose type; and the later romanticists were poets of
revolt who, unlike the Lake School, never recanted their revolutionary principles. It
was an era of individualism. It was an age in which not only the watchwords of the
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An Introduction to
French Revolution—Liberty, Equality, and Fraternity—but also Democracy and

Humanitarianism became the cry of the major English romanticists.
Charter Movement: Although, the reform Act of 1832 transferred the political
power from the upper class to the middle class but it could not help the laboring
class. As a result, there was a deep discontent among the working class and
consequently demonstrations occurred in industrial centres. The significance of the
Charter Movement is that for the first time in England the people became class –
conscious. Many social and political changes happened in this age as the democratic
struggle of Anglo-Saxons for personal liberty was settled and democracy became
the established order of the day. The House of Commons becomes the ruling power
in England; and a series of new reform bills were passed to bring social reform.
Since democracy was onset, the age required education of religious tolerance, of
growing brotherhood, and of profound social unrest. The slaves had been freed in
1833; but in the middle of the century England awoke to the fact that slaves were
not necessarily negroes, stolen in Africa to be sold like cattle in the market place, but
that multitudes of men, women, and little children in the mines and factories were,
victims of a more terrible industrial and social slavery. Since, it was an age of
democracy and education, it was an age of comparative peace. England began to
think that the common men were burdened with poverty, sorrow and hunger while
the rich were getting richer by exploiting the poor. Exploitation of poor was also
raising high with the growth of trade and of friendly foreign relations. Victorian Age
is also remarkable because of its rapid progress in all the arts and sciences and in
mechanical inventions from spinning looms to steamboats, and from matches to
electric lights. All these material things, as well as the growth of education had their
influence upon the life of the people.
Oxford Movement: Originally known as the Tractarian Movement, the Oxford
Movement is the name commonly applied to the revival of the doctrines and
practices of an earlier age that took place in the Church of England in the beginning
years of the Victorian era. The religious movement, initiated by John Keble’s sermon
at Oxford University in 1833 on national apostasy, endeavored to overcome the
danger threatening the Church as a result of the political and social trends during the
eighteenth and early nineteenth centuries. It profoundly affected the Church of
England. Extending into many other lands, it enriched education and individual and
ecclesiastical experience.
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Scientific Progress: The century was an age of inventions. Industry was

revolutionized by the application of machinery, steam and electricity. The art of
photography was perfected. Despite all aspects of scientific progress, however, very
little was accomplished in ameliorating the sordid industrial slavery of men, women
and children.
Imperialism: The nineteenth century was a century of expansion for many countries
including Great Britain. She established an empire in India, developed self-
governing English colonies in Canada, Australia, and New Zealand. Consolidated
the British possessions in South Africa, and obtained some African suzerainties form
the Turkish Empire.
The novel is a genre which flourished much and given greater importance in the
Victorian period. The social and economic changes, the emergence of the middle-
class, the industrialisation and utilitarianism, the new scientific spirit and rationalism;
all these factors led to the growth of novel in the Victorian era. The literature of the
Victorian age entered in a new period after the romantic revival. The literature of this
era expressed the fusion of pure romance to gross realism. There are two distinct
generation of the novelists in due Victorian period: the early Victorian novelists
comprised of William Thackeray, Charles Dickens, Trollope, Disraeli, Mrs. Gaskell.
One of the prominent features common to these novelists was there shared concern
with ‘the condition of England’.
The Victorian novel not only gave expression to the crucial problem of the time but
also adapted itself to the material realities of the era. Inventions and discoveries of
science have great effects on Victorian literature. The major characteristics of the
literature of this period are as follows:
1. In Romantic literature, inclination was towards idealism and romanticizing
realities but in this age first time problems of day to day life is presented
through the prose and novels.
2. Moral Purpose: The Victorian literature also instructs the world about
morality and ethics because in the growing scientific age people were
deviating from their religion Tennyson, Browning, Carlyle, Ruskin—all were
the teachers of England with the faith in their moral message to instruct the
world.
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3. Idealism: It is often considered as an age of doubt and pessimism. The

influence of science is felt here. With the scientific invention people were
losing faith in eternal power of universe. Thus, the literature written in this
age depicts the doubtful state of man who does not know what to
choose—religion or reality.
4. Though, the age is especially known for its materialism and pragmatism,
most of the writers exalt a purely ideal life. It is an idealistic age where the
great ideals like truth, justice, love, brotherhood are emphasized by poets,
essayists and novelists of the age.
5. Rebellion and Pessimism: Women also made great progress in this age as
Bronte sisters wrote novels and poetry. Elizabeth Barrett Browning, wife of
Robert Browning is also known for her poetry. One can not forget the
contribution of Jane Austen to novels. These women novelists were very
satirical in their works targeting the society and its class structure. These
female novelists were restricted in their education, social lives, and
authorship, but still there was such a vast impact of revolution of education
that they could not stay untouched of this wave of education. Elizabeth
Browning’ s ‘From Sonnets from the Portuguese describes the stages for
her love and relationship with he husband, Robert Browning on the surface
but if we try to get the deeper meaning, we interpret her rebellious nature in
context to her personal biography. Her father refused to allow any of his
eleven children to marry. Her poem about loving someone else is her way
of rebelling against him. In the end she ultimately does marry Robert and
elopes with him. She acted out the rebellion and allowed her poetry to
reflect it.
6. With the Victorians, the tilt was given in favour of reality rather than dream;
fact rather than fancy ; specific rather than general; concrete rather than
fancy; specific rather than general, concrete rather than abstract. Another
salient feature of the early Victorian novel was that like the Augustan
poetry, it was largely centred on the life in London the representative
modern city of England.
7. A significance shift in the England novel during the Victorian era was the
change of its emphasis from action to character. The Neo-Classical
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concept of novel as ‘comic- epic in prose’ gave central emphasis to action

whereas the early Victorians gave primacy to Character that is why the
novel with Dickens and Thackeray become panoramic than picturesque.
Incidents were used not only to expose the character, but also to probe in
the more characters. As a principle of their realism, they focused on the
mundane affairs and social activities.
The second generation of the Victorian novelists was more ‘literary’ but
‘popular’ than the first. They put more ‘academic’ flavour in their writings, and more
poetic imagination. Although, the overall character of the novel continued to be
realistic, yet certain new elements crept in and transformed the very spirit and
structure of the novel in England. The new elements were psychology—introduced
by George Eliot in the form of character analysis. Another significant change in the
later Victorian novel was its shift forms from city life to country life. This novel
introduced new ethics and human relation inspired by the Darwinian concepts of
‘struggle for distance’ and ‘survival of the fittest’. These new ideas made the
novelists look at human society from a new perspective. Thus the city novels of
Dickens and Thackeray were replaced by the provincial novels of George Eliot and
Hardy.
The transition from Romantic poetry to Victorian poetry is a dark and pessimistic
one, especially seen in Mathew Arnold’s work. In his poem, ‘Dover Beach,’ he
criticizes and comments upon the decline of Christianity and religion. ‘Ah, love, let us
be true | to one another!’ (Lines 29-30) the speaker says to his absent audience, his
beloved. By saying this, the speaker puts more faith in his relationship with his lover
than in religion. He states his at the end of the poem. After thoroughly discussing faith
and religion, by the end he ironically concludes with earthly love, between a man and
a woman, rather than a spiritual love, between God and mankind. It is as though the
previous topic was no longer worth the time, or rather, his confidence.
He alludes to the religion of the past and its power in the third stanza, in which
he begins with mentioning ‘The Sea of Faith’ (line 21). He writes in a sorrowful
tone like that of an elegy, as though he’s writing an elegy for religion itself. Having
written this poem in the nineteenth century it can be reasonable to think that
Arnold was influenced by the beginnings and rapid serge of the Industrial
Revolution. The heavy reliance on machinery and science during that point in
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history highly impacted society’s Christian beliefs, adding to the already large
heaps of corruption in what was supposed to be a faith-based, faith-valuing
society. This theme of the decline of religion can also be seen in Arnold’s ‘Stanzas
from the Grande Chartreuse.’ Furthermore, in his ‘Culture and Anarchy,’ he is
straightforward in his opinions about the influence of machinery in the
industrializing age in which he lived and called his own. With the rapid emerging of
machinery, the perception of nature changed.
Arnold, in his ‘Stanzas from the Grande Chartreuse’, breaks away from the
traditions of Shelley and Byron, who both represent the Romantic Age. This break
that Arnold represents marks another, newer age set entirely apart from the
Romantic Age, the Victorian Age and the Age of Realism. The laudations and praise
of nature might have been accepted and fashionable back then, but in Arnold’s time,
it was far from prevalent. Behind the opulence of the Victorian era was a darker,
larger, cynical story that needed to be told too.
The use of sensory images and the exposition of the struggle between God and
science are typical themes of Victorian poems. There are several other common
themes, such as concerns over education, as well. To bring out their thoughts, they
use different styles of writing as the most enduring Victorian contribution to poetry is
the form of the dramatic monologue, a form made famous by both Tennyson and
Browning. Novels have the same place in Victorian age as dramas had in Elizabethan
age. Before this period, novels never appeared in such numbers and in such
perfection and since the number of readers increased in this era with the spread of
popular education, novels became the first choice of readers.
Victorian Age is especially known for novels produced in this period. Different
kinds of sermons, political pamphlets, essays, and autobiographies were written thus
the age is famous for its various kinds if writings. Novel got a new evolution in this
age after 18th century epistolary and picaresque forms. Dickens was a keen
observer. Wherever he went he used to observe even the minutest detais of his
surroundings and blended it with his power of imagination. He was a born actor, and
was at one time the leading spirit of a band of amateurs who gave entertainments for
charity all over England. At the age of twenty-one he dropped his first little sketch
‘stealthily, with fear and trembling, into a dark letter-box, in a dark office up a dark
court in Fleet Street.’ The name of this first sketch was Mr. Minns and his Cousin
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and it appeared with other stories in his first book, Sketches by Boz in 1835. One,
who reads these sketches now, can estimate Dickens’ genius as he depicted the
hidden life of London. Dickens was a keen observer of realities. He depicted every
incident with precision which he went through or observed happening around him.
He considers the plight of abandoned, neglected, and abused children in Oliver
Twist, The Old Curiosity Shop, and Dombey and Son. Dickens reveals the human
cost of drug and alcohol abuse in many works, notably Sketches by Boz, David
Copperfield, and The Mystery of Edwin Drood. In Little Dorrit, Great
Expectations and Our Mutual Friend, he examines issues of social class,
snobbery, and prejudice, foundations on which a great deal of social injustice and
cruelty rest. And in The Pickwick Papers and Martin Chuzzlewit, Dickens
exposes hypocrisy and selfishness, which lie at the root of various kinds of social
evil. In Hard Times, he satirizes utilitarian educators who stifle the life and creativity
of their students by giving one of those teachers the appropriate name of Mr. M’
Choakumchild.
If the novels of the early Victorians were written in the 40’s and 50’s, those of
the later Victorian were published in the 60’s and 70’s. George Meredith’s first
notable work, The Ordeal of Richard Feverel, was published in 1859, the same
year as George Eliot’s Adam Bede, but it was not till the publication of Diana of
the Crossways in 1885, that his power as a novelist was widely recognized.
Meredith constructs a type-man as a hero, and makes this type express his
purpose and meaning. So his characters seldom speak naturally, as George Eliot’s
does.
The second generations Victorian novelists were more literary and less popular
than the first generation. They had more academic flavour in their writings, more
poetic imagination. In fact, Hardy and Meredith were regular poets who did as well
in the art of poetry as they did in the art of story-telling. They did not have the
breadth and variety of the early novelists, but they certainly had the greater depth of
characterization and greater intensity of presentation. Besides, they were much more
conscious about the craft of fiction than were their predecessors. Also, they were
not entertainers and reformers as were their elders rather they were more serious
composers with greater involvement in the deeper passions of life.
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Thus Victorian era was a tremendously exciting period when many artistic styles,
literary schools, as well as, social, political and religious movements flourished. It
was a time of prosperity, broad imperial expansion, and great political reform. It was
also a time, which today we associate with ‘prudishness’ and ‘repression’. Without
a doubt, it was an extraordinarily complex age that has sometimes been called the
Second English Renaissance. It is, however, also the beginning of Modern Times.
Victorian Novel was characterized by realism. It split into two distinct groups of
early and later Victorian novelists. The Victorian lack of interest or belief in general
proverbial truths and its care for the concrete individual experience was the product
of utilitarianism and industrialism which dominated the English society between 1830
and 1880. Thus the industrialism and utilitarianism provided to the Victorian
Novelists not merely the themes to write about but also the medium and mode for
embodying those themes into. A significant shift in the English Novel in its movement
from the eighteenth to the nineteenth century was the change of emphasis from action
to character. Another distinguishing feature of the early Victorian Novel is that it is
largely based on life in London, which becomes a representative modern city.
Dickens’ Bleak House, Our Mutual Friend, David Copperfield, etc, all depict the
life of London. Thackeray’s Vanity Fair, a satire on the vanities of city life, its sham
and hollowness, its corruption and deception is also a city novel. Similarly, Mrs.
Gaskell’s Mary Barton, an attack on industrial employers, her North and South
exposing the ills of life in an industrial town, all focus on the ills and evils city life
caused by the new industrial order.
As for the late Victorian Novel, it became conscious of its being an art form and
acquired like drama, a distinct shape. With George Eliot, George Meredith, Thomas
Hardy, the English Novel became artistically superior. These novelists consciously
tried to construct their fictional works into artistic wholes, connected the various
incidents into the sequence of cause and effect. Another significant change that took
place in English Novel around the year 1860 was the shift in its focus from the city
with its industrialism and utilitarianism to the village with its prospect of annihilation
under the threat of the new scientific rationalism and evolutionism inspired by the
Darwin’s theory of ‘struggle for existence’ and ‘survival of the fittest’. An art
movement indicative of this period was the Pre-Raphaelites, which included William
Holman Hunt, Dante Gabriel Rossetti, Christina Rossetti, and John Everett Millais.
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Also during this period were the Impressionists, the Realists, and the Fauves, though
the Pre-Raphaelites were distinctive for being a completely English movement. The
Victorian Era was also a time of tremendous scientific progress and ideas.
Another important change one notices in the English Novel around the year
1860 is its shift towards intellectualism. Although, Dickens and Thackeray were both
journalists and adequately educated to grasp the crosscurrent of ideas in their time,
they were not ‘learned’ in the sense George Eliot, George Meredith and Thomas
Hardy were. That’s why their novels became better organized. These later novelists
wrote powerful love tragedies in novels like The Mill on the Floss, Tess of the D’
Urberville, Middlemarch and The Return of the Native showing more sustained
and serious treatment of love than what was available in any novel of Dickens and
Thackeray.
Nineteenth and Twentieth Century Literature

The period opened with a great revival of poetic expression. The first generation of
the new poets—William Blake, William Wordsworth, and S.T. Coleridge—all began
under the inspiration of deep spiritual and social disturbances. The historical
manifestation of which was the French Revolution. Against this Wordsworth and
Coleridge reacted in Disillusionment when they saw it transformed by Napoleon.
Bonaparte. On the other hand, the second generation of poets—climax after the
overthrow of Napoleon in 1815 and intensely resented the restoration of the old
oppressive regimes. These six poet differed from one another greatly, thought all
except Blake felt the influence of Wordsworth for his novels but his poetry is
important in that de did most to express the new liberation of feeling through of old
ballad styles and in medieval settings.
A sharp change occurred in the dominant form of literary expression after 1830.
Despite the popularity of the poetry of Alfred Tennyson in the mid-century and
(later) that of Robert Browning, it was the novel, particularly adapted as it was to the
rapid social transformations for the Industrial Revolution which became the
representative medium. 1830 marks the beginning of the career of Charles Dickens
and leading names are George Eliot, Emily Bronte, Antony Trollope and Benjamin
Disraeli. The last quarter of the century saw the second phase of the novel in Henry
James and Joseph Conrad. Who wrote with much more awareness of foreign
influences; with their more radical questioning of social and cultural assumptions they
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became also the first important figures of the 20th century novel. Thomas Hardy is
almost as prominent a figure but as a regional novelist he stands apart from the other
two, who were notably cosmopolitans; his insight is profound but in his best work,
it is expressed though a specific environment.
An important aspect of 19th century literature is its autobiographical inclination.
Some outstanding works during the century were autobiographies (Thomas De
Quincy’s Confession of an English Opium Eater) but the tendency was even more
important as a diffused approach to imaginative art, in poetry (Wordsworth’s
prelude) And in the novel (Charlotte Bronte’s Valletta). This may account for the
increase in women novelists of the period; feminist criticism often argues for the
attraction of autobiography to women writers as an expression of freedom. It was,
if anything, even more important in non-fictional prose, both that of early 19th-
century periodical essayists such a William Hazlitt and Charles Lamb, and that of the
Victorian ‘sages’. Examples are Carlyle’s Sartor Resartus, Johan Newman’s
Apologia and john Stuart Mill’s Autobiography.
Nineteenth century literary criticism also shows urgent concern with the social
and spiritual question of the age. The most important critics are Wordsworth,
Coleridge (whose chief critical work is characteristically in part autobiography-
Biographia Literaria) and Mathew Arnold. By the end of the century. Henry,
James had become the first important systematic critic of the novel.
It is common to think of the 19th century as the century of Romanticism in
contrast to the 18th century as the Age of Reason. This is too simple, however.
Firstly, Romanticism has its beginnings in the 18th century; secondly, continuity with
18th century rationalism was an important aspect of 19th Century thought and
feeling, e.g., in Utilitarianism, and finally, Romanticism is a difficult word/term in
relation to English literature and need separate treatment.
1. What changes took place in England as a result of the rise of

Methodism?
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2. What is the Oxford movement?

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3. What was the difference between the novels of Dickens and Thackeray
from those of George Meredith, George Eliot and Thomas Hardy?
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6.4 THE AGE OF LITERARY REALISM
The term ‘literary realism’ is regularly applied to 19th century fiction. The novels of
Defoe, Richardson and Fielding wrote between 1719 and the 1750s can be read as
precursors. Research of the last decades has, however, challenged the views that it
was Robinson Crusoe’s realism because of which the influence of French baroque
romances ended.
The term Victorian is synonymously used with nineteenth century English
literature. In the literal sense, this refers to events and things during the reign of
Queen Victoria (1837–1901). It forms a link and transition between the writers of
the romantic period and the very different literature of the 20th century. During this
time, the novel became the most popular form of English literature. Often the term
Victorian is associated with the words ‘prudish’, ‘repressed’ and ‘old fashioned’.
Though this implies that these qualities were somewhat inherent in the people living
during that age, it does not give an accurate description of the difficult, paradoxical
age which, in a way, was a second English Renaissance. Victorian England was
similar to the Elizabethan England in the sense that both saw the growth of power,
wealth and culture.
Victorian novels tend to be idealized portraits of difficult lives in which hard
work, perseverance, love and luck win out in the end; virtue would be rewarded
and wrongdoers are suitably punished. They tended to be of an improving nature
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with a central moral lesson at heart. While, this formula was the basis for much of
earlier Victorian fiction, the situation became more complex as the century
progressed.
The Victorian Age ushered the era of scientific development. Invention was a
new concept that was explored. Man could now create solutions to problems. He
could find ways and means to improve his living and develop his environment.
Change was felt in religion too. This was the period when the question of doubt
entered man’s mind. Christianity as an institution was questioned on a large scale. In
arts and literature too the Victorians made an effort to combine Romantic emphases
upon self emotion and imagination.
Change was noticed in ideology, politics and society as well with surprising
innovations being made in each field. This period saw the growth of modern
movements such as democracy, feminism, unionization of workers, socialism and
Marxism among others.
Some of the prominent thinkers of this age were Darwin, Marx and Freud. This
age was not just the first to face modern problems, but also the first to find modern
solutions. The Victorian period was, in a way, the parent of the modern age and like
most powerful parents it instigated strong reaction against itself.
The Victorian period was not one long unified period. Because of the length of
Victoria’s reign it was further divided into several periods. It was an age of paradox
and power. The Catholicism of the Oxford Movement took place during this time.
The Evangelical movement, the spread of the Broad Church, and the rise of
Utilitarianism, socialism, Darwinism, and scientific Agnosticism, were all in their own
ways characteristically Victorian; as were the prophetic writings of Carlyle and
Ruskin, the criticism of Arnold, and the empirical prose of Darwin and Huxley; as
were the fantasy of George MacDonald and the realism of George Eliot and George
Bernard Shaw.
The Victorians Victorianisms is implicit in their sense of social responsibility. This
is a trait that creates an obvious difference between them and their predecessors, the
Romantics.
Tennyson might go to Spain to help the insurgents, as Byron had gone to Greece and
Wordsworth to France; but Tennyson also urged the necessity of educating ‘the poor
man before making him our master.’ Matthew Arnold might say at mid-century that:
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The world, which seems

To lie before us like a land of dreams,
So various, so beautiful, so new,
Hath really neither joy, nor love, nor light,
Nor certitude, nor peace, nor help for pain.
but he refused to reprint his poem ‘Empedocles on Etna,’ in which the Greek
philosopher throws himself into the volcano, because it set a bad example; and he
criticized an Anglican bishop who pointed out mathematical inconsistencies in the
Bible not on the grounds that he was wrong, but that for a bishop to point these
things out to the general public was irresponsible.
The problem of defining Victorianism in art and literature was put forth by M. H.
Abrams in his vastly influential work The Mirror and the Lamp: Romantic Theory
and the Critical Tradition (1953). Abrams begins his case by pointing out that the
once near-universal tendency to discuss art in terms of author and artist arrived on
the scene quite late in the 2,500 year-old history of aesthetics and critical theory.
The typical feature of modern criticism till a few decades ago was to pose and
answer aesthetic questions pertaining to the relation of art to the artist rather than to
external nature, or to the audience, or to the internal requirements of the work. This
tendency continued to be the norm for many critics.
Novelist aimed to give a fairly comprehensive picture of contemporary society.
We have the novels of sea and military life, of high life, middle-class life, low life,
criminal life, industrial life, political life, artistic life, and so on.
Charles Dickens was the main example of the Victorian novelist. His characters
took on a life of their own beyond the page. He wrote what the public wanted, but
also commented on social issues of that time. Dickens was socially in his origin and
in his ultimate position, a petit-bourgeois. His actual life experience was, at the outset
so much that of the lower strata of the petit bourgeoisie as to coincide, at points,
with that of the proletariat, we have seen likewise. Dickens lived during the time of
the Industrial Revolution and lived on till this period led to the passage of British
capitalism into its imperialist phase-the phase of the neo-feudalism of finance capital,
of aborted development disintegration international wars, revolutions and counter-
revolutions.
Dickens as an ardent youth, with his life prospects rapidly brightening before
him, was decidedly with the Radicals since that was the party most sympathetic to
his ardent and generously optimistic nature. However, he does not seen to have been
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at first any rate, at all disposed to join with, or to champion, the desperate measures
of the more Left-ward Chartists.
That he had acquired and retained all his life a supreme contempt for the House
of Commons and Parliament generally a contempt which was later to gain emphasis
from his friendship with Thomas Carlyle seems at first, to have raised a barrier
between him and the arousing masses who were, under the name of the Charter,
demanding a new and a more drastic reform of Parliament (manhood suffrage, equal
electoral districts, vote by ballot, annual elections no property qualifications, and
payment of members).
His Old Curosity Shop, in fact, may quite well be read as a moral tract on the
theme that it is the ‘heart’ of man that the source of evil lies. The Old Curiosity Shop
has of course, another and a more profound implication to which we will return.
Here, we are concerned only with the fact that it contains little hint of interest in the
Chartist struggle whose first nothing is said about Carton’s childhood; but from his
complete lack of relatives and connections in his manhood it would seem that his
parents must have died while he was still an infant. In Darnay’s case, we know that
he was prepared for the sacrifice of his title and his estates by the teaching of his
mother-who felt that so cruel had been the injustices worked in their name that there
was a curse upon both. It seems a fair inference, and one quite in keeping with
Dickens usual mode of reasoning to suppose that Carton’s habitual lack of self-
respect or self regard came from an early training in which he was treated as of no
account.
It was in the Victorian era (1837–1901) that the novel became the foremost
form of literature in English. Most writers wrote for the masses rather than to please
aristocratic patrons. The 1830s saw a revival of the social novel. Sensational stories
and accounts of the working class poor were depicted in this for the sake of middle
class readers. The intention was to provoke empathy and action which would
ultimately lead to legal and moral change. Elizabeth Gaskell’s North and South
contrasts the lifestyle in the industrial north of England with the wealthier south.
Sir John Barrow’s descriptive 1831 account of the Mutiny on the Bounty
immortalized the Royal Navy ship HMS Bounty and her people. The legend of Dick
Turpin was popularized when the 18th century English highwayman’s exploits
appeared in the novel Rookwood in 1834.
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Charles Dickens surfaced on the literary scene in the 1830s. He popularized

serial publication. He wrote dramatic descriptions of London life and struggles of the
poor as in Oliver Twist. He wrote in a style which would be popular with people of
all classes. He referred to the festive tale A Christmas Carol his ‘little Christmas
book’. Great Expectations is a quest for maturity. A Tale of Two Cities is set in
London and Paris. Dickens early works are masterpieces of comedy, such as The
Pickwick Papers. Later his works became darker, without losing his genius for
caricature.
William Thackeray was Dickens’ adversary and followed a similar style though
he gave a slightly more detached, caustic and barbed satirical view of his characters.
His portrayal of various circumstances had a more middle class flavour than
Dickens. He is best known for his novel Vanity Fair, subtitled A Novel without a
Hero, which is also an example of a form popular in Victorian literature: the historical
novel, in which very recent history is depicted. Anthony Trollope tended to write
about a slightly different part of the structure, namely the landowning and
professional classes.
The emotionally powerful works of the Brontë sisters: Charlotte’s Jane
Eyre, Emily’s Wuthering Heights and Anne’s Agnes Grey were released in
1847 after their search to secure publishers. William Makepeace Thackeray’s
satirized British society in Vanity Fair (1847), while Anthony Trollope’s novels
portrayed the lives of the landowning and professional classes of early Victorian
England.
The nineteenth century also saw fantasy emerging as a genre. Although, pre-
dated by John Ruskin’s The King of the Golden River in 1841, the history of the
modern fantasy genre is generally said to begin with George MacDonald, influential
author of The Princess and the Goblin and Phantastes (1858). William Morris, a
popular English poet, wrote several fantasy novels during the latter part of the 19th
century.
Children’s literature also flourished during the Victorian period. Some of the
stories that have become world famous are the works of Lewis Carroll, notably
Alice’s Adventures in Wonderland and Anna Sewell’s classic animal novel Black
Beauty.
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Wilkie Collins epistolary novel The Moonstone (1868), is often considered the
first detective novel in the English language. The Woman in White is regarded as
one of the finest sensation novels. The story is considered an early example of
detective fiction with the hero, Walter Hartright, employing many of the sleuthing
techniques of later private detectives.
George Eliot’s novels such as Middlemarch, were a milestone of literary
realism, and are a combination of high Victorian literary detail with an intellectual
breadth that removes them from the narrow confines they often depict. Novels of
Thomas Hardy and others, dealt with the changing social and economic situation of
the countryside.
Penny dreadful publications were an alternative to mainstream works, and were
aimed at working class adolescents, introducing the infamous Sweeney Todd. The
premier ghost story writer of the 19th century was Sheridan Le Fanu. His works
include the macabre mystery novel Uncle Silas (1865), and his Gothic novella
Carmilla (1872), tells the story of a young woman’s susceptibility to the attentions
of a female vampire. Bram Stoker, author of seminal horror work Dracula, featured
as its primary antagonist, the vampire Count Dracula, with the vampire hunter
Abraham Van Helsing, his arch-enemy. Dracula has been attributed to a number of
literary genres including vampire literature, horror fiction, gothic novel and invasion
literature.
H. G. Wells, along with Jules Verne, is referred to as ‘The Father of Science
Fiction’, He invented a number of themes that are now classic in the science
fiction genre. The War of the Worlds (1898), describing an invasion of late
Victorian England by Martians using tripod fighting machines equipped with
advanced weaponry, is a seminal portrayal of an alien invasion of Earth. The Time
Machine is generally credited with the popularization of the concept of time travel
using a vehicle that allows an operator to travel purposefully and selectively. The
term ‘time machine’ coined by Wells, is now universally used to refer to such a
vehicle.
Scottish born and of Irish parentage, Sir Arthur Conan Doyle created the
detective Sherlock Holmes. His stories have symbolized a fog-filled London for
readers the world over. Sherlock Holmes is a brilliant London-based ‘consulting
detective’, famous for his intellectual prowess, skilful use of astute observation,
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deductive reasoning and forensic skills to solve difficult cases. Holmes’ archenemy is
Professor Moriarty, a true super villain. The name Sherlock Holmes has become
synonymous with the word detective. Conan Doyle featured Holmes in four novels
and fifty-six short stories from 1880 to 1907. The final case was written in 1914.
Dr John H. Watson, Holmes’ friend, assistant, and biographer, narrated all Conan
Doyle stories except four.
Real stories of archaeological discoveries by imperial adventurers were the
inspiration behind the Lost World literary genre. H. Rider Haggard wrote one of the
earliest examples, King Solomon’s Mines in 1885.
F. Anstey’s comic novel Vice Versa (1882), sees a father and son magically
switch bodies. Satirist Jerome K. Jerome’s Three Men in a Boat (1889), is a
humorous account of a boating holiday on the river Thames. Grossmith brothers
George & Weedon’s Diary of a Nobody 1892, is also considered a classic work of
humour.
1. How was Victorian England similar to Elizabethan England?

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2. Who was Sherlock Holmes?

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3. Name some of the children’s stories from the nineteenth century that have
become world famous.
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6.5 SUMMARY
x Charles Dickens is the dominant figure of the Victorian Age and started out
as a journalist. His novels were serialized. His Sketches by Boz (1836) are
humorous sketches.
x Harison Ainsworth combined history with gothic elements. He was
primarily an entertainer who capitalized on the Victorian liking for
historical fantasy.
x George Eliot, Elizabeth Gaskell and the Bronte sisters are some of the
female authors of the time. They adopted acronyms so that they would be
taken seriously. Charlotte Bronte’s Jane Eyre is a bildungsroman.
x As the Victorian world became unpalatable there was a rise of the fantasy
novel: science fiction, detective stories, ghost stories, utopian writing and
children’s books.
x Hardy’s work shows the exploration of moral issues and responsibility. His
protagonists are individuals whose natures make them outsiders even as
they fall victim to the changing economic, social and sexual mores.
x Together with the increase in objectivity given by outsiders, who permitted
a different view of English society—or, in Conrad, Kipling, and Forster, a
clearer depiction of colonialism and its effects—there can also be found a
greater degree of subjectivity in the novels of writers whose concern was
more with the inner life of characters.
x D. H. Lawrence’s novels present the reader with a personal interpretation
of life. He is concerned with the basic problems of human existence and
with man’s relationship with others and the larger universe around him.
x By the beginning of the nineteenth century a marked change had taken
place in intellectual life. It influenced not only literature but also art, music,
philosophy; it manifested itself not only in England but also in Germany and
France.
x The second generation of the Victorian novelists was more ‘literary’ but
‘popular’ than the first. They put more ‘academic’ flavour in their writings,
and more poetic imagination.
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x Victorian Age is especially known for novels produced in this period.

Different kinds of sermons, political pamphlets, essays, and
autobiographies were written thus the age is famous for its various kinds if
writings.
x The term ‘literary realism’ is regularly applied to 19th century fiction. The
novels Defoe, Richardson and Fielding wrote between 1719 and the 1750s
can be read as precursors.
x The Victorians Victorianisms is implicit in their sense of social responsibility.
This is a trait that creates an obvious difference between them and their
predecessors, the Romantics.
x Charles Dickens was the main example of the Victorian novelist. His
characters took on a life of their own beyond the page. He wrote what the
public wanted but also commented on social issues of that time.
x Children’s literature also flourished during the Victorian period. Some of the
stories that have become world famous are the works of Lewis Carroll,
notably Alice’s Adventures in Wonderland and Anna Sewell’s classic
animal novel Black Beauty.
6.6 KEY WORDS
x Sonnet: A sonnet is fundamentally a dialectical construct which allows the

poet to examine the nature and ramifications of two usually contrastive
ideas, emotions, states of mind, beliefs, actions, events, images, etc., by
juxtaposing the two against each other, and possibly resolving or just
revealing the tensions created and operative between the two.
x Picaresque: Belonging to or characteristic of a type of prose fiction that
features the adventures of a roguish hero and usually has a simple plot
divided into separate episodes.
x Idealism: An approach to philosophy that regards mind, spirit, or ideas as
the most fundamental kinds of reality, or at least as governing our
experience of the ordinary objects in the world.
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An Introduction to

1. George Eliot’s novels focus on social and philosophical concerns and moral
commitment. In novels like Daniel Deronda and Middlemarch she
touches the concerns of her age. She also wrote Adam Bede, Silas Manor
and Mill on the Floss. These show her concern for the outsider in society.
2. D. H. Lawrence’s novels present the reader with a personal interpretation
of life. He is concerned with the basic problems of human existence and
with man’s relationship with others and the larger universe around him. His
novels reflect a hatred of the mechanized world and a love of the primitive.

1. In England the rise of Methodism, from the teaching of John Weslely, made
religion a vital and personal experience, revealed its social responsibilities
and became a recognized and political factor. The literary aims and ideals
of the eighteenth century were swept aside.
2. Originally known as the Tractarian Movement, the Oxford movement is the
name commonly applied to the revival of the doctrines and practices of an
earlier age that took place in the Church of England in the beginning years
of the Victorian era.
3. Although, Dickens and Thackeray were both journalists and adequately
educated to grasp the crosscurrent of ideas in their time, they were not
‘learned’ in the sense George Eliot, George Meredith and Thomas Hardy
were. These later novelists wrote powerful love tragedies in novels like The
Mill on the Floss, Tess of the D’ Urberville, Middlemarch and The
Return of the Native showing more sustained and serious treatment of
love than what was available in any novel of Dickens and Thackeray.

1. Victorian England was similar to the Elizabethan England in the sense that
both saw the growth of power, wealth and culture.
2. Sherlock Holmes was a detective created by Sir Arthur Conan Doyle.
165
An Introduction to
3. Some of the stories from the nineteenth century that have become world
famous are the works of Lewis Carroll, notably Alice’s Adventures in
Wonderland and Anna Sewell’s classic animal novel Black Beauty.
1. Write a short note on the writing style of Charles Dickens.

2. Why did the novel gain popularity in the 19th century?
3. Write a note on women novelists of the Victorian age.
4. Discuss the significant themes of novels of well-known writers of the
nineteenth century.
5. Write a short note on the works of Dickens and Thackeray as reflective of
nineteenth century fiction.
Hudson, W. H. 2006. Introduction to the Study of Literature. New Delhi: Atlantic

Publishers & Dist.
Hudson, W.H. 1999. An Outline History of English Literature. New Delhi:
Atlantic Publishers & Dist.
Abrams, M.H. 2004. A Glossary of Literary Terms. New Delhi: Wadsworth
Publishing Co Inc; International Ed edition.
Bhatnagar, Manmohan Krishna. 1999. Comparative English Literature. New
Delhi: Atlantic Publishers & Dist.
Rampal, Dushiant Kumar. 1996. Poetic Theory and Practice of T.S. Eliot. New
Delhi: Atlantic Publishers & Dist.
Patil, Mallikarjun. 1999. Thomas Hardy’s Poetry and Existentialism. New Delhi:
166
Reading Thomas Hardy’s
UNIT–7 READING THOMAS HARDY’S TESS OF THE

D’URBERVILLES
Objectives
x Summarize the plot of Tess of the d’Urbervilles
x Explain the character of Tess in Tess of the d’Urbervilles
x Evaluate the role of fate in Tess of the d’Urbervilles
Structure
7.1 Introduction
7.2 Thomas Hardy
7.3 Plot Overview: Tess of the d’Urbervilles
7.4 Primary Characters of Tess of the d’Urbervilles
7.5 Summary
7.6 Key Words
7.1 INTRODUCTION
This unit deals with one of the most prominent works of Thomas Hardy. Thomas
Hardy was one of the great English novelists and poets of the late nineteenth century.
He was more committed to the metaphysical issues than he was to the various social
issues that preoccupied many novelists of the late nineteenth century. His major
novels are Far From the Madding Crowd (1874), A Pair of Blue Eyes (1873),
Tess of the d’Urbervilles (1891) and Jude the Obscure (1895). Tess of the
d’Urbervilles as a Victorian novel explores the themes of fate and chance, along
with those of love, seduction and betrayal. When Tess of the d’Urbervilles
appeared in 1891, Hardy was an established writer. Through this novel, Hardy
criticizes some of the ills prevalent in the Victorian society. As such this novel serves
as a link between the late-Victorian literature of the late nineteenth century and that
of the modern era.
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7.2 THOMAS HARDY
Thomas Hardy was a Victorian novelist. Born in 1840, Hardy came from a humble
background. His mother, who worked as a domestic help and a cook, instilled in
him the love for reading literature. His father was a mason but loved playing the violin
at the church choir. This led to Hardy’s love for music. Hardy spent most of his life
in the county, which is reflected in his work. In fact, he had built a fictional world of
Wessex which is reflected in his novels. After his school education, he was trained as
an architect and worked as an apprentice for many years.
Gibson points out that Hardy’s six year architectural training at Dorchester had
an influence on him as a novelist and his novels are found to have a careful planning
of an architect. Gibson gives the example of the seven phases of Tess’ life into which
the book is divided, which provides a meticulous worked out structure. He also
adds that the novel is full of symmetries and parallels.
Thomas Hardy
Hardy started by writing poetry, but was unsuccessful in getting anything published.
In fact, his first novel Desperate Remedies was published anonymously in 1871, but
his first success was with the novel Far From the Madding Crowd in 1874
although A Pair of Blue Eyes (1873) and Under the Greenwood Tree (1872) had
been published before that. Hardy had finished writing Tess of the d’Urbervilles by
1889, but the publishers had issues with the content and he had to drastically delete
portions. The novel was finally out in 1891 with many changes from the original.
Inspite of this, the novel faced a lot of criticism on grounds of the depiction of purity
168
and morality. Still, the novel received much acclaim and popularity. His next novel,
Jude the Obscure (1895) created a bigger furor as it was a take on the sanctity of
marriage.
It is said that Hardy had witnessed a public execution of a woman in his youth,
which haunted him throughout his life and it is believed that this experience has been
portrayed in his novel Tess of the d’Urbervilles published in 1891.
Background to Victorian Era

The Victorian era is often known as the age of twilight, the time between light and
darkness. It was actually the period of transition, the change from one ideology to
the other. The two major changes in this period, which shaped the thinking and,
hence the writing, of the era were the Industrial Revolution and the publishing of
Charles Darwin’s book, The Origin of Species in 1859. The Victorian Age
(1832 – 1901) has also been an age of expansion, starting with the First Reform Bill
in 1832, even before the coming of Queen Victoria in 1837. It was in 1846 that the
Corn Laws were repealed. This era also saw the Franco-Prussian War in 1870–71.
During the long reign of Queen Victoria (1837–1901), England reached the
highest point of development as a world power. In the eighteenth century, the pivotal
city of Western civilization was Paris, but by the second half of the nineteenth
century, this centre of influence shifted to London. The progress in the material world
was extremely rapid. The shift was from a way of life based on the ownership of
land to a modern urban economy, based on manufacturing. The harnessing of steam
power for railways, the coming up of printing press, introduction of telegraph,
compulsory education—were some of the new developments being witnessed in
England. Being the first country to become industrialized, it had the advantage of
capturing markets all over the globe. However, this also had a negative impact. The
focus shifted from being mainly an agricultural country to an industrial country. The
transformation was also a period of stress and difficulty. If there was orthodoxy and
an extremely stringent moral code at one hand, there was progress at the other end.
There was nostalgia for the past values and an unease for the rapid commercial
success. The poor could not graze their cattle as the grounds were all enclosed now.
The machine brought the dehumanization and reduction of man.
The Victorian class was largely divided into the middle class and the
underprivileged class (the artisans, peasants and the factory workers). The Victorian
society was also a society of compromise. First, there was a compromise between
169
science and religion, second between economics for the rich and poor, third on
politics and lastly on sex.
Although, there were traces of romanticism in Victorian literature, science had
destroyed the ability to imagine. The Romantics did not have to look for a theme
outside, but searched for a world within.
Darwin’s theory was a blow to the theory of the creation of man and also the
attitude towards nature, as taken by the Romantics. The poets expressed their
doubts intellectually. Science had taken away what they had, but could not replace
it with anything. Man had become a man in anguish, was denied what he wanted.
This was the death of an age, an age of spiritual bankruptcy where a sense of
alienation prevailed.
1. Mention the prominent works of Thomas Hardy.

................................................................................................................
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................................................................................................................
2. State the two major changes that influenced the Victorian Era.
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7.3 PLOT OVERVIEW: TESS OF THE D’URBERVILLES
Tess of the d’Urbervilles, written by Thomas Hardy, has been divided in seven
phases.
Phase the First: The Maiden, I-XI

The opening of the novel sets the time and place of the story. It is set in the village
of Marlott near Blackmoor. Jack D’Urbervilles is informed by Parson Tringham that
he was the ‘lineal representative of the ancient and knightly family of the
d’Urbervilles.’ This is a take by Hardy on the social class consciousness as well. The
name d’Urbervilles changes into Durbeyfield, once the family becomes poor.
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Soon Tess is introduced and her beauty is described, as that of a ‘fine and
handsome girl’ with ‘large innocent eyes.’ Hardy goes on to describe her virtue,
when he says, ‘Tess Durbeyfield at this time of her life was a mere vessel of emotion
untinctured by experience.’
It is when Tess and the other women, were dancing in their white frocks when
Angel Clare is introduced to us. He was amused that girls were dancing without
partners, and he joined them. Although Tess also wanted to dance with him, she
could not as the church clock struck and he had to leave. However, ‘As he fell out
of the dance his eyes lighted on Tess Durbeyfield, whose own large orbs wore, to
tell the truth, the faintest aspect of reproach that he had not chosen her. He, too, was
sorry then that, owing to her backwardness, he had not observed her; and with that
in his mind he left the pasture.’
This was the first meeting of Tess and Angel.
When Tess returns to the cottage, we are introduced to her mother and her
siblings—twelve and a half year old sister Eliza-Louisa who was lovingly called Liza-
Lu, nine-year-old Abraham, two more sisters, Hope and Modesty, then another
brother who was three years old and the youngest one who had just completed a
year. We see the sensitive side of Tess who is worried for her father, as he had not
returned till then. There is a brief mention to Jack’s heart condition too, which
connects to his death later in the book. Mrs Durbeyfield goes to Rolliver’s Inn to
fetch her husband, and in turn advises him to send Tess to the d’Urbervilles who
lived in Trantridge to ‘claim kin’. Mrs Durbeyfield was sure that the family would be
related to them, and hence Tess could be married off well.
When Mr and Mrs Durbeyfield do not return, Tess comes with Abraham to
fetch them. Seeing the drunken state that her father was in, she realizes that he is in
no position to take the hives to the market, and therefore, she decides to go herself.
Tess leaves with her younger brother, Abraham in their ‘rickety little wagon’
which was already full. Tess led out Prince, the horse, which was ‘only a degree less
rickety than the vehicle.’ Being exhausted, she falls asleep, resulting in the
catastrophe of the death of Prince. The morning mail cart had rammed into the
wagon and the pointed shaft of the cart had pierced the horse, killing him. The
description of blood on the road, Tess’ hands and dress and finally Tess’ blaming
herself for her negligence, leads to the further development of the story. Though she
was attempting to help the family, she holds herself responsible for the death of the
horse, which was crucial for the livelihood of the family.
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Tess goes to Trantridge to meet the rich d’Urbervilles, much against her wishes,
largely because she held herself responsible for the death of the horse, and hence,
the subsequent poverty of the family.
We are told that the d’Urbervilles aren’t actually the d’Urbervilles but Stokes.
Mr Simon Stokes had made a lot of money ‘in the North and decided to settle as a
county man in the South of England’ and after ‘conning for an hour in the British
Museum the pages of works devoted to extinct, half-extinct, obscured, and ruined
families appertaining to the quarter of England in which he proposed to settle, he
considered that d’Urberville looked and sounded as well as any of them.’ So, in
actuality, they were not related to Tess and her family. This also leads to Hardy’s
take on social status where this is another stance of the changing of the name due to
the social status.
Tess meets Alec, the son of Simon Stokes and informs him of the relation and
her state of financial condition. Alec is introduced as a typical negative character,
who emerges from the tent, smoking.
Hardy in Tess of the d’Urbervilles remarks: ‘He had an almost swarthy
complexion, with full lips, badly moulded, though red and smooth, above which was
a well-groomed black moustache with curled points, though his age could not be
more than three- or four-and-twenty. Despite the touches of barbarism in his
contours, there was a singular force in the gentleman’s face, and in his bold rolling
eye.’
Although, Tess wished to cut down her visit as much as possible because she
was getting very uncomfortable in his presence, Alec pressed her to accompany him
to the lawns, flower-beds, conservatories, fruit gardens and the green house; and
insisted on feeding her with a strawberry with his own hand. While Tess was leaving,
Alec gave her a basket of strawberries and even plucked some roses for her. On her
way back home, while Tess was removing the roses from her hat and dress, one
thorn pricked her chin, and Tess thought of it as an ill omen.
By the time, Tess reached home, a letter had already arrived from the
d’Urbervilles, offering her a job to look after the poultry farm. Much against her
wishes, she accepted the offer under the pressure from her family. Alec also called
up to enquire when she would start working.
We also find that Mrs Durbeyfield has hopes that Alec would marry Tess. She
insists that Tess goes in her finest clothes.
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While they were waiting to be picked up, instead of a ‘humble cart’, Alec
himself came to pick up Tess. Initially, Mrs Durbeyfield is very excited thinking
about the prospects of her daughter, but later in the night she is scared. Trying to
console herself, she wishes that Tess plays her ‘trump card’ right and adds, ‘if he
don’t marry her afore he will after’. Hardy further shows the carelessness of a
mother who has pushed her sixteen-year-old innocent daughter in a world full of all
dangers. The drunken state of the mother and this casual temperament of the
mother, sets the tone of the tragedy that was to follow.
Tess’ fears of Alec turn true at every step. He did not waste any time in planting
the ‘kiss of mastery’ on her cheeks, bringing Tess to tears, who implored, ‘I don’t
want anybody to kiss me.’ With this kiss, Hardy clearly indicates the sexual assault
that was to come later in the plot.Tess goes on to discover that Mrs d’Urberville
was blind, further paving way for the tragic events to follow.
A strange custom prevailed in Tantridge. Every Saturday night, the men and
women would go to a market town, two to three miles away, get drunk only to
return in the wee hours of Sunday morning. Tess also went a couple of time, till one
Saturday in September, when she went to discover that it coincided with a fair too,
and she felt lost looking for the people with whom she had come. And ‘her eyes fell
upon Mr d’Urberville standing at a street corner’, who offered her a lift back home.
Tess, being very tired, and scared to return alone, as the rest of the group was still
dancing in a drunken state, reluctantly agreed to it. Alec stopped at the woods,
away from Tantridge and casually informed Tess that he had sent a new horse to her
father to please her. Alec even informed her that he had sent toys for her siblings too,
asking if she loved him. To this Tess just replied that she was grateful and slowly she
slept off, ‘She was sleeping soundly, and upon her eyelashes there lingered tears.’
The first phase ends with Alec next to sleeping Tess in the woods where ‘darkness
and silence ruled.’
Phase the Second: Maiden No More, XII-XV

The second phase starts on a Sunday morning in late October, a few weeks after the
night ride at the woods in The Chase, with Tess lugging a basket and a bundle. She
is stopped by Alec who asks her where she was going. After a brief conversation,
Tess mournfully tells him, ‘I have never really and truly loved you, and I think I never
can.’ After hearing this, Alec bid her goodbye and rode off. When Tess reaches
home, she confides in her mother, who reproaches her for not being able to
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persuade Alec in marrying her. Tess’ heart breaks when her mother says, ‘You ought
to have been more careful if you didn’t mean to get him to make you his wife!’ and
she bursts out ‘How could I be expected to know? I was a child when I left this
house four months ago. Why didn’t you tell me there was danger in men-folk? Why
didn’t you warn me? Ladies know what to fend hands against, because they read
novels that tell them of these tricks; but I never had the chance o’ learning in that
way, and you did not help me!’, thus, subduing her mother.
Hardy makes references to the rise of the industrial revolution, indicating the use
of machines in the farms, ‘The reaping-machine left the fallen corn behind it in little
heaps, each heap being of the quantity for a sheaf.’
Tess continues to live with her parents, more in seclusion, trying to avoid all. She
finally gives birth to a son, who dies very soon. Hardy talks at length of the struggle
that she has to go through to get him baptized. The Vicar refuses to the do the same.
Tess buries the child herself the ‘shabby corner of God’s allotment where He lets the
nettles grow, and where all unbaptized infants, notorious drunkards, suicides, and
others of the conjecturally damned are laid’ and christens him Sorrow.
Then in one spring, Tess receives a letter from one of her mother’s friend for a
job for a milkmaid and she decides to move on.
Phase the Third: The Rally, XVI-XXIV

Tess left her home for the second time. She started to work as a milkmaid at the
farm of Dairyman Crick, where she meets Angel Clare. He was the son of a parson
and the same person whom Tess had seen at the beginning of the novel, and had
wanted to dance with him but could not get an opportunity to do so. Clare was
attracted to Tess and noticed how different she was from the rest of the milkmaids.
He thought to himself, looking at her, ‘What a fresh and virginal daughter of Nature
that milkmaid is’. This is Hardy’s comment on how Clare was assuming Tess to be
‘pure’ and chaste.
Time passed, and as Hardy writes, ‘Seasons developed and matured’. With the
passage of time, a fondness grew between Tess and Clare. For him, ‘she was no
longer the milkmaid, but a visionary essence of woman—a whole sex condensed
into one typical form’.
By the end of the third phase, Clare confesses his love for Tess.
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Phase the Fourth: The Consequence, XXV-XXXIV

Clare visits his family and discusses his future plans and prospects with his father.
Clare informs him that he planned to a be farmer, either in England or in the colonies
and told him that he wanted to marry a woman who could work at the farm, as in
milk the cows, churn butter, make cheese and so on. But his father added, that a
pure and saintly wife would be a better option, and suggests Mercy Chant, a
neighbour’s daughter as a suitable wife for him. Clare then tells his parents (his
mother also joining in the conversation) about Tess and his wish to marry her.
Although he did not tell her particulars, as he thought that his parents were ‘single
minded’ and had ‘prejudices’ of the ‘middle classes.’ Clare returns and proposes to
Tess to which she refuses, although confesses her love for him.
Tess’ refusal to marry Angel, makes him upset but he does not deter in his
determination. He keeps on persuading Tess but she is tormented at the idea of
revealing to him her past. Clare goes on wooing her and ultimately she agrees to
marry him.
Tess writes a letter to her mother informing her about her decision to marry
Angel Clare, to which she gets a prompt reply, with the advice of ‘that on no
account do you say a word of your bygone trouble to him.’
A few days before the wedding, Tess and Clare bump into someone from
Tantridge who recognizes Tess and calls her a ‘comely maid’, insuriating Clare to the
extent that he hits him. Later Clare tells her that he had hit that person as he had
insulted Tess. This leads her to decide on the indecisive ground that she had been
standing for so long, to tell Clare about what had happened to her three- four years
ago, and she wrote down everything in a letter, and slipped it under his door.
In the morning, Clare kissed her as before and Tess kept on wondering if he had
simply forgiven her. In the next two-three days, when Clare does not react to
anything, Tess goes to find out if he had read the letter and finds the sealed envelope
under the carpet! Clare was still unaware of the bitter truth of her life. And now there
was no time to tell him anything as both were so on getting married. Hardy points
out to the pivotal role of the element of fate played here.
Finally, Tess and Clare get married. Hardy tells us about her devotion to Clare
that she herself thought it might be an ill-omen as she used to worship him. Even
Clare knows that she was deeply in love, and as Hardy has put it, ‘Clare knew that
she loved him—every curve of her form showed that—but he did not know at that
175
time the full depth of her devotion, its single-mindedness, its meekness; what long-
suffering it guaranteed, what honesty, what endurance, what good faith.’
They go to an old mansion to spend some day by themselves. They receive a
packet from Clare’s father with a letter informing him that Clare’s godmother, Mrs
Pitney, had left a portion of her jewel case for his wife, which he was sending now.
Clare makes Tess wear all the jewellery, the necklace with pendant, bracelets, ear
rings, and thinks to himself how pretty his wife looked.
The same night, Clare starts a conversation by making a confession. He tells his
wife about an involvement with a woman and asks for her forgiveness. To this Tess
exclaims, ‘O, Angel—I am almost glad—because now you can forgive me! I have
not made my confession. I have a confession, too—remember, I said so.’ Then she
continues with the story that was heavy on her heart for months. ‘Their hands were
still joined. The ashes under the grate were lit by the fire vertically, like a torrid
waste. Imagination might have beheld a Last Day luridness in this red-coaled glow,
which fell on his face and hand, and on hers, peering into the loose hair about her
brow, and firing the delicate skin underneath. A large shadow of her shape rose upon
the wall and ceiling. She bent forward, at which each diamond on her neck gave a
sinister wink like a toad’s; and pressing her forehead against his temple she entered
on her story of her acquaintance with Alec d’Urberville and its results, murmuring
the words without flinching, and with her eyelids drooping down.’
Phase the Fifth: The Woman Pays, XXXV-XLIV

The next phase starts and we see a different Clare. After hearing Tess’ confession his
first reaction was why had she not told him all this earlier and turns away. When Tess
pleads to him, ‘In the name of our love, forgive me! I have forgiven you for the
same!’Clare responds by saying, ‘O Tess, forgiveness does not apply to the case!
You were one person; now you are another. My God—how can forgiveness meet
such a grotesque—prestidigitation as that!’ Clare goes on to repeat that the woman
he had been loving was not her.
Hardy points out the poignant difference in the attitude of Angel Clare. Although
he had been declaring his love for Tess, his actions were now not supporting his idea
of love. He too seemed a pawn at the hands of the middle class morality of the
Victorian society. Tess repeatedly asks for forgiveness to which Clare replied though
he had forgiven her he could not love her anymore. Tess kept on pleading and telling
him that the misfortune occurred when she was just sixteen. Clare goes on to say
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things against the entire womankind in general and expresses the fact that he is
unable to come to terms to the fact that Tess is not ‘pure’ not as a question of
respectability but one of principle. He even wanted to know if the man with whom
Tess had a sexual encounter was alive and in England.
Clare declares his decision to go to Australia and build a farm there. Tess,
therefore, also tells him that she would go home. While parting, very meekly Tess
asks if she could at least write to him to which he replies, ‘O yes—if you are ill, or
want anything at all. I hope that will not be the case; so that it may happen that I write
first to you’, hinting that she should not get in touch with him at all.
Tess reaches her home and sobbingly tells her mother that she had confided in
her husband inspite of being warned by the mother not to mention anything to her
husband, and now her husband had abandoned her.
Three weeks after his marriage, Clare finds himself going to his father’s house.
He informs his surprised parents that his wife was at her mother’s house,
‘temporarily’ and he was going to Brazil.
Clare’s mother wanted to know if Tess was ‘pretty’ as well as ‘pure and
virtuous’ to which Clare replied in the affirmative. Clare’s father read out a verse
from The Bible:
Who can find a virtuous woman? for her price is far above rubies. She riseth while
it is yet night, and giveth meat to her household. She girdeth her loins with
strength and strengtheneth her arms. She perceiveth that her merchandise is
good; her candle goeth not out by night. She looketh well to the ways of her
household, and eateth not the bread of idleness. Her children arise up and call her
blessed; her husband also, and he praiseth her. Many daughters have done
virtuously, but thou excellest them all.
Listening to this, Clare is heart broken. Hardy takes a stand on religion and
morality and the double standards in the Victorian society.
The next day, Clare meets Mercy Chant. He later goes to the local banker to
deposit the jewellery and paid the bank thirty pounds to be sent to Tess at her
parents’ house in some months. He had earlier given her fifty pounds before she was
leaving.
Tess had left twenty-five pounds with her mother and went off to a dairy to
work in the summers. She wanted to keep herself busy and also earn money, for
herself, and if possible, for her family too. After the harvest, Tess finds it difficult to
get work. Things get difficult for her. In Brazil, they are difficult for Clare as well,
who falls sick with bad fever.
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When Tess was looking for more work, she would get compliments for her
looks. In order to ‘keep off casual lovers’, Tess ‘tied it round her face under her
bonnet, covering her chin and half her cheeks and temples, as if she were suffering
from toothache. Then with her little scissors, by the aid of a pocket looking-glass,
she mercilessly nipped her eyebrows off.’ Here, Hardy expresses the importance of
physical beauty of a woman.
Tess gets work at Flintcomb-Ash Farm and having started working, she realizes
that it was the farm, about which Clare had hinted. He was nasty to her but she
continues to work calmly. Tess was worried about not hearing from Clare, and
decides to visit his parents in Emminister Vicarage to find out if all was well with him.
She walks upto there but before she could get to Clare’s parents, she overhears his
brothers talk of Angel Clare’s ‘ill-considered marriage’ to a ‘dairymaid.’ After
hearing this, Tess does not have the courage to go and speak to Clare’s parents and
returns to the farm where she was working. This once again shows the working of
chance in the novel. It was just by chance that Tess overhears Clare’s brothers
speaking ill of her and decides not to meet his parents.
Heartbroken, while returning to her village, she overhears a preacher, giving a
sermon.There were many villagers gathered around him, listening to what he was
preaching. Tess was shocked to find that the preacher was Alec d’Urberville!
Phase the Sixth: The Convert, XLV-LII

In the last four years, ever since she had left Tantridge, she had neither seen nor
heard of Alec. Here, she finds him as a convert, talking of his past, telling the people
that earlier he too was a sinner. Tess notices the difference in him, ‘It was less a
reform than a transfiguration. The former curves of sensuousness were now
modulated to lines of devotional passion.’
She hears him, and when is about to leave, he spots her. He follows and tries
to tell her about his conversion. Alec informs her, that a clergyman, (actually Mr
Clare, senior, the father of Angel Clare) had come to Tantridge and had given a
sermon which had just changed his heart. When Alec enquired about her well-
being, she only told him of the misfortune that was directly related to him, the first
one. He was silenced and Tess told him that she did not wish to see him and
moved on.
After a few days, when Tess was working in the fields, Alec turns up and offers
to marry her. She refuses and gives the reason for the same that neither she did not
178
have any affection for him nor could she ever forgive him. Tess even added that she
loved somebody else.
Alec is surprised to know that Tess was in love with somebody else. She
informs that although she was married to him yet he was away from her. This makes
Alec figure out that Tess was deserted by her husband.
That night, Tess writes a letter to Angel Clare, not telling him about her hardships
but just enquiring about him and telling him how much she loved him. She had sent
the letter to the address of his parents, the senior Mr Clare who forwards the same
to his son in Brazil. Angel Clare who had been very unwell, had recovered by now
and realized that he had misbehaved with Tess.
One day, Tess, younger sister, Liza Lu appears at her door, telling her that their
mother was sick and their father was refusing to work because of his knowledge of
his lineage! Tess immediately returns to her parents house.
Tess looks after her unwell mother. She would work in the evening to keep
the family going. One evening, she saw someone coming towards her, and
recognized him as Alec. He offers help which she refuses and Alec leaves in
anger. When Tess returns she discovers that her father had passed away due to
a heart attack.
To make matters worse for the family, the local farm owners would evict the
Durbeyfield family after the death of Mr Durbeyfield. When everyone from the
family had gone to look for some place to move, and Tess was all alone in the house,
Alec pays her a visit. He tries to tell her that her husband would never return to her
and she should move to the garden house at Tantridge, which after the death of his
mother was lying vacant. She tells him that her views for him would not change but
Alec tries to convince and leaves saying that he would try to change her opinion and
would wait for her the next day. Although she does not want to go, the idea of a roof
over the head of her family and her siblings being able to go to school moves her.
Next we find Tess writing a letter to Clare in a fit of anger and sends it off before
reading it again. The letter read as: ‘O why have you treated me so monstrously,
Angel! I do not deserve it. I have thought it all over carefully, and I can never, never
forgive you! You know that I did not intend to wrong you—why have you so
wronged me? You are cruel, cruel indeed! I will try to forget you. It is all injustice I
have received at your hands! T.’
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Phase the Seventh: Fulfilment, LIII-LIX

Angel Clare returns to his parents house. His mother is shocked to see him so weak.
Now he wanted to reach out to Tess but is unable to do so. He even writes to Mrs
Durbeyfield and gets this response,
Sir,
I write these few lines to say that my Daughter is away from me at present, and I
am not sure when she will return, but I will let you know as Soon as she do. I do
not feel at liberty to tell you Where she is temperly biding. I should say that me
and my Family have left Marlott for some Time.—
Yours,
J. DURBEYFIELD
Clare is confused and sets out to look for his wife. Finally, he finds Mrs Durbeyfield
and begs her to give him Tess’ address. All she tells him was that Tess was at
Sandbourne and she herself did not know the exact address. Clare sets out to find
his wife, though a little puzzled as what his country wife would be doing in a city
known for wealth and fashion. He tried to find out from some postmen the address
of Mrs Clare. When he did not succeed, he tried for Miss Durbeyfield. One of the
postman gave him the address of one Mrs d’Urberville. This pleased Clare, thinking
she had reverted to the real pronunciation now.
Clare rushes to the address given and saw it was a villa and hence assumes that
Tess was working as a servant. He gives the name ‘Angel’ to the woman who opens
the door and finds her:
Tess appeared on the threshold—not at all as he had expected to see her—
bewilderingly otherwise, indeed. Her great natural beauty was, if not heightened,
rendered more obvious by her attire. She was loosely wrapped in a cashmere
dressing-gown of gray-white, embroidered in half-mourning tints, and she wore
slippers of the same hue. Her neck rose out of a frill of down, and her well-
remembered cable of dark-brown hair was partially coiled up in a mass at the back
of her head and partly hanging on her shoulder—the evident result of haste.
Clare asks for forgiveness to which Tess replies that that it was too late and
informs him, ‘He has won me back to him.’ She continues, ‘He is upstairs. I hate him
now, because he told me a lie—that you would not come again; and
you have come! These clothes are what he’s put upon me: I didn’t care what he did
wi’ me! But—will you go away, Angel, please, and never come any more?’ saying
this, she goes upstairs.
The landlady, Mrs Brooks overheard part of the conversation. She tiptoes after
Tess and hears some more between Tess and Alec but unable to figure out comes to
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her room and in some time sees Tess going out of the house. After a while, Mrs
Brooks spots a red spot on the ceiling and finds it increasing and realizes that it was
blood. Rushing upstairs, she finds Alec stabbed to death.
In the meanwhile, Clare had reached his hotel and there he receives a telegram
from his mother informing that Mercy Chant had agreed to marry his brother. He
leaves for the station, waiting for the next train. There he sees Tess running and
coming towards him, panting and breathless. She informs him, ‘I have done it—I
don’t know how. Still, I owed it to you, and to myself, Angel. I feared long ago,
when I struck him on the mouth with my glove, that I might do it someday for the
trap he set for me in my simple youth, and his wrong to you through me. He has
come between us and ruined us, and now he can never do it anymore. I never loved
him at all, Angel, as I loved you. You know it, don’t you? You believe it? You didn’t
come back to me, and I was obliged to go back to him. Why did you go away—
why did you—when I loved you so? I can’t think why you did it. But I don’t blame
you; only, Angel, will you forgive me my sin against you, now I have killed him? I
thought as I ran along that you would be sure to forgive me now I have done that.
It came to me as a shining light that I should get you back that way. I could not bear
the loss of you any longer—you don’t know how entirely I was unable to bear your
not loving me! Say you do now, dear, dear husband; say you do, now I have killed
him!’
Clare is equally shocked to know that Tess has actually killed Alec, but swears
never to leave her again. They walk for about twenty miles till they find an
abandoned mansion and decide to spend the night there. They hide in that house for
a couple of days but eventually leave, planning to go to a port and sail away.
Tired of walking, Tess talks of her younger sister, Liza Lu and makes Clare
promise to, ‘She is so good and simple and pure. O, Angel—I wish you would
marry her if you lose me, as you will do shortly. O, if you would!’ Finally, Tess falls
asleep and in the morning, Clare finds out that they were surrounded by the police.
When Tess wakes up, she asks her husband, ‘Have they come for me?’ and getting
an answer in the affirmative, she add, ‘It is as it should be. Angel, I am almost
glad—yes, glad! This happiness could not have lasted. It was too much. I have had
enough; and now I shall not live for you to despise me!’
In the last chapter, we find Liza-Lu and Angel Clare in the city of Wintoncester,
outside the prison. After sometime, they see a black flag on a pole, which meant the
execution of Tess.
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Hardy ends the novel in this manner:

The two speechless gazers bent themselves down to the earth, as if in prayer, and
remained thus a long time, absolutely motionless: the flag continued to wave silently.
As soon as they had strength, they arose, joined hands again, and went on.
7.4 PRIMARY CHARACTERS OF TESS OF THE

D’URBERVILLES
Some of the important characters of the novel are discussed as follows:

Tess Durbeyfield
Tess, the protagonist of the novel is a sixteen year old girl in the beginning of the
novel. As the story progresses, she is seen going through various hardships, largely
to assist family, to provide them with livelihood. Fate plays a crucial role in her life
and finally she succumbs to her misfortune by the end of the novel.
Although Tess’ physical beauty is perpetually described by Hardy throughout the
novel, it is her inner strength, character and her conviction that shines through as
well. As the main plot of the novel and the further developments in the story are
based on a sexual encounter, the author has described the physical beauty of Tess in
immense detail. When Mrs Durbeyfield takes Tess dressed in beautiful clothes to
Tantridge, Hardy describes it in the following manner:
Then she put upon her the white frock that Tess had worn at the club-walking, the
airy fulness of which, supplementing her enlarged coiffure, imparted to her
developing figure an amplitude which belied her age, and might cause her to be
estimated as a woman when she was not much more than a child.
Even Clare looks fondly at Tess and notices her physical beauty and remarks:
How very lovable her face was to him. Yet there was nothing ethereal about it; all
was real vitality, real warmth, real incarnation. And it was in her mouth that this
culminated. Eyes almost as deep and speaking he had seen before, and cheeks
perhaps as fair; brows as arched, a chin and throat almost as shapely; her mouth
he had seen nothing to equal on the face of the earth.
Hardy arouses sympathy of the readers when Tess, a sixteen-year-old girl is sent
to face the outside world to help her parents and siblings. It is for her family living in
poverty that she goes to Tantridge to ‘claim kin’ and in turn gets seduced by Alec.
Her father is always in a drunken state. And her mother, who despite being aware of
the dangers and shortcomings, sends her daughter to the d’Urbervilles which further
adds to the tragedy. Her sensitivity is showcased throughout the novel. Even Alec
comments, ‘You are mighty sensitive for a cottage girl!’
The readers sympathy increases for her with the birth, followed by the illness and
subsequently the death of Sorrow, Tess’ illegitimate child, whom she struggles to
182
christen and bury. Even the vicar who refuses to baptize her child speaks of her
conviction along with love, ‘Yet the dignity of the girl, the strange tenderness in her
voice.’
Hardy describes the transformation of Tess in the following manner:
Almost at a leap Tess thus changed from simple girl to complex woman. Symbols
of reflectiveness passed into her face, and a note of tragedy at times into her
voice. Her eyes grew larger and more eloquent. She became what would have
been called a fine creature; her aspect was fair and arresting; her soul that of a
woman whom the turbulent experiences of the last year or two had quite failed to
demoralize. But for the world’s opinion those experiences would have been simply
a liberal education.
Tess’ problems never seem to end. Even when she finds a man who loves her;
abandons her the moment he gets to know of her past. Her misery continues and
finally, she is executed as she kills the man who had spoiled her life. It is Tess who
always pays a price.
Hardy does not consider Tess as a sinner and that is the reason why he sub-
titled the novel as ‘A Pure Woman’. However, the Victorian society did not like the
idea of Tess being ‘pure’ and bitterly attacked Thomas Hardy for the same. For the
Victorians, purity meant chastity and Tess was not a virgin. Even the title of the fifth
phase is ‘The Woman Pays’. Hardy emphasizes the fact that ultimately it is the
woman who has to pay the price. Neither Angel nor Alec are the sufferers but it is
Tess who suffers as she is not a virgin.
Angel Clare
Angel Clare, youngest son of Reverend and Mrs Clare, decides to pursue his career
in farming, unlike the others in his family who entered the ministry, placing him in the
category of common folk. He is introduced right in the beginning of the novel, though
not with his name, when he dances with a group of girls, of which even Tess was a
part of. Hardy contrasts this with the character of Clare’s brothers, who are also
with him but do not dance with common village girls. Hence, Hardy has pointed out
a distinct trait of Angel Clare.
Later, as the story progresses, Angel Clare is the man who claims to be in love
with Tess and vows to stand by her in all circumstances. However, he abandons her
the moment he gets to know of her past. What is more ironical is that he too had a
similar past, which he expects his wife to understand and forgive him. However,
when Tess disclosed her past to Alec, the latter refused to forgive the former.
There are two men who come in the life of Tess. If Alec is the one who seduced
her, Angel Clare loved her. But if one looks at the story analytically, it is Angel Clare
183
who harms her more. Alec never loved Tess but was lustful. It was Angel Clare who
loved her but never stood up to his words. However, there are also references that
Clare too looked at Tess physically,
‘She had not heard him enter, and hardly realized his presence there. She was
yawning, and he saw the red interior of her mouth as if it had been a snake’s. She
had stretched one arm so high above her coiled-up cable of hair that he could see its
satin delicacy above the sunburn; her face was flushed with sleep, and her eyelids
hung heavy over their pupils. The brimfulness of her nature breathed from her. It was
a moment when a woman’s soul is more incarnate than at any other time; when the
most spiritual beauty bespeaks itself flesh; and sex takes the outside place in the
presentation.’
After disowning his wife, Angel Clare goes off to Brazil to pursue his career in
agriculture. It takes him a year of travelling and suffering (he is severely ill with fever)
to come back and look for his wife, whom he had wronged.
One can say that Angel Clare was a man who was impulsive by nature and took
decisions at the spur of the moment. Hardy develops his character in association
with other characters from the novel.
Alec d’Urberville
Alec d’Urberville, is actually not a d’Urberville but his father had adopted the name
after gaining material benefits. Alec is rich and sensuous and is introduced as a
typical negative character by Hardy:
The driver was a young man of three- or four-and-twenty, with a cigar between his
teeth; wearing a dandy cap, drab jacket, breeches of the same hue, white neckcloth,
stick-up collar, and brown driving-gloves.
From the very first scene, he is seen lusting after Tess, and leaves no stone
unturned to find ways to seduce her. In the very first meeting, he feeds her with
strawberries with his own hands. Tess, being of the tender age of sixteen, is too
naïve and vulnerable to be able to fend for herself. In addition, Alec tries to take
advantage of every possible misfortune that occurs in Tess’ life, right from the starting
point — the death of her horse.
Leaving Tess pregnant, to take care of herself and the little child, Alec never
bothers to find out what happens to them. He comes back in the story after Tess is
married and again abandoned by her husband, Angel Clare, for not being ‘pure’.
Alec continues to persuade her with all possible means to come back to him. As
earlier, he again takes advantage of her misfortune, now her father’s death.
184
In the end, Alec is stabbed to death by Tess after she realizes that he had again
persuaded her to live with him.
Minor Characters of Tess of the d’Ubervilles

Some of the minor characters of the novel are discussed as follows:
John Durbeyfield
John Dubeyfield, Tess’s father is a minor character in the novel. However, he serves
a certain purpose in the novel as well. He is uneducated and poor, drink to excess,
and is not a good provider for his family, leaving them destitute when he dies. The
novel starts with Dubeyfield learning that he is the last descendent of the d’Urberville
family. He hopes of profit from his ancestry, and sends Tess off to connect with the
wealthy d’Urberville-Strokes, which leads to her many misfortunes.
The narrator describes John’s character in two words, i.e., shiftlessness and
pride. The narrator describes him using the word ‘shiftless’, which is just a synonym
for lazy.
Joan Durbeyfield
Joan Durbeyfield, Tess’s mother might not appear too often, but she’s an important
character in the novel. She is relatively uneducated who still believes in old
superstitions. The narrator compares Tess to her mother in an early chapter in the
novel. In a way, Mrs Durbeyfield depicts pre-industrial England and all the traditions
that go along with that earlier time.
1. Why does Tess hold herself responsible for the death of her horse
‘Prince’?
................................................................................................................
................................................................................................................
................................................................................................................
2. How did Mr Simon Stokes take on the name of d’Urbervilles?

................................................................................................................
................................................................................................................
................................................................................................................
185
3. What was the usual custom that prevailed at Tantridge?

................................................................................................................
................................................................................................................
................................................................................................................
7.5 SUMMARY
x Thomas Hardy was a Victorian novelist. Born in 1840, Hardy came from a
humble background.
x Hardy started by writing poetry but was unsuccessful in getting anything
published.
x In fact, his first novel Desperate Remedies was published anonymously in
1871 but his first success was with the novel Far From the Madding
Crowd in 1874 although A Pair of Blue Eyes (1873) and Under the
Greenwood Tree (1872) had been published before that.
x The Victorian era is often known as the age of twilight, the time between
light and darkness.
x The Victorian class was largely divided into the middle class and the
underprivileged class (the artisans, peasants and the factory workers).
x Tess of the d’Urbervilles, written by Thomas Hardy, has been divided in
seven phases.
x Tess, the protagonist of the novel is a sixteen year old girl in the beginning
of the novel.
x As the story progresses, she is seen going through various hardships,
largely to assist family, to provide them with livelihood. Fate plays a crucial
role in her life and finally she succumbs to her misfortune by the end of the
novel.
x Hardy arouses sympathy of the readers when Tess, a sixteen-year-old girl
is sent to face the outside world to help her parents and siblings. It is for
her family living in poverty that she goes to Tantridge to ‘claim kin’ and in
turn gets seduced by Alec.
x Hardy does not consider Tess as a sinner and that is the reason why he
sub-titled the novel as ‘A Pure Woman’. However, the Victorian society
did not like the idea of Tess being ‘pure’ and bitterly attacked Thomas
Hardy for the same.
x Angel Clare, youngest son of Reverend and Mrs Clare, decides to pursue
his career in farming, unlike the others in his family who entered the ministry,
placing him in the category of common folk.
186
x Later, as the story progresses, Angel Clare is the man who claims to be in
love with Tess and vows to stand by her in all circumstances.
x There are two men who come in the life of Tess. If Alec is the one who
seduced her, Angel Clare loved her. But if one looks at the story
analytically, it is Angel Clare who harms her more.
x One can say that Angel Clare was a man who was impulsive by nature and
took decisions at the spur of the moment. Hardy develops his character in
association with other characters from the novel.
x Alec d’Urberville, is actually not a d’Urberville but his father had adopted
the name after gaining material benefits.
x From the very first scene, he is seen lusting after Tess, and leaves no stone
unturned to find ways to seduce her. In the very first meeting, he feeds her
with strawberries with his own hands.
x In the end, Alec is stabbed to death by Tess after she realizes that he had
again persuaded her to live with him.
7.6 KEY WORDS
x Catastrophe: It implies a great, often sudden calamity.

x Fate: It refers to the supposed force, principle, or power that
predetermines events.
x Romanticism: Romanticism was an artistic, literary, musical and
intellectual movement that originated in Europe toward the end of the 18th
century and in most areas was at its peak in the approximate period from
1800 to 1850.

1. The prominent works of Thomas Hardy are as follows:
x Far From the Madding Crowd (1874)
x Tess of the d’Urbervilles (1891)
x Jude the Obscure (1895)
2. The two major changes that influenced the Victorian era were the Industrial
Revolution and the publishing of Charles Darwin’s The Origin of Species
in 1859.
187

1. Tess holds herself responsible for the death of the horse as it was crucial for
the livelihood of the family.
2. Mr Simon Stokes had earned a lot of wealth in the North and decided to
settle as a county man in the South of England. After going through the
works in the British Museum which related tales of extinct and obscured
families that belonged to the quarter of England in which he desired to settle
down; Mr Stokes decided to take the name d’Urberville.
3. The usual custom that prevailed at Tantridge was that every Saturday night,
the men and women would go to a market town, two to three miles away,
get drunk only to return in the wee hours of Sunday morning.
1. What elements of the Victorian era are found in Thomas Hardy’s Tess of
the d’Urbervilles?
2. Examine the role played by religion in Tess of the d’Urbervilles.
3. The sub-title of the novel Tess of the d’Urbervilles is ‘A Pure Woman’. Is
Tess a ‘pure woman’? Substantiate your answers with reasons.
4. Compare and contrast the characters of Angel and Alec with reference to
Tess of the d’Urbervilles.
5. Is the fate that Tess goes through in the novel Tess of the d’Urbervilles,
justified? Give reasons for your answer.
6. Elaborate on the theme of love, seduction and betrayal in the novel, Tess of
the d’Urbervilles.
Blunden, Edmund. 1942. Thomas Hardy. New York: St. Martin’s Press.
Brennecke, Jr. Ernest. 1925. The Life of Thomas Hardy. New York: Greenberg.
Jedrzejewski, Jan. 1996. Thomas Hardy and the Church. London: Macmillan.
Johnson, Lionel Pigot. 1894. The Art of Thomas Hardy. London: E. Mathews.
Kandhari, Misha. 2009. Tess of the D‘urbervilles. New Delhi: Anmol Publications
Pvt. Ltd.
Sen, S. 2016. Tess of the D‘urbervilles. New Delhi: Unique Publishers.
Patil, Mallikarjun. 1999. Thomas Hardy’s Poetry and Existentialism. New Delhi:
188
Writing Memos and
Minutes
UNIT–8 WRITING MEMOS AND MINUTES
Objectives
x Analyse the procedure for drafting memos
x Discuss the procedure for recording the minutes of a meeting
x Differentiate between a memo and a business letter
Structure
8.1 Introduction
8.2 Memorandums
8.3 Minutes of Meeting
8.4 Summary
8.5 Key Words
8.1 INTRODUCTION
Memorandums and meetings are important management tools. In this unit, you will
learn about drafting memorandum and minutes of a meeting along with the
characteristics of effective meetings and the types of meetings based on their
objectives. A memorandum is a note, document or other communication that helps
the memory by recording events or observations on a topic, such as may be used in
a business office. You will, further, learn of the various steps involved in conducting
meetings writing the minutes of the meeting. Finally, you will be provided guidelines
for improving the effectiveness of meetings.
8.2 MEMORANDUMS
A memorandum is a written statement or record, especially one circulated for the

attention of colleagues at work. It relates to a note of something to be remembered.
The word memorandum came from the Latin word ‘memorare’ which means to
remember. In law, a memorandum means a document recording terms of contract.
The plural of memorandum is memorandums or memoranda. It is commonly known
by its abbreviation, viz., memo.
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Writing Memos and
Minutes
A memorandum is a means of inter-office correspondence. Memos are sent within

an organization from office to office or department to department. In large
organizations, memorandums are sent from head office to regional offices, branches,
divisions and so on. Memos are intended to be read and acted upon by executives,
branch managers, supervisors and all staff members as and when they are addressed
to them. Memos may also be referred to as circulars or spiral communication. Large
organizations spread across numerous financial departments and geographical areas
regularly issue a variety of memos everyday or at frequent intervals. In a large
organization like a bank, there are many departments such as personnel, credit,
accounts, marketing, international business, planning and so on and all of them
communicate with the branches, offices and staff through memos and such other
internal communication.
Memos may be typed or printed and dispatched to the target groups and offices
across the country and even abroad. For easy reference, memos are often printed in
different colours with different departments using specific colours. With the advent of
electronic communication, memos are now being sent across by e-mail and are also
put on the internal network or intranet for the use of offices and staff. Large
organizations like banks may also differentiate between memos and circulars and use
them for specific messages.
It would be difficult do draw a precise distinction between circulars and memos.
Both are often identical in approach and reach. Some organizations use circulars as
a means of specific, subject-related instruction, whereas memos are used to cover
events and developments.
Circular are in the form of instructions or guidelines and are expected to be
mandatorily followed. Memos are generally a matter of information. Circulars are
of a permanent nature, of long-term relevance and may be modified as and when
instructions have to be revised. Memos are generally of short-term relevance. Any
such distinction, however, is only a matter of internal arrangement and in most
books on business communication there in only a reference to memos and none to
circulars.
Memos contain vital details of relevance on functional areas and may have to
be referred to frequently by the personnel working in the organization. Due
to their importance and reference value, memos are often carefully indexed,
filed and preserved, facilitating ready sourcing and reference. Although,
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Writing Memos and
Minutes
memos are like business letters there are some noteworthy differences, such
as follows:
x Memos are addressed to people in general, to groups and to branches and
offices. Memos unlike business letters are not addressed to specific
individuals.
x Unlike a business letter, memorandums do not have (a) salutation
(b) complimentary close and (c) signatures.
x Memos, like letters, do have a date and a subject, and the name and
designation of the authority issuing it. A memo is described as an informal
letter without signature.
x Memos are used to reach out to offices and employees and convey both
information and instructions meant to be acted upon.
In writing a good memo, the following points need particular attention.
Take Time to Plan Your Memos

Any office memorandum constitutes a serious piece of communication. There are
many types of memos. Some are aimed at providing information. Some are aimed at
eliciting feedback or other relevant details. Some may talk about goals, objectives
and action points. In that sense they may be seeking specific action. Memos are sent
across to inform, motivate, persuade, educate, and galvanize people, groups and
teams into achieving results.
Given such objectives, the memo writer should sit down and plan out the
contours of the memo before actually drafting it. He or she should collect relevant
information, figures and details which needs to be shared with the readers. The
memo writer should be clear about his target groups—an employee or branch
manager or sales personnel or unit heads or executives. The contents/language and
the tone should be appropriate to the targeted readers of the memo. The memo
should have the right tone and emphasis. The memo writer should also decide about
the length of the memorandum keeping in view the details to be shared. The
memorandum may have to have some relevant annexures and tables or charts, if
need be. It may have to make some references to the earlier memos or other
relevant communication. All this involves proper planning.
The memo writer should also plan how to reach out to the target groups. Memos
can be sent out in a typed format and if the number is large, sufficient copies of the
memo may have to be printed. In this case, the writer has to keep in mind the time
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Writing Memos and
Minutes
taken for getting the memo copies printed and the actual travel time before the memo
dispatched from the office reaches the recipient. Memos often carry a sense of
urgency and as such should reach the addressee expeditiously or within the shortest
possible time. The advent of electronic channels of communication has made it
possible for the memo to reach out instantaneously. That is why organizations today
resort to email or internal network or company website to convey internal
communication.
Drafting the Memorandum

Memos are drafted keeping in view the context of the communication as well as the
recipient of the message. Memos are written in the second person with a direct
approach. Every effort is made to involve the recipient and the word ‘you’ is used
often. The message is conveyed in clear terms using a simple and direct language.
There is no need to spend time on niceties like a salutation (Dear sir) or a
complimentary close (Yours faithfully, etc.) or a signature at the end of the letter.
Since the memo is meant to be read by colleagues within the office, the writing
should be to express, and not to impress. The tone should be neither too casual nor
too formal.
We give below examples of some memos as they are issued in business
organizations.
SUPERIOR BANK Memo 8/2009

Personnel and HR Department 12 February 2009
Mumbai
Sub: Dearness Allowance
The confirmed All India Consumer Price Index number for Industrial Workers
(Base 1960–100) for the quarter ended December 2008 is as follows:
October 2008 3378.23
November 2008 3378.23
December 2008 3355.41
While arriving at the Dearness Allowance payable to the staff members, decimals
from the third place may be ignored.
All branches and offices are advised to be guided by this memo while effecting
salary payments for the staff for the months of February and March 2009.
Personnel Officer
To All Branches and Offices of the Bank in India
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PREMIER MOTORS LTD. Memo 5/2009

Commercial Vehicles Department 8 February 2009
New Delhi
Sub: Special Discount for Light Commercial Vehicles for March 2009
The company has decided to offer a special discount of 2 per cent on the sale
price of various types of light commercial vehicles sold at all our showrooms
during the month of March 2009.
The actual sale price for different categories of vehicles before and after the 2 per
cent discount is listed in the annexure to this memo for ready reference.
All our showrooms should note that this special discount of 2 per cent will be
applicable only to cash sales made during the month of March 2009 and will not
be extended beyond this period.
All our branch heads are requested to prominently display the special rates on
their notice boards. Branch heads are also requested to send us the details of
vehicles sold during the month by fax on 1 April 2009 without fail.
Director—Sales
Commercial Vehicles Department
To all showrooms in the eastern region.
Memos, as we have already noted, often reach out to a large section of people
spread across the organization. Since, memos are taken seriously by people to
whom they are addressed and also acted upon as directed therein, every care should
be taken in drafting and despatching memos. Quite often, memos are not drafted by
the person under whose authority they are issued. Hence, if any miscommunication
occurs on account of the negligence or callousness of the person drafting the memo,
the authority or the department issuing the memo would have to face considerable
embarrassment. The drafting of memos, especially the important ones, is entrusted
to persons with good communication skills. Memos should necessarily possess the
usual characteristics of good written communication such as clarity, brevity, cogency,
completeness and readability. In view of their importance, quite often the draft of
memo passes through several levels or tiers for approval. The method of despatch is
also decided keeping in view the target sections and the urgency of the message.
Sometimes memos refer to several previous ones on the subject making the
comprehension and access difficult for the reader. It would be necessary to bring out
a comprehensive memo to facilitate easy and all-in-one-place reference. Sometimes
instruction, directives or guidances issued by external agencies such as government
organizations, regulatory bodies, legal entities, etc., may have to be reproduced
through the memos. In doing so, care should be taken to clarify the message in terms
of internally understood terms, phrases and abbreviations.
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Drafting of office memos thus calls for good communication skills. When the subject
matter dealt with is complex or specialized in nature, such as clarifying legal aspects
or announcing the features of a new product or a pricing policy, all relevant facts and
figures will have to be covered in an organized manner. There is often a need to give
examples and instructions and also append relevant annexures so as to amplify and
clarify the message. Memos carrying ambiguity, inconsistency or incomplete details
may end up creating confusion and result in avoidable clarifications being sought by
the readers. On the other hand, a clearly worded, logically consistent, unambiguous
and complete memo gets well understood, facilitating prompt response.
1. What is a memorandum?
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2. Distinguish between circular and memos.

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8.3 MINUTES OF MEETING
The proceedings of the meeting are noted in detail and these are referred to as the
minutes of the meeting. Generally, it is the responsibility of the secretary to take
down notes for preparing the minutes. However, in the absence of the secretary,
either the junior most member or any other member may be requested to take down
the notes for the minutes. The minutes are finalized within a day or two of the
completion of the meeting and are circulated to the members for information and
action.
There are two kinds of minutes. They are as follows:
x Narrative minutes: These record who said what and when.
x Decision minutes: These record the decisions taken, the names of the
people responsible for implementing them and the deadline for taking
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action. Most of the time, decision minutes are written as they provide the
members with clear guidelines regarding who is to do what and by when.
Parts of the minutes document

The standard parts of the minutes document are as follows:
x Location, date and time of the meeting
x Apologies of absence which includes names of people who were expected
to attend but could not attend
x Names of people who attended the meeting
x Decisions taken along with the names of people who have been assigned
responsibility for related action
x Names and signature of person writing minutes
SAMPLE MINUTES OF MEETING

Heading (Title of the meeting)
Date and Time
Venue
Attended by:
Apologies of absence: (names of persons who could not attend but were expected
to attend)
The following were the issues discussed during the meeting
1. Approval of previous meeting minutes
2. Items discussed as per agenda along with the action to be taken, assignment
of responsibility and deadline for completion
3. Any other business (issues not covered under agenda items)
4. Date of next meeting
5. Time at which the meeting finished (normally for formal meetings only)
6. Minutes recorded by ………(Name and signature of person who has written
the minutes)
7. Signature of attendees (Optional)
Sometimes, the signatures of all attendees as well as the Chairperson
Guidelines for Affective Meetings

For meetings to run smoothly and efficiently and to derive maximum benefit from
them, certain guidelines can prove useful. These include:
x Always have a clear purpose otherwise, it is better not to have the meeting
at all.
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x Decide the issues that are to be included for discussion in the meeting and
their relative priority. Depending on their importance and urgency, they are
quite different and need to be treated in different ways.
x Consider the time required for the various items rather than arbitrarily
deciding the length of the meeting. Allocate a realistic time slot for each
item. Keep the timings realistic—usually things take longer than you think.
x Decide the date of the meeting well in advance.
x The key to a successful meeting is keeping control. One can keep control
by sticking to the agenda, managing the relationships and personalities and
concentrating on outcomes.
x As a chairman, politely suppress the overzealous and encourage the nervous.
x Take notes as you go, recording the salient points and the agreed-upon
actions, with names, measurable outcomes and deadlines.
x Do not be late for the meeting.
x Do not interrupt others when they talk.
x Follow the instructions and requests of the chairperson.
x Take care of your body language. For good body language, you must:
o Sit straight
o Face the speaker
o Look attentive
o Make adequate eye contact with the speaker
o Nod at appropriate junctures
Bad body language is reflected through negative actions such as:
o Sitting outside the group
o Avoiding eye contact
o Folding your arms
o Clicking pens
o Shaking legs
o Holding your head in your hands
Need for Recording Minutes

Minutes are required in order to:
x Confirm any decisions made
x Record any agreed actions to be taken
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x Record who has been allocated any tasks or responsibilities

x Prompt action from any relevant attendees
x Provide details of the meeting to anyone unable to attend
x Serve as a record of the meeting’s procedure and outcome
After the meeting the minutes should be checked with the chairperson to confirm
accuracy and then circulated to all attendees and anyone else affected by any
decisions taken at the meeting.
Minutes differ in style and details, moving from bullet points on one end of the
spectrum to verbatim record in the courtroom style. In the bulleted style, decisions
and action plans are recorded as a list without reference to explanations or
elaboration of the discussion. This style of recording minutes works for small team
meetings. On the other hand a complete record of what was said or discussed or a
verbatim rendition of the discussion, though time consuming and difficult, works for
meetings that may have legal implications. Business meetings usually settle for a
compromise and produce content minutes with each item on the agenda dealt with in
two separate paragraphs.
x Summary of main points of discussion
x Summary of decisions taken/action agreed on including name of person
responsible for action and the timeframe allotted.
Minutes of meetings are divided into two sections. The first deals with details of
meeting, attendees and absentees, venue and time. The second records the outcome
of the meeting.
The Table 8.1 describes the two sections of minutes writing:
Table 8.1 The Two Sections of Minutes Writing
Details of meeting Details of outcomes

1. Names of members present at the 1. Decisions taken
meeting 2. Action initiated with name of
2. Names of members absent from person/s responsible and the
the meeting deadline decided on
3. Venue and time of meeting 3. Summary of discussion
4. Venue and time of next meeting
as decided
Advantages of recording minutes

x The minutes of meetings are legally valid and binding documents that
organizations depend on.
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Writing Memos and
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x They record the progress of work, fix responsibility and record completion
deadlines. All this is important information for organizational planning and
decision making.
x Record summaries of discussion.
x In the modern globalized world of business, turnover rates are high. This
poses a problem for those that are inducted into organizations, particularly
at higher levels of the hierarchy. The minutes of past meetings ensure that
the new entrant easily and speedily catches up with the scenario in the
organization as leads the team forward.
x Provide absente members with the gist of discussions and decisions in the
meetings they are unable to attend. This is important to make their
contribution meaningful in subsequent meetings and to cut down on
repetition in discussion.
Sample Format of Meeting Minutes
Name:
Date/Time of Meeting:
Location of Meeting:
Members Present: (list all members that attended meeting)
Members Apologies: (list members that did not attend the meeting)
Guests: (list any guests that attended such as speakers, or any potential new
members)
Reading and Approval of Minutes: (specify date of minutes being approved)
Agenda Item #1:
Discussion: (summarize the discussion at the meeting)
Action: (list any action to be taken by whom and by when)
Agenda Item #2:
Agenda Item #3:
Agenda Item #4: Old Business (create separate agenda item for each unfinished
business item)
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Agenda Item #5: New Business (create separate agenda item for each new business
item)
Announcements: (list any announcements made)
Future Agenda Items: (list any suggested agenda items that are to be tabled for
the next meeting)
Next Meeting: (list Date/Time/Location of the next meeting)
Minutes Prepared By: (minutes of meetings should be written up and emailed to
all members for review within one week of the meeting. Copies may also be provided
at the next meeting)
Signed
Minute taking is a skilled job because the minute taker has to follow what can be
confusing and inarticulate debates and summarise accurately what was said. A good
minute taker has note taking and summarizing skills as well as the ability to quickly
capture concepts and idea and transform them into concrete words. They are initially
recorded as informal notes describing events and discussions and later formalized
and presented for circulation among attendee and absentee members. As minutes are
endorsed by the Chair, they carry weight and importance.
Checklist for Minutes writing

x When was the meeting?
x Who attended?
x Who did not attend? (Include this information if it matters.)
x What topics were discussed?
x What was decided?
x What actions were agreed upon?
x Who is to complete the actions, by when?
x Were materials distributed at the meeting? If so, are copies or a link
available?
x Is there anything special the reader of the minutes should know or do?
x Is a follow-up meeting scheduled? If so, when? where? why?
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1. What are the two kinds of minutes prepared for meetings?

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2. State any two advantages of recording minutes.

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8.4 SUMMARY
x A memorandum is a written statement or record, especially one circulated

for the attention of colleagues at work. It relates to a note of something to
be remembered.
x The word memorandum came from the Latin word ‘memorare’ which
means to remember.
x A memorandum is a means of inter-office correspondence. Memos are
sent within an organization from office to office or department to
department.
x Memos may be typed or printed and dispatched to the target groups and
offices across the country and even abroad.
x Memos contain vital details of relevance on functional areas and may have
to be referred to frequently by the personnel working in the organization.
x Any office memorandum constitutes a serious piece of communication.
There are many types of memos.
x The memo writer should also plan how to reach out to the target groups.
Memos can be sent out in a typed format and if the number is large,
sufficient copies of the memo may have to be printed.
x The drafting of memos, especially the important ones, is entrusted to
persons with good communication skills.
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Writing Memos and
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x Memos should necessarily possess the usual characteristics of good written

communication such as clarity, brevity, cogency, completeness and
readability.
x The proceedings of the meeting are noted in detail and these are referred to
as the minutes of the meeting.
x Minutes differ in style and details, moving from bullet points on one end of
the spectrum to verbatim record in the courtroom style.
x Minutes of meetings are divided into two sections. The first deals with
details of meeting, attendees and absentees, venue and time.
8.5 KEY WORDS
x Narrative minutes: Narrative minutes are a form of minutes taken during

a business meeting that records the discussions that take place in detail.
They can also serve as a legal document.
x Circular letter: A circular letter is a document or letter that is sent to a
closed group of people with the intention of being widely circulated. In
business, circular letters are used to inform their recipients of new policies
or other important matters.
x Minutes of meeting: Minutes, also known as protocols or, informally,
notes, are the instant written record of a meeting or hearing. They typically
describe the events of the meeting and may include a list of attendees, a
statement of the issues considered by the participants, and related
responses or decisions for the issues.

1. A memorandum is a written statement or record, especially one circulated
for the attention of colleagues at work. It relates to a note of something to
be remembered.
2. Circular are in the form of instructions or guidelines and are expected to be
mandatorily followed. Memos are generally a matter of information.
Circulars are of a permanent nature, of long-term relevance and may be
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modified as and when instructions have to be revised. Memos are generally

of short-term relevance.

1. The two kinds of minutes prepared for meetings are narrative minutes and
decision minutes.
2. The two advantages of recording minutes are as follows:
x The minutes of meetings are legally valid and binding documents that
organizations depend on.
x They record the progress of work, fix responsibility and record
completion deadlines. All this is important information for
organizational planning and decision making.
1. Memorandums should be prepared to inform and clarify and not to

impress. Elucidate.
2. What are the three aspects related to the timing of the meeting?
3. What are minutes of a meeting? Discuss in detail the relevance of minutes.
4. Discuss the various guidelines for affective meeting.
5. What are minutes of a meeting and why are they important?
Madhukar, R.K. 2005. Business Communication. New Delhi: Vikas Publishing

House.
Chabbra, T.N. and B. Ranjan. 2004. Business Communication: Concepts and
Skills. Sun India Publication.
Young, Dona. 2005. Foundations of Business Communication. Indian Edition:
New Delhi: Tata McGraw-Hill.
Gupta, S C. 2012. Comprehensive English Grammar & Composition. Delhi:
Arihant Prakashan.
Singh, Bhushan and Raj Kumar Sharma. 2015. Comprehensive English
Grammar. New Delhi: Atlantic Publishers & Distributors.
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UNIT–9 PARAGRAPH WRITING: COHESION
Objectives
x Discuss the paragraph writing process in detail
x Explain the points to be kept in mind while writing a good paragraph
x Describe the two types of paragraphs
Structure
9.1 Introduction
9.2 Paragraph Writing: Meaning, Types and Process
9.3 Characteristics of Good Paragraph-Writing
9.4 Summary
9.5 Key Words
9.1 INTRODUCTION
Words are an important part of everyone’s life. It is through words that you think,
speak, write, listen and read. To communicate an idea, you need words. To
understand another individual’s ideas, you need words. Vocabulary comprises the
knowledge of words and their meanings. Developing a good vocabulary is very
important. You can deal with social and business situations more effectively with a
larger vocabulary; hence, it is advisable to spend more time enriching your
vocabulary. Apart from your appearance and the way you carry yourself, people
evaluate you on how you speak. Hence, this unit deals with the importance of
paragraph writing. Paragraph writing is the foundation of all essay writing, whether
the form is expository, persuasive, narrative, or creative. Cohesion, which is related
with coherence, is the property of unity in a written text that stems from the
relationship between its underlying ideas, and from the logical organization and
development of these ideas. Cohesion or coherence is discussed in the unit 14 of
this book.
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9.2 PARAGRAPH WRITING: MEANING, TYPES AND

PROCESS
The definition of a paragraph to a layman can be given as a series of coherent and

organized sentences that are all connected to a single specific theme/topic. As a
writer, your attempt should be to organize into paragraphs, any piece of writing that
comprises more than a couple of sentences. Paragraphs help the reader identify the
various parts of a piece of prose or an essay; they help identify where the essay
begins and where it ends.
Whether a paragraph contains a series of events, compares two incidents or
things, describes a place, discusses an individual or an opinion, one thing it will
definitely have is a topic sentence.
A paragraph is a specific portion of written or printed text that deals with a
specific idea. This portion usually begins on a new line with an indentation.
It usually forms a part of a large piece of text or composition, such as an essay,
a prose chapter or a story. However, we can also treat a paragraph as a separate,
complete and stand-alone unit. It is a short literary composition comprising a
continuous series of meaningful sentences that are properly linked and together bring
out a systematically developed unit of thought. The basic purpose of a paragraph is
to not only widen the perspective of the learner but also expand his mental horizon
and help his writing skills.
Paragraphs can be of many types as discussed:
(i) Narrative paragraphs: This type of paragraph records an event or
happening in a chronological manner. The event or incident could be real or
a figment of the imagination. The main idea is highlighted in the beginning,
and the elements are then unified using sentences. The concluding sentence
usually sums up the effect of the event. Some examples of this type of
paragraph are a piece of prose on ‘A visit to a national sports meet’ or
‘A trip to the market’. Such paragraphs comprise chronological accounts of
personal experiences. Coherence in such paragraphs is achieved by using
adverbial expressions of time, for example, then, when, meanwhile, the next
day. These experiences are usually narrated in the past tense.
(ii) Descriptive paragraphs: Such paragraphs comprise descriptions of
places, objects, events and individuals depicting the individual’s perspective
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in response to such situations and objects. ‘An ideal husband’, ‘A good

student’, ‘Life of a sportsperson’, are examples of descriptive-writing.
The details in such paragraphs are spatially arranged in order using
adverbials of time and place in order to give the details a structured pattern.
Paragraph Writing Process

If the outlines of the paragraph and the title are available, the paragraph can be easily
developed using the hints. Of course, appropriate conjunctions and linking words
and phrases can be used generously to bring about the desired continuity and
spontaneity of thought.
In the absence of guidelines or hints like the title or paragraph outlines, a proper plan
is required to make paragraph-writing effective. The following steps could be
followed:
x Topic selection: Keeping in mind the broad areas of interest, the topic
should be first selected. It should be one with which the writer is most
familiar, involving his personal knowledge and experiences. He needs to
think clearly and have complete understanding of the topic before he can
write.
x Statement of idea: The most dominant idea should be stated in the
introductory statement or sentence. The subsequent statements in the
paragraph should be built up around this main theme or idea. This sentence
could also be referred to as the topical sentence. The tone and style of the
introductory sentence should be capable of drawing and sustaining the
attention of the reader.
x Information gathering: The contents of the paragraph can be
developed only when all the required information and material related to
the concerned paragraph are put together as a meaningful whole. To unify
the various elements of the paragraph, there should be certain supporting
ideas.
x Conclusion: Once the content is logically organized, the paragraph should
reach a proper conclusion. This conclusion should wind up the paragraph
by either reiterating the main theme forcefully or by highlighting the effect of
the event or experience on the mind of the narrator.
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1. How are paragraphs helpful for the reader?

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2. What does the narrative type of paragraph record?

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9.3 CHARACTERISTICS OF GOOD PARAGRAPH-WRITING
Generally, you will find that the first sentence of a paragraph is a topic sentence. It
contains the topic and an opinion on the topic. It does not give any supporting ideas
which cannot be avoided in the sentence that is to follow. There would be at least
two or three sentences to support the main idea/ideas with examples, reasons,
comparisons, or even anecdotes. The end of the paragraph is as good as its
beginning. Therefore, the conclusion usually reasserts the writer’s opinion without
expressing it in words used earlier.
To write an effective, clear and good paragraph, the following points should be kept
in mind:
x The writer should ensure that he is very clear about what he wants to write.
There should be clarity in thought and also in the way these thoughts are
expressed.
x The language used should be simple. The thoughts should be lucidly
expressed using crisp sentences.
x The thoughts and facts expressed should flow in a logical sequence so that
there is continuity and spontaneity. The natural flow should not be lost.
x The events being expressed or described should be placed in the natural
order. They could be arranged as per the importance or as per the
chronological order.
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x Connectives can be used to bring about coordination of sentences. ‘Next’,

‘then’, ‘when’, ‘after’, ‘there’, ‘near’, ‘next’, etc., can be used to refer to
the time and place. Transitional words can be used to carry forward an
idea or debate. ‘Besides’, ‘on the contrary’, ‘in other words’, ‘in addition’,
‘on the other hand’, etc. Other sentence linkers depicting cause-effect
relationship can also be used such as ‘hence’, ‘since’, ‘therefore’, ‘thus’
and ‘in short’. ‘Still’, ‘however’, ‘nevertheless’ and ‘but’ can also be used
to achieve structural coordination. In addition, writers can also use
rhetorical or parallel sentences for effect.
x The paragraph can be given an impressive form by using variety in terms of
vocabulary.
x The written text should be revised once to get rid of grammatical and
spelling errors and even wrong punctuation.
x During revision, all material that is irrelevant should be deleted. Digressions
could be rectified and repetitions could be avoided.
x The paragraph should be within the word limit, and be precise and to-the-
point.
Cohesion in Paragraph Writing

Cohesion is the property of flow and connection in a written text that stems from the
linguistic links among its surface elements.
A paragraph has good cohesion when each sentence is clearly linked to the next.
Coherence and cohesion mean that all of the parts are connected logically and
linguistically to form a whole.
Sentences within a paragraph are also linked together. There are various ways of
linking one sentence to another, such as follows:
x Repetition of important words
x Substitution by synonyms (words with nearly the same meaning)
x Using grammatical words, especially articles, e.g., ‘the’ may refer back to
a specific noun previously mentioned
x Substitution of pronouns (e.g. ‘it’, ‘this’, ‘these’)
x Using linking words or phrases which show the relationship between ideas,
e.g. 'however' indicates a contrast, ‘in addition’ gives more information
This section is also discussed in detail in the unit 14 of this book.
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1. List two points to be kept in mind while writing an effective, clear and
good paragraph.
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................................................................................................................
2. What do you understand by the term ‘cohesion’?

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9.4 SUMMARY
x The definition of a paragraph to a layman can be given as a series of

coherent and organized sentences that are all connected to a single specific
theme/topic.
x Whether a paragraph contains a series of events, compares two incidents
or things, describes a place, discusses an individual or an opinion, one thing
it will definitely have is a topic sentence.
x A paragraph is a specific portion of written or printed text that deals with a
specific idea. This portion usually begins on a new line with an indentation.
x If the outlines of the paragraph and the title are available, the paragraph can
be easily developed using the hints.
x In the absence of guidelines or hints like the title or paragraph outlines, a
proper plan is required to make paragraph-writing effective.
x The most dominant idea should be stated in the introductory statement or
sentence. The subsequent statements in the paragraph should be built up
around this main theme or idea.
x The writer should ensure that he is very clear about what he wants to write.
There should be clarity in thought and also in the way these thoughts are
expressed.
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Cohesion
x The events being expressed or described should be placed in the natural

order. They could be arranged as per the importance or as per the
chronological order.
x The paragraph can be given an impressive form by using variety in terms of
vocabulary.
x The paragraph should be within the word limit, and be precise and to-the-
point.
9.5 KEY WORDS
x Paragraph: It is a specific portion of written or printed text that deals with

a specific idea.
x Narrative paragraph: A narrative paragraph tells the story of an event,
providing the relevant details of when and where the event occurred as well
as who was included and what transpired.
x Descriptive paragraph: A descriptive paragraph is a paragraph that
describes a person, place or thing.

1. Paragraphs help the reader identify the various parts of a piece of prose or
an essay; they help identify where the essay begins and where it ends.
2. Narrative type of paragraph records an event or happening in a
chronological manner. The event or incident could be real or a figment of
the imagination. The main idea is highlighted in the beginning, and the
elements are then unified using sentences.

1. To write an effective, clear and good paragraph the following points should
be kept in mind:
x The writer should ensure that he is very clear about what he wants to
write. There should be clarity in thought and also in the way these
thoughts are expressed.
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Paragraph Writing:
Cohesion
x The language used should be simple. The thoughts should be lucidly

expressed using crisp sentences.
2. Cohesion is the property of flow and connection in a written text that stems
from the linguistic links among its surface elements.
1. What is the main purpose of a paragraph?

2. Enumerate the types of paragraphs.
3. Evaluate the characteristics of good paragraph-writing.
4. Discuss the paragraph writing process in detail.
Sidhu, C. D., Prem Nath and Kapil Kapoor. 2004. Comprehensive English
Grammar and Composition. New Delhi: Khosla Publishing House.
Wren, P. C. and H. Martin. 2007. High School English Grammar &
Composition. New Delhi: S.Chand & Company.
Thomson, A. K. and M. V. Martinet. 1986. A Practical English Grammar. USA:
Oxford University Press.
Corder, S. Pit. 1960. Intermediate English Practice Book. Calcutta: Orient
Longman.
Arihant Prakashan.
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Writing Proposals, Research
Paper and Thesis
UNIT–10 WRITING PROPOSALS, RESEARCH PAPER AND

THESIS
Objectives
x Define a research proposal
x State the general length of papers for publication in journals/books
x Explain how an argument commonly contains an assertion followed by its
justification and reinforced by evidence
x Interpret the procedure of preparing manuscripts and copies
Structure
10.1 Introduction
10.2 Writing Proposals
10.3 Writing a Research Paper
10.4 Writing Norms in Thesis
10.5 Specifications for Thesis Format
10.6 Summary
10.7 Key Words
10.1 INTRODUCTION
Every student of literature is required to possess proficiency in at least two areas:

reading and writing. These two are the solid building blocks on which the entire
edifice of literary studies is built. Reading and writing are inseparable from each
other. The more you read the better you will write. Also, the more you write, the
better you will be able to understand what you have read. When you read, you
imbibe a large volume of jumbled information. You may feel that you have
understood what you have read. However, it is only when you are forced to express
what you have understood—and this is what writing forces you to do—that you
begin to arrange and clarify your ideas. That is why every literature course requires
you to do a healthy amount of writing. As a student, you will be required to write
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essays, papers, answers and reviews. Therefore, a good grasp of the basics of
writing is essential. In this unit, you will study about the norms to be followed while
writing thesis, proposals and research paper.
10.2 WRITING PROPOSALS
A ‘research proposal’ is a request for support of sponsored research, instruction or

extension assignments. Good proposals promptly and easily answer the following
questions:
x What do the researchers or investigators want to do, how much will it cost
and how much time will it take?
x What difference will the project make to the state, the nation, the world or
whatever the appropriate categories are?
x What has already been done in the area of proposed project?
x How the researcher or investigators plan to do it?
x How will the results be evaluated?
x Why should the researcher or investigator, rather than someone else, do
this project?
The ‘research proposal’ is a key element of any research. Hence, before
preparing the final request or proposal, the researcher or investigator must revise the
proposal several times to make it precise and perfect. The well-built research
proposal helps in the following:
x Formulating a precise, appealing and motivating research question; this may
obtain the form of a hypothesis to be tested or a more open-ended enquiry.
x Establishing the relevance and value of the proposed research question in
the context of current scholarly thoughts.
x Outlining a clear and practical methodology which enables the researcher
or investigator to answer the research question and to explain and evaluate
any data or source material that the researcher or investigator will illustrate
or depict.
x Suggesting what the researcher or investigator anticipate to discover at the
end of the research and what new areas it might open up.
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x Demonstrating that the research will not take longer than the specified and
recommended years for research.
Parts of a Research Proposal

Proposals for sponsored activities or research process generally follow more or less
the analogous format, although there are variations depending upon whether the
proposer is seeking support for a research grant, a training grant or a conference or
curriculum development assignment or project. The following specifications include
the primary components of a research proposal. Any research proposal will be a
variation on this basic theme.
x Title page: The researcher or investigator must specify the format for the
‘title page’. Titles should be comprehensive enough to indicate the nature of
the proposed work.
x Abstract: An effective summary states the problem addressed by the
researcher or investigator, identifies the solution, and specifies the
objectives and methods of the proposed research.
x Table of contents: The table of contents should list all major parts and
divisions of the ‘research title’. It is a tentative list of the parts of a book or
document organized in the order in which the parts will appear in the final
result. The contents usually includes the titles or descriptions of the first
level headers, such as chapter titles and often includes second level or
section titles within the chapters. The tentative list of maps and standard
tables can also be included if it is the part of research.
x Introduction: It includes the introduction of a research proposal, statement
of problem, purpose of research and significance of research.
x Background: It also includes literature survey. The researcher or
investigator must formulate clearly that what the research problem is and
exactly what has to be accomplished. The literature review should be
selective and critical.
x Description of proposed research: It includes method or approach of
research.
x Description of relevant institutional resources: In general this section
details the resources available to the proposed research.
x List of references: The style of the bibliographical article depends on the
disciplinary field. The main consideration is consistency; whatever style is
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selected should be methodically followed throughout in the research

report.
x Personnel: This section usually consists of two parts: an explanation of the
proposed personnel arrangements and the biographical data sheets for
each of the main contributors to the research project.
x Budget: The Budget delineates the costs to be met by the funding source,
including personnel, non-personnel, administrative and overhead expenses.
The budget also specifies items paid for by other funding sources. It
includes justifications for requested expenditures.
The researcher or investigator must specify the completion time of research
procedure which must be within the specified and recommended time. Besides, the
researcher or investigator must list the resources and quality of evidence that will be
consulted, the analytical technique that will be employed and the timetable to be
followed.
Depending on the research topic, the appropriate and suitable research
strategies should be defined to ensure that enough and adequate empirical data will
be collected for a successful research project. In addition, also describe the intended
methods of data gathering, the controls that will be introduced, the statistical
methods to be used, the type of literature or documentary analysis to be followed,
etc. List the academic works as well as other important works or journals or
researches that will be referred during the research process.
1. What is a ‘research paper’?

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2. List the primary components of a research proposal.

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10.3 WRITING A RESEARCH PAPER
Papers are written for either being presented in a conference or for publishing in a
journal or an edited book. The length of a paper would change according to time
allotted if it is to be presented in a conference. In the case of a publication, there are
normally two types of papers accepted in journals and edited books, short paper
with a word limit of 2500–3500 words and long paper varying from 6000 to 9000
words. It is very important to keep the word limit prescribed by the editors of the
journals, as it is necessary to keep the balance between the different articles
published in the book/journal.
There might be difference in the referencing pattern while in it is written as part
of a dissertation for a research degree and while it is written as a paper to be
published in a journal. A dissertation may use the footnotes while a journal might
require the author to use endnotes. Similarly, there might be difference in the pattern
of in text citation while writing a research paper. It is important for a researcher to
follow the guidelines given by the research committee while writing his dissertation
and to follow the guidelines given by the editor of the publication in the case of a
paper. Generally, it is a convention to follow the latest version of Modern Language
Association (MLA) while a paper or a dissertation is written by an English literature
student, but there may be variations from case to case. As a result, it is necessary for
the researcher to check this out and follow the prescribed format.
There are various web resources or digital libraries available today and it is
important for researchers to use these resources while writing a dissertation or a
paper. Some of the digital libraries include JSTOR and Project Muse which gives an
inexhaustible quantity of articles for perusal. Similarly, the websites of universities like
Hong Kong University gives access to the dissertations written by students of their
university which also can be used as references while writing the dissertation or
papers.
Works cited is a very important component of a paper. Whenever your paper is
sent for publication, one of the most significant portion checked by the editor is the
list of works cited. It is necessary to have a good works cited list, and also make
sure that the works cited is given according to the style sheet prescribed by the
editor.
The process of writing a paper includes collection of resources, note taking,
organizing the paper and writing different draft to reach at the final draft.
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Papers for Publication

While considering an article for publishing one has to follow all the conventions given
in the (MLA) handbook to make sure that the research paper is being formatted in
the correct manner. The research paper also must have very strong argument which
should be sustained in the course of the entire paper.
Long Paper
Given below is a paper published in a reputed research publication:
Mumbai’s Dabbawallahs: The Lunchbox, or The Sharing of Loss

India is often hailed as being the biggest democracy in the world. Yet, it is a
society where the contrast between the haves and the have nots is the most
conspicuous. Specifically, the caste system still pervades the whole society;
socio-economic relations are still moulded by tradition and inheritance; family
and religion are central; exclusion and privilege are still rife. It is a known fact
that the lower class workers in India, who happen to be largely the lower
castes, are considerably underpaid. Is it the cheap availability of labour or the
caste system that fosters such a situation of low payment? The lower classes
who in most cases are also lower castes, end up in cities like Mumbai and
Delhi as unskilled labourers, employed on lower wages. They are forced to
continue with their traditional jobs in the modern cities with the traditional
wages that they used to get. This would be in contrast to the modern
European cities where it is often possible for the lower classes to break free
from their traditional jobs and if not, at least get higher wages. It seems that
the Indian cities work outside the purview of modernity when it comes to the
lower classes and the lower castes. There is a complex intermingling of caste
and class in India regarding the distribution of jobs and wages.
In this article, we will use the film, The Lunchbox directed by Ritesh Batra,
(2013). It appears to be slight, but it is a case in point and offers a unique and
original vantage point into contemporary Indian society, not necessarily the
one that is most often exhibited. We will examine how the film works against
such a rigid economic and sociopolitical configuration by using specific
cinematic devices.
5,000 dabbawallahs in the city of Mumbai deliver some 130,000 dabbas
(metallic lunch boxes), engaging in 260,000 transactions each day, six days a
week, fifty-two weeks a year, except holidays. As Stefan Thomke (Professor
of Business Administration at Harvard Business School) says in the article he
published in the Harvard Business Review after he had conducted an
extensive survey of the Mumbai dabbawallahs:
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‘The [dabbawallah] service is legendary for its reliability. Since it was

founded, in 1890, it has endured famines, wars, monsoons, Hindu-Muslim
riots, and a series of terrorist attacks. It has attracted worldwide attention and
visits by Prince Charles, Richard Branson, and employees of Federal Express,
a company renowned for its own mastery of logistics.’
In the movie, Ila, in her endeavours to regain her husband’s love, prepares a
very tasty meal that is supposed to be brought to him by the dabbawallahs
who deliver their lunchboxes to thousands of office workers in Mumbai.
However, a mistake is made and Ila’s dabba is delivered to Saajan Fernandes,
a widower at the eve of retirement, played by Irfan Khan. After the deviation
of the dabba triggers this chance virtual meeting, an improbable exchange
takes place between the two lonely souls: notes, then letters, gradually
accompany the food, whetting Ila’s and Sajjan’s appetites and opening up
opportunities to extricate themselves from the worlds they are locked up in.
Sheikh, the trainee who has been put under Saajan’s responsibility, played by
Nawazuddin Siddiqui, also comes to share the food, thus, crossing some of
the boundaries set-up at the work place. Introducing more deviations from the
prescribed social ways is one of the objects of the film.
Ritesh Batra has depicted the socio-economic world of small employees
commuting by train between Mumbai and its remote outer districts, it is also
the domestic world of wives and mothers. This network of relations in which
the individual is enmeshed, or tries to emancipate himself from, constitutes
the core of a film that helps us to understand the notions of inheritance and
loss. Ultimately, how can one not be held hostage by material conditions? On
the other hand, how can one disentangle oneself from familial bonds and
social customs ?
We have chosen an approach that will try to understand something about
Indian society at large and its inequalities by using a film that was intended to
be a documentary on the dabbawallahs. The documentary was never shot as
such by Ritesh Batra, it instead became a feature film,The Lunchbox (2013),
that was jointly produced by Indian, American, German and French studios.
The film was jointly produced by various studios including DAR motion
pictures, UTV Motion Pictures, Dharma Productions, Sikhya Entertainment,
NFDC (India), ROH Films (Germany), ASAP Films (France), and the Cine
Mosaic (United States). It won the Camera d’Or at Cannes Film Festival
(Semaine de la Critique / Critics Week Viewers Choice), and met with
success, in India first and then in France, far from the big blockbusters from
Bollywood and Kollywood, one often associates with Indian cinema.
The film opens with a few shots of the trains on the Mumbai Suburban
Railway system, exhibiting the crowd of commuters, cobblers working at the
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stations, and the dabbawallahs. These shots are quite rapid but are enough to
give us the context and make us understand the system set-up by the
dabbawallahs. They collect the dabbas from their customers’ houses, they put
them on their bicycles, carry them onto the train and take them out of the train
to bring them to the clerks and office workers, to whom the dabbas are to be
delivered. We are taken into a very specific socio-economic stratum of Indian
society, the world of office clerks, small company employees, commuters,
and so on, which offers a contrast to the upper classes. The very geography
of Mumbai, on a peninsula that allows only urban extension into the sprawling
outer districts, further and further away from the city, creates the need for
more suburban trains. This in turn prompts the need for delivery people, to
deliver the dabbas to the employees who rely on them for their lunch. From
a sociological point of view, several elements can explain such a situation: it is
too costly to eat lunch outside; the few office cafeterias offer low quality food
and people generally prefer to have home-cooked food. Other reasons could
be that the trains are too crowded and it would not be easy to carry the
dabbas on the train to work. It would not be easy to take food in early
morning nor safe since most offices do not have refrigeration facility, hence,
the food can get spoilt. Fresh meals can also be prepared at local canteens.
For a monthly wage, these meals can be collected and delivered by the
dabbawallas.
Collecting the home-cooked meal in the morning and bringing the empty
dabbas back after lunch, at off-peak hours, presupposes that the women do
not work, that they are housewives who do not do anything but cook for their
husband and look after their children. The film very clearly points at the
ambivalent status of women in Indian society. Three women characters
embody a certain type of middle-class family environment where the woman
appears to be defined only through her relationship to her husband and
children. Once the context has been delineated in a few shots, the camera
takes us first towards Ila, the main female character in the film, played by
Nimrat Kaur. She belongs to the Indian middle class, lives with her husband
and daughter in an apartment in the suburbs of Mumbai. Her husband, like
hundreds of thousands of other employees, commutes to and back from
work, morning and evening, using the Mumbai Suburban Railway system and
waiting for his dabba to be delivered to him. He is very much in the
background and hardly appears as a full-fledged character in the film: the
camera hardly ever lingers on him. He is in fact having an affair with another
woman. We, the audience of the film, hardly see him in detail, there are hardly
any close-ups nor medium shots on him. In the double shots where he is
present, the focus is on Ila, not on him. Whenever he is in the frame, the
predominant shot that is used is the point of view shot, pointing to the
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audience that they will perceive the implications of what he sees better than he
does, having a better grasp of what is in his field of vision than he does.
The second woman that features in an important way is Deshpande aunty,
paradoxically never to be seen in the film but only heard from above through
the open windows. Deshpande aunty is Ila’s neighbour upstairs and they
communicate through the window, passing baskets of food and spices back
and forth, up and down. They also exchange stories and intimate memories
and thoughts. Aunty never leaves her apartment because her husband is bed-
ridden and about to die. The third woman highlighted is Ila’s mother who is
also only defined through her relationship to her husband, also bed-ridden and
dying, reduced to a shadow in the other room, then to a body to be wrapped
up in a shroud for cremation.
In all the three cases of women presented, food is a central trope of
connection and desire, or the absence thereof. Ila prepares meals for her
husband in the hope it will rekindle the old flame again and will unite them
together. In one of the few scenes where husband and wife are seen together,
Ila tries to make her husband notice that she has not changed much since the
early days of their marriage — she can still get into the outfit she was wearing
on the first day of her honeymoon, she can still be desired as a woman and
not be reduced to her role as a mother and wife. The husband, Rajiv does not
even notice that she is hinting at the possibility of their having another child,
which is the only way, according to her, of making love again. In the same
way, he does not notice he has been getting the wrong dabbas, he seems
totally oblivious to her desire and pretends not to notice her advances.
Confronted with his unresponsiveness, Ila is left with her own devices. She
can only find substitutes for her unanswered desire, which gets deferred in
the fact the dabba is exchanged and reaches another person than her husband.
When the wrongly delivered dabba reaches back home empty, she feels her
attempts to rejuvenate her husband’s desire have worked, only to realize in the
evening that her husband was not the one it was delivered to since he
mentions a dish she had not prepared. Taking her cue from the deferred
attempt, she makes use of the deferral by continuing to send the
sophisticated, delicious food to the ‘other’ person, signifying her own desire
and persisting in her attempts to find an object for it. In a very Derridean
sense, what is not there, what is both deferred and delayed is more important
than what is there. She succeeds in these attempts insofar as the exchanges
continue until the moment when the suggestion is made to meet in person.
Unlike the earlier moments, when the man (husband) was asserting his
masculinity and his dominance in the family gender roles, Saajan is unable to
get on with the meeting. He remains at the periphery, looking at Ila from a
distance while she is waiting for him in a café. The realization that there is
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Paper and Thesis
such an age difference prevents him from the possibility of assuming a role
that would be outside the usual social boundaries and gender role definitions.
It is the only scene when they actually come close to meeting, but even
gazing is unbalanced — she is unaware she is being watched by him. It
seems desire cannot be taken further.
In the case of Ila’s mother and Deshpande aunty, desire has also already
stalled, and food appears as a substitute for the long lost desire. When Ila’s
father dies and Ila comes to be with her mother while the body is being taken
away, mother and daughter have this quite striking, intimate conversation.
Ila’s mother talks about her feeling of relief and liberation following her
husband’s death, associated with a sudden craving for food (particularly
parathas). For Ila, the deferral of desire then becomes entrenched but
paradoxically, it triggers her liberation from the family that stifles her in the
domestic frame laden with Indian traditional / modern customs. Only then
does she decide to move out of the boundaries of the nation and far from
family obligations and restrictions. Bhutan appears as a possibility to relocate
herself.
From another angle one can also notice how the dabba with the food prepared
by Ila and the dabba prepared by the canteen for Fernandes are valued
differently in terms of wealth. The work performed by Ila is not granted any
value, monetary or otherwise, neither by her husband nor later on by
Fernandes. On the first day, when Fernandes gets the food cooked by Ila
without knowing it had not been cooked by the canteen, he goes to the
reception of the canteen and appreciates the kind of food that was delivered
to him. Even though Saajan has taken pleasure in the food that has revived his
taste buds and rejuvinated him up again, he cannot acknowledge it directly to
Ila. Even though she had made the effort to write to him in the first place,
along with sending a delicious meal, he is unable to direct his compliments to
the woman who has prepared this special meal, he is only able to send back
a message to her complaining that ‘the food was very salty today’. Even if he
had known the previous day that it was Ila who had prepared the food, he
would probably still have been unable to convey his compliments to her.
Gender spaces are entrenched within economic spaces. On other hand, the
cooking done by Sheikh is appreciated by both his wife and Fernandes.
However, the same value is not attributed to Ila’s cooking. The gender roles
that determine cooking and its worth in monetary and emotional terms are
also a part of the issues raised by the film.
The early shots make us understand quite rapidly that the film is all about
social space(s), and how these spaces are demarcated and maintained, in
Indian society: the domestic space, the space of the office, and the public,
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Paper and Thesis
mostly urban, space, also stands for the sociopolitical space that is open, or
closed, to such category of people. They stand quite separate, and so do the
individuals who inhabit them. The film makes visible the different ways of
transforming space into a place of one’s own, or not. This is precisely the
predicament of the the characters in the film. For quite a while at the
beginning of the film, Ila is seen only at home, in the kitchen or in her
daughter’s bedroom. The social space of the business world, or rather the
world of small companies’ is embodied by Saajan Fernandes: as a widower
about to retire, he does not expect much from life any more. The office that
is shown on screen has not reached an advanced stage and has not stepped
into the electronic and digital 21st century. When Saajan’s boss puts under his
responsibility the new recruit who will take over from him when he retires,
this comes as a burden, or rather as an intrusion. Sheikh expects to be trained,
he smiles a lot, he is eager, he invades Saajan’s space, he intrudes into his
well-ordered schedule, forces him into conversations, follows him on the train
in the evening. He goes as far as sharing his food with him.
If one looks more precisely into the spaces allocated to the three characters,
one finds reflections of the Indian society. The names, as in Indian tradition,
reveal religious and social connotations. While Ila is a Hindu and Sheikh’s is a
Muslim, Saajan is not seen as practising any particular religion but through his
surname, Fernandes, it is inferred that he is a Christian. Hence, the three main
religions practised in India are represented through the three main characters
in the film, simultaneously also reflecting the disconnection existing between
social groups and religious communities. Ila is hardly seen interacting with
anyone except for her neighbour upstairs, with whom she speaks through the
open window without the audience ever having an opportunity to see
Deshpande aunty on screen — we only hear her voice and see what she puts
in the basket that moves up and down between the two floors. For Saajan,
having to interact with anyone is unpleasant at best and painful at worst (his
neighbours, people on the train, the kids on his street, his trainee). As for
Sheikh, however, hard he tries to interact with people, the hurdles he has to
go against are innumerable: as he is probably coming from a lower class or
caste, the parents of the woman he loves do not want him as a son-in-law, the
man who is supposed to train him is not interested in having him as a trainee,
and so on. He is always intruding in a space that is not considered as rightfully
his and one guesses that he had to work his way up the social ladder the hard
way, probably even faking his degree and recommendations to get his job. For
the non-privileged classes social space is restricted and the constraints incite
people to find other, more devious ways. One example of this would be the
fact that Sheikh has to travel in the first class compartment to be friends with
Fernandes. It shows the class-divided society in Mumbai. While the
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dabbawallahs who bring the food have to travel in the second class
compartment and their journey is accompanied by their ‘folk songs’, Sheikh
has to upgrade his ticket to be in Fernandes’ company.
Once he has become more friendly with Saajan, he will ask him to attend his
wedding. Sheikh not only has to produce fake degrees and recommendations
to get himself hired but he, the orphan, also has to create a family for himself
to be accepted by his in-laws. The underprivileged are so vulnerable that they
have to hold onto thin threads and become the tricksters of their lives,
bypassing obstacles and circumventing rules.
The film clearly foregrounds the desire for upward mobility in the Indian
context: that of Christians (Saajan Fernandes), and that of Muslims (Sheikh)
in terms of class. While the roots of Fernandes can be traced back to their
claim of being converts from the Hindu Kshatriya caste, Sheikh’s family, albeit
unseen in the film, appears to be converts from the Churas, a scavenging
caste among the Hindus. Sheikh’s upward mobility and Fernandes’ apparent
resistance to it points to the complexity of caste / class issues even among the
non-Hindus. Ultimately, Fernandes becomes a foster father figure for Sheikh
when his marriage happens, replacing his invisible family. There seems to be
a larger possibility for the non-Hindu Dalits to move up the social ladder
compared to their Hindu counterparts, even if this, as we will show, requires
a certain number of tricks and adjustments to be performed.
This social stratification gets disturbed when a mistake occurs in the delivery
of the dabbas. As has been explained, the dabba prepared by Ila for her
husband gets delivered to Saajan. Ila’s attempts at winning her husband back
by preparing extremely tasty and sophisticated food, are thwarted. Spaces
collide and boundaries get blurred. The people who were not meant to be in
contact suddenly are, albeit virtually. As symbolized by the wrongly delivered
dabba, people start coming out of their prescribed spaces. If the beginning of
the film was all about separate spaces, the middle of the film is actually
working against such separate spaces and a generally-shared feeling that one
cannot do anything against this socio-economic structure. The film works
towards establishing connections, freedom and desire where they did not
exist.
As has already been hinted at, food is the main connecting device in the film
from a thematic point of view and triggers the renewal of desire. Saajan starts
to live his day at work for the pleasure of opening his dabba, sometimes, even
leaving his desk early and baffling his colleagues. It even opens a new area of
contact since he invites Sheikh to share his meal. The food has already
connected him virtually to a woman he has never met, it now connects him
to a man he had never thought he would get close to. Sheikh starts telling him
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personal details about his life and invites him to his home for a meal. He has
learnt to cook when he was working in Saudi Arabia, and he is the one who
cooks at home, all the more so when it comes to inviting his trainer. In this
instance, gender roles are being changed around when it comes to lower
classes. Also, the food Saajan is served at Sheikh’s is not the vegetarian
cooking of the upper caste Hindu community, it is a traditional meat dish that
is cooked in the Muslim community. The individual space, and the space
between, the religious communities is made palpable again, just as the social
spaces mentioned earlier, but this time it is to connect, and not divide.
Food is one of the elements in the film that creates a connection where there
was none. It is the thematic element that recreates desire where it had
vanished. The dabba is one of the first elements that is used in the scenario to
reach that purpose, it is given a life of its own and is turned into a character
which controls the narrative. For example, the dabba is sent full, or empty,
with too much salt, or too much chilly, and it is what brings newness to
Saajan’s and Ila’s lives. It prompts them to reinvent themselves. However, it
is the rhetorical construction of the film and its editing that underline and
reinforce this desire for connections. This is done in different ways.
The narrative of the film is reorganized through the literary device of notes
and letters, exchanged through the dabbas once the delivery mistake has been
spotted. Ila is the one who takes the initiative with the second dabba and
surprises Saajan by sending a short note in between two chapatis, explaining
how she had cooked that food for her husband. After having licked his
fingers, Saajan sends back a short note in the empty dabba saying, in English,
‘The food was very salty today’. The following day, the food is not ‘too salty’
any more but it has much more chilly! Yet, dabba after dabba, letter after
letter, an abstract space is created, a relationship is built, more and more
personal details are being exchanged and the lives of both characters are re-
structured through the notes that they write to each other and that become
letters. A third space is created, a common wealth to share albeit virtually and
at a distance. If the dabba has been following a deviating route, and appears
to have been purloined, almost following a path of its own, the letters
certainly reach their destinations, albeit in secret and hidden away from the
public gaze. It is almost as if a pact had been signed between the two
individuals but one that is impossible to valorize in public. Even if it must
remain secret, being hidden away in pockets, the function of the letter is to
remain a singular whole that cannot be taken away from its owner. It is
interesting that such a space is shared mostly in English (especially on
Saajan’s side): the Hindi language is already inscribed in the social power
structures.
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This space of connection is amplified through editing and particularly through

the handling of cinematic time. The first instance of time that veers off the
chronological axis happens when Ila reads Saajan’s second letter: he tells her
how he ate the chillis and quelled the fire with a banana. As Ila reads the letter
in the afternoon, Saajan’s voice is heard delivering his words, projecting us
back to the time, he was writing the letter at lunch time. To these two
moments that are combined together, a third one is added since the image that
is projected onto the screen shows Saajan walking on the street after lunch,
eating his banana and watching the other employees having a quick bite.
Flashbacks are undoubtedly common in films. Yet, here, the flashback is used
in a way that highlights once again an improbable connection between the
characters. Diegetic time is handled in a non-chronological way and this is
fused with a particular handling of space. French philosopher Deleuze used to
call ‘l’image-temps’, or time-image, can only be obtained through ‘l’image-
mouvement’, or movement-image. Time is to be grasped through space and
movement, something that Deleuze calls ‘cinéchronie’, the image of time as it
is extracted from movement-images. In The Lunchbox, the critique of the
regulation and codification of social space in India is made conspicuous
through the disruption of space and time schemes on the screen, pointing to
the urgent necessity to create interstices, gaps, incongruity, and ultimately,
movement, connections, and freedom. In the instance that was referred
above, three different ‘time-images’ are shown through different ‘movement-
images’.
On top of the device of the diegetic voice-over that is constantly resorted to
in the film, the editing also draws attention to the connections that the
scenario has introduced between the characters. At another moment, Ila
writes a letter to Saajan, explaining about Deshpande aunty, her neighbour,
and reporting aunty’s words about her husband’s illness, and how he feels
connected to the electric fan revolving above his head. The day the fan stops
he will die. When Ila’s voice is heard, speaking the words of her letter and
reporting yet another woman’s words, the fan above Saajan is shown on the
screen and Sajaan makes the connection and feels as if it applies to him. Time
and lives intersect through these moments that are clubbed together. The fan
becomes another device which unites Deshpande aunty, Ila and Saajan. In
one scene, Ila stares at the fan while her husband comes late and in the ‘same’
scene Saajan also stares at the fan in his office. Like the dabba, the fan
becomes a life-providing character that combines the desire of these three
separate characters.
At yet another moment, Saajan is seen travelling in the train one evening. His
voice speaks the words he wrote to Ila earlier on at lunch time. He is shown
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on the screen several hours later, performing the gestures he was telling her
about, while she is seen reading his letter. The chronological axis is totally
disrupted.
Hence, the diegetic voice-over (Saajan’s or Ila’s) that is regularly used in the
film, the flashbacks and the editing, all denote the reconstruction of time and
space through the reconstruction of scenario and screen image. The impact is
aesthetic, philosophical and political, pointing to the necessity for art to
introduce irregularity, disruption and breaks in the narrative. It is the only way
to have a space of freedom emerge in certain contexts that are otherwise
locked for certain categories of the population. Once this irregularity has been
introduced, movement is there, in all meanings of the term — visually,
temporally, psychologically, but above all socially and politically.
This movement that is reinitiated creates consequently a different relationship
to self and induces a reinvention of self. The adventure Ila and Saajan are
implicated in takes them back to moments in their own past, childhood or
adulthood, to their relationships with their mothers, parents, siblings or
spouses. Old films and songs are rediscovered and listened again, creating
another imaginary space they can charter for themselves and eventually share
with the other one. Significantly enough, one popular song establishes a more
acute connection, ‘Pardesi, pardesi’. It is sung by the shoeshine when Saajan
is on the train; it is also a song that Deshpande aunty plays on her cassette
player. Ila listens to it one floor down but asks aunty to turn it off when her
husband comes back home, because she is afraid he would not like it, thus,
signalling that her own home does not truly belong to her, she is not at home
in her own home. Other examples of such connections are the television
cooking shows that Saajan’s wife and Ila’s mother watch at about the same
period but separately. Gradually, Ila goes back to her own personal memories,
all the more acutely as her father has died. He had been looked after by Ila’s
mother and his death releases a narrative from Ila’s mother that Ila was not
unfamiliar with. All these characters memories, narratives and desires cross
and intersect, yielding a new creative, intimate and imaginary space. Like the
English that is used in the letters, music and memories offer a possibility of
escape. It is one escape route that is just as valid as the one Ila contemplates
at the end of the film — going to Bhutan, leaving the Hindu dominated nation
that does not encourage women to be what they want to be.
Throughout the film, the dialogue from outside the window with aunty’s
disembodied voice goes on. It is aunty who encourages Ila to put more chilli
in the food when Saajan complained about the salt, or to respond to the
letters; she advises her on many things and offers comfort. Yet, Ila does not
share everything with her. Also, once she has taken the initiative to meet
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Saajan, aunty’s voice does not feature in the film anymore, it simply stops and
the spectator could even wonder how diegetic that voice was, how real. Only
Ila’s voice and desire are eventually to be heard. Once she becomes her own
agent, she does not need anyone else, not even Saajan. Renewed desire for
the other leads to agency and self-empowerment. To arrive at such a
reformulation, the film needed the detour through the reconstruction of time
and space. It also needed a certain type of editing, potent and perky yet
delicate and subtle. Borrowing British feminist film theorist, Laura Mulvey’s
words, it could be said that ‘Playing on the tension between film as
controlling the dimension of time (editing, narrative) and film as controlling
the dimension of space (changes in distance, editing), cinematic codes create
a gaze, a world, and an object, thereby producing an illusion cut to the
measure of desire’.
Paradoxically, the only character who is not granted room for psychological
development is the dabbawallah himself. The one occasion that could have
been taken to do so, happens on one of the days when he delivers the dabba
back to Ila’s house in the afternoon and she lets him know about the mistake
that has been recurring. The dabbawallah never steps out of his social role as
dabbawallah, he even defends the whole system and says such mistakes can
occur. From the narrative point of view, it is almost as if the mistake was
made possible only through the insistence on the reliability of the
dabbawallahs. The crack in the system is what makes the plot turn and move
forward. However, the fact that the dabbawallah is never granted any
personal, psychological status, contrary to all the other characters, is also a
point that is made by the film. In Indian society, one is bound to the
constricted social roles that one has been attributed originally. It is extremely
difficult to challenge them and move away. Had the film remained a
documentary as it had been intended, the dabbawallah would certainly have
been the main focus of the film. It is interesting to note that the dabbawallah
should have been deprived the main focus, as if, it was a structural
impossibility for a dabbawallah to be granted an indispensable role in a movie,
be it fiction or non-fiction.
The film does not depict in depth about the most underprivileged sections of
Indian society in a direct manner but by focussing on one (small) section
only, it implicitly and obliquely depicts the other portions of society. Ila and
Saajan are not underprivileged but they are sectioned off and marginalized in
all kinds of subtle and perverse ways that make the audience guess that it
must be much worse for the other, more underprivileged sections of society.
Through the angle of romance and the genre of dramatic comedy, Ritesh
Batra offers us a parallax view into Indian society. If we follow Slavoj Zizek’s
(a senior researcher at the Institute of Sociology, University of Ljubljana,
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Slovenia) definition, the parallax view is ‘the apparent displacement of an

object (the shift of its position against a background), caused by a change in
observational position that provides a new line of sight.’The fact that the film
is the result of an Indo-French-German-US collaboration may add another
dual element. It draws the film further away from the glamour of Bollywood
and Kollywood and closer to the genre of repertory cinema often associated
with France. Far from providing any distortion but simply shifting his point of
view, and ours, on the object, Batra radically unsettles the perspective, and
creates resistance. This is an aesthetic gesture, of course, and as such, a
highly political one.
Works Cited
Batra, Ritesh. The Lunchbox. UTV, 2014.
Deleuze, Gilles. 1985. Cinéma 2 – L’Image-Temps. Paris: Minuit.
Lacan, Jacques. ‘La Lettre volée’, a seminar delivered on 26 April 1955, published
in La psychanalyse. Volume no. 2: pp.15-44, 1957.
Mulvey, Laura. ‘Visual Pleasure and Narrative Cinema’, Screen. Volume no.16,
Issue no.3: pp. 6-18, 1975.
http://imlportfolio.usc.edu/ctcs505/mulveyVisualPleasureNarrativeCinema.pdf.
Accessed on 15 February 2015.
Thomke, Stefan. ‘Mumbai’s Models of Service Excellence’, Harvard Business
Review. Volume no. 90, Issue no.11: pp. 1-7, 2012.
Zizek, Slavoj. ‘The Parallax View’. http://www.lacan.com/zizparallax.htm. Accessed
on 15 February 2015.
This is an example of a long paper. One has to remember that a long paper will
have two to three arguments which would be elaborated in definite terms throughout
the course of the paper.
Short Paper
Now given below is an example for a short paper on Joseph Conrad’s Heart of
Darkness. It has to be remembered that when you write on a text like Heart of
Darkness which has become a masterpiece, you will have to bring forth an idea
which has not be talked about, else your paper will not be accepted for publication.
The paper is given below for your reference:
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Marlow’s Logocentric Journey

Joseph Conrad’s Heart of Darkness is a text often criticized as a reactionary
text, having underlying voices of racism and of a deep rooted colonial
enterprise. However, a closer reading would reveal that the text deconstructs
a prevalent discourse of truth and essence that is typical of the dominant
metaphysical tradition. In addition, it is a discourse that also informs the racist
and colonialist ideologies that Conrad is often accused of aligning with in this
text. Unmistakably, this logocentric tradition produces the opposition between
West and East, savage and civilized, light and darkness, reason and rhetoric,
truth and non-truth, providing founding notions for racist and colonialist
enterprises. By deconstructing the notions of presence and essence, this text
destabilizes the quest for an underlying truth and thereby erupts as a radical
text which has potential for challenging the metaphysical foundations of
western discourses. In order to unravel the potential of the text, I would like
to draw on Jacques Derrida’s (French philosopher) deconstruction that offers
a systematic critique of the logocentric tradition and the metaphysics of
presence. The idea of ‘differance’ would be useful in tracing the quest for
truth in this text, which eventually leads to the awareness of the journey of
signifier to signifiers, with the final signified always in deference, leaving the
readers (in and outside the text) not to be bound to any signified truth or
essence.
I would like to give a brief summary of the text. Heart of Darkness begins
with four characters, the anonymous narrator, an accountant, the director of
companies and Marlow on board of a ship named Nellie. The novel involves
a frame tale, a story within a story, and it is narrated by various voices.
Marlow narrates, with interruptions from the anonymous narrator, his story
of a journey to Congo on the company’s mission to bring back ivory and his
own personal mission of understanding the truth which he associates with the
often heard name Kurtz. His journey proceeds on a steamboat from the outer
station to the central station and, lastly the inner station where Marlow
encounters Kurtz and tries to bring him back to ‘civilization’.
I would like to trace this journey in this novel at a metaphorical level, a
journey embarked for attaining the ultimate truth or reality. The entire project
of the western metaphysical tradition is to seek and find such an underlying
truth of nature or of human nature. Similarly, Marlow, the central character
and the most important narrator in this novel, attempts to make a journey, like
a philosopher, to unravel this transcendent truth and thereby become
enlightened.
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First I would like to comment on the narrative structure of the novel. As said
before, the story has a frame narrator whose name is not revealed to the
reader. The second narrator, that is, Marlow, narrates the story of his trip to
Congo. This narrative of Marlow is occasionally interrupted by the
anonymous narrator, making the reader aware that there is a story being
narrated and thus, leaving the reader one layer away from signification.
Marlow’s narration itself does not tell a unified story, but a story with lots of
voices speaking in tandem. Most of these voices appear to primarily point
towards a possible signified or a truth which Marlow thinks Kurtz is in
proximity with. However, the narration only moves from one signifier to
another. As Marlow tells at the beginning of his narration: ‘But there was in it
one river especially, a mighty big river, that you could see on the map,
resembling an immense snake uncoiled, with its head in the sea, its body at
rest curving afar over a vast country, and its tail lost in the depths of the land.
And as I looked at the map of it in a shop window, it fascinated me as a snake
would a bird— a silly little bird.’ This analogy of the snake and the bird is
very relevant to understanding Marlow’s journey from signifier to signifiers.
Much like a bird deceived by the rattling tail of a snake, Marlow, attracted by
an enigmatic signifier, finds himself entrapped in an intricate signifying chain.
Thus, the narration only defers the meaning and through its movements from
signifier to signifiers leaves the reader with no unified, universal truth. Yet this
promise of a truth keeps Marlow enthusiastic in his logocentric journey.
Instead of the essence of Kurtz, what the reader or Marlow himself
encounters are merely judgments such as ‘he is a remarkable person’ and he
is a ‘universal genius’. There are only signifiers much like the case of the
frame narrator who, devoid of a name, is for the reader just a signifier.
Now having talked about the narration and narrative, let us attempt to trace
the journey that Marlow undertakes in his wish to reach the truth, which he
expects to encounter at the end of the journey to the ‘beginnings of the
world’. Marlow comments: ‘Going up that river was like traveling back to the
earliest beginnings of the world, when vegetation rioted on the earth and the
big trees were kings. An empty stream, a great silence, an impenetrable
forest.’ Hence, Marlow is trying to reach the essence of nature and humanity
through this journey. He is on a path to discover the ‘truth’. Marlow set out
on his journey to find the truth and he started feeling that he is going to the
‘centre of the earth’. His quests for a truth which he at first seeks in the
‘voice of the surf heard now and then’ which was to him ‘like the speech of
a brother’. For Marlow ‘It[the surf] was something natural, that had its
reason, that had a meaning’. His whole journey is to trace and locate this
truth, this ultimate meaning by going into the ‘interior’. He continus his
pursuit of truth towards the interior and for the first time in the text, he
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encounters the name of Kurtz, who we would like to see as one supposed by
Marlow to be closest to logos, closest to truth. Marlow believes that Kurtz,
living away from civilization and in close proximity with nature, has access to
truth and he would deliver this truth through words, through his remarkable
speech. Later on the obsession that Marlow develops for the extraordinary
oratorical skills of Kurtz is precisely to emphasize the interconnection between
truth and speech. However, this mention about Kurtz by the accountant is
always in terms of adjectives like ‘a first class agent’, ‘a remarkable person’.
Hence, the descriptions of Kurtz, the truth-bearer, are made available only
through signifiers which do not have a concrete signified. Thus, Marlow has
to continue his journey to locate the signified behind these signifiers that he
keeps encountering. In his journey he sees ‘Paths, paths, everywhere; a
stamped-in network of paths spreading over the empty land.’ He tries to
follow these endless paths to reach the truth and always keeps encountering
silence and sounds. He remarks, ‘A great silence around and above. Perhaps
on some quiet night the tremor of far-off drums, sinking, swelling, a tremor
vast, faint; a sound weird, appealing, suggestive, and wild— and perhaps with
as profound a meaning as the sound of bells in a Christian country.’ His
endeavour to truth has various elements such as the ‘sound of bells in a
Christian country’. Hence, he seems to get to the heart of the truth which has
been flowing right from Plato and moving forwards through the dominant
metaphysical tradition as well as the Christian discourses in the West.
However, his journey for finding this ultimate truth by reaching the innermost
place, by reaching Kurtz, gets deferred all through his journey. Marlow is very
anxious to meet Mr Kurtz about whom he has been hearing right from the
time he started his journey. When the manager says that Kurtz is ill, Marlow
remarks ‘Hoped it was not true. Mr Kurtz was ... I felt weary and irritable.’
The loss of Kurtz would be the loss of truth for him and thus, Marlow’s
entire attempt now is to reach Kurtz and so, he started worshiping Kurtz.
Marlow’s journey after this is directed toward understanding, through various
signifiers who Kurtz is, but is left with only signifiers. He finds a painting
made by Kurtz in the Manager’s room and when he enquires about Kurtz, he
gets a reply, ‘He is a prodigy’... He is an emissary of pity, and science, and
progress, and devil knows what else.’ As the journey progresses, Marlow
becomes sure that Kurtz is the embodiment of truth and his mission as a
‘philosopher’ is to follow Kurtz and find the ultimate truth from him. Marlow
ascertains his commitment to truth and his belief in something essential in the
world when he says that ‘I would not have gone so far as to fight for Kurtz,
but I went for him near enough to a lie. You know I hate, detest, and can’t
bear a lie, not because I am straighter than the rest of us, but simply because
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it appalls me. There is a taint of death, a flavour of mortality in lies,— which

is exactly what I hate and detest in the world— what I want to forget. It
makes me miserable and sick, like biting something rotten would do.’ Even
when tough moments come like that of mending the steamboat to reach the
destination and finding wood for steam, the extreme faith of Marlow, in the
truth of Kurtz, does not dissolve. He says, ‘When you have to attend to things
of that sort, to the mere incidents of the surface, the reality—the reality, I tell
you—fades. The inner truth is hidden—luckily, luckily.’ At this point of the
story, Marlow gets interrupted by one of the listeners/readers of his story (not
the frame narrator), the reader says ‘Try to be civil Marlow’. This alarms
Marlow about his endeavour and he understands that his attempt of
enlightening the readers about the underlying truth gets ruptured. Still, he
continues his story, in search of Kurtz, —the Kurtz with truth.
Marlow goes on to encounter more signifiers on his onward journey. This
time it was a book, ‘An Inquiry into some Points of Seamanship, by a man
Towser, Towson—some such name—Master in his Majesty’s Navy.’ The
book was full of notes penciled on the margins which Marlow understood to
be a cipher and his next mission in the journey would be to decipher this
signifier and find the meaning. When he reaches the ‘destination’ and meets
the young Russian, who looked like a Harlequin, he understands that the notes
were not a cipher but were some notes made in Russian. Thus, Marlow’s
quest to find the meaning in this signifier ends up giving him another signifier
in the form of another language that he cannot read or understand. From this
initial shock of not being able to reach the signified of the written words in the
book, being left with another signifier which is an unknown language, Marlow
encounters more stories about Kurtz who is his last hope to reach the
signified—the ultimate truth. This talk with the Russian youth ends with
Marlow’s first encounter with Kurtz. Marlow in his narrative says ‘Kurtz—
Kurtz—that means short in German—don’t it? Well, the name was as true as
everything else in his life—and death. He looked at least seven feet long.’Thus,
his first encounter with the ‘truth’ which he was searching for comes to him
with a shattering of his perceived signified and he now slowly starts
understanding that his journey is only between different signifiers. He goes on
to grab this truth only to understand that his journey can never reach the truth
he desired and he goes on to remark ‘I had turned to the wilderness really, not
to Mr Kurtz, who, I was ready to admit, was as good as buried. And for a
moment it seemed to me as if I also were buried in a vast grave full of
unspeakable secrets.’ In his final attempt to take the truth, Kurtz, along with
him and to somehow grab the signified also fails with Kurtz’s final words
which are ‘The horror! The horror!’. So in his endeavour to grab the
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signified, what Marlow is left with are more signifiers— ‘The horror! The
horror!’ Even after Kurtz’s death, Marlow was still left with hearing more
signifiers about Kurtz, the one like, he was a musician, a politician and above
everything a great orator. Marlow, at last, negotiates his journey through
signifiers by doing the worst thing which earlier in the text he had said he
hated, which is to tell a lie. When visited by a woman, who is probably
Kurtz’s fiancé, he tells her that the last word that Kurtz uttered was her name.
In the text, there is no evidence that Marlow knows her name. Even if he
knew all he could do at the end of his endeavour to reach the truth is to
replace the signifier, ‘The Horror! The Horror’, with another signifier which
is the name of the girl.
Marlow has come to understand something, as he rightly points out in his
narrative about Kurtz, about truth and meaning, ‘He was just a word for me.
I did not see the man in the name any more than you do. Do you see him? Do
you see the story? Do you see anything? It seems to me I am trying to tell
you a dream—making a vain attempt, because no relation of a dream can
convey the dream-sensation, that commingling of absurdity, surprise, and
bewilderment in a tremor of struggling revolt, that notion of being captured by
the incredible which is of the very essence of dreams....’ Further, Marlow
says, ‘No, it is impossible; it is impossible to convey the life-sensation of any
given epoch of one’s existence,—that which makes its truth, its meaning—its
subtle and penetrating essence. It is impossible. We live, as we dream—
alone.’ Thus, Marlow had understood that his pursuit for truth is just a
journey after words that cannot be fixed to a master signified. The meaning
keeps on deferring.
Marlow realizes that Kurtz was not something that came naturally. As he notes
‘All Europe contributed to the making of Kurtz.’ Thus, he understands that
the dominant metaphysical tradition of the West which had its roots in Plato’s
discourse is what produced Kurtz, whom we can now replace with speech
proper. This speech can never tell any truth. It can only defer truth and keep
shifting from one signifier to the other as in the case of Marlow. Finally,
questing for truth, Marlow encounters aporia or in the words of literary critic
and literary theorist Paul de Man, ‘vertiginous possibilities of referential
aberration’. Marlow could end his pursuit for truth only by entering madness
and then negotiating with the madness by playing part in the signifying
process by telling a lie to the woman. Probably not a lie as there exists nothing
as a lie, truth or non-truth, but only a chain of signifiers.
A careful reader of Heart of Darkness will, certainly share Marlow’s
realization that the ultimate meaning that one attempts to trace will always
keep on differing and deferring. What the text does is to deconstruct the
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notion that some truth, an underlying essence, exists. It gets unravelled

through the quest of Marlow that the centre that is proposed by the dominant
discourse of western metaphysics is only an illusion. What exists is an array
of signifiers and as Lacan remarks, ‘We are forced, then, to accept the notion
of an incessant sliding of the signified under the signifier(s).’
Notes: Logocentrism’ in Derridean terminology refers to the metaphysical quest for
a single unchanging truth or reality, which is believed to manifest through the
speech of a father figure/master.
Even if we did not want to give in here to the easy passage uniting the figures
of the king, the god, and the father, it would suffice to pay systematic
attention—which to our knowledge has never been done—to the permanence
of a Platonic schema that assigns the origin and power of speech, precisely of
logos, to the paternal position. Not that this happens especially and exclusively
in Plato. Everyone knows this or can easily imagine it. In Dissemination,
Jacques Derrida said, ‘but the fact that “Platonism”, which sets up the whole
of Western metaphysics in its conceptuality, should not escape the generality
of this structural constraint, and even illustrates it with incomparable subtlety
and force, stands out as all the more significant.’
Works Cited
Conrad, Joseph. Heart of Darkness. Delhi: Worldview, 2002.
Paul, Man, De, ‘Semiology and Rhetoric.’ Allegories of Reading: Figural
Language in Rousseau, Nietzsche, Rilke and Proust. New Haven: Yale University
Press, 1979.
Derrida, Jacques. ‘Plato’s Pharmacy’. Postmodernism Critical Concepts. Edited
by Victor.E.Taylor and Charles E Winquist. London: Routledge, 1998.
Lacan, Jacques. Ecrits: A Selection. London: Routledge, 1989.
It is to be seen that in this short paper, there is only one idea that has been
elaborated upon which is about the shifting of signifiers to signifiers and not reaching
the signified (in term of the theory of Jacques Derrida). Hence, it is to be
remembered that while writing a paper, the exact norms prescribed by the editor
have to be followed and the word limit should also be adhered to.
Papers for Presentation in Conference

It is an academic requirement to present papers in conferences. When we write
papers to be presented in conferences, we must remember that there would be an
audience, which would be listening to your presentation and hence, it is necessary to
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formulate the paper in such a manner that it interests the audience. The written paper
and the oral paper are entirely different in the sense that the written paper will be
read and hence, needs to be explicit to such an extent that there is no confusion left
for the reader in understanding the paper. On the contrary, the oral paper should be
one which engages the attention of the listeners. Hence, the oral paper should be
marked with examples. An example of an oral paper presented in an international
conference held in Paul Valery University, Montpellier, France is given below.
The Bulletin of the International Film Festival of Kerala (IFFK) held in 2013 at
Trivandrum, was entitled, ‘75 years of Malayalam Cinema’. Two Malayalam films
were conveniently omitted by IFFK, Vigathakumaran (1930) directed by J.C.
Daniel, which was ‘unofficially‘ banned by the dominant upper caste Nairs as its
heroine, P.K. Rosy belonged to a Pulaya (Dalit) community and the second
Marthanda Varma (1933) by R. Sundar Raj.
Vigathakumaran, the long forgotten film got renewed public attention with the
release of Celluloid (2013) by Kamaluddin Mohammed Majeed (Kamal), which
dealt with the making, release and non-recognition of Vigathakumaran and its
director J.C Daniel, a Nadar Christian, alleged not to be a ‘Malayalee’ enough.
While critics argue that Vigathakumaran was banned and forgotten because it
happened in pre-Modernist Kerala where caste was still an issue, when we analyse
the fate of Dalit actors and characters in Malayalam cinema even in the present
times, it is not much different. This paper will analyse the presence/absence of Dalit
actors and characters in present day Malayalam cinema. As an entry into this
investigation, we will engage with Vigathakumaran, a movie that does not exist in
print, and so has to be investigated using memory and objects that invoke and
produce memory. Hence, one of the texts that we would look into for gathering the
story around Vigathakumaran would be the 2013 movie Celluloid. We will further
look into the Malayalam movie Papilio Buddha (2013) directed by Jayan K
Cherian. The film deals with the complex relationships that Dalits are involved in with
communism, government, mainstream sexuality, gendered roles and environment.
The language used in the movie seems to have threatened the ‘literate’ Kerala
audience and the censor board. They termed the language ‘filthy’ and ‘derogatory’.
We will look into the aspects of the use of language, sexuality and gender roles in
Dalit and non-Dalit movies and examine how it challenges Kerala’s modernity. The
paper will also try to compare the differences in the narrative structures of Dalit and
non-Dalit movies, arguing that Dalit narratives, when cinematized, disturb the linearity
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of Kerala’s hegemonic modernity. Thus, the paper would argue that the discourse of
caste and/in cinema would break the linear narrative of Kerala’s modernity. Apart
from Vigathakumaran, Papilio Buddha and Celluloid, we will also analyse
movies like Twenty:20, Makaramanju, In Harihar Nagar and The Tiger.
Source: ‘Crossing the Boundaries of Genre and Challenging Form in Dalit Literature’.
Academic Requirements of Publishing Papers

As you would be aware, the UGC is becoming extremely strict about the need for
publishing a paper. It has become mandatory to publish at least two papers before
submitting a Ph.D thesis and also there is a academic performance index (API)
system which has been introduced in the selection process of recruiting faculty in
colleges. Hence, it has become mandatory to start presenting papers in conferences
and also publishing them in journals and books.
Lastly, a researcher must remember to publish as many papers as possible from
his dissertation before publishing the dissertation as a book.
1. What is the significance of works cited in a paper?

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................................................................................................................
2. What is the general word limit for long and short paper to be accepted
for publication in journals and books?
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................................................................................................................
3. What are the major aspects to be considered while presenting a paper in

a conference?
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4. State the academic requirement of publishing papers.

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10.4 WRITING NORMS IN THESIS
At its most basic, writing is a form of communication, but unlike other forms of
communication, like talking to a friend for example, it requires formal expertise in a
language. This more than anything else sets writing apart. While, you may learn how to
speak a particular language simply by the virtue of being born among its community of
speakers, writing requires formal training. This means that by its very nature writing
follows some well-established norms and conventions. Some of these, like norms of
grammar and syntax, are inherent to the use of language itself. However, others depend
on what kind of writing you are doing. Depending on the context of its usage, writing
may be broadly put in two categories: formal and informal.
Informal writing includes letters, text messages, emails, comments, carelessly
scribbled notes and anything else that you may wish to share with your close family
and friends. You may conduct your informal communication in whichever way, you
may think is appropriate, in fact, we may define informal writing as those writings
which lack norms or have very loose and fluid norms. Interesting as informal writing
is, in this book, we are not concerned with it.
If informal writing is defined by an absence of norms, formal writing is defined by
a prevalence of norms. Every piece of formal writing has its own particular norms
and conventions. Learning these norms is part of the business of being a student.
The range of things that can be put under ‘formal writing’ is vast. It consists of
letters, memos and notices that are used in government or business offices. It also
comprises all kinds of reports, minutes, submissions, complaints, cases, laws, news
reports, police reports, historical surveys, and others. Each of these categories has
its own norms. For example, we are all familiar with formal letters which have a
more or less fixed format.
Literary writing differs from the writing that one may find in, say, a scientific
journal. The best kinds of literary writing is usually marked by its allusiveness,
attention to symbols, word play, imagery, similes and metaphors. Literary writing is
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not concerned merely with the laying out of some facts, instead it tries to persuade
and evoke emotions. It tries to be humorous, it is sometimes ironic or sarcastic. In
short, literary writing tries to do a larger number of things than a piece of scientific
writing. The same quality distinguishes it from business correspondence or even
journalistic writing.
While, the above may serve to make a broad general point about what sets
literary writing apart, one must remember that these categories are very diffuse and
permeable. A piece of writing may easily move between being scientifically precise
or argumentatively persuasive. It may try to report while also trying to involve the
reader emotionally. Journalistic writing, in particular, is marked by an abundance of
literary features.
Furthermore, we have realized so far that ‘literary writing’ is itself a broad and
general category. It consists of all literature (novels, poems, short stories) and also of
reviews, analysis and literary criticism of literature. It consists of papers,
dissertations, and thesis.
Naturally enough, different kinds of literary writing display different features.
Some of them in fact, are very close to the kind of language and tone that one may
expect to find in a scientific document. Research papers, for example, generally
keep their accent—objective and precise. Other notably non-fiction literary writings,
may take a decidedly journalistic approach.
With these points in mind, let us delve into what kinds of writing you may have
to do as a research scholar, and what features your writing should possess.
The Topic
Writing forces you to think. It is necessary that you think systematically before
embarking on your paper or thesis. Firstly, you must have a basic outline of your
topic in mind. That is, you must know what topic you are exploring and what are the
outcomes you desire. Then, you must proceed to lay out the basic outline of your
argument. You must consider such questions as what are your basic ideas, and what
will be the best way to go about building your argument. The facts or authorities, you
intend to refer to and how you can make it coherent and accessible.
With these points in mind, you must go on to make the first outline of your
argument. As you construct your thesis, you will find that there are many topics that
perhaps need a greater elaboration, on the other hand, there will be others that are
beyond the scope of the topic that you are exploring. You need to consider carefully
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what points you want to explore and which ones you want to leave out. The sharper
your focus on the topic the more precise your language will be. Read around the
topic before you choose one. It will help in clarifying your ideas and developing your
argument.
The First Draft

The first draft of your thesis or even of a paper, will provide you with the basic
outline of what your paper or thesis is going to look like in its final form. Remember
that writing is not like talking. If any point is left vague or insufficiently explored, the
reader is not going to come back for a clarification. What you write should be self-
explanatory and self-contained. The points you need to keep in mind are as follows:
1. The main argument: The aim of your thesis should be clear, and you
should be able to present it clearly and coherently in a few sentences. This
conceptual clarity will result in better writing.
2. Facts and references: You may have to refer to facts and arguments that
others have made before you. You might have to cite authority on particular
topics. If your understanding of your main argument is clear, you will be
able to avoid the pitfalls of presenting as new things that are already well
understood and well known. You are presenting a new topic. You, will of
course, have to build upon research and writing that has already gone
before, but at the same time, you must all ultimately help to you make your
case, which should be fresh and original. Thus, choosing your facts and
references carefully is a necessary part of the job.
3. The structure: The structure refers to the arrangement of your arguments
in chapters or sections and the order that they follow. For example, you
may choose an inductive or a deductive way of reasoning. If you choose a
deductive approach, you will begin with general principles and then narrow
it down to the texts you have chosen. The structure of your argument is
shaped by the general theory you have chosen. If, for example, you have
chosen to do a Marxist reading of some texts, this is, what will ultimately
define your structure. You will have to begin with a general theory and go
on to show its applicability to the texts you have chosen. Your later
chapters could elaborate on what the application of the theory to the texts
reveals about the text. You may add in your conclusion what general points
can be taken from the reading, and how it explains some larger aspect of
the society we live in. In other words, you may end up summarizing the
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reasons for the importance of the kind of work you have done. Similarly, if
you choose to do a feminist or a structuralist reading of the text or texts
under consideration, they will likewise dictate the structure of your thesis or
paper. If instead you choose an inductive approach, you will begin first with
the texts, and then go on to derive general principles from the same.
4. Style: Style refers to the language and tone you choose and the vocabulary
you use. The tone has to be precise and objective. Moreover, it is here that
literary writing comes the closest to scientific writing. While one may take
some liberties that a scientific researcher cannot or should not, it is still not
creative writing. So keep to the facts and make your arguments in simple
language. Avoid overburdening your language with too much subjective
opinions.
Every field has its own specific register, its body of specialized words that
are shorthand for complex ideas. These words may well have special
meaning within the discipline which might be quite different from how these
terms are understood by the layman. For example, terms like ‘the other’ or
‘criticism’ or ‘discourse’ have meanings that are specific to the literary field
as well as meanings that are more generally understood. A knowledge of
such terms is essential. However, at the same time, you must avoid
burdening your text with too much jargon.
5. Grammar and punctuation: Too often first time researchers devote so
much time and energy to the laying out of their grand ideas that they
overlook the importance of grammar and punctuation. How well you
construct your sentences determines how well they will be understood.
The Importance of Revisions

The main goal as you write your first draft should be to write everything on paper.
As you write, you may often get the feeling that you are not writing in the manner in
which you want it to be. One should not be disheartened, this is inevitable in a first
draft. Once, you have written down everything you wanted to write, go through the
whole text carefully. Mark out all the mistakes, and note down everything that you
need to add or to remove. It helps if you do your revision after a few days as it
helps you come back with a fresh perspective. Whether you do it immediately or
after a few days, you will find yourself making substantial changes in the arguments
or the language of your thesis. This process of revisions will continue perhaps into
your third draft or even the fourth draft. If, you are still not satisfied ask someone
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else to read it. Remember that it is rare for the finished dissertation or thesis or paper
to turn out exactly as you had planned. At some point, you will need to stop and do
your final revision.
The final draft must have the following features:
x The chapters or sections should be in a logical sequence. That means that
the first should lead to the second and the second to the third all the way to
the conclusion.
x There must be no internal contradiction between your arguments. You
should not say one thing in chapter one and something completely different
in chapter two. Whenever there is an apparent contradiction, either resolve
it by choosing one argument over the other, or explain that both arguments
are correct in their own ways.
x Double check all the facts are references you have used. They should be
scrupulously accurate and a full reference to the original text must be
provided. Above all, never cite someone without giving reference.
x Language should be clear and free of grammatical errors. This leaves a
lasting impression upon the reader. Grammatical errors are marks of
careless work. It shows a lack of dedication and a laid-back approach.
x If you have not chosen a title yet, or if you had chosen only a working title
and desire to change it, this will be the right time to do it. Our idea of the
topic changes as we develop it, and we may consequently come to prefer
a different title over the one which was chosen earlier. This freedom
though is only available if you are writing a paper, for thesis and
dissertations, the topic is usually selected right at the beginning and then
there is no scope for changing it.
Ideas and Arguments

Let us look at some of these ideas in a little more detail and understand the best
ways of expressing them. First of all, let us look at the argument or the main ‘idea’
of your topic. Some of the important features of literary analysis are as follows:
x Re-evaluate: You may reevaluate the worth or place of a writer or a text.
For example, your question might be: Edna St Vincent Millay is a major
poet who has not been given her due share in literary history. Such a work
will require a rigorous survey of the literature on Millay and an argument on
your part, as to why you think she deserves greater critical acclaim.
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x Structural analysis: Structural analysis focuses not on the content, but on

the form of a text. There are various frameworks available for this kind of
analysis. An analysis of the genre is one way to analyse the structure.
Various theorists have written extensively on the theory of genre. You may
use these theories to construct your own analysis of a text. Apart from
genre you may do a deconstructive analysis using the theories of Jacques
Derrida. Jacques Derrida was one of the most well known twentieth
century philosophers. Another way is, you may do a simple reading of the
images, metaphors and linguistic structures of the text taking help from new
criticism.
x Contextual analysis: Another popular approach is to link the text to the
social context in which it was produced. This will be a contextual analysis
of the text. Such an analysis focuses on the historical period in which it was
produced, the literary tradition to which it belongs and the intellectual
history or the history of ideas which informs the text. Such an analysis can
take help from classics as TS Eliot’s ‘Tradition and Individual Talent’, and
Harold Bloom’s more recent The Anxiety of Influence: A Theory of
Poetry (1997). You can also draw support from a wide range of historical
documents and literary histories of the period.
x Themes and tropes: Thematic analysis has recently fallen out of favour
with researchers, but remains a very viable line of inquiry. For example, one
may compare the presentation of orphans in Victorian literature with the
presentation of orphans in contemporary children’s fiction to analyse points
of similarity and differences and to explain them.
An analysis along the lines of race, class, and gender is one of the most
popular and may one say one of the easiest forms of analysis prevalent in
literary studies. These three approaches are easy to tackle chiefly because
they remain hot topics today and no effort is needed in demonstrating their
value. However, research on these topics tend to acquire a merely
formulaic cast, and should therefore, be avoided. If one does attempt a
race, class or gender analysis, one should be careful that it deals with the
topic in a way that is fresh and original and is not concerned with merely
finding race, class of gender bias in the text. As far as theories are
concerned, postcolonial theory aligns very well with race analysis, while
feminism provides the structure of gender analysis. Marxism in its old and
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new forms supplies theories, which can be used to analyse class structures
and class biases.
x Cultural analysis: Another popular area is the study of cultural artifacts.
One may study songs, videos, dresses, food, fashion, magazines and
anything else that is of cultural significance. The theory for such an analysis
comes from cultural theory. This is an intellectually productive field and
because it analyses objects that are of current interest, the research is often
topical and interesting. Yet here too, the pitfalls of formulaic application of
theory are to be avoided and one should seek a truly unique perspective on
the issue. Another emerging problem with the field of cultural studies is that
often researchers tend to convert their interest in video games, comics,
sports or anything else into a research. Such an attitude is counter-
productive, as it can easily devolve into triviality.
Assertion, Justification and Evidence

Once you have chosen what argument you want to make, you need to decide on the
best way to make it. An argument commonly contains an assertion which is often
followed by its justification reinforced by evidence. Your main argument will have to
be supported by a host of lesser assertions. Unlike your main argument they need
not be original.
When you make a statement like ‘George Eliot was an eminent Victorian
novelist’ you are making an assertion. An assertion is stated as something that you
believe to be true. If, what you say is commonly believed, then your assertion is in
no need for further justification. Statements like the above fall into this category
because no one who has even a offhand knowledge of English literature would
disagree that indeed George Eliot was an eminent Victorian novelist. Statements like
‘Industrial Revolution marked a turning point in European history’ or ‘Modernism
was marked by a break with traditional cultural forms’ are equally indisputable.
However, if everything you say falls into this category it will mean you have nothing
new to say. If you do have something new to say, then many assertions will not be
universally recognized truths. Some of the things that you say might be a majority
opinion without being a universally held opinion. For example, if you were to say
‘George Eliot was a pre-eminent writer of idealized childhood’ not everyone will
agree with you. Statements which do not have universal support should begin with
‘It is commonly believed’ or ‘Most critics agree’ or some other form of a similar
qualification. If, what you are saying is only one among many opinions, you should
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begin with ‘Some critics argue’ or ‘One opinion of the matter’ before stating that
argument. It is here, that you may need to cite some specific critics, to bolster your
claim that indeed some critics believe what you are stating.
The complicated form of assertion is the one that you make, but which does not
have direct support from authoritative writers. Such assertions should begin with ‘I
would argue’ or ‘It is my contention’, or a similar qualified statement. It is these
statements that are in need of not just argumentative support, but of the presentation
of evidence to support your claim.
Therefore, you should always ask yourself if your statement needs further
justification or evidence. Your main point should obviously need both justification and
evidence as it is something that is new. Take the following statement as an example.
If you say ‘George Eliot’s presentation of childhood in Mill on the Floss, is merely
a repetition of tropes found in earlier works’ you will need to justify this statement by
producing evidence that the childhood episodes George Eliot describes in Mill on
the Floss have a model in fiction that predate Mill on the Floss. Similarly, if you
were to assert ‘Jane Austen presents a romanticized picture of the English country
life’ you need to recognize not just the claim that you make overtly, for instance, in
the above example, the overt claim is that ‘Jane Austen presents a romanticized
picture of the English country life’ but there are also implicit claims being made. The
first implicit claim in the above statement is that ‘Jane Austen has consistently
presented one kind of picture of country life’. The second implicit claim is that ‘The
picture Austen presents is better than the actual reality’. You will need to present
evidence from eminent historians of the period in which Austen’s novels are set and
show how Austen’s novels do not show the full picture of country life, and that the
reality was actually more sordid than what Austen allows in her novels.
Alan Durant and Nigel Fabb, in their guide for book How to write Essays and
Dissertations, give several examples of implicit presuppositions. Nigel Fabb is
Professor of Literary Linguistics, an editor of Journal of Linguistics, and Head of the
Department of English Studies at University of Strathclyde. Alan Durant is Professor
of English Studies at Middlesex University of London. They provide a list of
sentence beginnings, and constructions that can be used to hide presuppositions.
Some of the ways, in which a researcher could make a presupposition without
realizing it are given as follows.
x Example of a sentence beginning with ‘What is’: ‘What is Edward
Said’s (a Palestinian American literary theorist and public intellectual who
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helped found the critical-theory field of postcolonialism) position on

colonial narratives in Orientalism?’ The ‘what is’ construction presupposes
that ‘Edward Said has a position on colonial narratives in Orientalism.’
x Example of a sentence which uses ‘again’ or ‘once more’: Bertolt
Brecht (a German playwright, theater critic, and director) revised the text
of The Good Person of Setzuan again.’ This presupposes that Bertolt
Brecht had revised The Good Person of Setzuan before as well.
x Examples of the use of factive verbs like ‘reconciled’ or ‘know’: At
the end of the book The Old Man and Sea, the main character is
reconciled to his destiny. This presupposes that ‘the main character believes
in destiny. Words like ‘reconciled’, ‘know’, ‘believes’ , and others, seem to
state facts, but are often used to state suppositions.
x Examples of implicative verbs, like ‘succeeded’ or ‘managed’ or
‘accomplished’ imply that someone tried to do the action implied:
‘Romantic authors managed to persuade us that nature is essentially
benign.’ This presupposes that Romantic writers tried to persuade us that
nature is essentially benign.
x Examples of the use of ‘Although’, ‘since’ and ‘because’: These
imply a cause and effect connection between two parts of a sentence,
when that connection is sometimes merely a presuppositions. Because
Nathaniel Hawthorne (an American novelist and short story writer)
believed in the supernatural, his works contain supernatural and gothic
elements. This presupposes that Nathaniel Hawthorne believed in the
supernatural.
The aim of these examples is not to make it difficult for you to write your thesis.
You will soon discover that you will use many of the sentence constructions given
here—and indeed many others that we have not given here—in your dissertation.
This is not necessarily a bad thing. It is almost inevitable that you will make
assertions which may contain presuppositions. Your goal should be to be on your
guard; to understand the category of your presupposition. Is it something that is
universally accepted, or at least believed by the majority? Or, is it something that is
contentious? Depending on which category your assertion falls under, you might
need to provide further argument and evidence.
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Generalizations
Broad claims about the nature of a text, about an author’s oeuvre or about a period
are called generalizations. If you say for example ‘Jane Austen’s novels are about
marriages’ you are making a generalization. If you say ‘Modernism has led to
discontent’ you are again making a generalization. Generalizations can be understood
as a specific form of presupposition. You may have read a few novels by Jane
Austen, and from those novels you were led to believe that all her novels are about
marriages. You may have read a critic expounding the view that the period of
modernism was also a period of great discontent and from there you may have been
led to conclude that a) there is discontent in the modern period and that b) it has
been caused by modernism. Generalizations, can be both largely true and largely
false. When they are true they are formed through exhaustive readings and an in
depth understanding of the subject matter. When they are false, they are often the
result of a partial understanding or insufficient research. For example, the statement
‘Jane Austen’s novels are about marriages’ is based on a partial understanding of her
novels. A deeper reading would have revealed social and moral concerns which are
woven into the plot of Austen’s novels.
Generalizations, however, are not always bad. In fact, the opposite is true. A
capacity for generalization is indispensable for the good researcher. Generalizations
allow you to extrapolate from specific texts or experiences to general and broader
points about human nature, society and history. Generalization is the capacity to see
the connections. It is, as it were, the ability to deduce the composition of water by
closely analysing a single drop. Sometimes, you need to make sweeping statements
before narrowing down to your specific issue. In such cases, you need to be careful
that the generalization you are making is well supported by facts and is indeed a valid
generalization. What has earlier been said about presuppositions that may or may
not need to be supported by arguments and evidence holds true in this case also. If,
your generalization is something that is widely held you do not need to give further
argument or evidence. However, if it is something you are asserting, you will need to
garner considerable argument and proof to support your claim.
How you deal with generalization also has implications for the structure of your
thesis. As discussed earlier, if you choose to move from a study of specific texts to
broad general claims, you will be following an inductive approach. On the other
hand, if you have reached your general conclusions and state them first, and only in
later chapters illustrate them with specific examples, you have chosen a deductive
approach.
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Whichever method you choose, however, you need to be careful to maintain a

strict balance between general claims and specific examples.
Positioning Yourself
In the course of your research, you will often come across evidence that goes
counter to the claims that you intend to make in your thesis, or problematize your
supposition. When you present your argument and evidence in your thesis you are
duty bound to present these counter claims as well. If indeed the evidence is against
the statement, your thesis should reflect them. If however, despite the evidence that
you may have discovered to the contrary, you believe that your initial hypothesis,
general statement, is sound, you will find that you presentation emphasizes certain
evidence while de-emphasizing others. This is not necessarily a bad thing. You do
need to present your evidence effectively. This will require signaling your attitude
towards the evidence. This is done by the use of phrases such as ‘It would be
apparent from the evidence’ or ‘This clearly shows’ ‘This is an effective way of’
before presenting the evidence you support. The use of words such as ‘generally’,
‘apparently’, ‘clearly’, ‘effectively’, and others serve to emphasize your point and
signal your attitude.
However, there would be many points which cannot be so resoundingly
asserted, which yet may have your support. In such cases, it is best to make your
statement with a hedge, or a qualifying phrase like ‘on the whole’, ‘in effect’, ‘it
seems that’, ‘apparently’, ‘arguably’, and others. For example, you might say, ‘On
the whole it appears that the Romantics had an idealized view of nature’. Instead of
saying ‘The Romantics clearly had an idealized view of nature’.
The use of such qualifying phrases gives an aura of nuance and fine
discrimination to your thesis. However, they also lead to the danger of creating the
impression that you are not clear about the points you are making. There can be no
hard and fast rule for the usage of these phrases, except that there should be a fine
balance between hedging and assertion.
Voice and Register

We use different types of language for different situations. If we are writing an email
to a friend, we might use one type of language using a certain kind of words and
phrases which we would not use, if writing to a teacher. If you were writing a letter
to your parent, you will use a language distinct form the one you use either for a
teacher or a friend. Your language will differ in all three cases in voice and register.
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Register refers to the specific set of words we invoke in a situation. The situation
may be a field of study; for example, those who write papers in science use a
different selection of words from those who write in literary studies. Furthermore,
the situation may be the mode in which you are writing. A letter, for example, will be
written in a different register than a research paper. A dissertation is a formal piece
of work and as such has its own accepted language. It cannot be written in the same
language you use for writing a letter to a friend, and you certainly cannot write it the
way you write your text messages. More than that, a literary thesis has its own
register. A good researcher should be familiar with the register of his field. Apart
from the register, a good researcher also needs to master the voice in which he
intends to write his thesis. A well written essay or a dissertation gives the impression
of someone talking to us. It allows for the reader to imagine himself in conversation
with the author and creates an engrossing experience. Creating this impression,
however, is not easy. One may find it difficult to decide between over formality or
colloquialisms.
While the language of your thesis needs to be formal, it also needs to be written
in your voice. To achieve a formal language avoid using colloquialisms like ‘ok’ or
‘maybe’ they give the impression of sloppiness. Instead of ‘ok’ use ‘acceptable’,
instead of ‘maybe’ use ‘perhaps’. Avoid using exclamation points. Instead of writing
‘I loved this novel!’ write ‘I found the novel quite entertaining.’ To avoid the danger
of over formalization, use simple words that you are comfortable to use. Do not
copy the vocabulary of other writers. In order to ascertain, whether you have
achieved your goal of developing your own voice try to read aloud what you have
written. If you are comfortable with the passage then you have achieved your goal.
1. State the two main categories of writing.

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2. Give examples of informal writing.

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3. Define ‘assertion.’
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10.5 SPECIFICATIONS FOR THESIS FORMAT
The thesis needs to be prepared using standard text processing software and must
be printed in black text (colour for images, if necessary) using a laser printer or letter
quality printer in standard easily readable typeface (for example, Times New
Roman). One must ensure that the regular type style contrasts clearly with the italic,
and is set to a standard size (for example, 12 points).
The thesis must be printed or photocopied on both sides of white paper. All
copies of thesis pages must be clear, sharp and even, with uniform size and uniformly
spaced characters, lines and margins on every page of good quality white paper of
75 gsm or more. The thesis should be free from typographical errors.
Size and Margins

A4 size paper is the recommended size for thesis.
Apart from page numbers, leave margins of one inch at the top and bottom and
on both sides of the text. Indent the first word of the paragraph half an inch from the
left margin. Indent set off quotations one inch from the left margin.
Content should not extend beyond the bottom margin except for completing a
footnote, last line of chapter/subdivision, or figure/table caption.
A sub-head at the bottom of the page should have a minimum of two full lines of
content below it. If the sub-head is too short to permit this, then it should start on the
next page.
All tables and figures should comply with the same requirements as text. Colour
may be used for figures. If tables and figures are large, they may be curtailed to the
standard size (provided the reduced area is not less than 50 per cent of the original)
and or folded just once to flush with the thesis margin (if the page size does not
exceed 250x360 mm).
Students should submit printed thesis copies in A4 size, that is, the standard size
of paper.
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Page Numbering
Starting with the first page of the text in the thesis (chapter 1), all pages should be
numbered consecutively and consistently in Arabic numerals through the appendices.
Page numbers prior to Chapter 1 should be in lower case Roman numerals. The
title page is considered to be page (i) but the number is not printed.
All page numbers should be placed without punctuation in the upper right hand
corner, half an inch from the top edge and with the last digit even with the right hand
margin.
Line Spacing
The general text of the manuscript should be in double spacing (3 lines per inch).
Long tables, quotations, footnotes, multi-line captions and bibliographic entries
(references) should be in single spacing (6 lines per inch), with text size in 11 points.
Leave one space after a period or other concluding punctuation mark.
Tables and Figures

All tables (tabulated data) and figures (photograph, charts, graphs, maps, images,
diagrams, and so on) should be prepared, wherever probable, on the same paper
used to type the text and adhere to the specifications outlined earlier. They should be
inserted in proximity to the textual reference.
Tables and figures should be numbered sequentially either throughout the thesis
or chapter-wise using Arabic numerals. References to tables and figures in the
running texts should be uppercased, as for instance, Table 17, Figure 24, or Table
5.3, Figure 3.11, and so on.
If tables and figures are of only half a page or less, they may appear on the same
page as text, but separated above and below by a space of triple lines. Font size for
text should be the same as for the general text. To avoid confusion between notes to
the text and notes to the table, denominate notes to the table with lowercase letters
rather than with numerals. Use double space all through the table and use dividing
lines as per the requirement.
Good quality line drawings and figures must be drawn using standard software
that provides vector rather than bitmap graphics. Figures should be such that they
can be changed in size or scale.
Images, photographs, and others must be scanned in resolution exceeding
200dpi with 256 grayscales for the monochrome images and 24 bit per pixel for the
colour images.
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Binding
The student should submit the copies of the thesis in fully bound form. The front
cover of the bound copy should be the same as the title page of the thesis. The front
cover should have printing on the side to include the thesis title, degree, department,
researcher’s name, guide’s name, name of the institute and the year.
Guidelines for structuring content

The following are the guidelines for structuring content:
Sequence of Contents
The pattern or sequence to be followed in arranging content in a thesis is as follows:
(i) Preliminaries— this includes the following points:
x Title page
x Certificate
x Abstract/Synopsis
x Acknowledgement and/ or dedication (where included)
x Table of contents
x List of figures
x Tables, illustrations, symbols, and others (wherever applicable)
(ii) Text of the thesis— this includes the following points:
x Introduction
x The body of the thesis
x Summary and conclusion
(iii) Reference material— this includes the following points:
x List of references
x Bibliography (where included)
(iv) Appendices where included
(v) Index where included
All the headings are centered (without punctuation) one inch below the top edge
of the page. The subsequent typesetting begins four spaces below the heading.
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Preliminaries
Let us now study the headings that come under preliminaries in detail.
x Title Page: The title page contains the title (including the subtitle), name of
the institute, department, researcher and the guide along with the date/year
of submission.
x Certificate: A certificate mentioning that the work done is original and this
comes after the title page.
x Abstract/ Synopsis: A Ph.D thesis should contain an abstract of 200
words and a synopsis of approximately 1000 words (about four pages)
should be written in double space. It should comprise the following
information:
x Background/topic
x Purpose
x Conclusion
After a long abstract (about a paragraph), also add keywords, that is, 3–7
words or phrases characterizing the theme, for example:
Keywords: Oscar Wilde, Dorian Grey, ethics, aesthetics, symbols, hedonism,
Gothic horror.
The synopsis/abstract is to be printed in double space with the heading
‘SYNOPSIS/ABSTRACT’ in uppercase followed by certain preliminary
information and the text. Synopsis/abstract should be complete and should contain
no citations for which the thesis has to be referred. This should be a succinct
summary of the thesis. It should state clearly the nature and scope of the work
undertaken and of the contribution made to the knowledge of the subject treated.
One should also include an outline of the major divisions or principal arguments of
the work and a summary of the conclusion reached.
x Acknowledgement: Most thesis include this page in which the writer
acknowledges the assistance received. Typically, the acknowledgements
are brief and include thanking the staff, the participants of the research, any
funding source and others.
x Table of Contents: It lists all material that follows it. No preceding
material is listed. Chapter titles, sections, first and second order sub-
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divisions, and so on, must be listed in it. Tables, figures, nomenclature, if

used in the thesis, are listed under separate headings.
x Footnotes: Footnotes are generally positioned at the bottom of the page
or at the end of the thesis or dissertation. Whenever a footnote is placed at
the bottom of the page, each footnote must appear on the page in which
the reference to it occurs. At the bottom of the page (one double space
below the last line of text), a separator (line of underline characters) should
be typed at the left margin. The first footnote should begin one double
space below this line.
x Endnotes: When an endnote is placed at the end of the thesis or
dissertation, the page numbers of the text, to which the endnotes refer, must
appear at the top of each page of notes. At the beginning of each chapter’s
notes, both the number and the title of the chapter should be typed.
Every footnote or endnote must start on a new line, and indented the same way
as paragraphs in the text. All notes are single-spaced, with double-spacing between
them. Each note should end with a period. Notes should be numbered one after the
other, starting with 1 for each chapter. One should use Arabic numbers. Footnotes
may be numbered in either of two styles. The simple style, is to use numerals on the
line, followed by a period. However, the older style is to use superscript numbers
such as footnote numbers in the text, without punctuation. For endnotes, one should
use numerals on the line, followed by a period. Footnote or endnote numbers in the
text, always appear after punctuation marks rather than before them. The note
number giving the source of the quotation appears at the end of the quotation.
Text of the Thesis

Let us now study the headings that come under the text of the thesis in detail.
x Introduction: Introduction may be the first chapter or its first major division.
In either case, it should contain a brief statement of the concept analysed. It
should outline the scope, aim, general character of the research and the
reasons for the student’s interest in the problem. You cannot write a good
introduction until you are aware of the argument being presented in the paper.
Hence, one should attempt to write the introduction, only after the rest of the
paper has been completed.
Be sure to include a hook at the beginning of the introduction. This is a
statement of something sufficiently interesting to motivate your reader to
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Paper and Thesis
read the rest of the paper. You should draw the reader in and make them
inquisitive enough to read the rest of the paper.
The next paragraphs in the introduction should cite previous research in this
area. It should cite those who had the idea or ideas first, and should also
cite those who have done the most recent and relevant work. You should
then go on to explain why more work was necessary.
x The Body of the Thesis: This is the substance of the dissertation inclusive
of all divisions, subdivisions, tables, figures, and others. In the main body of
the thesis, the researcher presents the narrative argument into major divisions
(chapters), each presenting a main point in the argument. Each chapter can
contain the review of related literature for the arguments put forth in the
chapter, if there is no separate chapter containing the review of related
literature. The body shows evidence of critical analysis and understanding on
a topic. One of the most important aspects of the body of the thesis is the
adherence to formats and the consistency in style.
x Summary and Conclusion: These are given as the last major division
(chapter) of the text. This contains the most important statements derived
from the observations made by the researcher and discussions carried out
in the research. This chapter should describe the conclusion that you
reached from carrying out this investigation, summarize new observations,
new interpretations, and new insights that have resulted from the present
work. A further and final subdivision titled ‘Scope for Further Work’ may
follow.
Reference Material
Let us now study the headings that come under reference material of the thesis in
detail.
x The list of references: This should appear as a consolidated list with
references listed alphabetically. If pertinent works have been consulted but
not specifically cited, they should be listed as bibliography. Spacing and
font size should be consistent throughout the reference list, and there should
be double spacing between two different references.
Reference Format
The reference/bibliography list appears at the end of the paper. It provides the
necessary information for a reader to locate and retrieve any source cited in the
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Paper and Thesis
paper. There are several styles and each style has a set of rules. The MLA is the
common style followed by researchers of literature. While referencing/writing the
bibliography, the student should be consistent in following one style.
In Text Citation
The list of references at the end of the thesis plays an important role in the
acknowledgment of sources, but the list does not in itself provide sufficiently detailed
and precise documentation. One must indicate to the readers not only which works
were used in the thesis, but also what was derived from each source and where in
the work is the material to be found. The most practical way to supply this
information is to insert a brief parenthetical acknowledgment whenever you cite
another person’s ideas. Usually, the author’s name and page reference are enough to
identify the source and the specific location from where the idea is borrowed.
Medieval Europe was a place both of ‘raids, pillages, slavery, and extortion’ and
of ‘travelling merchants, monetary exchange, towns if not cities, and active markets
in grain.’(Townsend 10)
The parenthetical reference (Townsend 10) indicates that the quotations come
from page 10 of a work by the author, Townsend. Given the author’s last name, the
readers can find complete publication information for the source in the alphabetically
arranged list of references that follows the body of the thesis.
Townsend, Robert M. 1993. The Medieval Village Economy. Princeton:
Princeton University Press. Print.
The following guidelines must be kept in mind while giving in text citation:
References in the text must clearly point to specific sources in the list of references
cited. The information in the parenthetical references in the text must match the
corresponding information in the entries in the list of references cited at the end.
When the list contains only one work by the author cited, you need to give only
the author’s last name to identify the work: (Patterson 183–85). If the list contains
more than one author with the same last name, you must add the first initial— (A.
Patterson 183–85)’ and (L. Patterson 230)— or if the initial is shared too, the full
first name.
Citing an Entire Work

If you wish to cite an entire work, it is preferable to include in the text, rather than in
a parenthetical reference, the name of the person that begins the corresponding entry
in the references list.
Fukuyama’s Our Posthuman Future includes many examples of this trend.
The utilitarianism of the Victorians ‘attempted to reduce decision-making about
human actions to a ‘felicific calculus’ (Everett).
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Paper and Thesis
Works Cited
x Everett, Glen. ‘Utilitarianism.’ The Victorian Web. Ed. George P. Landow.
x Scholars Programme, Natl. U of Singapore, 11Oct. 2002. Web. 18 May
207.
x Fukuyama, Francis. 2002. Our Posthuman Future: Consequences of the
Biotechnology Revolution. New York: Farrar.
Citing Part of a Work

If you quote, paraphrase, or otherwise use a specific passage in a work, give the
relevant page or section (for example, paragraph) number or numbers. When the
author’s name is in your text, give only the number reference in parentheses, but if
the context does not clearly identify the author, add the author’s last name before
the reference. Leave a space between them, but do not insert punctuation or page/
pages or the abbreviation p. or pp. If your source uses explicit paragraph numbers
rather than page numbers, for example, some electronic publications do give the
relevant number or numbers preceded by the abbreviation par. or pars. If the
author’s name begins such a citation, place a comma after the name. If another
kind of section is numbered in the source, either write out the word for the section
or use a standard abbreviation. Here too, if the author’s name begins such a
citation, place a comma after the name. When a source has no page numbers or
any kind of reference numbers, the work must be cited in its entirety, though you
may indicate in your text an approximate location of the cited passage. Do not
count unnumbered paragraphs.
Between 1968 and 1988, television coverage of presidential elections changed
dramatically (Hallin 5).
The Committee on Scholarly Editions provides an annotated bibliography on the
theory of textual editing (sec. 4)
Chan claims that ‘Eagleton has belittled the gains of postmodernism’ (par. 41).
References
Chan, Evans. ‘Postmodernism and Hong Kong Cinema,’ Postmodern Culture.
Volume no. 10, Issue no 3: 2000. Project Muse Website without page numbers.:
Web. 20 May 2002.
Committee on Scholarly Editions. ‘Guidelines for Editors of Scholarly Editions.’
Modern Language Association. MLA, 25 Sept. 2007. Web. 22 January 2008.
255
Paper and Thesis
Hallin, Daniel C. ‘Sound Bite News: Television Coverage of Elections, 1968–

1988.’ Journal of Communication. Volume no. 42, Issue no. 2 : pp. 5–24. 1992.
Citing Volume and Page Numbers of a Multi-volume Work

If, you used more than one volume of the multi-volume work, you must cite both the
volume and page numbers. When citing a volume number as well as a page reference
for a multi-volume work, separate the two by a colon and a space: for example,
‘Wellek 2: 1–10’. Use neither the words volume nor page nor their abbreviations.
Like in a single work, if you wish to refer to the whole work of a multi-volume
work, there is no need to cite pages. Place a comma after the author’s name and
include the abbreviation vol.: for example, ‘Welleck, vol. 2’. If you integrate such a
reference into a sentence, spell out volume: for example, ‘In volume 2, Welleck
deals with…’
The anthology of Lauter and his co-editors contains both Stowe’s ‘Sojourner
Truth, the Libyan Sibyl’ (B: 2601-09) and Gilman’s ‘The Yellow Wall-Paper’ (C:
578-90).
Between 1945 and 1972, the political-party system in the United States
underwent profound changes (Schlesinger, vol. 4).
References
Lauter, Paul, et al., 2006. eds. The Health Anthology of American Literature.
(5th edition). 5 vols. Boston: Houghton Mifflin Harcourt. Print.
Schlesinger, Arthur M., Jr. 1973. History of U.S. Political Parties. 4 vols.
New York: Chelsea House.Print.
Citing a Work Listed by Title

In a parenthetical reference to a work alphabetized by title in the list of references, the
full title (if brief) or a shortened version precedes the page, paragraph, section, or
reference number(s), unless the title appears in your text. While abbreviating the title,
begin with the word by which it is alphabetized. If you are citing two or more
anonymous works with the same title, find a publication fact that distinguishes the
works and add it to their parenthetical references. This fact could refer to the date of
publication or the title of the work that encloses the cited work. If you wish to cite a
specific definition in a dictionary entry, give the relevant designation (for example,
number, letter) after the abbreviation def.
International espionage was as prevalent as ever in the 1990s (‘Decade’).
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Paper and Thesis
Even Sixty Minutes launched an attack on modern art, in a segment entitled

‘Yes… but Is It Art?’
In winter the snowy owl feeds primarily on small rodents (‘Snowy Owl,’
Hinterland), but in spring it also feeds on the eggs of much larger waterfowl, such as
geese and swans (‘Snowy Owl,’ Artic).
Milton’s description of the moon at ‘her highest noon’ signifies the ‘place of the
moon at midnight’ (‘Noon,’ def. 4b).
References
‘Decade of the Spy.’ Newsweek. 7 March 1994: pp. 26-27.
‘Noon.’The Oxford English Dictionary. (2nd edition). Oxford: Oxford UP.
CD-ROM.1992
‘Snowy Owl.’ Arctic Studies Centre. National Museum of Natural History of
the Smithsonian Institution, 2004. Web. 8 August 2007.
‘Snowy Owl.’ Hinterland Who’s Who. Canadian Wildlife Service, 2006. Web.
8 August 2007.
‘Yes… but Is It Art?’ Narr. Morley Safer. Sixty Minutes. CBS. WCBS, New
York. 19 September 1993. Television.
Citing a Work by a Corporate Author

To cite a work by a corporate author, you may use the author’s name followed by
a page reference: for example, ‘United Nations, Economic Commission for Africa
pp. 79–86.’ It is better, however, to include a long name in the text, so that the
reading is not interrupted with an extended parenthetical reference. While giving the
name of the corporate author in parentheses, shorten terms that are commonly
abbreviated: for example, ‘Natl. Research Council 15.’
In 1963 the United Nations Economic Commission for Africa predicted that Africa
would evolve into an advanced industrial economy within fifty years (1-2, 4-6).
According to a study sponsored by the National Research Council, the
population of China around 1990 was increasing by more than fifteen million
annually (15).
References
National Research Council. 1992. China and Global Change: Opportunities for
Collaboration. Washington: Natl. Acad., . National Academies Press. Accessed
on: 15 March 2007.
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Paper and Thesis
United Nations. 1963. Economic Commission for Africa. Industrial Growth in

Africa. New York: United Nations, Print.
Citing Two or More Works by the Same Author or Authors

In a parenthetical reference to one or more works by the same author, put a comma
after the author’s last name and add the title of the work (if brief) or a shortened
version and the relevant page reference: for example, (Frye, Double Vision 85). If
you state the author’s name in the text, give only the title and page reference in
parentheses: for example, (Double Vision 85). If you include both the author’s name
and the title in the text, indicate only the pertinent page number(s) in parentheses: for
example, (85).
Shakespeare’s King Lear has been called a ‘comedy of the grotesque’ (Frye,
Anatomy 237).
For Northrop Frye, one’s death is not a unique experience, for ‘every moment
we have lived through we have also died out of into another order’ (Double Vision
85).
Hypertext, as one theorist puts it, is ‘all about connection, linkage, and affiliation’
(Moulthrop, ‘You Say,’ par. 19).
References
Frye, Northrop. 1957. Anatomy of Criticism: Four Essays. Princeton: Princeton
UP. Print.
Frye, N. 1991. The Double Vision: Language and Meaning in Religion.
Toronto: University of Toronto Press . Print.
Moulthrop, Stuart. ‘You Say You Want a Revolution? Hypertext and the Laws
of Media.’ Postmodern Culture. Volume no. 1, Issue no. 3 (1991): Project Muse
has no page numbers. Web. 3 April 1997.
Citing Indirect Sources

Whenever possible you should take material form the original source, and not a
second hand one. At times, however, only an indirect source is available—for
example, someone’s published account of another’s spoken remarks. If what you
quote or paraphrase is itself a quotation, put the abbreviation qtd. in (‘quoted in’)
before the indirect source you cite in your parenthetical reference. You may
document the original source in a note.
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Paper and Thesis
Samuel Johnson admitted that Edmund Burke was an ‘extraordinary man’ (qtd.
in Boswell 2: 450).
Reference
Boswell, James. The Life of Johnson. Edited by George Birkbeck Hill and L.F.
Powell. 6 vols. Oxford: Clarendon Press, 1934-50.
Citing More Than One Work in a Single Parenthetical Reference

If you wish to include two or more works in a single parenthetical reference, cite
each work as you normally would in a reference, and use semicolons to separate the
citations.
(Fukuyama 42 and Chan, par. 11)
References
Chan, Evans. ‘Postmodernism and Hong Kong Cinema.’ Postmodern Culture.
Volume no. 10, Issue no. 3 : 2000. Project Muse has no page numbers. Accessed
on: 20th May 2002.
Fukuyama, Francis. 2002. Our Posthuman Future: Consequences of the
Biotechnology
Revolution. New York: Farrar, Straus and Giroux .
Keep in mind, however, that a long parenthetical reference may prove intrusive
and disconcerting to the reader. To avoid it, cite multiple sources in a note rather
than in parentheses in the text.
Using Notes with Parenthetical Documentation

Two kinds of notes may be used with parenthetical documentation:
x Content notes offering the reader comments, explanation, or information
that the text cannot put up
x Bibliographic notes containing either several sources or evaluative
comments on sources
In providing this sort of supplementary information, place a superscript Arabic
numeral at the appropriate place in the text and write the note after a matching
numeral either at the end of the text as an endnote or at the bottom of the page as
a footnote.
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Paper and Thesis
Content Notes
In your notes, avoid lengthy discussions that divert the reader’s attention from the
primary text. In general, comments that you cannot fit into the text should be omitted
unless they provide essential justification or clarification of what you have written.
You may use a note, for example, to give full publication facts for an original source
for which you cite an indirect source and perhaps to explain why you took
assistance from secondary material.
Brooks’s ‘The Ballad of Chocolate Mabbie’ is a poem about a series of
proposed metonymic relations (Mabbie next to the grammar school gate, Mabbie
next to Willie Boone) that concludes with the speaker’s hopeful recognition that if
Mabbie aligns herself with like figures (her ‘chocolate companions’) she will achieve
a positive sense of self-reliance (‘Mabbie on Mabbie to be’).
Reference
Brooks, Gwendolyn. 2006.‘The Ballad of Chocolate Mabbie.’ Selected Poems.
New York: Perennial-Harper. 7. Print.
Martin, Wallace. 1993. ‘Metonymy.’ The New Princeton Encyclopedia of
Poetry and Poetics. Edited by Alex Preminger and T.V.F. Brogan. Princeton:
Princeton UP. Accessed on: Web. 26th March 2008.
Bibliographic Notes
Use notes for evaluative comments on sources and for references containing
numerous citations.
Many observers conclude that health care in the United States is inadequate. 1
Technological advancements have brought advantages as well as unexpected
problems.
Notes
1. For strong points of view on different aspects of the issue, see Public
Agenda Foundation 1-10 and Sakala 151-88.
2. For a sampling of materials that reflect the range of experiences related to
recent technological changes, see Taylor A1; Moulthrop, pars. 39-53 and
Fukuyama 42.
References
Fukuyama, Francis. 2002. Our Posthuman Future: Consequences of the
Biotechnology
260
Paper and Thesis
Revolution. New York: Farrar, Straus and Giroux .Print.

Moulthrop, Stuart. ‘You Say You Want a Revolution? Hypertext and the Laws
of Media.’ Postmodern Culture. Volume no. 1, Issue no. 3:1991. Project Muse has
no page numbers. Web. 3rd April 1997.
Public Agenda Foundation. 1992. The Health Care Crisis: Containing Costs,
Expanding Coverage. New York: McGraw Hill. Print.
Sakala, Carol. 1993. ‘Maternity Care Policy in the United States: Towards a
More Rational and Effective System.’ Diss. Boston University. Print.
Taylor, Paul. ‘Keyboard Grief: Coping with Computer-Caused Injuries.’ Globe
and Mail [Toronto] 27th December 1993: A 1+. Print.
1. What is the recommended paper size for preparation of thesis?

................................................................................................................
................................................................................................................
................................................................................................................
2. How are pages numbered in the preparation of thesis?

................................................................................................................
................................................................................................................
................................................................................................................
3. Mention the headings that comprise preliminaries in a thesis.

................................................................................................................
................................................................................................................
................................................................................................................
4. Why is it necessary to include a hook at the beginning of the introduction

in a thesis?
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................................................................................................................
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Paper and Thesis
10.6 SUMMARY
x A ‘research proposal’ is a request for support of sponsored research,

instruction or extension assignments.
x The ‘research proposal’ is a key element of any research. Hence, before
preparing the final request or proposal, the researcher or investigator must
revise the proposal several times to make it precise and perfect.
x Papers are written for either being presented in a conference or for
publishing in a journal or an edited book.
x There are various web resources or digital libraries available today and it is
important for researchers to use these resources while writing a dissertation
or a paper.
x Informal writing includes letters, text messages, emails, comments,
carelessly scribbled notes and anything else that you may wish to share
with your close family and friends.
x If informal writing is defined by an absence of norms, formal writing is
defined by a prevalence of norms.
x Writing forces you to think. It is necessary that you think systematically
before embarking on your paper or thesis.
x The first draft of your thesis or even of a paper, will provide you with the
basic outline of what your paper or thesis is going to look like in its final
form.
x Generalization is the capacity to see the connections. It is, as it were, the
ability to deduce the composition of water by closely analysing a single
drop.
x The thesis needs to be prepared using standard text processing software
and must be printed in black text (colour for images, if necessary) using a
laser printer or letter quality printer in standard easily readable typeface (for
example, Times New Roman).
x The thesis must be printed or photocopied on both sides of white paper. All
copies of thesis pages must be clear, sharp and even, with uniform size and
uniformly spaced characters, lines and margins on every page of good
quality white paper of 75 gsm or more.
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Paper and Thesis
x Starting with the first page of the text in the thesis (chapter 1), all pages
should be numbered consecutively and consistently in Arabic numerals
through the appendices.
x The student should submit the copies of the thesis in fully bound form. The
front cover of the bound copy should be the same as the title page of the
thesis.
x The reference/bibliography list appears at the end of the paper. It provides
the necessary information for a reader to locate and retrieve any source
cited in the paper.
x To cite a work by a corporate author, you may use the author’s name
followed by a page reference: for example, ‘United Nations, Economic
Commission for Africa pp. 79–86.’
10.7 KEY WORDS
x Diegetic: It is a narrative or plot, typically in a film.

x Parallax: It is the effect whereby the position or direction of an object
appears to differ when viewed from different positions.
x Schema: It is a representation of a plan or theory in the form of an outline
or model.
x Syntax: It is the study of the rules whereby words or other elements of
sentence structure are combined to form grammatical sentences.
x Business correspondence: It is a form of communication related to
business done in a written form.
x Inductive reasoning: It is a logical process in which multiple premises, all
believed to be true or found true most of the time, are combined to obtain
a specific conclusion.
x Hooks: A hook is the first sentence of the essay, it grabs the reader’s
attention, compelling them to continue reading.
x Vector graphics: It is the creation of digital images through a sequence of
commands or mathematical statements that place lines and shapes in a
given two-dimensional or three-dimensional space.
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Paper and Thesis

1. A ‘research paper’ is a request for support of sponsored research,
instruction or extension assignments.
2. The following specifications include the primary components of a research
proposal:
x Title page
x Abstract
x Table of contents
x Introduction
x Background
x Description of proposed research
x List of reference
x Personnel
x Budget

1. Works cited is a very important component of a paper. Whenever a paper
is sent for publication, one of the most significant portion checked by the
editor is the list of works cited.
2. In the case of a publication, there would be normally two types of papers
accepted in journals and edited books, short paper with a word limit of
2500–3500 words and long paper varying between 6000–9000 words.
3. When we write papers to be presented in conferences, we must remember
that there would be an audience, which would be listening to your
presentation and hence, it is necessary to formulate the paper in such a
manner that it interests the audience.
4. The UGC has become extremely strict about the need for publishing paper.
It has become mandatory to publish at least two papers before submitting
a Ph.D thesis and also there is an academic performance index (API)
system which has been introduced in the selection process of recruiting
faculty in colleges.
264
Paper and Thesis

1. The two main categories of writing are formal and informal.
2. Informal writing includes letters, text messages, emails, comments,
carelessly scribbled notes and anything else that you may wish to share
with your close family and friends.
3. An assertion is stated as something that you believe to be true. If, what you
say is commonly believed, then your assertion is in no need for further
justification.

1. The recommended paper size for preparation of thesis is A4 size paper.
2. All pages should be numbered consecutively, and consistently in Arabic
numericals through the appendices.
3. The headings that comprise preliminaries in a thesis are as follows:
x Title page
x Certificate
x Abstract/synopsis
x Background/topic
x Purpose
x Conclusion
4. A hook is a statement of something sufficiently interesting to motivate the
reader to read the rest of the paper.
1. Briefly discuss the preparation of a short paper for publication.

2. What are the differentiating factors between a written paper and one that is
orally presented?
3. How is a long paper prepared to be published in a publication? Give
examples.
4. ‘It is an academic requirement to present papers in conferences.’ Discuss.
5. How does the researcher position himself while presenting his argument
and evidence in his thesis?
265
Paper and Thesis
6. Discuss the important features of the literary analysis.

7. ‘Generalizations can be both largely true and largely false.’ Discuss with
examples.
8. Explain the procedure for inserting footnotes and endnotes in a thesis.
9. Give examples to justify in text citation while preparing a thesis.
10. What is the appropriate manner for inserting tables and figures while
preparing a thesis?
Parsons C.J. 1970. Thesis and Project Work. London: Prentice Hall Press.
Bateson, F.W. 1972. The Scholar Critic: An Introduction to Literary Research.
London: Routledge.
Kothari, C.R. 1985. Research Methodology: Methods and Techniques. Delhi:
New Age International Ltd.
Rengachari, S. & Rengachari, Sulochna. 2001. Research Methodology for English
Literature. Bareilly: Prakash Book Depot.
Sinha, M.P. 2004. Research Methods in English. New Delhi: Atlantic Publishers
and Distributors.
Arihant Prakashan.
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An Introduction to
20th Century
BLOCK-III
Postmodern fiction and drama is a fresh occurrence in world theatre, appearing as it does
out of the postmodern beliefs that stemmed from Europe in the mid-twentieth century.
Postmodern fiction and drama emerged as a response in opposition to modernist drama.
Majority of the postmodern productions revolve around stressing upon the shortcomings of
explicit truth, as an alternative to encouraging the audience to get to their own personal
insight. In essence, therefore, postmodern fiction and drama puts forward questions instead
of trying to give answers. This block consists of five units.
The eleventh unit explains the development of fiction in the twentieth century. It evaluates the
characteristics of Black fiction and the post-modernistic trends.
The twelfth unit presents the critical analyses of Ernest Hemingway’s The Old Man and the
Sea. Further, you will examine the character sketch, and the theme of symbolism in this
novel.
The thirteenth unit discusses Animal Farm as a political satire. It explains the historical
context of the novel. The unit also discusses the various themes in the novel.
The fourteenth unit defines paragraph writing. It then explains the importance of coherence
in a paragraph.
The fifteenth unit explains the concept of manuals. It discusses the use of technical writing.
267
An Introduction to
20th Century
UNIT–11 AN INTRODUCTION TO 20TH CENTURY
Objectives
x Explain the development of fiction in the twentieth century
x Evaluate the characteristics of Black fiction
x Learn about the post-modernistic trends
Structure
11.1 Introduction
11.2 Fiction: Twentieth Century
11.3 Twentieth Century Literature
11.4 Twentieth Century and Post-Modernism
11.5 Black Fiction
11.6 Summary
11.7 Key Words
11.1 INTRODUCTION
English novel form was essentially bourgeois in its origins through the eighteenth and
nineteenth century. Rather, it became the most popular and prolific literary form
during this period due to increase in the middle class reading public. Social status,
wealth, marriages were some of the most recurrent themes in the eighteenth and
nineteenth century novels. However, the novels of the twentieth century were
influenced by the new concepts of time and this concept affected the plot structure
of the novels as well.
Black fiction is a term used for African American fiction. It includes writers who
raised political questions about the dilemma of African-Americans and those who
used the theme of ‘passing’ which represented the passing of light-skinned people as
whites.
In this unit, we will study about the socio-cultural and literary background of the
twentieth century.
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An Introduction to
20th Century
11.2 FICTION: TWENTIETH CENTURY
The English novel was essentially bourgeois in its origins and through the eighteenth
and nineteenth century, it was solidly anchored in a social world. Fortune, status and
marital position were all important for the Victorian as for the eighteenth century
novel. The novelist’s world was an assured one, however much he or she might
criticize or wish to reform it. The loss of confidence and sense of the common world
had an effect on both the themes and techniques of fiction. The construction of the
plot pattern based on subtle and private interpretations of the significant in human
affairs would necessarily take the novel out of the public arena of value into which it
had hitherto moved.
New concepts of time representing the continuous flow of the ‘already’ into the
‘not yet’ of retrospect into anticipation and Henri Bergson’s concepts of duree, of
time as flow and duration rather than as a series of points moving chronologically
forward also influenced the twentieth century novelist particularly the handling of plot
structure. Further, new psychological ideas emphasized the multiplicity of
consciousness, the simultaneous coexistence of several levels of consciousness and
sub-consciousness in which past experience was retained and by whose retention
the whole of personality was colored and determined.
New concept of time came together with the new concept of consciousness to
develop a new view of character. The truth about the character is a sum of her
whole emotional experience and that sum is always there pervading and indeed
constituting her consciousness for, on this view, a woman is her history, nothing is
lost, and her reaction to every new event is conditioned by the sum of her reactions
to all earlier events. Thus, retrospect is the very stuff of present consciousness.
Development depth wise rather than length wise becomes the logical technique.
The novel had been moving towards a greater increase in psychological subtlety.
Henry James in particular had brought a new precision and complexity into the
description of states of mind. The isolation of the individual consciousness became a
most important fact in a world from which public value seemed to have departed
and where every individual is seen to be a prisoner of her unique stream of
consciousness.
If the characteristic theme of eighteenth and nineteenth century novel was the
relationship between gentility and morality then that of the twentieth century is a
relation between loneliness and love. As E.M. Forster put it, the ‘great society’ is
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always the enemy; only the ‘little society’ or the intimate group of real friends who
have somehow managed to break down the wall of individuality that separate them
is worth anything—or is really possible as true society. The great society becomes a
contradiction in terms. To D. H. Lawrence, the mystical awareness of the core of the
otherness in the other person is basis of a true sex relationship.
Rise of the Novel

The foremost feature of modern writing, perhaps, could be that things not very often
begin when and where they are expected or supposed to begin. Indeed the very
concepts of beginning and ending become debatable, as Lawrence wrote ‘In the
beginning—there never was any beginning’.
There has perhaps never been so radical a change in any branch of literature, as
that which came over the English novel in the first half of this century. Not only has
it mirrored the change in the external world, like every art medium, but it has also
developed internally. The traditional novelists took their stable society for granted.
They never questioned its beliefs or values, and treated their characters in relation to
the society. What is more important is the fact that these novelists were assured that
their readers shared all their views, the basic assumption of the sanctity of social
institutions, family, church, etc., and necessity to conform to the rules of such
institutions.
This opinion and approach to novel writing reached its peak in Victorian
England. Yet towards the end of the nineteenth century, disillusions with bourgeois
complacency and commercialism crept in, and this was a major external force in the
rise of what you call ‘the modern’ novel. Ironically enough, it began with the
Victorians themselves. George Eliot and Emily Bronte questioned the basics of an
individual’s links and society. Tennyson began to doubt the linear progress of his and
his contemporaries’ works. This generated interest in discovering new themes and
new ways of expressing them and gradually the break with the past was achieved.
Of course, there was now a startling jump from one type of novel to the other. The
subject matter became increasingly critical of Victorian materialism, sex was no
longer a taboo, but still the tradition was not completely done away with.
One cannot deny the presence of Victorian elements in the early works of all the
major modern writers. Lawrence’s Sons and Lovers is in mainstream of typical
Victorian fiction, despite his candid views on sexuality. This is particularly true of
Forster and Huxley, who, one feels have never managed to make a complete break
from traditional novelists. Affinities in both technique and theme have been studied
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between Lawrence and Hardy, Conrad and Dickens, Woolf and Sterne. Yet all these
novelists—Lawrence, Virginia Woolf, Conrad and Joyce—were steadily making
time and paving the way for the modern novel.
This breakdown was the result not only of social and economic cause as the
Industrial Revolution, but also related to remarkable discovery made in psychology
and other areas. One such discovery was Henri Bergson’s concept of ‘Law Duree’.
Bergson asserts that clock time is artificial, and that ‘mental’ time is the only natural
time. Time, he said, is a continuous, heterogeneous flow, which cannot be
characterized by separate moments.
According to this theory, then a novel of linear progress, which moved from
situation to situation in a fixed chronological statement, was not a ‘real’ rendering of
human experience. Therefore, a new kind of narrative developed to capture the
reality, the essence of human experience—since it emphasized fluctuating time,
which constantly moved backwards and forwards. In such a narrative structure there
is no tension between the past, the present and the future, because a character can
proceed from one to another as often as he wants to. One of the first novelists to use
this technique was Marcel Proust. His work influenced every major twentieth
century English novelist as is evident from such works as Nostromo, Mrs.
Dalloway, To the Lighthouse, Ulysses, A Portrait of the Artist as a Young Man
and more.
Together with this new concept of time was the changing concept of human
consciousness influenced by the work of Freud and other psychologists. The fact
emphasized in this concept was the multiplicity of consciousnesses. That is to say, an
individual’s consciousness is the sum total of all that he has ever experienced and his
cultural affinities with the members of his race. So, actually the past does not exist
separately. What you term the ‘past’ exists along with the present determining every
response of ours. So a novelist, who seeks to project the total view of his
characters, has to effectively communicate the simultaneity of the characters’
different levels of consciousness. Since, the traditional novelist had not been faced
with such a problem, the modern novelist had to evolve an appropriate technique.
This resulted in the stream of consciousness technique.
These then are the three major forces that resulted in the growth of modern
novel. They also influenced the major theme of modern literature—the theme of an
‘individual’s loneliness’. Since all beliefs in religion, family and other institutions were
completely shattered; the modern writer was a completely isolated figure.
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No longer could he depend on the stability of the conventions, he had to forge

completely new relationships based on a different set of values. Since, most modern
novelists have undergone this experience personally, it forms the keynote of their
major works. Thus, we have Lawrence and Joyce re-living their own experiences
through the characters of their novels. In their works and in those of other major
novelists, ‘loneliness is seen as the necessary condition of man’ (David Daiches).
Yet, their main preoccupation is not this isolation, but to find a way through
which harmony can be achieved. A way through which a modern man cut adrift, can
achieve satisfying relationships.
Each novelist views this problem in his own way. Lawrence believed that the
solution lay in love which recognized the mystical core of otherness in the beloved.
Therefore, we see towards the end of the century, the concept of what was
significant in human experience changed under the influence of psychology and
related fields of knowledge. No longer was a man’s exterior personality or his
behaviour in society considered important. Stress was now laid on his internal make
up; the working of his mind, his responses to a world that was essentially hostile and
his search for an identity in this world. The modern novel is the result of the novelists’
effects to deal with such problems, to define them and to suggest a possible solution.
Important Writers of this Age

Some of the important writers of this age were as follows:
Henry James: Born in New York, Henry James was educated in America and
Europe. He became a prolific writer with novels, short stories, travel sketches,
literary criticism and autobiography. He was also a friend of the New England group
of writers. A study of James is important for the analysis of the modern novel for the
reason that he was the first to view it as an artistic form. To him novel was primarily
an art form to be judged solely by artistic canons, concerned, not with moral
purpose, but with the objective and impartial presentation of the reality of life.
The key to James’s choice of subject is to be found in his own life. An American
fascinated by the charm of an older civilization finds a great many of his themes in the
impact of one type of society upon the product of another, in the study of the
processes of adjustment and their effect upon the development of an individual
character. An intellectual and a member of an intellectual family, James throughout his
novels portrays life of the people such as himself. He is concerned with the man as
a social being, not with the deeper relations of man with his God. There is not much
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of elemental passion in his novels because the chosen field is a sophisticated,

intellectual society, except in so far as they are shown under the influence of mind.
While identifying the good with the beautiful, he regards taste, artistic sensibility and
individual integrity as the prime virtues. On the other hand he sees ugliness and
meanness of spirit as the great evils.
James is often concerned in the development of a character as a part of the
social group. He is absolutely not interested in the poor or in the unintelligent. His
characters and figures are usually sensitive, refined, sophisticated, controlling impulse
by reason and endowed with faculty for acute self-analysis. They are capable of
viewing their own motives and reactions with a remarkable detachment and an equal
degree of subtlety.
Joseph Conrad: He was a sailor and an adventurer and his works reflect this
character of the author. He presents situations that cannot be really explained
through the conventional and accepted notions. His method of writing a novel is best
found in his preface to The Nigger of Narcissus: ‘My task which I am trying to
achieve is, by the power of the written word, to make you hear, to make you feel–
it is before all, to make you see.’ The characters of Conrad’s novels did not convey
just a single point of view but a variety of them. His technique of writing novels
involved shifts of time as well as double narrator scheme. His novel Heart of
Darkness is an excellent example of this.
Method used in the Modern Novel

As it has already been discussed, the modern novel emerged in altogether a different
kind of environment with diverse changes in its themes and techniques, thereby
defining the very concept of the novel.
Stream of Consciousness
It is a psychological term that refers to a literary technique in the twentieth century
and gained immense popularity within the genre of the modern novel. Leon Edel
writes that ‘between 1913 and 1915 was born the modern psychological novel—
what we have come to call in English letters the stream of consciousness novel’.
Robert Humphrey defines stream of consciousness fiction as the type, ‘in which the
basic emphasis is placed on the exploration of the free speech levels of
consciousness for the purpose, primarily of revealing the ‘psychic being of
characters’. The use of this technique is coincidental with the turning inwards process
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of the English novel. It is a technique to document authentically the mental process or

to capture ‘the atmosphere of the mind’.
There are certain other techniques that are used in the presentation of stream of
consciousness:
x Interior monologue: Robert Humphrey defines this technique as the
method used in fiction for representing the psychic content and processes
of character, partly or entirely just as these processes exist at various levels
of the conscious control before they are formulated for deliberate speech.
x Montage: The second method of montage is that in which the time
element is fixed and the spatial element changes. This is known as space
montage. This technique is also known as multiple–view, for at a given
time, the consciousness of several characters can be described–their
individual responses to the same stimulus.
Aspects that Characterize the Modern Experimental Novel

Two main aspects that characterize the modern experiment novel are as follows:
x Absence of the hero: The experimental novel has discarded the concept
of heroism and the reader would seldom find a truly likable character. In the
earlier novels the hero and the villain were obvious, but now no character
is all good or all bad, rather they have shades of grey.
x Complexity: Seeking to portray not so much what people do or say as
what they actually are, the experimental novelist finds none of the old ethical
simplicity but discovers a vast and chaotic world within even the outwardly
mundane character. Change and alteration produce within a personality a
ceaseless fluidity that destroys the old rigidity of character and reveals
disturbing contradictions and complexities.
x Irrationality: Increasingly, the experimental novel in exploring the inner life,
has found that man does not act from reason, as earlier novels assumed,
but rather is motivated by deep unconscious sources of primordial origin.
Modern novelists can be divided into those who continue within a broad
tradition of realism and those who experiment far more with the form of the
novel.
Writers like John Galsworthy, Arnold Bennett, Graham Greene, Iris Murdoch, Doris
Lessing, and Earnest Hemingway are essentially realists. They are less intrusive than
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nineteenth century realists, presenting a credible picture in which we are not

particularly aware of the narrator’s presence. They deal with social, personal and
ethical problems and offer us an entertaining, but at the same time, an instructive
look at how people cope with life in the twentieth century.
Major Works of Short Fiction

Lawrence’s theory of novel takes unswervingly from his notion of man and his
relationship to the universe. Lawrence keenly believed that man was not an isolated
being rather he was well integrated within the cosmos.
It will be useful to learn what a great literary figure like T.S. Eliot has to say
about Lawrence, ‘he was an impatient and impulsive man. He was a man of fitful
and profound insights, rather than of ratiocinative powers and therefore he was an
impatient man. He expressed some of the insights in the form least likely to make
them acceptable to most of his contemporaries, and sometimes in a form that almost
willfully encouraged misunderstanding… wrong he often was (I think) from
ignorance, prejudice, or, drawing the wrong conclusion in his conscious mind from
the insights that came to him from below consciousness. It will take time to distance
the superficial error from the fundamental truth. To me, also, he seems often to write
badly; but to be writer who had to write often badly in order to write sometimes
well.’
Lawrence did not believe in following the conventions of his time and his work
was thus regarded as a revolt against the values and ideals of the nineteenth century.
During the reign of Queen Victoria (1837–1901), England was going through a
difficult phase. As a result of industrialization, life had become very mechanical and
the vibrancy and vivacity had given way to artificiality and uniformity. Moreover, the
society was compartmentalized in classes and these class barriers limited the growth
of relationships between people. Above all, the state religion, Christianity, was turning
cold with its restraints and prohibitions. Individuals were feeling suffocated as simple
passions were repressed and the natural course of things were always interfered and
judged.
Lawrence was in opposition to all these things and tried to rebel against the
standards dictated by social authorities, especially those dealing with personal lives
of individuals. As a result, you find Lawrence’s inclination towards the psyche of a
person, which has control over the behaviour and to some extent on the character of
an individual. But Lawrence did not concern himself with the regular feelings and
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chaos experienced by an individual. His aim was to open the doors to the restricted
areas of the human psyche and sexual experience was one of those areas that were
forbidden from being openly discussed. An essential feature of his fiction is that the
central character is always proceeding from a partial or mechanical existence into
organic wholeness. Lawrence used the novel as a carrier of his own interpretation of
life, very much concerned with the basic problems of human existence and
relationships among human beings. Therefore, the relationship between man and
woman and their sexual conflict became a major part of his study.
He was quite inclined towards the study of the development of one’s
individuality but this study was not based merely on the intellectual abilities of an
individual but also on the impulses and senses that play a significant role in shaping
the personality of a person. Apparently, Lawrence’s themes are concerned about the
passions and instincts of the heart rather than the working of the mind. As F.R.
Leavis puts it, ‘Life is fulfilled in the individual or nowhere; but without a true marital
relation, which is creative in more than the sense of producing children, there can be
no fulfillment; that is the burden of Lawrence’s art’. He allotted a superior position to
the impulses and believed that intellect is responsible for eradication of life’s
excitement and destroys the liveliness.
Lawrence ardently believed in the presence of ‘dark mystery’ of life and he saw
all living forms instilled with it. Lawrence was, in fact, of the opinion that the ‘dark
mystery’ could not be known through intellect. Moreover, natural and untamed ideas
cannot be accessible through the intellect but may be known through the instincts
and intuitions.
From a literary point of view also Lawrence can be looked upon as a radical in
the sense that he did not constrict his writing to the pre-laid rules or models. He
questioned the traditional methods of novel writing ‘he felt that novel could become
more personal and less objective if he saw the possibility that language could
describe in detail the personal experiences of emotion and passion as it were from
the inside’. Lawrence was to a great extent influenced by Thomas Hardy. Hardy’s
novels are usually set against natural background, which plays an important role in
the development of action instead of being just a background for the story. In case
of Lawrence also the imagery is significant to bring out the essence of the scene and
enhance the emotions and sentiments of the characters. For Lawrence a novel was
a religious art in which he could speak of and to the whole man.
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1. Who discovered the concept of ‘Law Duree’?

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2. What do you understand by ‘stream of consciousness’?

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11.3 TWENTIETH CENTURY LITERATURE
Literature of the twentieth century refers to world literature produced during

(roughly) 1900 through the 1990s. In terms of the Euro-American tradition, the main
periods are captured in the bipartite division, modernist literature and postmodern
literature, emerging from roughly 1900 to 1940 and 1960 to 1990, respectively,
divided by World War II. The rather acquiescent term of contemporary literature is
usually applied with a threshold of the post-1960.
Even though these terms (modern, contemporary and postmodern) are most
applicable to Western literary history, the rise of globalization has allowed a
moderately rapid spread of European literary ideas into non-Western cultures. This
further allowed including Asian and African literatures into these divisions with only
minor qualifications. Moreover, in some ways, such as in Postcolonial literature,
writers from non-Western cultures were on the vanguard of literary development.
Developments in technology during the twentieth century allowed the production
of books at a lower cost, resulting in a significant increase in production of popular
literature and trivial literature. The division of ‘popular literature’ and ‘high literature’
in the twentieth century is by no means complete, between which various genres
such as detectives or science fiction fluctuate. For the most part of the century,
mostly ignored by mainstream literary criticism, these genres developed their own
establishments and critical awards, such as the Nebula Award (since 1965), the
British Fantasy Award (since 1971) or the Mythopoeic Awards (since 1971).
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Electronic literature developed as a genre towards the end of the century due to
the development of hypertext and later the World Wide Web.
Literature in twentieth century began with a series of movements, such as
Symbolism, Decadentism, Impressionism, and, in Hispanic literature, Modernism,
The Generation of 1998.
During the two first decades, writers were imposed by two literary conceptions
which are as follows:
x Writers for whom literary work was the expression of a cultural experience
and fell in intellectualism.
x Writers who, in view of the confusion of the time and the dissatisfaction of
bourgeois world, saw literary work as an adventure, as an irrational
experience.
During 1930s, literature was affected by some historic and socioeconomic facts,
which enabled to express the search of ethical values through the action. After the
World War, writers insisted on moral crisis and technical experimentation.
Rudyard Kipling was perhaps the most widely popular writer of the early years
of the twentieth century. He was a highly versatile writer of novels, short stories and
poems that were often based on his experiences in British India. His best novels
include The Jungle Book, The Man Who Would Be King and Kim, while his
inspirational poem If. The medieval scholar M.R. James wrote highly regarded ghost
stories in contemporary settings. Strongly influenced by his Christian faith, G.K.
Chesterton was a prolific and hugely influential writer with a diverse output.
Since around 1910, the Modernist Movement started extending its influence on
English literature. While the Victorian writers usually catered to mainstream middle-
class taste, twentieth century writers, such as James Joyce, often felt alienated from
it. These writers responded by writing more intellectually challenging works or by
pushing the boundaries of acceptable content.
Major poets of this period in Britain included the T.S. Eliot and W.B. Yeats.
During this era, free verse and other stylistic innovations came to the forefront. The
experiences of the First World War were reflected in the work of war poets such as
Wilfred Owen, Rupert Brooke, Isaac Rosenberg, Edmund Blunden and Siegfried
Sassoon.
Basically, the foundation of the English novel was bourgeois. However, through
the eighteenth and nineteenth century, it was completely anchored in a social world.
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During the eighteenth century novels, we find that the Victorians were mostly
concerned about fortune status marital positions. Although, the novelist world was an
assured one, the sense of the loss of confidence of the common world had an effect
on both the themes and techniques of fiction. The plot pattern for writing a novel
was constructed with a focus on the subtle, secure and private interpretations of the
significant human affairs. This would further inevitably take the novel out of the public
arena of value in which it had moved up till now.
The twentieth century novelist was influenced by several themes, particularly the
handling of plot structure. Some of these important themes are as follows:
x New concepts of time that represent the continuous flow of the ‘already’
into the ‘not yet’ of retrospect into anticipation.
x Concepts of time as flow and duration rather than as a series of points
moving chronologically forward.
x New psychological ideas which highlighted the diversity of consciousness,
the simultaneous coexistence of several levels of consciousness and sub-
consciousness, in which past experience was preserved, which further
helped in colouring and determining of personality.
In order to develop a modern view of character, a modern idea of time came
together with the new concept of consciousness. A character, particularly of a
woman, is an encapsulation of her complete emotional experience, which is always
encompassing, and which also constitutes her consciousness. According to this view,
a woman’s reaction to every new event is a condition by the sum of her reactions to
all earlier events. Therefore, retrospection plays a vital role of her present
consciousness. During this period, the logical technique of writing involved a focus
on the depth wise development rather than length wise.
Psychological subtlety also played a significant role in novel writing during the
twentieth century. Henry James, in particular, had introduced a new precision and
complexity into the description of states of mind. The isolation of the individual
consciousness became the most important fact in a world from which public value
seems to have departed and where every individual is seen to be prisoner of his/her
unique stream of consciousness.
According to E.M. Foster, the ‘great society’ is always the enemy; only the ‘little
society’ intimate group of real friends, who have somehow managed to break down
the wall of individuality that separate them, is worth anything - or is really possible as
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true society. D.H. Lawrence believed that the mystical awareness of the core of the
otherness in the other person is basis of a true sex relationship.
Important novelists of this century between the two World Wars include English
authors D.H. Lawrence, Virginia Woolf, E.M. Forster, C.S. Forester and P.G.
Wodehouse, and Irish writer James Joyce.
Joyce’s complex works included Ulysses, which is considered to be the most
important work of Modernist literature. It is referred to as ‘a demonstration and
summation of the entire movement’. It is an analysis of the Odyssey, in which the
events take place over one day in Dublin in June 1904. From the year of its
publication in 1922 until 1939, Joyce worked on his final and probably least
accessible work, Finnegans Wake.
With a great deal of understanding, D.H. Lawrence wrote about the social life of
the lower and middle classes, and also portrayed the personal life of those who
could not become accustomed to the social norms of his time. Sons and Lovers,
published in 1913, is widely regarded as his earliest masterpiece. This was followed
by The Rainbow in 1915 and its sequel Women in Love in 1920. He was the first
to champion both the primitive and the super-civilized desires of men and women.
Lawrence endeavoured to explore human emotions more deeply than his
contemporaries, and challenged the boundaries of the acceptable treatment of sexual
issues, most notably in Lady Chatterley’s Lover, published in 1928.
Virginia Woolf was a powerful feminist, and a major stylistic trendsetter
associated with the stream-of-consciousness technique. She belonged to an artistic
and intellectual circle in Bloomsbury, which included the novelist E.M. Forster, the
biographer Lytton Strachey and many important English intellectuals of the early
twentieth century. Woolf was a prolific writer, whose novels had a mark of lot of
sensibility and psychological subtlety. Woolf, like Dorothy Richardson, experimented
with the interior forms of narration. The best of her novels include Mrs Dalloway
(1925), To the Lighthouse (1927), Orlando (1928), The Waves (1931) and A
Room of One’s Own (1929), which contains her famous dictum - ‘A woman must
have money and a room of her own if she is to write fiction’.
One of the most significant writers of the century was E.M. Forster, whose A
Passage to India (1924) reflects challenges to imperialism. His earlier works such
as A Room with a View and Howards End, however, examined the restrictions and
hypocrisy of Edwardian society in England.
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The popularity of novelists who wrote in a more traditional style, continued in

the interwar period. Some of these writers include Nobel Prize laureate John
Galsworthy, whose novels comprise of The Forsyte Saga, and Arnold Bennett,
who wrote The Old Wives’ Tale. Novels featuring a gentleman adventurer were
popular between the wars, which was demonstrated in the works of H.C. McNeile
with Bulldog Drummond (1920), and Leslie Charteris, whose many books
recorded the adventures of Simon Templar, alias The Saint.
Aldous Huxley published his futuristic novel Brave New World in 1932, which
anticipates developments in reproductive technology and sleep-learning that combine
to change society. James Hilton’s Lost Horizon, published in 1933, is best
remembered as the origin of Shangri-La, the mythical utopian monastery in the
mountains of Tibet. His other notable book is Goodbye Mr. Chips. Daphne Du
Maurier, both an author and a playwright, published the mystery novel Rebecca in
1938, followed by short stories The Birds and Don’t Look Now. W. Somerset
Maugham’s most distinguished work is Of Human Bondage, which is strongly
autobiographical and is generally approved to be his masterpiece.
Evelyn Waugh was also a notable writer of the century, who satirized the ‘bright
young things’ of the 1920s and 1930s, notably in A Handful of Dust and Decline
and Fall, while his masterwork Brideshead Revisited (1945), has a theological
basis, which aims to examine the effect of divine grace on its main characters.
Agatha Christie was famous as a crime writer of novels, short stories and plays.
She is best remembered for her eighty detective novels and her successful West End
theatre plays. Christie was given the title the ‘Queen of Crime’ for her marvellous
works, particularly featuring the detectives Hercule Poirot or Miss Marple, and
made her one of the most important and innovative writers in the development of the
genre. Christie’s best novels include Murder on the Orient Express (1934), Death
on the Nile (1937) and And Then There Were None (1939).
The Auden Group, also often called the Thirties Poets, was a group of British
and Irish writers active in the 1930s. The writers in this group included W.H. Auden,
Louis MacNeice, Cecil Day-Lewis, Stephen Spender, Christopher Isherwood, and
sometimes Edward Upward and Rex Warner.
One of the most significant English writers of this period was George Orwell,
who was known both as an essayist and novelist. Orwell’s works are considered
among the most important social and political commentaries of the twentieth century.
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He dealt with issues such as poverty in The Road to Wigan Pier and Down and
Out in Paris and London, totalitarianism in Nineteen Eighty-Four and Animal
Farm, and colonialism in Burmese Days. Orwell’s works were often semi-
autobiographical, particularly in the case of Homage to Catalonia.
One of the most influential novels of the immediate post-war period was
William Cooper’s naturalistic Scenes from Provincial Life. The novel is a
conscious rejection of the modernist tradition. During this period, ‘kitchen sink
realism’ (or kitchen sink drama) was coined as a term in the late 1950s and early
1960s to describe a British cultural movement. This was developed and portrayed
in theatre, art, novels, film and television plays, whose authors were sometimes
described as ‘angry young men’. The ‘kitchen sink drama’ used a style of social
realism which time and again represented the domestic situations of working class
Britons in order to explore social issues and political controversies. One of the
best examples of this type of drama is exemplified by John Osborne’s iconic play
Look Back in Anger.
Classics of children’s literature include of A.A. Milne’s collection of books about
a fictional bear he named Winnie-the-Pooh, who inhabits ‘Hundred Acre Wood’.
Prolific children’s author, Enid Blyton, chronicled the adventures of a group of young
children and their dog in The Famous Five. T.H. White wrote the Arthurian fantasy
The Once and Future King, the first part being The Sword in the Stone (1938).
Mary Norton wrote The Borrowers, featuring tiny people who borrow from
humans. Hugh Lofting created the character Doctor Dolittle who appears in a series
of twelve books, while the novelist Dodie Smith wrote The Hundred and One
Dalmatians featuring the villainous Cruella de Vil.
Therefore, if the characteristic theme of eighteenth and nineteenth century novel
was the relation between gentility and morality, that of the twentieth century is a
relation between loneliness and love.
1. When did Electronic Literature develop during the twentieth century?

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2. What are the two literary conceptions that were imposed on twentieth
century writers during the first two decades?
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3. List some of the most important novels of Virginia Woolf.

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11.4 TWENTIETH CENTURY AND POST-MODERNISM
The long and progressive reign of Queen Victoria came to a climax in the Diamond
Jubilee Year (1897), a time of peace and plenty when the British Empire seemed to
be at the summit of its power and security. Of the discord that soon followed, we
shall here note only two factors which had large influence on contemporary English
literature.
Moving from the realist literature of the Victorian Age into the Modernist
literature of the early twentieth century is like moving from an arena of debate into a
sea of trouble. For the number of literary movements (aestheticism, classicism,
imagism, symbolism, Dadaism, cubism, vorticism, impressionism, expressionism,
surrealism) which emerged in Europe during the early years of the 20th century was
certainly very large in comparison with Victorianism namely, moralized romanticism,
social realism and aesthetic impressionism. The first disturbing factor was imperialism
and reawakening of a dominating spirit which had seemingly been put to sleep by the
proclamation of an Imperial Federation. Its coming was heralded by the Boer War
in South Africa, through which Britain blundered to what was hoped to be an era of
peace and good will. Imperialistic nations were all alike blind. An inevitable result
was the First World War and a great horror of Second World War, the two,
calamities being different acts of the same tragedy of imperialism. Another factor that
influenced literature for the worse was a widespread demand for social reform of
every kind not slow social and orderly reform, which is progress, but immediate and
intemperate reform, which breeds a spirit of rebellion and despair. Imperialism had
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its outstanding advocate in Kipling, who with drum and trumpet called upon England
to ‘take up the White Man’s burden’ by dominating ‘all lesser breeds without the
law.’
Thus the Modernist Movement, like all the major literary movements, was the
product of a complex of philosophic, scientific, social and political ideas as well as
of a confluence of social and political events which shaped the life and letters of the
western world between 1895 and 1945.
Modernism: The two major phases of literary development in the twentieth
century are Modernism and Post-modernism with a brief intervening period marked
by anti-modernism. The dividing lines are plausibly and conveniently drawn by the
two world wars. These not only brought about great political and social changes but
consolidated certain ideas and trends that had been brewing in the years leading up
to them. The crucial development of the first phase of Modernism as being
fundamentally distinct from Romanticism and Victorianism took place in Britain
against a background of declining national authority due to the impending loss of
empire and social upheavals caused by strikes, unemployment and the movements
for women’s rights. The resulting revolt against authority—whether familial, political,
social or religious they had profound implications for literature.
Modernist poetry was the culmination of the different trends of the first quarter
of the century. Among the foremost of these poets were Gertrude Stein, T. S. Eliot,
H.D. and Ezra Pound, each of whom spent an important part of their writing lives in
England, France and Italy. Modernism is the movement in visual arts, music,
literature, and drama which rejected the old Victorian standards of how art should
be made, consumed, and what it should mean. In the period of ‘high modernism,’
from around 1910 to 1930, the major figures of modernism literature helped
radically to redefine what poetry and fiction could be and do: figures like Woolf,
Joyce, Eliot, Pound, Stevens, Proust, Mallarme, Kafka, and Rilke are considered
the founders of twentieth-century modernism.
Modernism in poetry is distinguished by its pluralistic complexity. It is a synthesis
of diverse kinds of poetry including the polished formalism of the 1890’s, the
symbolism of Yeats and Symons. Ezra Pound brought imagism in English poetry.
Such group of poets include D. H. Lawrence, Richard Aldington, T. E. Hulme, F. S.
Flint, E. E. Cummings, Ford Madox Ford, Allen Upward and John Cournos. Eliot,
particularly after the publication of The Waste Land, became a major figure and
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influence on other English poets. The first facet or definition of modernism comes
from the aesthetic movement broadly labeled ‘modernism.’ This movement is
roughly coterminous with twentieth century Western ideas about art.
Modern poets leave us with an impact that all order has gone; they might seem
to be writing in a language without grammar or syntax, a language without rhyme or
rhythm. It is not simply that the poetry seems to be in revolt against traditional forms
of verse but, rather, it seems to register the extent to which language itself is in crisis
as it confronts a world in decay which no longer has any role for poetry.
This does not mean that ideas in modern poetry are necessarily difficult: the
difficulty resides in the technique. Around 1914, Ezra Pound and others produced
economical poems mainly characterized by their use of a few, hard, clear images.
Pound’s two-line poem ‘In a Station of the Metro’ is one of the finest:
‘The apparition of these faces in the crowd;
Petals on a wet, black bough.’
The poets who emerged in the 1930s had two things in common; they could not
connect themselves with pre-World War I world and they grew up in a period of
social, economic and political turmoil. Perhaps as a consequence of these facts,
themes of community, social injustice and war seem to dominate the poetry of the
decade. With the poetry of the 1930s there is a shift to the political poetry of W.H.
Auden, Stephen Spender and C. Day Lewis.
As we move towards the Twentieth Century, we find an increasing sense that life
is overwhelmingly confusing and complicated. In late nineteenth and early twentieth
century literature, for example, in the novels of Hardy, Conrad, Joyce, Woolf and
Lawrence and in the poetry of Eliot and Yeats, there is a feeling that the world in this
era, has become so baffling that it is impossible to make sense of it.
Some of the war poets have also been associated with the Georgian poets,
whose work appeared in Edward Marsh’s five anthologies of 1912-22 and who, in
technical terms, represented a relatively traditional strain in poetry. Three poets are
best considered independently of movements: W.B. Yeats, Thomas Hardy and
Garald Manley Hopkins. Yeats, the greatest of modern Irish Poets, followed a
unique line of development, from the aestheticism of his early work to the eloquent
symbolic power of his major poetry of the 1920sand 1930s. Hardy’s poetry
appeared in eight volumes between 1898 and 1928; his idiosyncratic diction and
metrical experiment were to influence, among others, Philip Larkin. Hopkins had
died in 1889, but his lyrical and visionary work had appeared only in anthologies
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prior to 1918. Other poets who published major work befor 1930 include D.H.
Lawrence, Robert Graves and the Scottish poets Hugh MacDiarmid and Edwin
Muir.
In the novel the modernist period dominated by six major figure: Henry James,
Joseph Conrad, James Joyce, Virginia Woolf, D.H. Lawrence and E.M. Forester.
Each made a distinctive contribution to the modernist information of transformation
of fiction. James’s work is notable for a fine moral sense, a complex style, and subtle
studies of human consciousness (The Ambassador, 1903); Conrad’s for narrative
experiment, irony, sense of history and tragic moral vision (Nostromo , 1904);
Joyce’s for linguistic exuberance, board humanity and structural richness
(Ulysses,1922); Woolf’s for the representation of the texture of consciousness and
for symbolic and poetic qualities (To the Lighthouse,1927); Lawrence’s for the
exploration of the unconscious and a unique and unrelenting vision of human nature
and history (The Rainbow,1915); Forster’s for a blend of liberalism with human
insight and symbolic power (A passage to India, 1924).
In the theatre, the early decades of the century were dominated by George
Bernard Shaw, who created a drama of ideas which questioned prevailing
assumptions and expounded his socialist views. The concern with contemporary
social and moral problems in Shaw’s work reflected the influence of the Norwegian
dramatic Henrik Ibsen. In Ireland the Abbey Theatre, Dublin, became the centre of
an Irish peasant life, and in the 1920s the more naturalistic and overtly political
tragic-comedies of Sean O’Casey. In the 1930s, and again in the 1950s, T.S. Eliot
attempted to revive verse drama in English, while W.H. Auden and Christopher
Isherwood co-operated on plays which while mixing verse and prose, owed
something to the early expressionist work of the German dramatist Bertolt Brecht.
Other writers who made significant contributions to modernism include Ford
Madox Ford and Dorothy Richardson. Alternative modes of fiction were the
popular realistic, relatively conventional works of Arnold Bennett and John
Galsworthy, the science fiction and social realism of H.G, Wells, ad the tragic-comic
satire of Evelyn Waugh Wyndham Lewis and Aldous Huxley.
In the 1930s political concerns predominated in both fiction and poetry. A
group of poets led by W.H. Auden employed the ideas of Marx and Freud and dealt
directly with contemporary social issues such as unemployment, class conflict and
the approach of war, as well as exploring psychological states. The main members of
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this group were Stephen spender, Cecil day Lewis and Louis MacNeice. In the
1940s the Welsh poet Dylan Thomas achieved considerable popularity with his
lyrical and rhetorical style of poetry. Novelists of importance who emerged during
the.1930 and 40s included Greene, George Orwell, Christopher Isherwood,
Elizabeth Bowen, Joyce Cary and C.P. Snow.
Thematic and Technical Features of Modern Literature

From a literary and stylistic perspective, the main characteristics of modernism
include:
x The sense of a dawning of a new age was underscored by certain crucial
shifts from tradition. Modernism was a whole new cultural movement. The
break with tradition was deliberate. Modern age is known for
impressionism and subjectivity in writing.
x The great achievement of Modernism was an immense extension of subject
matter. As a result, the focus now shifted to the themes of city rather than
countryside, to sexuality rather than romantic love and to human corruption
rather than noble heroism. In brief, the myriad facets of contemporary life
were presented without romanticizing them.
x Modernism is a movement away from the apparent objectivity used by
omniscient third-person narrators, fixed narrative points of view, and clear-
cut moral positions. Faulkner’s multiple-narrated stories are an example of
this aspect of modernism.
x Modern poetry was distinguished by much formal experimentation. These
experimental impulses were a response to the newness of the age. Modern
poetry is known for blurring of distinctions between genres, so that poetry
seems more documentary (as in T.S. Eliot and prose seems more poetic
(as in Woolf or Joyce).
x Modern poetry emphasizes fragmented forms, discontinuous narratives, and
random-seeming collages of different materials.
x The preferred phrasing was the colloquial. The effort to incorporate the
rhythms of the spoken language so that poetry sounded almost like talk
reflected the general trend towards a new realism.
x One finds a rejection of elaborate formal aesthetics in favor of minimalist
designs (as in the poetry of William Carlos Williams) and a rejection, in
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large part, of formal aesthetic theories, in favor of spontaneity and

discovery in creation.
x Modern age is known for rejection of the distinction between ‘high’ and
‘low’ or popular culture, both in choice of materials used to produce art
and in methods of displaying, distributing, and consuming art.
x Modern age depicts the disillusionment of a generation, that is, of the post-
war generation. So, the literature of this age deals with the universal
dilemma of fragmentation and disintegration. It makes us aware of the
nervous exhaustion, the mental disintegration, the exaggerated self-
consciousness, the boredom, the pathetic groupings after fragments of a
shattered faith— all those symptoms of the psychic disease which ravaged
Europe mercilessly like an epidemic.
x Modernism tends to present a fragmented view of human subjectivity and
history but presents that fragmentation as something tragic, something to be
lamented and mourned as a loss.
x The rejection of traditional themes and structures was followed by a
rejection of traditional verse patterns. Free verse was appropriate to
explore fragmentariness in narrative- and character-construction.
x Mythical method, symbolist techniques, juxtapositions, imagery,
expressionistic techniques, surrealism are the hallmarks of modern age
applied by Eliot, Yeats, Pound, Auden and other modern poets, dramatists
and novelists.
x Twentieth century poets tend to lean in one of two directions, either
towards writing in a traditional form, or towards writing dense and often
disjointed verse. Of course, there are plenty of poets who call upon both
these ways of writing as W.B. Yeats who began his career by writing
traditional, romantic, nature poetry and then move onto a more complex
style, using symbolism and new stanza forms.
x Modern novelists can be divided into those who continue within a broad
tradition of realism and those who experiment far more with the form of
novel. John Galesworthy, Arnold Bennett, Graham Greene, Iris Murdoch,
Doris Lessing are essentially realist. They deal with social, personal, ethical
problems and offer us an entertaining as well as instructive look at how
people cope with life in 20th century.
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x Major novelists of this period employ the same basic pattern of individuals
in conflict with society or their families, but the most important and
noticeable feature of many great 20th century novels is the extraordinary
degree of formal experiment and innovation. Playfulness is present in many
modernist works as in Joyce’s Finnegans Wake and and an Virginia
Woolf.
Adeline Virginia Woolf was an England novelist and essayist, regarded as
one of the foremost modernist literature literature figures of the twentieth
century...’s Orlando.
x A new awareness of individual psychology came into existence at this time.
It began to be realized that everyone has a unique perception of the world;
Conrad therefore employs a new fallible narrator in Heart of Darkness.
Such changes in thinking have two overlapping consequences for the novel.
There is far more emphasis on the mind of the individual, something that is
apparent in the technique of stream of consciousness.
x Although modernists rebelled against traditional concepts and practices, the
desire to originate fresh forms of language did not entirely bond them to the
value of tradition. The liberal use of quotations and allusions is the hallmark
of modernism. The references to the past through allusion sharpen one’s
sense of the present but offer no solution to the problems of modern man in
the modern age: his rootlessness, his loss of identity, his weakening of
moral confidence.
x Use of a new narration technique was introduced in modern age as Woolf
uses stream of consciousness in Mrs. Dalloway and To the Lighthouse.
x Modernist authors are more based on showing individual experience,
pointing out the subjectivity of all perception, and focusing on fleeting days
and moments. Both Joyce and Woolf write one-day novels in Ulysses and
Mrs. Dalloway, exploring different consciousnesses and different
perspectives on the same things.
x An awareness of the problematic relationship between art and life continues
to be a major characteristic of much of the best contemporary writing. A
similar sense of the complexity of the world and the neatness of the
narrative is encountered in magical realism. Gabriel Garcia Marquez,
Salman Rushdie is known for using this technique.
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x Recognizing that social order is an illusion, and believing that the word is
absurd so the dramatists of this period present bizarre characters in bizarre
situations through theatre of absurd. In the works of Samuel Beckett, for
example, comic laughter is replaced by a grimmer form of comedy involving
violence, sick jokes and farce.
x Modern age debunks conventional attitudes and beliefs as Shaw breaks the
frame of traditional values in Arms and the Man. Something very similar
happens in Synge’s The Playboy of the Western World and O’Casey’s
Juno and the Paycock
x In modern era, there is a very common sort of play where we see
reasonably ordinary people caught in a social dilemma. For example,
Osborne’s Look Back in Anger created a sensation in 1956 when the hero
Jimmy Porter, lambasted every social value and prejudice of the day.
Post-modernism
Since 1945 two tendencies have been evident English Literature. One of these is
identifiable with post-modernism considered as a phase of western culture, and is
characterized by a continuing interest in experimental techniques, the influences of
philosophy and literary theory (In particular existentialism, structuralism and post-
structuralism) and a creative interchange with continental, American, Latin American
and other literatures. The second tendency is a reaction against aesthetic and
philosophical radicalism in favour of the reassertion of more traditional modes: this
tendency has a English and anti-cosmopolitan streak. This division does not
necessarily entail a polarization into opposed camps; both tendencies are sometimes
found in the work of the same write.
The reassertion traditional modes were especially evident in the 1950s. The
group of poets who became known as the movement favored clarity, irony,
skepticism and a no-nonsense tone: these include Philip Larkin Donald Davie and
John Wain. Just as the Movement was a reaction against the influence of symbolism,
of Ezra Pound and of Yeast, so the modernist novel provoked a comparable
reaction. The value of the realistic and satirical novel was reasserted by the work of
the so-called ‘angry Youngman’ (such as John Osborne, John Braine, Alan Sillitoe
and Kingsley Amis) who expressed a mood of alienation and revolt. Both these
movements are, however, party journalistic inventions, and of less importance than
the individual bodies of work which emerged from them: Philip Larkin’s skeptical,
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poignant and witty poetry; Kingsley Amis’s entertaining and often acrimonious tales
of English life. In the satirical and realistic vein, Angus Wilson is one of the most
considerable post-war novelist, while Iris Murdoch, another writer who emerged in
the 1952s, combines intricate tragic-comic plots with philosophical and artistic
concerns .Murdoch’s sense of life as a battle of good and evil is shared by William
Golding, Muriel Spark, and Anthony Burgess; these writers blend elements of
realistic narrative with post-modernist techniques. In the novel, post modernism has
taken form of foregrounding of functionality which undermines the mimetic illusion, or
a multiplication of perspectives which emphasized uncertainty and subjectivity –
Lawrence Durrell, John Bowles, B.S. Johnson, etc. Other notable areas of
development in the post-war novel have been the feminist novel, science fiction and
the fantasy novel.
During the 1960s a number of major poetic talents emerged: Ted Hughes,
Sylvia Plath, Charles Tomlinson, Geoffrey hill and Seamus Heaney. All Alvares
championed the cause of poetry which, absorbing the implications of psychoanalysis
and World War II, Abandoned the gentility of the movement. Hughes’s, poetry of
extremity, physicality, anthropomorphism and the creation of myth rapidly gained him
popularity. Plath, like Eliot and Pound, came to England from the U.S.A.; she is best
known for her powerfully sensuous and symbolic exploration of disturbed states of
mind, which associate her with fellow Americans such as Robert Lowell and John
Berryman.
The power of English drama to comfort contemporary experience was revived
in the 1950s by a new generation if dramatists who employed colloquial speech with
an expressive and symbolic power which showed the influence of the leaders of
modern European drama: Ibsen, Strindberg, Chekhov and Brecht. Foremost among
them was Samuel Beckett, whose play waiting for Godot (1599) initiated a new era
with its existentialist preoccupations and anti-realist techniques. The theatre of the
Absurd of Beckett and Eugene lonesco influenced the work of another of this
generation Harold printer, whose plays explore the ambiguities and failures of
everyday communication through terse, minimalist dialogue and significant silences.
Blending realism and sinister fantasy, they suggest the fear an violence underlying
mundane experience. The dramatist of the 1950s reacted against the upper-middle
class milieus of the work of Noel Coward and Terence Rattigan.
In the work of John Osborne and Arnold Wesker this took the form of so-called
‘kitchen-sink drama’, which deals with working–class life and social conflict. Since
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1950s it has been the drama, more than any other form of English literature, which
directly addressed public issue and exhibited political commitment, frequently of a
radical nature. These features were evident in the 1950s and 60s in the work of
Wesker, John Arden and Edward Bond, and more recently in that of Howard
Breton and others. Three of the most popular of contemporary dramatists are peter
Shaffer, Alan Ayckbourn and Tom Stoppard.
Theories of post-modernism suggest that cultural artefacts function increasingly
as commodities, and this emphasizes the extent to which such diversity is dependent
upon economic forces and political decision-making, and in these respects the future
of literature is highly unpredictable.
1. Name the dramatists associated with kitchen-sink drama.

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2. Why did Look Back in Anger create a sensation?

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11.5 BLACK FICTION
Black fiction is a term used for African-American fiction. Writers of this type of
fiction can be divided into three groups: those who raise political questions about the
dilemmas of African-Americans, those who write on the theme of ‘passing’ and the
ones who are concerned with Afro-American problems in the community.
James Weldon Johnson (b. 1871), W. E. Du Bois (b. 1868), Richard Wright (b
1871) and Ralph Ellison (b. 1914) are some of the writers who raised various
political questions about the predicament of African-Americans in their novels.
Authors who write on the theme of ‘passing’ use this term for people who are born
fair enough to pass as white people. James Weldon Johnson’s only novel- The
Autobiography of an Ex-Colored Man (1912) deals with the theme of ‘passing.’
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Frank Yerby who is famous for writing novels on romance also falls under this
category. The characters in his novels and the language used by them sound white.
However, the first Black writer who dealt with this theme was Williams Wells
Brown. He wrote Clotel; or the President’s Daughter (1853) based on this
theme. Charles Chestnutt’s The House Behind the Cedars (1900), Jessie Fauset’s
There is Confusion (1924) and Plum Bun (1928), Nella Larsen’s Quick Sand
(1928), Walter White’s Flight (1926), Richard Wright’s Savage Holiday (1954)
and James Baldwin’s Giovanni’s Room (1956), are some of the other novels by
Black Americans which deal with the theme of ‘passing’. Many Blacks find some of
these novels very alienating. It is because they feel that these novels are not able to
reflect their experiences as Blacks. The third group is concerned with Afro-
American problems in the community. Paul Marshall’s Brown Girl (1959) and
James Baldwin’s Go Tell It on the Mountain (1953) belong to this group.
The Harlem Renaissance is considered an important landmark in outlining the
development of Black fiction in America. Abraham Chapman says, ‘From the
writers of the 20’s and 30’s to Wright, Ellison, Baldwin and the younger Negro
writers who are now coming up, we can appreciate the literary validity and
continuing historical significance of the Renaissance’ (‘The Harlem Renaissance in
Literary History,’ CLA Journal, XI (Sept. 1967. P. 49). The Harlem Renaissance is
usually dated from 1925- 1935. Alaine Le Roy Locke’s The New Negro, which
includes five essays, is a landmark in Black literature. The essays in this book are
‘Foreword,’ ‘The New Negro’, ‘Negro Youth Speaks’, ‘The Negro Spirituals’, and
‘The Legacy of the Ancestral Arts’. In these essays, Locke speaks about the
emergence of the new negro not only in terms of social change but also in terms of
a new way of thinking. According to him, earlier Americans wrote about Blacks ‘not
of him’. This thought became the manifesto of Renaissance which for Locke was a
symbol of new awareness.
Some date Harlem Renaissance from 1920 to the end of the Wall Street crash
in 1929. Others place it between 1925 and 1960 when the Black Renaissance
actually took place. It was a cultural outpouring among Blacks. Although New York
City was its centre, the movement spread to other cities as well. The Harlem
Renaissance was primarily seen as a Black male movement. This explains the fact
that although several women writers (including poets and dramatists) were writing
during this period, only a few like Zora Neale Hurston, Jessie Redrnanausset and
Nella Ines Larsen were noticed.
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Various factors that contributed to the Harlem Renaissance were as follows:

1900–1925: These were very harsh years for the Blacks. They were seen as
brutes and portrayed as barbarians in the press.
1902: Segregation laws were passed in all the southern states and it had become
a custom in the north. Political leaders like Theodore Roosevelt and Woodrow
Wilson, whom the Blacks trusted, betrayed them. In case of Theodore Roosevelt,
although he made two important appointments of Blacks in the Customs Service,
during his second term he turned against Blacks in an attempt to gain Republican
votes. Again, although the Blacks voted for Woodrow Wilson, the southern
Democrat into power, he introduced several segregated facilities in Federal buildings
in the capital.
In the 1920s, there was a lot of violence against the Blacks in America. Between
June and 31 December 1919, twenty-five major race riots took place in various
cities, out of which race riot of Chicago was the worst. It left thirty-eight persons
dead, 537 injured, and over 1,000 families homeless; most of them were Blacks.
That year, eighty-three Negroes were lynched, ten of them were in the uniform of
their countrymen (Arthur P. Davis, The Dark Tower Washington D.C. Howard
University Press, 1974). During 1900–1925, the Blacks were patiently waiting for
some sort of ‘delayed justice.’ The chief spokesman for this school of thought was
Booker T. Washington. He was the founder and the Principal of the Tuskegee
Institute. The whites liked him for his pacifist policies. After his death in 1915,
W.E.B. Du Bois emerged on the scene. He was educated in Harvard and Germany
and was a trained sociologist and historian. In 1903, he published The Souls of
Black Folk which exposed America’s treatment of the Blacks.
He was not a pacifist and directed the Blacks to a new brand of expression. Du
Bois was instrumental in the emergence of the New Negro Movement. In 1910 he,
along with some whites, set up the National Association for the Advancement of
Colored People or the NAACP and its official organ, The Crisis. Marcus Garvey, a
British West Indian from Jamaica, emerged as the first leader of the Black
proletariat. He started the Universal Negro Improvement Association (UNIA) in
New York City. From 1917 to 1927, he had a huge following of over 5,00,000
Negroes. He spoke of pride of Blacks and the possibility of returning to Africa. He
was crucial in building up confidence in the emerging Black writers. Apart from
Washington, Du Bois and Garvey, World War I brought about radical changes to
the Black experience during the first quarter of the twentieth century.
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This war cut off the passage for European immigrants into America. The
industries in the North were now forced to look to the South for Black labour force.
Many of the Blacks who had started moving to the North by 1915 found the North
better to live in.
Apart from the Black labour force required, the American army also needed
Black soldiers. There were over 3,67,000 Black soldiers and 1,400 Black officers
in the American army. These factors, that is the Blacks shifting to the North which
exposed them to union activities and with their experience in the war which took
them to countries like France where the Whites and the Blacks mixed freely, made
them aware of their rights.
The Harlem Renaissance was also important in drawing writers from various
cities to New York. Several Blacks found the city an exciting place to be in with
Blacks from Africa, South America and the West Indies forming a sort of Black
community.
Apart from the social forces, the two primary forces that created the ‘artistic
upsurge’ of the period were literary influences from mainstream America and
influences from within the Black community of writers in New York City. Of course,
the new Negro Renaissance was particularly influenced by the ‘Planters’ i.e. Du
Bois, James Weldon Johnson, Claude McKay, Jean Toomer and Alaine LeRoy
Locke.
Regarding the first set of influences, the New Poetry Movement dated around
1912 was significant. During this time, several writers including poets, novelists and
dramatists, brought out works that had an impact on American literature. Among
these were Edgar Lee Maters, Carl Sandberg, T.S. Eliot and Ezra Pound. Many
writers like Eugene O’Neill, Sherwood Anderson, Paul Green and Carl Van Vechter
showed an understanding towards Negroes in their works although they often
sentimentalized or romanticized them. From these works of White writers, the Black
writers learnt about anti-didacticism, anti-Victorianism and anti-sentimentalism.
Regarding the influences from within the Black community, two well-known
Black writers, Paul Laurence Dunbar and Charles W. Chestnutt played an important
role. They belonged mainly to the nineteenth century and their works were published
by the best American publishers. Dunbar was an accommodationist and Chestnutt
was a militant. The two represented a wide range of writings for Blacks. Both these
writers used folk material for their novels. At the beginning of the twentieth century,
several minor writers helped in keeping alive the Black tradition of literature. Sutton
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Elbert Griggs was one such writer. He was a Baptist minister and had his own
publishing house. His novels like Imperium in Imperio (1899) and Overshadowed
(190l) gave insights into the mindset of the Negroes before the Renaissance.
Imperium in Imperio is considered a political novel written by a Black. His novel
Overshadowed attacked Booker Washington’s accommodationist policies. The
other minor but important writer was Charles Spurgeon Johnson. He was a
sociologist and editor of a journal named Opportunity. It gave new Black writers a
chance to publish even before Du Bois’ magazine The Crisis appeared. Zora Neale
Hurston, in her biography, states that she was indebted to Charles Spurgeon
Johnson, the father of the New Negro Renaissance. Benjamin Griffith Brawley’s A
Short History of the American Negro (1913) and The Negro in Literature and
Art traced the cultural contributions of the Blacks.
William Stanley Braithwaite inspired Black writers to write and he was admired
even by the Whites. Walter White’s Rope Faggot: A. Biography of Lynching
published in 1929 was another significant work from a minor writer. Through this
book, he exposed the horrible American custom of lynching Blacks. His novel, The
Fire in the Flint (1924) deals with the same theme.
Some of the writers who emerged during the Harlem Renaissance were
Langston Hughes, Countee Cullen, Jessie Redman Fauset, Nella Larsen and Zora
Hurston. All these writers contributed a lot to the Black tradition in their own way.
Hughes, who was born in Joplin, Missouri on 1 February 1902, was a poet as well
as a novelist. He went back to African-American roots in his works. His use of
Black dialect and folk tradition influenced many new Negro writers. He won several
awards for his poetry which dealt with the themes of protest. Countee Cullen, who
was born in New York on 3 May 1903, talked about race relations in his poems and
the idyllic life that the Blacks had left behind in Africa. Cullen’s romanticizing of
Africa enabled several Blacks to cope with the harsh realities of America. Fauset
and Larsen in their works dealt with the life of middle class Negroes and tried to
sensitize the Whites about the superficial differences that separated them.
During World War II, Black writers protested against racism through their
writings. Richard Wright’s Native Son (1980) William Attaway’s Blood on the
Forge (1941) and Carl Ruthven Offord’s The White Face (1943) are some of the
examples of such works. However, once the process of integration between the
Blacks and Whites started in the ’40s, many of these writers stopped writing on the
themes of protest. They then moved to the themes related to the problems and
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conflicts that existed within the community. Gwendolyn Brook’s Maud Martha
(1953) and Langston Hughes’ Sweet Flypaper of Life (1955) demonstrated this
shift.
Richard Wright’s Native Son and Black Boy (an autobiography) made a mark
in Negro literature. He was born in a farm near Natchez, Mississippi in 1908. In this
novel, Wright uses contemporary techniques and shows the impact of racism on the
lives of Black Americans. Ralph Ellison’s Invisible Man (1952) was also important
in many ways. Ellison was born in Oklahoma in 1914 and came from a lower middle
class family. His Invisible Man won the National Book Award. Both Marxists and
Black nationalists objected to his approach. The former did not like his notion of
universal brotherhood and the latter stated that he was a part of western humanistic
tradition. His use of myths and episodic structures etc. in the novel contributed to the
development of Black fiction.
James Baldwin was another important author who contributed to Black fiction.
He was born in New York City in 1924. His novel, Go Tell It on the Mountain
(1953) deals with the Harlem ghetto life in a realistic way. By 1960s, Black writers
were breaking away from the Western tradition which was anti-Negro. The Black
Arts movement (an offshoot of Black Nationalist Movement) headed by Amiri
Baraka (LeRoi Jones) and Larry Neal advocated ‘a radical re-ordering of the
western culture. They proposed a separate symbolism, mythology, critique, and
iconology. Several young Black writers today are influenced by this tradition.
Although the Harlem Renaissance started on a note of hope, disappointment soon
set in. Life in the city, particularly in the context of World War I, became like a
ghetto existence. Garvey, who spoke of African roots, was jailed in 1927 and
deported. During this period, several Blacks joined the communist movement. The
works of Frank Marshall Davis, Langston Hughes and Richard Wright reflect this
fact. In 1935, the Harlem riots began which was an offshoot of poverty and
frustration in the ghettos. These riots put an end to the positive slant of the Harlem
Renaissance.
1. What is Black fiction?

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2. What is the significance of the New Poetry Movement?

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3. Name some of the Black writers and their works who protested against
racism through their writings during World War II.
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11.6 SUMMARY
x The English novel was essentially bourgeois in its origins and through the
eighteenth and nineteenth century, it was solidly anchored in a social world.
x The foremost feature of modern writing, perhaps, could be that things not
very often begin when and where they are expected or supposed to begin.
x This opinion and approach to novel writing reached its peak in Victorian
England. Yet towards the end of the nineteenth century, disillusions with
bourgeois complacency and commercialism crept in, and this was a major
external force in the rise of what you call ‘the modern’ novel.
x Born in New York, Henry James was educated in America and Europe. He
became a prolific writer with novels, short stories, travel sketches, literary
criticism and autobiography.
x Writers like John Galsworthy, Arnold Bennett, Graham Greene, Iris
Murdoch, Doris Lessing, and Earnest Hemingway are essentially realists.
x From a literary point of view also Lawrence can be looked upon as a
radical in the sense that he did not constrict his writing to the pre-laid rules
or models.
x Literature of the twentieth century refers to world literature produced
during (roughly) 1900 through the 1990s.
x Rudyard Kipling was perhaps the most widely popular writer of the early
years of the twentieth century.
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x In order to develop a modern view of character, a modern idea of time

came together with the new concept of consciousness. A character,
particularly of a woman, is an encapsulation of her complete emotional
experience, which is always encompassing, and which also constitutes her
consciousness.
x Moving from the realist literature of the Victorian Age into the Modernist
literature of the early twentieth century is like moving from an arena of
debate into a sea of trouble.
x Modernism in poetry is distinguished by its pluralistic complexity. It is a
synthesis of diverse kinds of poetry including the polished formalism of the
1890’s, the symbolism of Yeats and Symons.
x In the novel the modernist period dominated by six major figure: Henry
James, Joseph Conrad, James Joyce, Virginia Woolf, D.H. Lawrence and
E.M. Forester.
x Black fiction is a term used for African-American fiction. Writers of this
type of fiction can be divided into three groups: those who raise political
questions about the dilemmas of African-Americans, those who write on
the theme of ‘passing’ and the ones who are concerned with Afro-
American problems in the community.
11.7 KEY WORDS
x Monologue: Monologue comes from Greek word monos meaning alone

and logos meaning speech. It is a literary device, which is the speech or
verbal presentation that a single character presents in order to express his/
her collection of thoughts and ideas aloud. Often this character addresses
directly to audience or another character.
x Montage: Montage is the technique of selecting, editing, and piecing
together separate sections of film to form a continuous whole.
x Black fiction: Black fiction is a term used for African-American fiction.
Writers of this type of fiction can be divided into three groups: those who
raise political questions about the dilemmas of African-Americans, those
who write on the theme of ‘passing’ and the ones who are concerned with
Afro-American problems in the community.
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An Introduction to
20th Century

1. Henri Bergson discovered the concept of ‘Law Duree’. Bergson asserts
that clock time is artificial, and that ‘mental’ time is the only natural time.
Time, he said, is a continuous, heterogeneous flow, which cannot be
characterized by separate moments.
2. ‘Stream of consciousness’ is a psychological term that refers to a literary
technique in the twentieth century and gained immense popularity within the
genre of the modern novel. It is a narrative mode or device that depicts the
multitudinous thoughts and feelings which pass through the mind.

1. Electronic literature developed as a genre towards the end of the twentieth
century due to the development of hypertext and later the World Wide
Web.
2. During the two first decades, writers were imposed by two literary
conceptions which are as follows:
x Writers for whom literary work was the expression of a cultural
experience and fell in intellectualism.
x Writers who, in view of the confusion of the time and the
dissatisfaction of bourgeois world, saw literary work as an adventure,
as an irrational experience.
3. The best of Virginia Woolf’s novels include Mrs Dalloway (1925), To the
Lighthouse (1927), Orlando (1928), The Waves (1931) and A Room of
One’s Own (1929), which contains her famous dictum—‘A woman must
have money and a room of her own if she is to write fiction’.

1. John Osborne and Arnold Wesker were associated with kitchen-sink
drama.
2. Osborne’s Look Back in Anger created a sensation in 1956 when the
hero Jimmy Porter, lambasted every social value and prejudice of the day.
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An Introduction to
20th Century

1. Black fiction is a term used for African-American fiction.
2. The New Poetry Movement dated around 1912 was significant. During this
time, several writers including poets, novelists and dramatists, brought out
works that had an impact on American literature. Among these were Edgar
Lee Maters, Carl Sandberg, T.S. Eliot and Ezra Pound.
3. During World War II, Black writers protested against racism through their
writings. Richard Wright’s Native Son (1980) William Attaway’s Blood
on the Forge (1941) and Carl Ruthven Offord’s The White Face (1943)
are some of the examples of such works.
1. Trace the rise of the novel in the twentieth century.

2. Discuss the significance of kitchen sink drama during the twentieth century.
3. Write a note on writers of Black fiction and the themes they write on.
4. What changes did World War 1 bring on to Black experience during the
first quarter of the twentieth century?
5. Discuss the major themes used by the important writers in twentieth century
literature.
Roberts W. and Poplawski, P. 2001. A Bibliography of D H Lawrence 2nd (ed.).

Cambridge: Cambridge University Press.
Ross, Charles L. and Jackson, Dennis (eds.). 1995. Editing D H Lawrence: New
Versions of a Modern Author. Michigan: University of Michigan Press,
Ann Arbor.
Sagar, Keith. 1979. D H Lawrence: A Calendar of his Works. Manchester:
Manchester University Press.
Sagar, Keith. 1982. D. H. Lawrence Handbook. Manchester: Manchester
University Press.
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Reading Ernest Hemingway’s
UNIT–12 READING ERNEST HEMINGWAY’S THE OLD MAN

AND THE SEA
Objectives
x Summarize the plot of The Old Man and the Sea
x Explain the characters of The Old Man and the Sea
x Identify the theme of symbolism in the novel
Structure
12.1 Introduction
12.2 Ernest Hemingway
12.3 Primary Characters of The Old Man and the Sea
12.4 Summary
12.5 Key Words
12.1 INTRODUCTION
This unit deals with one of the most prominent works of Ernest Hemingway. Ernest
Hemingway is a canonical figure in the American literary tradition. He was born in
Oak Park, Illinois on July 21 in the year 1899. He was the son of a doctor and a
music teacher. At age eighteen, he volunteered to serve as a Red Cross ambulance
driver in World War I and was sent to Italy. He began his writing career as a
reporter for the Kansas City Star. In 1921, Hemingway moved to Paris, where he
served as a correspondent for the Toronto Daily Star. As a journalist, he also
covered the Spanish Civil War. In Paris, Hemingway became a part of the writers of
the ‘lost generation’. It was a group of American and English expatriate writers who
tried to reflect through their works the moral, social and psychological loss caused
by the World War I . The group included Faulkner, Fitzgerald, John Dos Passos and
Sinclair Lewis, Ezra Pound, Gertrude Stein, and Ford Madox Ford. In the early
1920s, Hemingway too began to achieve fame as a chronicler of the disaffection felt
by many American youth after World War I.
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12.2 ERNEST HEMINGWAY
Hemingway was famous for his novels, short stories and essays. Most of his life and
works revolved around games like hunting, fishing, boxing and bullfighting. A great
fan of baseball, Hemingway liked to talk in the sport’s lingo. Hemingway wrote on
bullfighting, published short stories and articles. Many of his works are considered
classics of American literature. His novels The Sun Also Rises (1926) and A
Farewell to Arms (1929) established him as a dominant literary voice of his time.
Hemingway fictionalized his experience in Italy in what some consider his greatest
novel, A Farewell to Arms. For Whom the Bell Tolls, Hemingway’s bestselling
novel, was published in 1940. His novel Across the River and Into the Trees,
published in 1950, was not received well by the critics. The much needed success
came with the publication of the novel The Old Man and the Sea, in the year 1952.
It was the last novel published in his lifetime. At the end of his life, Hemingway
became prone to debilitating bouts of depression. He committed suicide in 1961 in
Ketchum, Idaho.
The Old Man and the Sea published in the form of a book in the year 1952,
initially appeared in a special issue of Life Magazine in November 1951. It was a
popular success and the story won the Pulitzer Prize for fiction in 1953. A year later,
in 1954, Hemingway was awarded the Nobel Prize for Literature. Life magazine
sold more than 5 million copies of its September 1, 1952, issue, and the novel was
at the top of the best-seller lists for six months. In the 1930s, Hemingway lived in
Key West, Florida, later in Cuba, and his years of experience fishing in the Gulf
Stream and the Caribbean provided an essential background for the vivid
descriptions of the fisherman’s craft in The Old Man and the Sea. The novel is
considered by many to be the culmination point of his career. It is especially praised
for its depiction of a new dimension to the typical Hemingway code hero, who is less
macho and more respectful of life. Santiago is a character that faces the human
condition to make it better and survives without dismissing it or dying.
Plot Overview
The Old Man and the Sea, set in Cuba, depicts the epic battle between an elderly
fisherman, Santiago, and a huge marlin. The principal characters are an old Cuban
fisherman Santiago, a young boy Manolin, and the fish Marlin.
The readers are introduced to an impoverished old fisherman Santiago who
despite his expertise at fishing has been unable to catch a fish for eighty-four days.
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For the first forty four days, a young boy named Manolin was with him. The boy had
worked with Santiago as an apprentice for many years. He joined the old man
when he was just five years old and the old man had taught him to fish. Manolin’s
parents had forced him to switch boats, leave the unlucky old man and join a
prosperous ship. Many young fishermen made fun of Santiago, while the older ones
felt sad about his condition. Most of the times Santiago relied upon Manolin for
living. Manolin continued to care for the old man upon his return from the sea each
night. He loved and respected the old man, relished Santiago’s stories of past
adventures and his knowledge of American baseball and its primary hero, the great
DiMaggio. Santiago is fond of DiMaggio’s strength and endurance. The player’s
father was a fisherman which also gives a sense of connection to Santiago. The old
man tells Manolin about his early life working on ships that sailed to Africa. Manolin
so cherished the company of the old man that he regularly visited him and brought
food, tea and drinks. He offered himself to serve Santiago in some way if not fish
with him. The boy believes Santiago is a legend among fishermen. We also get a
glimpse of the old man shack. It has nothing more than the barest necessities—a
bed, a table and chair, and a place to cook. There are two pictures on the wall, one
of the Sacred Heart of Jesus and one of the Virgin of Cobre, the patroness of Cuba.
The old man has taken down the photograph of his wife as it made him feel lonely.
Next morning, Santiago goes to Manolin’s house to wake the boy. The two head
back to Santiago’s shack and drink coffee from condensed milk cans. Santiago is
confident about the day’s prospects. He and Manolin part on the beach, wishing
each other good luck. It is the eighty-fourth day and as decided, the old man sailed
his skiff far beyond the island’s shallow coastal waters out into the Caribbean waters
around Cuba and ventured into the Gulf Stream. While waiting for a catch, Santiago
shows sympathy for the creatures and love for the sea which can often be cruel. He
wonders when he developed the habit of talking to himself, but does not remember.
He thinks that if the other fishermen heard him talking, they would think him crazy.
The old man realizes that he has sailed so far out that he can no longer see the shore.
No land is visible at all. As expected, he caught a large marlin in deep waters of the
Gulf Stream. The fish is so huge that it pulls the skiff further into the sea.
Nevertheless, he promises himself that he will kill his opponent before the day ends.
The old man waited for the fish to surface, but this does not happen. He could do
nothing but hold on. Often, he wishes the boy with him. When night fell, his small
boat was pulled far out to sea by the fish. The struggle continues through the night.
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Next morning, the marlin is still pulling the skiff. The old man realized that
landing such enormous fish would mean a prolonged struggle. The marlin almost
pulled the old man overboard and his hand starts bleeding because of the taut skiff
line that is a connection between the marlin and the old man, has cut his palm deep.
The hand feels the cramp because of the strain of taking the fish resistance. Santiago
feels angry and frustrated by the weakness of his own body. He eats tuna that he has
caught a day before and had planned to use it as a bait. He hopes that tuna will give
some strength to his body and ease the cramp in his hand. As he eats, he feels a
brotherly desire to feed the marlin too. The fish suddenly leaps magnificently into the
air. Santiago is surprised to see the size of the fish which is bigger than he has
expected and ever seen. Santiago realizes the power of the fish. Calling the marlin
great, Santiago says he will never to let the fish learn its own strength. The struggle
continues. With another day’s passage the old man’s energies were exhausted.
On the third day the fish has slowed down. It is tired and so is old Santiago,
deprived of sleep, food and water, feeling delirious. Santiago continues to battle the
marlin, pulling in line to shorten the fish’s circles. Feeling week he old man, who often
claimed he is not religious, says Hail Marys and Our Fathers. He also promises that
if he catches the fish, he will make a pilgrimage to the Virgin of Cobre. As the marlin
circles the boat, Santiago manages to pull it close enough to kill it with a harpoon
thrust. His hands were deeply cut from holding the rope attached to the marlin.
Santiago tried to put the marlin in the boat, but it was too large to fit in it. He tied the
huge marlin to the boat’s side. As Santiago heads towards the shore with the fish, the
marlin’s blood leaves a trail in the water. The smell of the blood attracts sharks and
the first to attack is a big mako shark. The old man killed this one with his harpoon,
but the smell of blood in the water drew others. Before being killed, the mako shark
had taken a huge chunk of flesh from marlin’s body. In the struggle, the old man
loses the harpoon and lengths of valuable rope, which leaves him vulnerable to other
shark attacks. The old man fights off the successive vicious predators as best he
can. Although he kills several sharks, more and more appear. Santiago’s continued
fight against the scavengers becomes useless. By the nightfall of second day, the
sharks had ripped the marlin to pieces. They have devoured the marlin’s precious
meat, leaving only skeleton, head and tail. All the old man could do was to steer his
boat toward lights of Havana. Upon reaching the shore, the old man carried his gear
forward, falling several times from exhaustion. Santiago chastises himself for going
out too far, and for sacrificing his great and worthy opponent, the marlin.
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Santiago arrives home before daybreak, stumbles back to his shack. He goes off
to sleep and does not wake up until late in the morning. In the meantime, Manolin
had come to see the old man and looking at his condition the boy cries. He goes to
fetch coffee for Santiago and tells everyone not to disturb the old man’s sleep. When
the old man wakes up, he is greeted by Manolin. The boy tells him to rest more and
prepare for the next day. Manolin tells the old man that he will join back as his
apprentice, does not matter what the parents or anyone else says. The boy urges
that he has to learn a lot from Santiago. At first, the old man says no to the boy, but
soon agrees without much resistance. His fellow fishermen marveled at the skeleton
of a fish larger than any that they have ever seen. The village fishermen now showed
respect to the same old man Santiago whom they had ridiculed for not being able to
catch a fish in eighty four days. That afternoon, some tourists also saw the marlin’s
skeleton and asked a waiter what it is. Trying to explain what happened to the
marlin, the waiter says tiburon which means shark. The tourists misunderstand it and
assume that the skeleton is of a shark. Manolin pledges to return to fishing with
Santiago.
The novel ends as the old man goes into a deep slumber, with the boy at his
side, and again dreams of lions on distant shore near Africa.
Analysis
The novel The Old Man and the Sea has been interpreted at various levels of
meaning.
Through the character and tragic adventures of the old man, Santiago, states that
there is honour even in struggle, defeat and death. It is the conscious decision on the
part of the old man to act, to fight, and to never give up that enables Santiago to go
on in adverse circumstances. Although, he loses the long battle against the scavenger
sharks and returns back without his fish, he earns the respect of the people in the
village and community. Through the struggle of Santiago, Hemingway clearly
suggests that victory is not a prerequisite for honour. Instead, there is glory in the act
of struggle itself, regardless of the outcome of the struggle. The prestige and honour
Santiago accrues comes from his determination and strength to continue to fight in
destructive circumstances. There is majesty and splendor in his determination to stick
to his guns in his struggle against the powerful forces arrayed against him with the
knowledge that catastrophe is inevitable. In Hemingway’s conception of the world,
death and destruction are a part of the natural order of things and are unavoidable.
One cannot overcome them, but one can face them with courage.
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Throughout his struggle, the old man is sustained by his determination and the
pride of his calling. It is with his unconquerable spirit and will power that the broken
old fisherman ventures far out into the Gulf Stream and there hooks the biggest
marlin ever seen in those waters. Santiago is aware of the dangers associated with
his profession, particularly when he decides to cross the forbidden depths of the sea.
Yet, he holds his head high and continues with his steadfast struggle with the marlin.
He believed in his own philosophy of life that a man can be destroyed, but cannot be
defeated. The old man’s battle with the fish is marked by immense pain and suffering.
However, this is also the world in which extreme pain becomes a source of triumph
rather than defeat. Santiago’s triumph is in his endurance, physical pain does not
matter here. Therefore, despite his struggle at the sea, he decides to rest before
going back out to sea, and this time with the boy Manolin.
Another interpretation asserts that The Old Man and the Sea concerns itself
about life. The old man’s humble but dignified courage in the struggle both to survive
and to prevail was taken to symbolize the kind of courage demanded in any
person’s struggles with life. The novel gives an inspiring lesson that a man might be
defeated in practical or worldly terms while still triumphing spiritually and as a
person. The individual struggles for success in a world that seems to be designed to
destroy him. Sometimes, a man is punished by a hostile universe without his fault. In
this cruel and oppressive order, the old man summons the courage to confront the
challenges of daily life. Santiago could not catch a single fish continuously for eighty
four days in spite of being a skilled fisherman. The novel also suggests that if a man
goes beyond the forbidden boundaries and the limits of human possibility, he will be
punished. Santiago acknowledges his responsibility in his ruin. At the same time, one
also understands that man’s greatest potential can be found only when he returns to
the natural world. The old man’s physical suffering leads to a more significant
spiritual triumph.
Hope and resolution are necessary components of endurance throughout the
novel. His knowledge of the sea and its creatures and his unparalleled craft helps him
preserve a sense of hope regardless of circumstance. After the arrival of the mako
shark, Santiago is preoccupied with the notion of hope. As Santiago sails on while
the sharks continue to attack his catch, Santiago seems full of resolution, but he had
little hope to take back the marlin. Later, the old man hits the shark without hope,
but with resolution. Without hope Santiago has reason neither to fight the sharks nor
to return. With this hope and resolution, Santiago achieves spiritual victory at the end
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of his struggle. His bleeding hands, broken harpoon, and broken back are a
testimony of the heroic battle he had to wage with marlin and the killer sharks.
The natural world that Hemingway portrays in the midst of the deep sea is the
one in which life and death accompany each other. Ultimately, everything in this
world dies, it is the sense of camaraderie between men and creatures that alleviate
the grimness of that fact. Santiago says as the marlin dies that the fish came alive with
his death. The old man shares a sense of identity with the marlin that he catches. He
loves the sea and its occupants and has compassion for them. Hemingway also
unites the old man with marlin through Santiago’s frequent expressions of his feeling
of kinship. He, thus, suggests that the fate of one is the fate of the other. For three
days, he holds fast to the line that links him to the fish, even though it cuts deeply into
his palms, causes a crippling cramp in his left hand, and ruins his back. This physical
pain allows Santiago to forge a connection with the marlin that goes beyond the
literal link of the line.
The novel can also be studied as a tale of man in conflict with nature as well as
in harmony with nature. Hemingway suggests that the world is a vast, interconnected
network of life. He recounts man’s place within nature as the protagonist Santiago is
pitted against the creatures of the sea. Santiago feels of deep connection with the
warbler who will soon be taken away by the hawk. The brotherhood between
Santiago and the surrounding world extends beyond the warbler. The old man feels
an intimate connection to the great fish, as well as to the sea and stars. Santiago
constantly pledges his love, respect, and sentiment of brotherhood to the marlin.
Both Santiago and the marlin display qualities of pride and honour, valour and
dauntless attitude. Both, the old man as well as the marlin, and other creatures are
subject to the same eternal law that is they must kill or be killed. As the old man
himself remarks on seeing the flying warbler that the world is filled with predators.
No living thing can escape the inevitable struggle that will lead to its death. Death is
inevitable, but giving up to its challenges without any fight is not the way of life. The
best is that man or animal who struggles till he meets his end.
The story of the old man has also be interpreted as a parable of religious
significance, an almost Christian parable of victory through defeat. The Christian
references in The Old Man and the Sea are inescapable. Hemmingway associates
Santiago’s ordeal, in his struggle with the big fish and fighting against the sharks, with
Christ’s agony and triumph, fighting against the evil. This is supported by the use of
Christian symbols and metaphors. Even though Santiago doesn’t consider himself a
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religious man, it is during his struggle with the marlin he remembers god and
promises to go for pilgrimage. Manolin sails with Santiago for forty days. Christ was
banished to the wilderness for forty days. Santiago’s trial with the fish lasts for three
days. Three marks the Trinity as well as the interval between the death and
resurrection of Christ. The cuts on Santiago’s hands are like the marks of nails
priced on Christ’s palms. Santiago also reminds the reader of Christ as he carries the
mast upon his shoulders and as he collapses with his arms out and palms up as
Christ on the cross. The position in which Santiago collapses on his bed, his face
down with his arms out straight and the palms of his hands up, conjures up the image
of Christ on the cross. Hemingway employs these religious symbolism to prove that
how Santiago, like Christ, has transcended by turning his loss into gain and defeat
into triumph.
Hemingway’s fiction presents a world peopled almost exclusively by men who
display their skills. Throughout the novel, the writer describes the old man’s
proficiency in fishing. Santiago’s memory of hooking the female marlin of a male-
female pair exemplifies Hemingway’s world in which women have no substantial
place. Santiago does not keep the picture of his wife on the wall of his shack. He
does not dream about her or any other woman. Men are the central focus of most
of Hemingway’s writing and of The Old Man and the Sea too. In Hemingway’s
world, mere survival is not enough. To elevate oneself above the masses, one must
master the rules and rituals by which men are judged.
Many critics also read the novel as an allegory of Hemingway’s own literary
career, with Santiago representing Hemingway, the struggle for the marlin
representing his efforts to reel in a great work, and the attack of the sharks
representing the vicious attacks of the critics. The novel has been seen as an
affirmation of such fundamental human values as love, humility, courage, and the
bond between the old and the young.
1. When was The Old Man and the Sea published?

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2. When was Ernest Hemingway born?

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12.3 PRIMARY CHARACTERS OF THE OLD MAN AND THE

SEA
Some of the important characters of the novel are discussed as follows:

Santiago: Santiago is an old Cuban fisherman with an unparalleled precision when
fishing. Everything about Santiago was old except his eyes, blue in colour, cheerful,
confident and undefeated. He is an epitome of courage and the novel tells the story
of his unconquerable spirit in the face of adversity. He believes that man can be
destroyed, but cannot be defeated. Santiago, though destroyed at the end, is never
defeated. He emerges as a hero. In all the adverse circumstances, Santiago never
lost his confidence and exhibits terrific strength and moral certainty.
The concept of code hero applies to Santiago, like other characters of
Hemingway’s novels. Hemingway conceives his protagonist as a man alienated from
his surroundings, who lives with the ideals of honour, courage and endurance in a
world that is dangerous and hostile. He faces life with grace even under physical and
moral pressures. He neither dies nor does he win the physical battle. He remains
undefeated in his spirits even in adverse circumstances. He is humble and dignified.
Santiago preserves his pride, his values and his honour as he faces physical defeat in
the epic struggle with the marlin and the sharks in the Gulf Stream. The battle is a
test of the old man’s physical and mental strength and he is successful at the end. He
suffers, feels the pain of failure, and yet remains undefeated. A code hero is skilled in
his profession, so is Santiago. A lonely and wise old fisherman conquers a
magnificent fish, endures the heart-breaking loss of it, and rises gallantly above his
defeat. He is a hero in deed and spirit, defeated yet courageous enough to rise again.
Santiago finds the marlin a worthy opponent. The marlin did not die before
fighting the old man. Santiago feels love and respect for the marlin. Although
wounded and weary, the old man feels a deep empathy and admiration for the big
fish, his brother in suffering, strength, and resolve. The destruction of both the marlin
and the old man become a point of honour and achievement that confirm their heroic
qualities. Santiago’s struggle does not change his place in the world, but it enables
him to meet his most dignified self.
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In spite of his struggles, Santiago holds onto his pride. It is his pride that
becomes a source of determination that does not let him lose hope. His pride
motivates him to greatness by taking the challenge to go into the dangerous deep
water and leads to his heroic transcendence of defeat. Pride is also a source of
Santiago’s greatest strength. At the same time, hubris also becomes a reason for his
destruction and the old man is aware of it. After sharks have destroyed the marlin,
the old man says again and again that he has ruined himself as well as the marlin, by
sailing beyond the accepted boundaries.
Manolin: The young boy Manolin considers Santiago his mentor and respects the
old man for his skills as a fisherman. While, others make fun of the old man and his
bad luck, the young boy’s steadfast devotion to and trust in Santiago establishes his
mentor as a figure of significant moral stature. Though professionally he has left
Santiago’s boat because his parents forced him to do so, yet he took care of the old
man every day. By the end of the novel, Manolin mentions that he will join back
Santiago as an apprentice no matter what his parents ask him to do. Hemingway
establishes the character of the boy as a symbol of uncompromised love and
commitment. All he feels for the old man is love, respect and admiration. Manolin’s
love for Santiago is spontaneous and natural.
Santiago and Manolin share an undefined bond with each other. Manolin is an
important character in the novel, not only because of his role as a caretaker for
Santiago, but because the love and friendship he shows the old man is necessary
sustenance for a man. The boy is the only companion to the old man. The mutual
affection between the old man and the young boy is typical of Hemingway’s general
emphasis on friendship between males. The old fisherman and the boy value human
relationships above materialism. Manolin is an outward manifestation of the boy in
Santiago. His wish for the boy to be with him during his struggle in the sea is also the
old man’s yearning for his youthful strength. The old man passes on his legacy of
crafts and experience to the young boy. His dedication to learning from the old man
ensures that Santiago will live on. In Manolin, Santiago has found a way to live after
death.
DiMaggio: Baseball is the national sport of Cuba and DiMaggio was a baseball
player. Although, he was a center fielder for the New York Yankees from 1936 to
1951, and is often considered the best all-around player ever at that position.
Santiago worships him as a model of strength and commitment. The old man’s
thoughts turn toward DiMaggio whenever he needs to reassure himself of his own
strength. Despite a painful bone spur that might have crippled another player,
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DiMaggio went on to secure a triumphant career. The baseball player is a symbol of

success against all odds. The ideal of DiMaggio’s courage gives Santiago spiritual
strength. DiMaggio never appears in the novel, yet he plays a significant role
throughout.
Perico, the newspaper distributor and Martin, the cafe owner also do not
appear in the story. Nonetheless, both play an important role in the life of the old
man. One provides him with the newspaper to remain connected with baseball and
the other provides him with supper.
Major Theme of The Old Man and the Sea: Symbolism

Santiago dreams of the lions at play on the beaches of Africa three times. The first
time he dreams of the lions is on the night before he departs on his fishing expedition
in the deep waters of the Gulf Stream. The second dream occurs when he sleeps on
the boat for a few hours in the middle of his struggle with the marlin. The third time
he dreams of the lions at the end of the novel. The lions can be associated with the
youth of Santiago, when he was full of vigour. The promise of triumph and
regeneration is supported by the closing image of the book. The vigour of the
youthful experience is permanently enshrined in his dreams of the lions on the beach.
This also explains the camaraderie between the old man and Manolin.
The glorious and splendid marlin symbolizes the ideal opponent to the old man
in the natural world where everything kills everything eventually. The magnificent fish
brings out the best in the old man, his strength and courage, his love and respect.
The fishing line that reaches the marlin through Santiago’s palms serves as a symbol
of the camaraderie that Santiago feels with the fish. With the destruction of marlin by
the sharks Santiago too feels ruined.
The shovel-nosed sharks are also opponents for the old man. They stand in
contrast to the marlin, which is worthy of Santiago’s effort and strength. These
sharks symbolize and embody the destructive laws of the universe. There is no glory
in battling with them as they are predators.
Hemingway employs a number of religious symbols and images associated with
Christ. Like Christ, the old man too has turned his defeat into triumph by winning the
respect of the villagers and the young boy Manolin. The narrator’s description of
Santiago’s return to town shows the old man struggles up the hill with his mast
across his shoulders, brings to mind images of crucifixion. The position in which he
collapses on his bed resembles the image of Christ suffering on the cross.
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1. What is the major theme in The Old Man and the Sea?
................................................................................................................
................................................................................................................
................................................................................................................
2. Mention the use of religious symbols used by Hemingway in The Old

Man and the Sea?
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12.4 SUMMARY
x Hemingway was famous for his novels, short stories and essays. Most of
his life and works revolved around games like hunting, fishing, boxing and
bullfighting.
x For Whom the Bell Tolls, Hemingway’s bestselling novel, was published in
1940.
x The much needed success came with the publication of the novel The Old
Man and the Sea, in the year 1952.
x In the 1930s, Hemingway lived in Key West, Florida, later in Cuba, and his
years of experience fishing in the Gulf Stream and the Caribbean provided
an essential background for the vivid descriptions of the fisherman’s craft in
The Old Man and the Sea.
x The novel is considered by many to be the culmination point of his career.
x Through the character and tragic adventures of the old man, Santiago,
states that there is honour even in struggle, defeat and death.
x Throughout his struggle, the old man is sustained by his determination and
the pride of his calling.
x Another interpretation asserts that The Old Man and the Sea concerns
itself about life. The old man’s humble but dignified courage in the struggle
both to survive and to prevail was taken to symbolize the kind of courage
demanded in any person’s struggles with life.
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x The story of the old man has also be interpreted as a parable of religious
significance, an almost Christian parable of victory through defeat.
x Hemingway’s fiction presents a world peopled almost exclusively by men
who display their skills.
x The glorious and splendid marlin symbolizes the ideal opponent to the old
man in the natural world where everything kills everything eventually.
x Hemingway employs a number of religious symbols and images
associated with Christ. Like Christ, the old man too has turned his defeat
into triumph by winning the respect of the villagers and the young boy
Manolin.
12.5 KEY WORDS
x Symbolism: Symbolism is the use of symbols to signify ideas and

qualities by giving them symbolic meanings that are different from their
literal sense.
x Code hero: Hemingway defined the code hero as ‘a man who lives
correctly, following the ideals of honor, courage and endurance in a world
that is sometimes chaotic, often stressful, and always painful.’

1. The Old Man and the Sea published in the form of a book in the year
1952.
2. Ernest Hemingway was born in Oak Park, Illinois on July 21 in the year
1899.

1. Symbolism is the major theme in The Old Man and the Sea.
2. Hemingway employs a number of religious symbols and images associated
with Christ. Like Christ, the old man too has turned his defeat into triumph
by winning the respect of the villagers and the young boy Manolin. The
narrator’s description of Santiago’s return to town shows the old man
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struggles up the hill with his mast across his shoulders, brings to mind
images of crucifixion. The position in which he collapses on his bed
resembles the image of Christ suffering on the cross.
1. Discuss the role of Manolin in the novel.

2. What is the essence of relationship that the old man Santiago shares with
the young boy Manolin?
3. Do you think that Santiago’s pride leads to his eventual downfall or pride
becomes a source of greatness and determination for the old man? Discuss
with examples.
4. Comment on the portrayal of sea and its role in the novel.
5. What is the significance of the dreams of lions on the beach for Santiago?
6. Do you agree that hope and resolution are necessary components of
endurance throughout the novel? Discuss with examples form the novel.
7. Why does the old man consider the marlin as a worthy opponent and
extend his feeling of brotherhood, love, and respect to the creature he
eventually kills?
Hacker, L. M. Helene S Zahler ed. 1947. The Shaping of American Tradition.

New York: Columbia University Press.
Bigswy, C. W. E. 1982. A Critical Introduction to Twentieth Century American
Drama (2 vols.). New York: Cambridge University Press.
Monteiro, George (ed.). 1994. Critical Essays on Ernest Hemingway’s ‘A
Farewell to Arms’. New York: G. K. Hall & Co.
Lal, DK. 2001. Ernest Hemingwaw The Old Man And The Sea - Narains Series.
Uttar Pradesh: Lakshmi Narain Agarwal.
Rao, PG Rama. 2007. Ernest Hemingway’s The Old Man & The Sea. New
Delhi: Atlantic Publishers & Distributors.
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Reading Animal Farm
UNIT–13 READING ANIMAL FARM
Objectives
x Assess George Orwell as a novelist
x Discuss Animal Farm as a political satire
x Explain the historical context of Animal Farm
x Discuss the various themes of Animal Farm
Structure
13.1 Introduction
13.2 George Orwell
13.3 Summary of the Novel
13.4 Major Characters of Animal Farm
13.5 Animal Farm as a Political Satire
13.6 Summary
13.7 Key Words
13.1 INTRODUCTION
The effects of the Second World War are clearly visible in the literature of that
period, reflecting the spirit of revolt and the feeling of distrust. Established literary
figures like Aldous Huxley, Evelyn Waugh and George Orwell rightfully satirized the
socio-political insecurity and instability among the masses by depicting the feeling of
futility, gloom and despair. In this unit, you will learn about the novel Animal Farm.
Animal Farm is one such work of George Orwell that is a political satire on
totalitarianism, social injustice and tyranny.
13.2 GEORGE ORWELL
George Orwell was born on 25 June 1903 in Bihar, India. His father Richard
Walmseley Blair named him Eric Arthur Blair, the name which he forsook for his pen
name George Orwell. His childhood was not a happy one as he did not have pleasant
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memories of his parents. Even his school life at St. Cyprian’s was very miserable and
lonely. He won a scholarship to Eton despite his depression and nightmarish
experiences at school.
For some time he worked as an assistant to the District Superintendent of Police
in the capital of upper Burma and then resigned and returned to England in 1927. He
worked at various positions and also participated in the Spanish Civil War. To begin
work on Animal Farm, Orwell resigned from the post of literary editor of The
Tribune. After the publication of Animal Farm in 1945, he became very famous and
financially prosperous for the first time in his life. Another famous work ‘Nineteen
Eighty Four’ was published in 1949. However, he did not live long enough to enjoy his
popularity and succumbed to pulmonary tuberculosis in 1950, at the age of 46.
The Historical Context of Animal Farm

Animal Farm rightfully corresponds with the events of Russian history from 1917 to
1943. Orwell had himself witnessed the exploitation of the poor by the rich, thus he
developed the old major’s theory of rebellion, as applied to animals. He summed up
his message in Animal Farm in his essay published in 1946, ‘History consists of a
series of swindles in which the masses are first lured into revolt by a promise of
utopia and then, when they have done their job, enslaved again by new masters.’
Karl Marx propagated a theory, according to which, a violent revolution was the
means to achieve equality and freedom for the working class. However, Russian
monarchy still favoured cruel practices amounting to slavery. People encouraged by
the communist ideas revolted and the bureaucratic government was abolished.
Lenin’s death in 1924 gave rise to a struggle for power between his lieutenants
Trotsky and Stalin. Stalin got Trotsky assassinated in 1940 and Stalin emerged as a
powerful leader who himself got corrupted by power. The last episode where pigs
and farmers sit together and raise a toast truly represents the Tehran Conference
(1943), when Stalin met the allied leaders.
1. Who represents Trotsky and Stalin?

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2. Which period of the Russian history does Animal Farm correspond to?
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3. What theory did Karl Marx propagate to achieve equality and freedom
for the working class?
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13.3 SUMMARY OF THE NOVEL
Let us now summarize the novel.
Chapter One
The owner of Manor Farm, Mr. Jones, had locked the animals at night but being too
drunk, he had forgotten to shut the pop holes. As a result, all the animals in the farm,
including the three dogs—Bluebell, Jessie and Pincher, the pigs, the hens, the
pigeons, the sheep, the cows, the cat, the two cart horses—Boxer and Clover,
Muriel—the white goat, Benjamin—the donkey and Mollie—the foolish and pretty
white mare, gathered at one end of the big barn.
Major, a stout and majestic looking senior pig, wanted to address the gathering
about his dream. He began by expressing his apprehension that he didn’t think he
would live longer and before his death, he wanted to pass on the wisdom that he had
acquired in his long life. He considered the life of the farm animals to be miserable,
laborious and short. He believed that man was the one and only cause of their
misery and slavery. Man was the only creature who consumed without producing—
neither did he give milk, nor did he lay eggs. He was not even strong enough to
plough the fields, yet he was their master. He conveyed in simple words that getting
rid of man through a rebellion is the only way to become rich and free. He told them
that all men were enemies and all animals were comrades. Then he began to tell
them about his last night’s dream which had reminded him of a long forgotten song
‘Beasts of England ‘. He cleared his throat and started singing that song, and all the
animals were so thrilled that they sang it together for five times. All that noise
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disturbed Mr. Jones’ sleep and he fired some pellets from his bedroom which caused
complete silence. The animals hurriedly fled to their sleeping places and in a moment
everyone fell asleep.
Chapter Two
After three days of his inspiring speech, the old major died peacefully in his sleep,
but his speech had given a new outlook to other animals. The pigs had taken over
the task of propagating major’s teachings in the form of a complete school of
thought which they called ‘Animalism’. Its principles were being secretly taught to the
other animals. The two pigs Snowball and Napoleon were quite intelligent and
possessed leadership qualities. Thus, they were trying their best to imbibe the spirit
of Animalism in the other lesser intelligent animals. Moses, the raven, was the most
difficult of them all to be convinced. However, Boxer and Clover became the most
faithful disciples who would begin singing ‘Beasts of England’ at their secret
meetings.
The revolution took place much before anybody had anticipated. One day it so
happened that Mr. Jones became too drunk and forgot to feed the animals. The
hungry animals revolted by breaking into the feeding area. Mr. Jones came hurriedly
with four men and started beating the animals and lashing whips upon them. The
animals did not tolerate the beating this time and they too became violent. Kicked
badly from all sides, the men along with Mr. Jones, were forced to flee. After their
incredible victory, the animals threw away all the chains, knives, whips, halters,
nosebags, etc., as they wanted to get rid of anything that reminded them of the cruel
human beings. The next morning, Snowball repainted the sign that read ‘Manor
Farm’ and changed it to ‘Animal Farm’. Then along with Napoleon, he wrote the
seven commandments of Animalism on the wall that read:
The Seven Commandments

1. Whatever goes upon two legs is an enemy.
2. Whatever goes upon four legs, or has wings, is a friend.
3. No animal shall wear clothes.
4. No animal shall sleep in bed.
5. No animal shall drink alcohol.
6. No animal shall kill any other animal.
7. All animals are equal.
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It had been more than 24 hours that the cows had not been milked, so their
udders felt like bursting. The pigs helped them by milking them with their trotters and
filled up 5 buckets of creamy and frothy milk. However, when the animals returned
from the harvest, the milk had mysteriously disappeared.
Chapter Three
The efforts of the animals in producing food for themselves were greatly successful
as the harvest was much better than they had thought. Boxer illustrated being a
model of hard work by personally adopting a motto, ‘I will work harder’. The pigs
became the supervisors and coordinators and never worked themselves. Mollie was
the one who always shirked work and similarly the cat would only appear at meal
times or in the evening after the work was over. The pigs were conducting the
reading and writing classes which were quite successful. Since, some stupider
animals like the sheep, hens and ducks, were unable to learn the seven
commandments by heart, so Snowball reduced them to a maxim ‘four legs good,
two legs bad’, which the sheep could bleat for hours. Soon, Jessie and Snowbell
gave birth to nine puppies, which Napoleon took away from them, assuring that he
would educate them. However, they were forgotten by everyone.
After the apple harvest, Squealer announced on behalf of the pigs that the milk
and the apples were to be exclusively consumed by the pigs, so that they can
preserve their health. He also announced that the pigs were not very fond of apples
and milk, but they would consume it for the sake of the well being of the rest of the
animals in the farm.
Chapter Four
Snowball and Napoleon began sending the flights of pigeons with the instructions to
spread the story of the rebellion to the neighbouring farms and teach them the tune
of ‘Beasts of England’. Mr. Pilkington and Mr. Frederick, the owners of the
neighbouring farms were equally frightened by the rebellion and tried to prevent their
animals to learn about it. However, the news of the rebellion on the Animal Farm had
spread across half the England. Soon, ‘Beasts of England became a popular song
which could be heard on every farm. Raged by the threat of another rebellion in
future, Mr. Jones sought the help of half a dozen men from the neighbouring farms.
Along with his own men, he attacked the Animal Farm in a hope to recapture it. The
animals seemed already prepared for such an attack and fought bravely and
courageously under the strategic leadership of Snowball. Within five minutes of their
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invasion, men retreated and animals won the battle once again. Everyone noticed the
absence of Molly during the fight. However, animals celebrated their victory by
running up the flag and singing ‘Beasts of England’ several times. The award ‘Animal
Hero, First Class’ was conferred upon Snowball and Boxer. The sheep were
awarded ‘Animal Hero, Second Class’ posthumously. It was decided to name the
battle as The Battle of the Cowshed, and to fire the gun twice a year—once on the
anniversary of the battle of the cowshed and once on the anniversary of the
rebellion.
Chapter Five
Molly was not happy with the kind of work she had to do at the farm. She
disappeared one day and the pigeons reported to have seen her in another farm,
pulling a dog cart for a man who offered her lump sugar and colourful ribbons.
Nobody mentioned her in the Animal Farm again. Time passed and the disputes
between Snowball and Napoleon became evident. They disagreed on almost
everything. Snowball’s learned comments in the meetings were always interrupted by
the loud bleating of the sheep singing ‘four legs good, two legs bad’. Snowball
devised a plan to build a windmill in order to bring electricity to the farm. He had
sound plans as he had thoroughly researched on the farming techniques by reading
Mr. Jones’ old books. He was keen to develop Animal Farm with increased
productivity, lesser work, and more comfortable lifestyle for all the animals.
Napoleon bitterly opposed this plan and even urinated over the papers having the
details of the plan. The animals got divided into two groups because of the
differences between Snowball and Napoleon on the issue of windmill. Both of them
differed even upon the best way of defense for the farm. While Snowball advocated
the spread of revolutionary spirit to the neighbouring farms, Napoleon wanted to
develop their own military force. On the day of the meeting, both the leaders
presented their views on the issue of windmill. Just at the moment when the audience
got influenced by Snowball’s impressive and persuasive speech, Napoleon uttered a
loud whimper and nine huge dogs suddenly attacked Snowball. These were the
same puppies that Napoleon had taken under his guidance. They chased Snowball
away from the Animal Farm and he was never seen again.
Napoleon became an unrivalled leader who immediately brought an end to the
Sunday meetings. Squealer tried to explain to the rest of the animals that Snowball
was overthrown by Napoleon because he was a criminal. He justified Napoleon’s
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acts with false arguments to which animals had no better answer. After three weeks
of Snowball’s expulsion, Napoleon announced that the windmill was to be built.
Squealer personally explained to everyone that windmill was an original idea of
Napoleon which was stolen by Snowball. Squealer possessed the art of persuasion
and the three dogs that accompanied him made sure through their threatening
growling that his explanation was accepted without any questions at all.
Chapter Six
Throughout the year animals worked like slaves for the harvest and the windmill.
Further adding to their gloom, Sundays were also declared to be working by
Napoleon. Though the work on Sundays was strictly voluntary, any absenteeism
was to be dealt with a reduction of the food rations to half. Meanwhile, Boxer had
adopted another slogan ‘Napoleon is always right’. Still the animals were happy as
long as they had to produce only for themselves and not for human beings.
However, on a Sunday morning, Napoleon announced that the Animal Farm would
engage in trade with the neighbouring farms in order to obtain the urgently needed
material. He also planned to sell a stack of hay and some part of that year’s wheat
produce. If more money would be required, he would have to sell the eggs. He
implored the hens to welcome such a sacrifice as their special contribution towards
the building of the windmill. As usual, the animals that had some questions over the
issue, were either convinced by Squealer, or silenced by the growling of the fierce
dogs.
It was decided that Mr. Whymper, a solicitor, would visit the farm every
Monday and prove to be a link between the Animal Farm and the outside world.
Suddenly, pigs moved into the farm house and made it their residence. Some animals
remembered the older resolutions against collaborating with humans and taking up
residence, but they were again convinced by Squealer that it was a necessity for the
pigs to shift to the farm house in order to work peacefully. Muriel read out the fourth
commandment against living in a house only to find it altered. By autumn, the
windmill was half built much to the admiration of all the hard working farm animals,
but in November, a fierce storm destroyed the windmill completely. Napoleon
blamed Snowfall for having ruined their hard work and declared him a traitor. He
also pronounced a death sentence upon Snowball and promised a reward of half a
bushel of apples along with the title ‘Animal Hero, Second Class’ to anyone who
would capture Snowball.
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Chapter Seven
During winter, animals had to work harder. They felt cold and were hungry most of
the time but Boxer and Clover never lost heart. By January, even the food had fallen
short but the animals did not want to reveal this to the world outside. So Mr.
Whymper’s visit to the farm was organized and Napoleon made such arrangements
as filling the grain bins with sand and making the sheep stand at strategic location so
that Mr. Whymper could hear them making false remarks about food surplus and
increased ration. As per Napoleon’s plan, Mr. Whymper was deceived indeed and
reported to the world outside about the abundance in the Animal Farm.
Napoleon had almost stopped appearing in public, and if at all he appeared, it
was more of a pompous ceremony. All his orders were issued through Squealer.
One day he announced that the hens must surrender their eggs because Napoleon
had contracted with Mr. Whymper for 400 eggs in exchange of the price to be paid
in order to procure enough grain in the farm. The hens protested by flying up to the
rafters and laying their eggs there, but Napoleon cut off their food rations until they
gave in. Nine hens died of starvation and finally hens had to move to their nesting
boxes.
The rumours spread in the farm about Snowball coming in the night and
performing all sorts of mischief. Squealer informed the animals to have found out that
Snowball was not just a traitor but in fact a secret agent of Mr. Jones. Animals did
not believe it but Squealer cooked up many stories to convince them and finally
succeeded in doing so. Soon after, Napoleon announced that an attempted rebellion
had been discovered and thus had many animals executed. The remaining animals
were miserably frightened to utter a word. Clover began singing ‘Beasts of England’
and rest of the animals joined her. They sang it thrice together but slowly and
mournfully as they had never sung it before. Suddenly Squealer appeared to make
another announcement of forbidding the singing of that song anymore. He gave them
a new song instead : Animal Farm Animal Farm,
Never through me shall thou come to harm …
Chapter Eight
After the horrified executions on the farm, Clover wished to confirm the sixth
commandment according to which no animal could harm or kill another animal. So,
she requested Muriel to read it for her . Muriel realized that two words had been
added to it. It read: ‘No animal shall kill any other animal without cause’. But they
thought that the last two words must have slipped from their memory.
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The animals worked very hard that year to rebuild the windmill. Napoleon was
busy creating a royal aura for himself. Whenever he came out in public, he was
attended not only by the dogs but also a black cockerel that marched in front of him
and acted as his trumpeter. Napoleon had even separated his residence from the
other animals and had started taking meals alone. Now he was never spoken of as
‘Napoleon, but with many titles before his name such as ‘Father of all animals’,
‘Terror of mankind’, ‘Protector of sheepfold’ etc. He even had a long poem praising
his leadership painted on the side of the barn, and it was announced that the gun
would be fired every year on his birthday. Meanwhile, three hens confessed to have
conspired the murder of Napoleon under the influence of Snowball. They were
executed and Napoleon’s security was increased manifolds. He even hired a young
pig to taste his food before he ate it lest it was poisoned.
By autumn, the windmill was ready once again as a result of very hard work of
the animals. They walked round and round the windmill feeling proud of the fruit of
their labour. It was named Napoleon mill. Two days later, Napoleon announced the
sale of the pile of timber to Frederick whose cruelty towards animals was quite well
known. He carried out a false transaction and paid Napoleon with false bank notes.
So, Napoleon pronounced a death sentence upon Frederick. The next morning, the
Animal Farm was attacked, this time by Frederick and his men. They destroyed the
windmill with an explosion. With great difficulty the animals pushed the farmers back
but Boxer sustained a severe injury to his hoof. The animals had won but the sight of
their dead comrades and the destruction of the windmill moved them to tears.
However, Squealer, who was absent during the fight , announced the celebration of
their victory. They called it ‘the battle of the windmill’.
Some days later, Napoleon accidentally found the bottles of whisky in the cellars
of the farmhouse. He drank too much of it that he became seriously ill, but he soon
recovered. Another day, the animals heard a loud crash in the yard where the seven
commandments were written. They found Squealer lying on his back, a broken
ladder, a paint brush and a pot of white paint spilt on the ground. They did not
understand anything then, but soon they observed that the fifth commandment read:
No animal shall drink alcohol in excess. The last two words were the new addition.
Chapter Nine
The animals had started to build the windmill once again. Boxer, though in great pain,
never rested, and again devoted himself towards the rebuilding of the windmill. The
animals now tired of their hard lives had started to think of the lavish retirement plans
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which were a part of the ideology of the early revolution. Though life was very hard
for the animals, Squealer always managed somehow to make them believe that there
was no shortage at all. He always told them that there was mere readjustment of
rations and not reduction in anyway. However, they were happy to believe that they
were free and not working for Mr. Jones. Life was not as hard for pigs. They were
allowed to wear green ribbons on Sundays and drink beer daily. Napoleon had
further commanded that once a week there should be a spontaneous demonstration
in order to celebrate the hardships and victories of Animal Farm. In the procession,
Boxer and Clover would carry a banner with the words : ‘Long Live Comrade
Napoleon’. The Animal Farm was declared a Republic in April, so there was a need
to elect the President. Since there was no other candidate than Napoleon, he was
unanimously elected.
After an absence of several years, Moses, the raven, returned to the farm. He
still talked about the happy country and the sugar candy mountain . Surprisingly, he
was allowed to remain on the farm without working and was even fed a gill of beer
every day. As Boxer had been working very hard for the windmill, he fell sick out of
old age and poor health. He fell down and everybody rushed towards him. With
great difficulty, he was taken to his stall where he remained for two days. A van
came to take him away for the treatment to a hospital, so all the animals gathered
round him to wish him goodbye. Benjamin, the donkey, was seen shouting and
hurriedly coming towards the van. By then, the van had started moving. He tried to
stop the van and told the animals that it was not an ambulance but a butcher’s truck,
and that Boxer was being taken to a horse slaughterer. Three days later, it was
announced that Boxer died in the hospital. Squealer again succeeded in convincing
the animals that Boxer was not taken to the slaughter house and received the best
treatment in the hospital.
Chapter Ten
Years passed, and most of the older animals who remembered life before the
revolution on the farm were dead including Muriel, Bluebell, Jessie and Pincher.
Snowball and Boxer had been completely forgotten. Napoleon was now an old and
mature boar and Squealer had grown too fat to see out of his eyes. Only Benjamin
remained just as he always was, only having become more cynical. The farm was
more prosperous and better organized than before. It had also been enlarged by two
fields which were bought from Mr. Pilkington. Though the windmill had been
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completed, it was not used to generate electrical power. The animals were now busy
in building another windmill.
Napoleon had denounced the principles of Animalism and had rather taught the
animals that true happiness was to be found in working hard and living frugally. This
was not applicable on pigs, who could eat, drink and make merry. Squealer taught
a new song to the sheep which was meant to celebrate the new way of walking that
the pigs had adopted. The pigs could now walk on their hind legs as humans. The
sheep sang : ‘Four legs good, two legs better’. Napoleon himself walked
majestically upright carrying a whip in his trotter. Clover requested Benjamin to read
out the commandments to him but to their dismay they found a single commandment
on the wall : ‘All animals are equal, but some animals are more equal than others’.
Then it was not an unusually strange sight for them to find the pigs supervising the
other farm animals carrying whips in their trotters. Napoleon was also seen strolling
with a pipe in his mouth.
Pigs invited a group of townsmen to dinner to inspect how Animal Farm was
running and men congratulated them on observing that the animals on the Animal
Farm worked harder than any other farm in the country and required lesser food
too. Napoleon referred to the farm animals as ‘lower classes’ and gave the Animal
Farm its old name ‘Manor Farm’. The animals watched the celebrations between
the humans and the pigs through a window and were unable to distinguish between
the two.
Important Passages For Explanation

1. ‘Man is the only creature………………………………Lord of all
animals.’
Reference to Context
These lines are a speech by the old major. He is inspiring all the animals on the farm
to work for themselves rather than being slave to them.
Explanation
The old major wanted to pass on the wisdom that he had acquired in his long life, so
he arranged for a gathering and began his speech which initiated the rebellion. In
these lines he is explaining that it is only man who doesn’t produce anything. Man
does not give milk or lay eggs and he is not even strong enough to pull the plough or
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catch rabbits. Man only consumes what animals produce, and yet man is their
master.
2. ‘Never mind the milk…………………………………the hay is waiting.’
These lines are a speech by Napoleon. The cows had not been milked for 24 hours
and they were very uncomfortable with their full udders. So the pigs milked them
with their trotters and filled five buckets of creamy milk. However, the milk was not
given to all the animals and disappeared mysteriously.
Explanation
After the cows were milked and the buckets had been filled with milk, the animals
were very happy as they thought that the milk would be equally divided among
them. Napoleon had some other plans so he asked them to rush for the harvest with
Snowball. He told them not to bother about the milk, hiding the buckets behind his
back. He also commanded them to go with Snowball as there was a lot of work to
do for the harvest.
3. ‘A bird’s wing, Comrades……………………………does all the
mischief’.
These lines are a speech by Snowball. Snowball had reduced the principles of
animalism to a single maxim which was not liked by the birds. So Snowball justified
his maxim by explaining to the birds about their differences with men.
Explanation
Snowball introduced a new maxim which read ‘Four legs good, two legs bad.’ Birds
objected to this as they also had two legs . So, he explained to them that their wings
help them in flying and not in manipulating as men. So, the wings should be counted
as legs and not hands. Since all the bad actions of men are controlled by his hands,
therefore hands distinguish him from animals and birds.
4. ‘He’s dead……………………………………………do this on
purpose.’
These lines are a speech by Boxer. He became very sad on seeing a boy who
seemed to have died because of his kick.
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Explanation
Mr. Jones had attacked the Animal Farm but the animals fought very bravely and
won the battle. They made the men flee but one boy was lying flat in the mud. Boxer
became very sad on examining him with his hoof because it appeared to him that the
boy was dead. He explained that he had no intention to kill the boy. He admitted that
he had kicked him hard but forgot that he was wearing iron shoes. He thought that
no one would believe his words and felt sorry. However, after sometime it was
found that the boy was only stunned and he ran away as soon as he recovered.
5. ‘Comrades, he said………………………………leadership is a
pleasure!’
These lines are a speech by Squealer. He is trying to convince the animals that
Napoleon has done them a favour by expelling Snowball from the farm.
Explanation
Squealer explains that Napoleon has taken upon him an extra responsibility of
leading the animals and they should recognize his sacrifice in doing so. He tries to
convince them that leadership is not an easy thing, it’s only for the sake of the
animal’s welfare that Napoleon is making this sacrifice.
6. ‘Muriel, she said………………………………………she announced
finally.’
These lines are a speech by Clover. She remembers the seven commandments and
wishes to confirm them. So she requests Muriel to read them to her.
Explanation
The pigs had shifted their residence to farm house and the rest of the animals were
disturbed to find that the pigs were sleeping in the beds. Clover remembered that the
fourth commandment said something about sleeping in the bed but she wanted to
confirm it. So she requested Muriel to read that out. It read that no animal should
sleep in bed with sheets. The last two words were not there in the original version of
the commandments.
7. ‘Snowball ! has been here!…………………………. showed their side
teeth.’
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Reading Animal Farm
These lines are a speech by Napoleon. He blames every mishap in the farm on
Snowball.
Explanation
Animals were greatly disturbed by some activities on the farm which were attributed
to Snowball’s secret visits. Napoleon decided to investigate these activities himself
so he moved about in the farm sniffing in every corner in the barn, cowshed, hen
house, garden and found Snowball’s traces everywhere. So he declared
confidentially that there was no doubt that Snowball had been making secret visits to
the farm because he could smell him everywhere. On hearing this, his tamed dogs
growled in anger and showed their teeth.
8. ‘What victory?.....................................................for two years!’
These lines are a speech by Boxer. He feels devastated after the windmill is
destroyed in an explosion. He finds no reason to celebrate even though they had
won the battle.
Explanation
When the men attacked the Animal Farm for one more time, it was very difficult for
the animals to be victorious. Men had destroyed their windmill which was the fruit of
their very hard work of two years. The animals finally won but they were broken
hearted to find no trace of the windmill. So, when Squealer asked them to celebrate
their victory, Boxer replied him painfully that there was no cause to celebrate. They
might have won the war but their hard work in building the windmill had been
wasted. Since Boxer was the most sincere worker in the farm, it was very painful for
him to admit that windmill had been destroyed.
9. ‘Fools! Fools! …………………………………………. side of that
van.’
These lines are spoken by Benjamin, the donkey. He shouted on the animals
because they did not notice what was written on the van.
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Explanation
Boxer was sick so a van had been called to take him to hospital. All the animals had
gathered round the van to wish him goodbye. On finding out that Boxer was being
taken to a horse slaughterer, Benjamin shouted at the animals who had gathered
there. He became very aggressive and kept stamping the earth with his hoofs. He
scolded them because they did not see what was written on the sides of the van. It
read ‘Alfred Simmonds. Horse slaughterer and glue boiler’.
10. ‘Gentlemen, concluded ……………………………………. prosperity
of the manor farm.’
These lines are spoken by Napoleon who is having a cheerful time with men after
having changed the name ‘Animal Farm’ to ‘Manor Farm’.
Explanation
Napoleon had abolished the name ‘Animal Farm’ that was given to the farm after the
rebellion. He had renamed it as ‘The Manor Farm’, which was its original name. He
raised a toast to the new name that he had given to the farm. However, that name
reminded all the animals of Mr. Jones.
13.4 MAJOR CHARACTERS OF ANIMAL FARM
1. Snowball
Snowball was the real hero of the revolution. He helped Napoleon and Squealer
propagate the old major’s ideas as the seven commandments of Animalism. He
organized various animal committees and conducted the reading and writing classes.
His concern for the welfare of the animals is evident from his strategic leadership in
the battle of cowshed, for which he was awarded the title ‘Animal Hero, First
Class’.
Snowball had an imaginative and inventive mind, so he was always busy reading
books and researching on new techniques. His decision to build a windmill was
welcomed by everyone except Napoleon who disagreed with him on all the matters.
However, Napoleon being hungry for power, planned the expulsion of Snowball.
When Snowball had almost convinced everyone on the issue of building the windmill,
Napoleon called his dogs, who chased Snowball out of the farm. Animals
remembered Snowball as a great leader but Napoleon, with the help of Squealer did
everything to ruin his reputation and spoil his fondness among the farm animals.
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Critics believe that Orwell had created Snowball to represent Leon Trotsky, the
rival of Stalin, in Russia.
2. Napoleon
Napoleon, the pig, is the central character of Animal Farm. Critics believe him to be
a true picture of Stalin, the dictator of Russia, and the very name Napoleon is
suggestive of the dictator of France. Orwell has satirized socialism through the
character of Napoleon. Although he seemed to be a good leader in the beginning,
gradually he reveals his hunger for power. His intentions become clear in a very
subtle way. His stealthily taking charge of the milk, becomes the very first incident of
his greed and self interest. Further, his cunningness is revealed in the manner he gets
rid of Snowball. He takes complete charge of Animal Farm and declares it a
Republic only to make fun of the term. He develops an understanding with Squealer
whose only job is to justify and prove that Napoleon can do no wrong. He emerges
as a true dictator whose cruelty is evident from the act of slaughtering many animals
found guilty of plotting against him. He grows powerful by creating terror in the
minds of animals yet he manages to be obeyed and not hated.
He emerges as a typical father figure who arouses love, fear, terror and awe at
the same time. As the story progresses, we only hear about his commands and
orders from Squealer as he hardly makes any public appearance and when he
comes out, it is more like an elaborate affair. By the end, he has adopted almost all
human traits. He can walk on his hind legs, and is seen as raising a toast with
humans.
3. Boxer
Boxer is introduced as an enormous beast who is not very intelligent but definitely
the most powerful and hard working animal on the farm. Critics believe that Boxer
represents the unskilled labour class in Russian society. He accepts the principles of
Animalism unquestioningly and diligently devotes himself to teaching the philosophy
to the other animals. He has a personal motto ‘I will work harder’, to which he adds
another ‘Napoleon is always right’. He believes that these two maxims can be
applied to solve any problem. His blind faith in Napoleon becomes evident when he
doesn’t realize that the attack on Snowball was actually planned by Napoleon.
He often dreams of a peaceful life after retirement but unfortunately that never
happens. He never realizes the cruelty and cunningness of pigs, as Squealer is
always there to distract him. Even when he falls sick, he wants to work hard till his
last breath. However, it was too late for him to have realized that he was in
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danger when he was being taken to the hospital in a van. On realizing that all the
animals were shouting and warning him to come out of the van, he kicks hard
against the walls but he had grown too weak to make any difference. He meets a
sad and unfortunate end at the hands of pigs and his loyalty for Napoleon
becomes a matter of tragedy.
4. Squealer
Squealer is the pig who spreads Napoleon’s propaganda among other animals.
Squealer only job is to justify and prove that Napoleon can do no wrong. Orwell
uses Squealer to showcase those who are in power often that use rhetoric and
language to twist the truth and gain and maintain social and political control. His lack
of conscience and unwavering loyalty to his leader make him the perfect
propagandist for any dictatorship.
5. Old Major
Major represents both Marx and Lenin and serves as the source of the ideals that
the animals continue to uphold even after their pig leaders have betrayed them. He
also teaches the song ‘Beasts of England’ to the animals, and dies eventually, leaving
Snowball and Napoleon to struggle for control of his legacy.
1. Was Mr. Jones a good master?

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2. What happened to the puppies born to Jessie and Bluebell?

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3. On what issues did Napoleon and Snowball disagree?

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4. What titles were given to Napoleon?

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5. What did Moses tell about the sugar candy mountain?

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13.5 ANIMAL FARM AS A POLITICAL SATIRE
Orwell admitted that in writing Animal Farm, he combined his artistic and political
purposes together. He not only satirizes Totalitarian regimes in general, but also
refers to the Russian revolution of 1917 in particular. All the characters represent the
political figures from history. Old major may be compared to Karl Marx, Snowball
symbolizes Trotsky and Napoleon represents Stalin. Through this brilliant animal
fable, Orwell has successfully brought out his hatred for Totalitarianism.
After the rebellion, the pigs claim that their goal is to establish equality in the
farm whereby all the animals will work for themselves, supporting one another.
However, they are soon corrupted by power and begin resembling the one they
wish to replace. Due to the differences arising between Snowball and Napoleon,
the animals get divided into two sides, resembling a political system in which
people choose from the two alternatives. Napoleon emerges as a true dictator
after overthrowing Snowball, and anyone disagreeing to his policies fears the risk
of being executed. Thus, Orwell successfully maintains that socialism is good only
as an ideal. If practiced in reality, it has the potential to corrupt even a good
leader.
Theme of Rebellion in Animal Farm

The theme of Animal Farm is rebellion, that intends to criticize the communist
interpretation of Socialism. Though Orwell himself agreed with many Marxist
principles, he was unable to accept the communist regime spreading through Russia
to Europe and even the United States. He wanted to criticize the hypocrisy behind
the ideals of communism. Thus, the use of allegorical farm to symbolize the
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communist system is very significant. The irony behind the rebellion is that it brings
the animals back to the state where they had been before the rebellion. Eventually
the power corrupts the leaders and they eliminate their competitors through murders
and conspiracies. There’s a lot of similarity between the characters of the Animal
Farm with that of Russian dictators. For instance, Mr. Jones represents Czar
Nicholas II, the leader before Stalin, and Napoleon symbolizes Stalin. The concept
of Animalism signifies the philosophy of Karl Marx. Thus, the rebellion is a metaphor
for the overthrow of the old Government, however, it leads to establish a more
corrupt governance.
1. What qualities allow the pigs to gain power?

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2. What is the theme of Animal Farm?

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3. What is the irony behind the rebellion?

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13.6 SUMMARY
x The structure of Animal Farm is very symmetrical and balanced.

x The irony behind the symmetrical pattern is that the rebellion in the Animal
Farm appears to fulfil their ambition of an ideal society, instead it brings
them back to the state they had been before the rebellion.
x The 10 chapters move in a very balanced progression of events, and the plot
is quite straight forward, depicting the history of Soviet Russia (1917-43).
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Reading Animal Farm
x In the beginning, the animals work for Mr. Jones, the rebellion takes place
and they visualize equality and prosperity on the farm.
x The intelligence of pigs makes them the leaders propagating the principles
of Animalism. Snowball is chased off and Napoleon establishes
dictatorship. His dogs make sure that he is safe and walk around Squealer
for the reinforcement of rules.
x Orwell has arranged the events chronologically from the days before
Bolshevik revolution to the time of his writing.
x He has avoided being a historian and well managed to adapt to the
structure of an animal fable.
x The use of irony and satire in handling the rebellion makes the story
believable to the readers.
13.7 KEY WORDS
x Animal fable: A short story in prose or verse in which animals speak and
act like human beings to illustrate a moral lesson
x Communism: A political theory based on the philosophy of Karl Marx that
favours collectivism in a classless society and abolishes the private
ownership.
x Comrade: A companion who shares one’s activities or is a fellow member
of an organization

1. Snowball represents Trotsky and Napoleon represents Stalin. Just as Stalin
got Trotsky assassinated, Napoleon also had Snowball chased away with
the help of his enormous dogs.
2. Animal Farm rightfully corresponds with the events of Russian history
from 1917 to 1943.
3. Karl Marx propagated a theory, according to which, a violent revolution
was the means to achieve equality and freedom for the working class.
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Reading Animal Farm

1. Mr. Jones, the owner of the Manor Farm, was a good master initially, but
he and his men had developed a habit of drinking in excess, so, eventually
he did not care much about his farm animals.
2. The puppies born to Jessie and Bluebell were taken away by Napoleon.
He said that he would personally take care of their education, and soon
everyone forgot those puppies. However, when Snowball was convincing
the animals about the issue of windmill, the ferocious dogs attacked upon
him on Napoleon’s command. It was then revealed that those puppies
had grown up to be faithful servants of Napoleon, who frighteningly
growled to make sure that no one disagrees to Napoleon’s commands
and orders.
3. Snowball and Napoleon disagreed upon almost every issue. Snowball
wanted to build a windmill whereas Napoleon was against this idea. They
also disagreed upon the question of the defense of the farm. Whereas
Snowball believed in spreading the revolutionary ideas among the animals
on the other farms, Napoleon wanted the animals to procure firearms and
learn to use them for defensive purposes.
4. Napoleon was never spoken of simply as ‘Napoleon’. He had conferred
many titles upon him. So, whenever he made a public appearance, a black
cockerel marched in front of him, acting as his trumpeter, and announced
his various titles like ‘Our leader, Comrade Napoleon’, ‘Terror of
mankind’, ‘Protector of the Sheep fold’ and ‘Duckling’s friend’.
5. Moses was a clever talker who claimed to have seen a mysterious country
called Sugar Candy Mountain, to which all animals went when they died.
He explained that it was situated somewhere up in the sky, just at a little
distance away from the clouds. In the Sugar Candy Mountain, it was
Sunday seven days a week and clover was available throughout the year.
Also, lump sugar and linseed cake grew on the hedges.

1. After the rebellion which aimed at overthrowing power and establishing
equality in the farm, the pigs eventually gained power. There was a huge
difference in the intelligence of pigs and the other lesser intelligent
animals. So pigs cunningly emerged as the unquestioned leaders on the
farm.
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2. The theme of Animal Farm is rebellion that intends to criticize the

communist interpretation of Socialism.
3. The irony behind the rebellion is that it brings the animals back to the state
where they had been before the rebellion.
1. Animal Farm rightfully coresponds with the events of Russian history from
1917 to 1943. Discuss.
2. Discuss the character of Napoleon, the pig who is seen as the central
character of Animal Farm
3. Justify Animal Farm as an animal fable.
4. Discuss Animal Farm as a political allegory.
5. Compare the old major’s dream of a new society with the society at the
end.
Hollis, Christopher, Orwell, George and Eric Arthur Blair. 2011. A Study of George
Orwell. United States: Literary Licensing, LLC.
Hopkinson, Tom. 1953. George Orwell. London: Longmans.
Zwerdling, Alex. 1974. Orwell and the Left. New Haven: Yale University Press.
Srivastava, Mk. 2000. George Orwell Animal Farm. Uttar Pradesh: Lakshmi
Narain Agarwal.
Venkataraman, R. 2014. George Orwell Animal Farm. New Delhi: Rama Brothers
India Pvt Ltd.
Rahman, Adibur. 2002. George Orwell A Humanistic Perspective. New Delhi:
Atlantic Publishers & Distributors.
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UNIT–14 PARAGRAPH WRITING: COHERENCE
Objectives
x Explain the essentials of paragraph writing
x Discuss about the structure of a paragraph
x Analyse the various elements of paragraph
x Understand the importance of coherence in a paragraph
x Discuss the different types of paragraphs
Structure
14.1 Introduction
14.2 Paragraph Writing
14.3 Transitional Devices
14.4 Summary
14.5 Key Words
14.1 INTRODUCTION
A paragraph can be defined as a group of sentences that express a single idea,

supported by facts, evidences, examples, anecdotes, quotations, etc. Paragraphs
primarily indicate the beginning and end of a new idea to the readers. Thus it helps the
readers in assimilating the contents in an organized manner without much difficulty. In
paragraph writing, therefore the writer can develop just one idea. When one is writing
something longer like an essay or a report, each paragraph explains or demonstrates a
key point or thought of the central idea, usually to inform or persuade.
In this unit we will discuss about the essentials of paragraph writing and its
coherence.
14.2 PARAGRAPH WRITING
A paragraph is the smallest unit of prose composition. It is a group of sentences

related to each other. Sometimes, a single sentence forms a unit. For instance, in
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some styles of writing, like journalistic styles, creative writing, a paragraph can be
just one sentence long. Length and appearance do not determine whether a
section in a paper is a paragraph or not. There are no rules regarding the size of a
paragraph.
Every form of prose composition like letters, essays, stories, reports, manuals etc.
should be divided into paragraphs. All compositions are divided into paragraphs to
separate the main points and make them easier to read. Paragraphs are the building
blocks of texts. Well-organized paragraphs help the writers to structure their ideas
effectively. At the same time, dividing a composition into paragraphs also helps to draft
and revise the document on various stages. Learning to write good paragraphs also
assist the readers to easily understand the argument and follow a piece of writing
effectively. One can have fantastic ideas, but if those ideas are not presented in an
organized way, the write up loses the charm and fails to achieve the goal.
Let us learn some rules to write a paragraph effectively. The basic rule of thumb
when structuring a paragraph is to keep one idea to one paragraph. A new idea
belongs to a new paragraph. Each idea should be supported with evidences. A
single paragraph can have several evidences or points as long as they relate to the
overall topic of the paragraph. Each point can further be elaborated by placing it in
a new paragraph.
As mentioned earlier, a paragraph is a sentence or group of sentences that
support one main idea. This main idea is often called the controlling idea because it
controls what happens in the rest of the paragraph. It is also referred to as the topic
sentence. We will call it topic sentence. Topic sentence is often, but not always, the
first sentence. Therefore, each paragraph deals with a single topic. Other
components of a paragraph vary according to the nature of the topic. For example,
an introductory paragraph often contains definitions, or it tells the readers about the
importance of the topic, it may also introduce the readers to something or someone.
Primarily, introductory paragraph announces the intentions of the writer preparing the
readers what to expect. Descriptive paragraphs include a lot of details, like giving
examples, offering reasons and restatements, arguments, data. Therefore, before
beginning to formulate the paragraph, the writer has to decide the controlling idea or
the topic of statement of the paragraph. Paragraph development begins with the
formulation of the topic sentence. This topic sentence, or the controlling idea, directs
the paragraph’s development. The fundamental rule of paragraph writing is to focus
on this controlling idea. Strong paragraphs are about this main idea that is explicitly
stated in a topic sentence.
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After stating the topic sentence, the writer should provide information to prove,
illustrate, clarify, and/or exemplify the topic sentence with the help of presentation of
facts, details, reasons, examples, information from the readings, paraphrases or short
quotations, statistics, polls, percentages, data from research studies, personal
experience, stories, anecdotes, and examples from life. Transitional or introductory
phrases like for example, for instance, first, second, or last can be used to provide
the details and for ease of understanding. Paragraph development will continue with
a logic and rationale that also guides the reader to interpret the information presented
in topic sentence of the paragraph.
The next movement in paragraph development is to provide explanation of each
example and its relation to the topic sentence. This explanation shows readers why
a particular example has been chosen to support the main idea. The examples
should be explained to establish the relationship between the example and the topic
sentence. More often, however, you will need to explain that relationship in a
separate sentence. Every idea discussed in the paragraph should be adequately
explained and supported through evidence and details that work together to explain
the paragraph’s topic sentence.
After enough information has been divulged to understand the topic sentence or
the main idea of the paragraph, the writer should explain why the given information
is relevant, meaningful, or interesting. After expressing the relevance of the divulged
information the writer should end the paragraph with a concluding sentence.
Concluding sentence draws together the information presented to elaborate the main
idea of the paragraph, thus summarizing the points made. The concluding sentence
or statement should ensure that the paragraph appears to be unified. At the same
time, it should be such that it links the current paragraph with the following
paragraph. This helps the readers to anticipate the topic sentence of the next
paragraph by introducing a word/phrase or new concept which will then be picked
up in the topic sentence of the next paragraph or by using words or phrases that
point ahead like the following, another, and other.
Final step in good paragraph writing is proofreading and revision.
The following points should be kept in mind while writing a well-developed and
effective paragraph.
x Use examples and illustrations
x Cite data (facts, statistics, evidence, details, and others)
x Examine testimony (what other people say such as quotes and
paraphrases)
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x Use an anecdote or story

x Define terms in the paragraph
x Compare and contrast
x Evaluate causes and reasons
x Examine effects and consequences
x Analyze the topic
x Describe the topic
x Offer a chronology of an event (time segments)
Elements of a Paragraph
To construct an effective paragraph it should have unity of thought, order,
completeness and coherence.
Unity of thought: As already mentioned, each paragraph contains a controlling idea
or a topic sentence. Unity in paragraph begins with this topic sentence. It gives focus
to the paragraph. The discussion revolves around and develops this topic sentence.
Thus, a paragraph is unified around this main idea, with the supporting sentences
providing details and discussion.
Order: Order refers to the way you organize your supporting sentences. An
impressive paragraph will be one in which the writer places the information in an
organized manner, one following the other. The writer may provide the information in
chronological order or he/she may choose to furnish in order of importance, or any
other logical method for presenting his ideas and thoughts. A well-ordered paragraph
assists the reader to follow the presentation smoothly, grasp the meaning swiftly
without any confusion.
Completeness: Completeness means a paragraph is well-developed. If all
sentences clearly and sufficiently support the main idea, then your paragraph is
complete. A paragraph is considered incomplete if the writer has not been able to
drive home his/her point. This happens when there is lack of information or
insufficient evidence to support the main idea or the topic statement. If there are not
enough sentences or enough information to prove your thesis, then the paragraph is
incomplete. In addition to a topic sentence, a few supporting sentences along with a
concluding sentence is required to construct a complete paragraph. The concluding
sentence of the paragraph usually summarizes the main idea by reinforcing topic
sentence. Sometimes, the conclusion also introduces the readers to the idea that
would be dealt with in the next paragraph. In creative writing, sometimes a single
statement or a sentence or a question, an exclamation alone would stand alone as a
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paragraph. This does not often happen in case of report writing, manuals, and
presentations.
Coherence: According to the Oxford dictionary coherence is the quality of being
logical and consistent, the quality of forming a unified whole. It is a technique that
helps to create a unified paragraph. Sentences in a paragraph need to connect to
each other in order to achieve unity of thought as well as bring clarity of thought. It
also makes the paragraph easily understandable to the readers without causing any
inconvenience, confusion or misunderstanding. It is a technique of making words,
phrases, and sentences move smoothly and logically from one to the other.
Coherence, thus, links the sentences in a paragraph together by inter weaving the
ideas so that the readers are able to see the consistent relationship between them.
The reader is unlikely to grasp the idea if the paragraph is not unified, does not have
a logical order and a consistent point of view.
It is often difficult to sustain coherence in writing as compared to achieving
coherence in verbal speech. Verbal speech is assisted by non-verbal form of
communication while this ease is not available in writing. This further raises the
importance of coherence in paragraph writing. Writers need to make their patterns of
coherence more explicit and planned. Presenting ideas coherently is an acid test for
the writers to prove their ability to connect ideas and provide information in a
comprehensible way.
Coherence is product of many different factors, which combine to make every
paragraph, every sentence, and every phrase contribute to the meaning of the whole
piece. It is achieved by several methods.
Many of these methods to provide coherence to a paragraph have been
discussed below in detail.
The use of conjunctions: a word used to connect words, phrases, clauses or
sentences or to coordinate words in the same clause, for example and, for, so, but,
if, yet, though. There are many types of conjunctions that perform various jobs
within sentence structures. We mainly use coordinate conjunctions and correlative
conjunctions to achieve coherence in a paragraph.
(a) Coordinate Conjunctions

Also called coordinator, they coordinate or join two or more sentences, main
clauses, words, or other parts of speech which are of the same syntactic
importance. Within a sentence, the coordinate conjunctions provide a coherent link
to indicate relationships between parallel elements. Comparable idea can be
connected with and; contrasting idea with but and yet; or and nor indicate an
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alternative idea; for indicates a reason for a result already stated; and so indicates a
conclusion from reasons already stated.
(b) Correlative Conjunctions

Within a sentence, correlative conjunctions are used to establish relationships
between parallel elements. These conjunctions correlate, working in pairs to join
phrases or words that carry equal importance within a sentence. The
conjunctions either/or, neither/nor, and whether/or (not) are used to indicate
parallel alternatives. The conjunctions not only/but (also) and both/and indicate
parallel similarities
Linking: Another way to bring coherence is the linking of phrases and sentences
with words like he, they and that which refer back to something mentioned before.
Jane Austen wrote six major novels in her short life. They deal with domestic drama
in middle-class families.
1. Which is the final step in good paragraph writing?

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2. What is coherence?
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14.3 TRANSITIONAL DEVICES
One of the most common way of establishing coherence between sentences in a

paragraph is the use of transitional words and phrases. There are many types of
transitional words and phrases that show time and help ideas flow smoothly.
Transitional words such as first, later, and then are a few examples of transitional
devices that show time to help ideas flow more smoothly. Like signposts, transitional
devices tell the reader what to expect next and where the discussion is going. These
words create bridges from one sentence to the next. One can use transition words
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that show order (first, second, third); spatial relationships (above, below) or logic
(furthermore, in addition, in fact).These devices indicate to the reader the specific
relationship between what was said and what will be said.
Given below are some words and phrases that can be used to indicate specific
relationships in a paragraph and achieve coherence.
x To signify an additional idea (indicates continuation) - also, moreover,
again, further, furthermore, in addition, likewise, too, first, initially, second,
third, next, finally, last, another, other, then and, besides, in the same way,
similarly, a similar, the same
x To signify a comparison - likewise, similarly, in a like manner, in
comparison, so it is
x To signify a contrast - however, nevertheless, still unlike, in contrast,
conversely, on the contrary, on the other hand, whereas, but, yet, though,
although, rather
x To signify a cause-effect relationship - therefore, thus, hence, then,
consequently, accordingly, in conclusion, as a result, so, as a consequence,
it follows that, because, since, for,
x To exemplify - for example, for instance, to illustrate, for one thing,
frequently, in general, in particular, namely, usually, specifically, an illustration
of, even, it is true, of course, specifically, to be specific, that is, truly
x To signify a summary - to sum up, to summarize, in short, to conclude, in
conclusion, on the whole, in brief.
x To signify sameness-that is, that is to say, in other words indicates
sameness.
x To signify indefinites (indicates a logical connection of an unspecified type)-
in fact, indeed, now
x To signify concession (a willingness to consider the other side)- admittedly,
I admit, true, I grant, of course, naturally, some believe, some people
believe, it has been claimed that, once it was believed, there are those who
would say.
Verb Tense
Also, in writing a paragraph, using a consistent verb tense and point of view are
important ingredients for coherency.
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Repetition
Coherence can be created between sentences through repetition of key terms,
words and phrases. Repetition of words across sentences helps to reiterate the same
ideas between sentences. One way to use repetition to create coherence is to repeat
the same word or phrase at the end of one sentence and the beginning of the next
sentence to show how the ideas connect.
Parallelism
Coherence can also be achieved between each word through parallelism. Parallel
structure means using similar grammatical constructions between words in sentences.
This technique is the oldest and has often been overlooked, but it is one of the most
important method of creating cohesion. Parallelism is particularly important for
formation of lists. If you are writing a list of things someone likes to do, then each
activity in the list should take the same grammatical form. For instance, if one verb in
the list takes on ‘-ing’ gerund form, like then the other verbs in the list should also be
in the gerund form. An incoherent structure would be like- John likes to play,
jumping, and skate. Instead, the list should be parallel like this, John likes playing,
jumping, and skating.
Synonymy
To avoid direct repetition, synonyms can be used. This strategy is also called elegant
variation. It adds variety and avoids being monotonous.
Pro-forms
Use a pronoun, pro-verb, or another pro-form to make explicit reference back to a
form mentioned earlier.
Collocation
Use a commonly paired or expected or highly probable word to connect one
sentence to another.
Enumeration
Use conspicuous markers of sequence to highlight the connection between ideas.
Through this method you can link ideas that are otherwise completely unconnected.
It is a method that is formal and distinctive.
Bridges
You can help create coherence in your paragraphs by creating logical bridges and
verbal bridges. In logical bridges the same idea or topic is carried over from
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sentence to sentence and successive sentences can be constructed in parallel form.

In verbal bridges key words can be repeated in several sentences; synonymous
words can be repeated in several sentences; pronouns can refer to nouns in
previous sentences; transition words can be used to link ideas from different
sentences.
You should start a new paragraph when:
x To begin a new idea or point: New ideas should always start in new
paragraphs. If you have an extended idea that spans multiple paragraphs,
each new point within that idea should have its own paragraph.
x To contrast information or ideas: Separate paragraphs can serve to
contrast sides in a debate, different points in an argument, or any other
difference.
x When readers need a pause: Breaks between paragraphs function as a
short “break” for your readers—adding these in will help your writing be
more readable. You would create a break if the paragraph becomes too
long or the material is complex.
x When introduction ends and conclusion begins: Your introductory and
concluding material should always be in a new paragraph. Many
introductions and conclusions have multiple paragraphs depending on their
content, length, and the writer’s purpose.
Organization of Paragraph
Persuasive paragraph: This type of paragraph tries to get the reader to accept a
particular point of view or understand the writer’s position. This is the type of
paragraph that many teachers focus on because it’s useful when building an
argument. It often requires the collection of facts and research.
Example: Immigration contributes to the overall health of the American economy.
Despite recent concerns expressed about illegal and some legal immigration to the
United States, this country has largely benefited from the skills, talents, and ambition
that immigrants bring with them. American businesses gain from a good source of
affordable labor, while towns and cities are revitalized by immigrant families who
strengthen communities through civic participation and the generation of new economic
activity. The United States must continue to welcome new arrivals and help those who
are already here; otherwise, the country will lose the advantages it has over other
industrialized countries that compete against us in the global marketplace and seek to
recruit from a vast pool of unskilled and skilled global workers.
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Compare and contrast paragraph: In such paragraphs the writer puts down the
differences as well as the similarities.
Example: Down south, rice is the staple grain. Up north, wheat is. Southern Indian
cuisine has innumerable rice based delicacies like dosa, idli, appam, uttapam, puttu
all made from fermented batter with rice in it. Apart from the plain boiled and
differently tempered rice dishes like tamarind rice, curd rice and lemon rice. On the
other hand, north Indian food has loads of wheat based breads like roti, chapatti,
naan, poori, kachori, paratha and bhatura to name just a few. Rice grows more
efficiently in the tropical and semi-tropical south, while wheat is grown in abundance
in North India. Up north, mustard, peanut and soybean oils rule the kitchen. Down
south, it is coconut and sesame oils as the major cooking mediums. Both north and
south use ghee or clarified butter as well.
Argumentative paragraph: There are many reasons why we should not. First,
smoking is unhealthy. It can cause lung cancer, and it can lead to an early death.
Also, smoking is expensive. A pack of cigarettes costs five dollars. Lastly, cigarettes
smell bad. When people smoke, one can smell the cigarettes on their clothes all day.
Cause and effect paragraph: Such paragraphs explain the reason for something to
happen.
Example: In recent decades, cities have grown so large that now the maximum
population lives in urban areas. There are several reasons for this occurrence. First, the
increasing industrialization resulted in the creation of many jobs in cities. These jobs,
with their promise of a better material life, attracted many people from rural areas.
Second, the urban areas provide with better education facilities. The promise of a
better education persuaded many families to leave farming communities and move to
the cities. Finally, as the cities grew, people established places of leisure, entertainment,
and culture, such as sports stadiums, theaters, and museums. Life in city appears more
interesting and happening pulling more and more people to the cities.
Narrative paragraph: This type of paragraph tells a story. There is a sequence of
action with a clear beginning, middle, and end to the paragraph. You can refer to
various story books for example.
Descriptive paragraph: A descriptive paragraph gives specific details about what
something looks, smells, tastes, sounds, or feels like. It draws a mental image of a
person, place or thing, how it appears to the reader’s mind eye. The words chosen
in the description often appeal to the five senses of touch, smell, sight, sound, and
taste. Given below is the factual description of the Taj Mahal. Descriptive
paragraphs can be artistic and may deviate from grammatical norms.
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Example: The Taj Mahal stands at one end of the garden adorned with fountains
and marble pavements. The garden contains four water channels to echo the four
rivers of the Islamic Paradise. It rises from a platform 313 ft (95 m) on a side,
bearing a white marble minaret at each corner; the enclosure, 186 ft (57 m) on a
side, has truncated corners and a high portal on each side. The white marble exterior
is inlaid with semiprecious stones arranged in Arabic inscriptions, floral designs, and
arabesques. The salient features of the interior are accented with agate, jasper, and
colored marbles. The roofing dome, on the inside, is 80 feet high and 50 feet wide
in diameter; outside it forms a bulb, which tapers to a spire topped by a crescent.
Process paragraph: In such paragraphs in which the writer explains how something
works, step by step, following a sequence first, second, third, so on and so forth.
Example: Process of communication consists of some interrelated steps or parts
through which messages are sent form sender to receiver. The process of
communication begins when the sender wants to transmit a fact, idea, opinion or
other information to the receiver and ends with receiver’s feedback to the sender.
The main components of communication process are sender, message, channel,
receiver and feedback.
Classification paragraph: Here the paragraph separates into two groups or
explain the various parts of a topic.
Example: In the year 1872 scientist Cohn classified bacteria into four major types
depending on their shapes. They are Cocci, Bacilli, Vibro and Spirilla. Cocci are
unicellular, spherical or elliptical shape. Either they may remain as a single cell or may
aggregate together for various configurations. Bacilli are rod shaped or cylindrical
bacteria which either remain singly or in pairs. Vibro are the curved, comma shaped
bacteria and represented by a single genus. Spirilla bacteria are spiral or spring like
with multiple curvature and terminal flagella.
Illustrative paragraph: In these paragraphs give examples and explain how those
examples prove your point.
Example: There are many types of friendship, but a true friendship that stands the
test of time requires patience, sacrifice, and shared experiences. Friends must be
patient with each other. Even though friends may be alike in many ways, they will be
different in other ways. So if you are a fast eater, but your friend is a slow eater, you
may have to wait for him or her to finish eating if you go out to a restaurant. You
might also have to compromise on the air temperature or the music level if you and
your friend go on a road trip. Friends must also sacrifice for each other. If you want
to go to the Marilyn Manson concert, but your friend is having his or her birthday
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party at Chuck E. Cheese’s at the same time, you’re going to have to just suck it up
and go to the party. If you make a lame excuse to get out of the birthday party,
you’re really not a good friend. Besides, Marilyn Manson is pretty passé now.
Lastly, friends rely on shared experiences to bond them together and give them
things to talk about later in life. My friends and I still laugh about the time we decided
to climb Mt. Washington at nine o’clock at night and luckily only made it one-
quarter of the way up before camping. If we had gone any higher we might have
frozen to death! Shared experiences like this, as well as patience and sacrifice, make
friendships what they are.
1. Explain verb tense in context of writing a paragraph.

................................................................................................................
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2. What is an argumentative paragraph? Give example.

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14.4 SUMMARY
x A paragraph can be defined as a group of sentences that expresses a single

idea, supported by facts, evidences, examples, anecdotes, quotations, etc.
Paragraphs primarily indicate the beginning and end of a new idea to the
readers.
x Often in exams we are asked to write a paragraph on a particular topic.
One should remember here that there is a difference between writing an
essay and writing a paragraph.
x As discussed earlier, a paragraph deals with a single idea; therefore it is
essential that we learn how to be focused in our writing and not deviate
from what is intended. So when one learns to write a good paragraph, one
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Paragraph Writing:
Coherence
actually learns how to focus on a single topic and write, rather than deviate
from the topic and beat around the bush.
x The first sentence in a paragraph is usually known as the topic sentence and
it introduces the main idea of the paragraph.
x Supporting sentences are sentences which support or uphold the topic
sentence and make the body of a paragraph. The supporting sentences
support by providing facts, details and examples to logically present the
argument presented in the topic sentence.
x The last sentence of the paragraph is termed as the concluding sentence
which is usually a review of the paragraph. It should emphasize on the main
point or the topic sentence.
x It is also significant that the whole paragraph is written from a single point
of view and a tense which is consistent. Such as, if the paragraph has begun
with past tense then the whole paragraph should carry on with past tense
and there should not be a mix of tenses.
14.5 KEY WORDS
x Prose: Prose is a form of language that exhibits a grammatical structure and

a natural flow of speech, rather than a rhythmic structure as in traditional
poetry.
x Proofreading: Proofreading means examining your text carefully to find
and correct typographical errors and mistakes in grammar, style, and
spelling.
x Coherence: Coherence is the quality of being logical and consistent.
x Persuasive paragraph: Persuasive paragraph writing is the presentation
of reasons and ideas in a way that will influence your audience.

1. Final step in good paragraph writing is proofreading and revision.
2. According to the Oxford dictionary coherence is the quality of being logical
and consistent, the quality of forming a unified whole. It is a technique that
helps to create a unified paragraph.
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Coherence

1. While writing a paragraph, we must be careful about using a consistent verb
tense as it is an important ingredient for coherency.
2. Argumentative paragraph is, for e.g., “there are many reasons why we
should not. First, smoking is unhealthy. It can cause lung cancer, and it can
lead to an early death. Also, smoking is expensive. A pack of cigarettes
costs five dollars. Lastly, cigarettes smell bad. When people smoke, one
can smell the cigarettes on their clothes all day.”
1. What is a paragraph? Describe in detail.

2. Discuss the points that should be kept in mind while writing a paragraph.
3. Discuss the elements of a paragraph.
4. What are transitional devices? Analyse the points used to achieve
coherence.
5. Write a note on the organization of paragraph.
Zemach, E Dorothy; Islam, Carlos. 2014. Writing Paragraphs. Student’s Book:

From Sentence to Paragraph. Deutschland: Hueber Verlag Gmbh.
Wingersky, Joy; Boerner, Jan. 2009. Writing Paragraphs and Essays, Integrating
Reading, and Grammar Skills. Florida: Lachina Publishing Services.
Blass, Laurie; Deborah, Gordon. 2010. Writers at Work, from Sentence to
Paragraph. New York: Cambridge University Press.
Arihant Prakashan.
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Writing Instructions, Manuals and
Technical Descriptions
UNIT–15 WRITING INSTRUCTIONS, MANUALS AND

TECHNICAL DESCRIPTIONS
Objectives
x Understand the rules of good writing and grammatical correctness
x Identify grammatical errors in sentences and provide correct forms
x Discuss the use and importance of punctuations
x Analyse the different types of manuals and state its importance
x Explain technical writing and state the responsibilities of a technical writer
Structure
15.1 Introduction
15.2 Rules of Good Writing: Grammatical Correctness
15.3 Punctuation
15.4 Manuals
15.5 Technical Writing
15.6 Summary
15.7 Key Words
15.1 INTRODUCTION
This unit is a guide for writing as it gives the instructions about various types of
writings and the grammatical errors that can be prevented. Writing should be
dynamic and not dull. There are certain rules that should be kept in mind while
writing anything. How they should be followed.
In this unit we will read about the writing instructions, grammatical rules,
importance of punctuation, writing manuals, and technical writing.
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15.2 RULES OF GOOD WRITING - GRAMMATICAL

CORRECTNESS
Every language has a Grammar. In fact, the Grammar comes into being even before
the language itself gets written. If you look up the dictionary, grammar is described
as the accepted rules by which words are formed and combined into sentences. It is
a description of these rules as applied to a language. Grammar is nothing but the
logic or discipline relating to a language. That explains why grammar becomes so
important to any language. Good writing is therefore grammatically correct writing.
What is acceptable in spoken English may not necessarily be so in written English.
Grammar deals with rules of writing or generalizations that are generally true. For
example, every sentence in English must have a subject and a verb. If these rules are
not followed, whatever be the other merits of writing, it fails to be counted as good
writing. What is being emphasized here is grammatical correctness of writing such
that there are no noticeable and obvious errors. Grammar is a vast subject and
mastery over it does not come easily. You may or may not master and remember
every grammatical definition such as a dangling modifier or conjunctive adverb or
ditransitive verb or a modal auxiliary. Nevertheless, what is absolutely essential is the
ability to identify and avoid an obvious grammatical error.
Let us start with some simple examples. Look at the following sentences. They
contain grammatical mistakes, punctuation errors and spelling mistakes:
x She don’t talk properly.
x Everyone are busy with his examinations.
x I could not able to come yesterday.
x If in case suppose you does not come, I will go alone.
x Peoples are working in groups.
x If I miss the train I cant reach on time.
x When did you came?
x You are going there are you?
x Bye and bye you will learn more and more.
x The captain told the batsman you should run faster.
x Todays match is between england and sri lanka.
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x Since the principle is very strict every students enter the class before the
peon ring the bell.
x I teach mathematics occasionally & find that many students are week in
subject.
x In the hot summer whether I prefer to wear loose cloth.
x Since I was tyred, I lied on the bench.
Such mistakes committed knowingly or unknowingly mar your writing and make
a poor impression on the reader. Remember that these are undoubtedly examples of
bad English. Good writing has zero tolerance for bad grammar.
Paragraphs and Sentences

A paragraph is a group of sentences covering or describing a central idea. Good
writers take care to organize their paragraphs sequentially and ensure that each
paragraph is well structured. Paragraphs can be long and short depending on the
central idea that needs to be conveyed. The length of the paragraph depends upon
the details that the writer wants to cover in that paragraph. Every paragraph
essentially consists of topic sentences and supporting sentences.
A topic sentence is the key sentence of the paragraph. Good business writers
usually start the paragraph with a topic sentence. It describes the key thought that is
elaborated and substantiated in the following support sentences. Although some
writers use the key sentences in the middle of the paragraph, opening the paragraph
with a topic sentence makes the writing much more effective. When you start a
paragraph with a topic sentence, the reader knows exactly what will be dealt with in
the subsequent sentences.
Some examples of a topic sentence introducing the central theme of the paragraph to
the reader are given below:
x The bank achieved significantly higher profits during the year.
x The company suffered a severe setback during the quarter.
x Communication is a process that involves six different steps.
x Sport plays an important role in character building.
x While preparing a resume, it is important to know what a good resume can
achieve.
Each of the sentences above introduces a key message or thought that should be
elaborated by supporting sentences. Depending upon the nature of the reader and
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what details the writer wants to share, the topic sentence is developed into a full
paragraph with the help of supporting sentences. Towards the end of the paragraph,
the central thought is often reiterated or summarized for greater impact. A support
sentence, as noted already, elaborates, substantiates and takes forward the central
theme. By its very definition, a support sentence does not bring a new idea or
thought that is not in alignment with the topic sentence. The beauty of the paragraph
gets enhanced when every support sentence adds clarity and further dimension to the
key thought expressed in the beginning.
A good paragraph should also necessarily consist of unity and coherence. A
paragraph has unity when every sentence in the paragraph revolves around a
particular idea or thought. Unity ensures that there is no unrelated sentence or idea
in the paragraph. Similarly, coherence brings in logic or consistency of thoughts.
Ideas are developed in a logical order within the paragraph. Good writers learn to
make their paragraph convincing and interesting. Such paragraphs are neither too
long nor too short. When you are writing a letter, it is desirable to keep each
paragraph somewhat short. If you are writing a report or a lengthy article or text
message, you may keep paragraphs relatively long. If you are giving instructions
through a memo or a circular letter, it is better to keep the paragraphs short. The
grasp or absorption of the idea is easier in short paragraphs. If paragraphs extend
beyond a page, reading gets tedious. Take care of your paragraphs and your writing
becomes effective. To sum up, a paragraph is a section of a piece of writing of
variable length, starting on a fresh, often indented, line and dealing with a distinct
point or idea. Make sure that every paragraph of yours starts with an indent or an
appropriate margin.
Good writers develop logical paragraphs. Logical paragraphs are those which
move from idea to idea in an organized manner. While each paragraph itself is self
contained in terms of a specific idea, the sequencing of paragraphs is such that the
message is presented step by step. Developing paragraphs logically and sequentially
calls for advance planning. The writer should be clear in his or her mind about the
entire message and in what order it should be presented. Whether it is a letter or a
memorandum or a report or a brochure or any such piece of writing, the writer
should mentally organize the entire message before breaking it into appropriate
paragraphs. Each paragraph should be such that one idea stands out. As we have
noted already, unity, coherence and well thought out sequentially developed topics
will lead to the development of logical paragraphs. Keeping them short will help in
engaging the reader. Talking about the length of the paragraphs, while no hard and
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fast rule can be laid down, about 6–8 sentences on an average (per paragraph)
would help in making the writing reader friendly, and 8–14 words in a sentence is
ideal.
There can be no meaningful writing without a sentence. Words by themselves
cannot convey much until they are put together in the form of a sentence. A sentence
is defined as a sequence of words forming a meaningful grammatical structure that
can stand alone as a complete utterance. In written English, a sentence usually begins
with a capital letter and ends with a period, question mark or exclamation mark.
Sentences can make or mar your writing. Put life and meaning into your sentences and
they convey the message you wish to convey. Sentences are of many kinds—long or
short, topic or support sentences and simple or compound. Each of them has a
relevance and its own place in effective writing.
Like we have discussed in respect of paragraphs, sentences too can be long or
short. It is possible to write very long sentences. In fact, in written English literature,
there are examples of sentences that stretch up to 300 words. There are many
examples in company manuals and reports where sentences run up to 40–50 or
even more words. Long and winding sentences that are loaded with ideas, one after
the other, certainly hamper readability. The reader has to make extra efforts to grasp
the message. The sentence has to be read again and again (repeatedly to make
sense). We have noted that readability is the process by which writing and speech
are judged for their level of acceptance. Readability suffers when the sentences
stretch beyond an acceptable length. This acceptable length depends upon the
nature of writing and the target readers. If you are addressing someone who is
already well informed about the subject and whose reading and comprehension
abilities are fairly high, somewhat longer sentences should be acceptable. If you are
giving instructions or introducing the subject or writing to someone whose reading
and comprehension abilities are not high, it is better to keep your sentences simple
and short. Generally speaking, short sentences are those with about 10–12 words.
While short sentences are desirable, they may not always be appropriate in
conveying the message. A good writer needs to make the sentences longer
depending upon the content and context. We cannot prescribe a standard uniform
length for writing under all circumstances. Any such strait jacket approach would
certainly restrain the writer’s effectiveness. There is no need to ensure a uniform
length for all your sentences. Make it short. Make it long. Make it meaningful and
interesting. More importantly, make your sentences reader friendly.
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Selection of Words
Words make your writing. Effective writers know how to choose their words. Let us
take a look at these two sentences:
x The consequences of delaying action are obvious.
x But as the real economy worsens, there will be a ricochet effect and banks
and investors will continue to be affected by the developing crisis and the
losses in the real economy.
The first one is a short sentence with only seven words. The second one is a long
sentence with 31 words. Both are relevant and convey the intended message. In any
good writing, such long and short sentences both co-exist. Every idea cannot be
simplified and stated in a less than 10-word sentence. What a good writer tends to
do is to use both short and long sentences keeping in view the readability of the
target group.
We have noted that building a vast repertoire of words is both an opportunity
and a challenge. We have also noted that words and ideas are the raw material that
an effective writer requires in abundant supply. Copious supply of words and ideas
is a must to build an appealing writing and style. In the following paragraphs, we
shall be studying in greater detail how one can go about choosing the right words.
Unlike a speaker, a writer has time to improve his or her writing. Good writers
do not necessarily use the first word that comes to their mind. They stretch into their
vocabulary. They delve into their word power and pick up the most appropriate
words. Every word, indeed, has many equivalents. Good writing is a progressive
accomplishment. One develops and evolves as a competent writer over the years. If
you do not accept the first or easiest option and are determined to aim at consistent
improvement, your writing gets progressively better.
Let us look at the vocabulary of a beginner. If he or she has limited word power and
uses the first option, his or her writing would be somewhat like this:
1. The music was good.
2. The lunch was tasty.
3. The coffee was very nice.
4. The climate is pleasant.
5. The movie was funny.
6. It was a year of good performance.
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7. He secured very low marks.

8. The situation is very bad.
9. He mentioned it again.
10. Her face showed no emotion or feeling.
11. It was a year of very ordinary performance.
12. The performance of the team was extremely good.
Apparently, there is nothing wrong with these sentences. They are simple and do
convey the meaning in general. But as the writer makes progress and addresses a
more informed audience, the same ideas may have to be expressed more specifically.
At the first level, writers tend to use words such as good, bad, ordinary, simple, nice
and pleasant. But as their word power improves, they will bring into play words that
have greater vigour or words that are more exact. Let us look at the same ideas that
we conveyed earlier and see how we can use different words.
1. The music was melodious.
2. The lunch was delicious.
3. The coffee was exquisite.
4. The climate is salubrious.
5. The movie was hilarious.
6. It was a year of robust performance.
7. He secured abysmally low marks.
8. The situation is grave.
9. He reiterated it.
10. Her face was impassive.
11. It was a year of lacklustre performance.
12. The performance of the team was superb/exceptional.
We can see from the above sentences, how the writer’s ability to convey ideas
and feelings improves as more equivalents become available. The choice of words
available to a writer while writing thus depends on his or her repertoire of words
and how readily they come to the writer’s mind.
Good writers know how to economize on words. If you can convey the
intended meaning with fewer words, your effectiveness improves. The following
examples suggest how one can write with fewer words.
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Instead of Use
In the near future Soon

In the same manner Likewise
In the region of About
Within a short time Shortly
Without intending it Inadvertently
With full knowledge Consciously
From this time onwards Henceforth
In view thereof Hence
Once in a while Occasionally
It is absolutely essential It is imperative
If the need arises If necessary
Please send your reply at the earliest Please reply expeditiously
What we have given above are just some examples. In everyday business
writing, there would be many such occasions where a good writer can avoid
unnecessary words.
Choosing Words with Right Strength and Vigour

English language has a fascinating world of words. English is a fast growing
language, it becomes evident when we note that the number of words has grown
substantially in the latest edition of dictionaries. Similarly, Roget’s Thesaurus presents
a superb coverage of varied shades of meanings of all English words. Whatever be
the words the writer is familiar with, if he or she looks for the equivalents in
thesaurus, choosing the right words becomes so easy. As such, these make a ready
source of reference for an aspiring good writer.
English is a dynamic language. It means that new words get added and over a
period or time, some words go out of fashion. Good writers learn to discard
outdated words and use contemporary words. Writing becomes dull and weak when
the writer uses those words that are not in current use in business. Just as new
words get added, old words get deleted. For example, words like anent, ultimo and
proximo that were used frequently a few decades earlier are now outdated. The
Chambers 21st Dictionary refers to collecting 500 words and meanings every
month and a 100-million word database of written and spoken English that supports
their dictionary.
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The Oxford Thesaurus of English (second edition) contains well over 6,00,000
words. There are 16,000 entries arranged in the alphabetical order and for each
entry or word, there are an average of 38 alternatives. The writer needs to know any
one of these words to know more about the range of alternatives available. The
thesaurus also contains the ‘choose the right word’ panels that amplify meanings of
alternative words and help in selecting the most appropriate word. Examples of
some such ‘choose the right word’ panels are as follows:
x outdo, excel, surpass
x kind, kindly, benevolent
x independence, liberty, freedom
x forbid, ban, prohibit
x flourish, thrive, prosper
x serene, calm, tranquil, placid, peaceful
Such a choice certainly helps the writer in choosing words with strength and
vigour depending upon the context and the level of the target group. Apart from the
strength of vocabulary or word power, writing with vigour also calls for a conscious
effort at writing better. Editing or revising what is written helps in this endeavour.
After writing the piece of communication, he or she should sit back and read it and
make appropriate revisions. Unless you are an extremely accomplished writer, there
is always scope for revising your writing by inserting more appropriate words.
Another rule relevant for good writing relates to avoiding repetition of words.
Using the same word repeatedly in every sentence makes for dull writing. Repeat the
words, if necessary, for emphasis, otherwise, take care to avoid repetitive use of
words, ideas and phrases.
Jargon relates to the use of specialized terminology specific to a particular trade,
profession or sport. Accordingly, there is legal jargon, computer jargon, military
jargon and accounting jargon. Jargon here refers to a set of technical words
frequently used by people in that particular trade or profession.
Good writers must follow these rules in using jargon. The first rule is to use it
sparingly. Any writing, to be effective, should be reader friendly. Use the jargon or
technical terms only if the reader is familiar with them. Do not presume that the
reader understands the jargon. Jargons can also be expressed in plain English. Let us
look at some examples of jargon.
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Legal jargon: To file a caveat, to order an arraignment, to file a habeas corpus

petition.
Computer jargon: Redundancies, access privileges, megabytes.
Using jargon while writing for the uninformed makes them wonder if the writer is
serious about reaching out to them. If at all jargon is to be used, it should be used
with proper explanation at the very first instance so that the reader understands.
Jargon certainly has its place in professional writing. While writing to people in
the same profession or while making job applications for technical positions, jargon
can be used to create the right impact. In business communication, we differentiate
between business-business (B2B) and business-customer (B2C) communication.
Jargon may be relevant in a B2B communication. But when it comes to B2C
communication, jargon, if used, should be clearly explained. Brochures, product
descriptions, how-to-use manuals, advertising and direct mailing and such other
writing targeted at the customers, and prospects should make the technical terms
clear to the reader. In fact, it is the job of technical writers and copy writers to
describe the processes and explain the jargon for easy understanding by the reader.
Good writers avoid sexist language and use gender-neutral words. The world of
business today accommodates a growing number of women. Workplaces are no
longer male dominated as they used to be. Similarly, market research studies have
shown that women play an important role in making decisions in buying products
and using services. Good writers, therefore, should be inclusive writers. Modern
writing emphasizes a non-sexist, non-discriminatory approach to business writing.
Sexist language suggests prejudice against women and often excludes women.
Sometimes the words or terms we use may exclude either men or women. Let us
look at some examples of sexist words and how can they be made gender neutral.
Sexist Gender Neutral
Chairman Chairperson
Stewardess Flight attendant
Manpower Human Resource
Businessman Businessperson
Workman Worker
Saleswomen Salesperson
Spokesmen Spokesperson
Sportsmen Sportsperson
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Apart from using gender-neutral words as suggested above, good writers

should also ensure that their sentences are not sexist. For example, the sentence ‘A
good writer keeps his writing short and simple’ is sexist. Instead you may say, ‘A
good writer keeps his or her writing short and simple.’ Another way of ensuring
gender neutrality is by making it plural. You may say, ‘Good writers keep their
writing short and simple.’ Yet another way is to just say, ‘Good writing is short and
simple.’
Gender-neutral writing also relates to avoiding masculine words. Masculine
words are generally used in a male-dominated society. Masculine words exclude
women. Today’s organizations call themselves equal opportunity employers.
Masculine words generally start or end with ‘man’. We have seen some
masculine words already such as businessman, salesman, workman, spokesman and
chairman. Those beginning with ‘man’ include man-hours, man-days, manhunt, man-
made and mankind. While reasonable efforts should be made to avoid masculine
words and make the writing inclusive, it cannot be stretched beyond a point. Some
words like man-eater, manhandle and manslaughter may have to be accepted as
non-sexist words. Similarly, the word ‘manageress’ though refers to a female
manager of a business is considered offensive and not usually used in official titles. It
is desirable to use the word manager to refer to someone who manages be it a ‘he’
or a ‘she.’
Good writers should also make it a point to avoid clichés and hackneyed or trite
phrases. Clichés and trite phrases make writing dull and boring. Clichés are
overused expressions. Clichés are described as once striking and effective phrases
or combination of words that have become stale and hackneyed due to overuse.
Some examples of clichés are—‘last but not the least’, ‘achieve greater heights’,
‘thanking you in anticipation’ and ‘there is no room for complacency.’ One comes
across such phrases so often, both in written and spoken English that the audience
finds them dull and lacklustre. Similarly, some phrases are used so rampantly that
these expressions have lost their freshness and effectiveness. They are described as
trite or hackneyed. A hackneyed phrase is something that is commonplace or banal.
Some overused phrases in business writing are—‘assuring you of our best services
always’, ‘leave no stone unturned’, ‘needless to say’ and ‘giving a thoughtful
consideration.’ Such phrases are used in such a routine manner that the reader sees
no sincerity behind these statements.
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1. On what does the length of the paragraph depend?

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2. How does the writing become dull?

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15.3 PUNCTUATION
Yet another rule to be observed for ensuring good writing is proper punctuation.
Punctuation can liven up or blot out one’s writing. Punctuation is a system of
conventional marks used in a text to clarify its meaning to the reader, indicating
pauses, intonation and missing letters. Punctuation marks commonly used in English
writing are apostrophe, brackets, colon, dash, exclamation mark, period, hyphen,
oblique, question mark, quotation marks and semicolon.
Full stop/Period: A full stop marks the end of a sentence. It is also referred to
as period. A full stop serves several purposes and is used in different ways.
x The train came to a grinding halt. (at the end of the sentence)
x May I look forward to an early reply. (after a polite request somewhat like
a question)
x 11.02.2009 or 9.45 p.m. (while indicating date or time)
x A.M. or P.M. or etc. (while using an abbreviation)
x `206.50 or 5.6 or 64.5 kg. (while indicating decimals in units or figures)
Three full stops or omission marks (...) are used to indicate that something has
been left out.
x I will be happy to attend...not in the evening.
Since a full stop marks the end of a sentence, no sentence is complete unless
there is a full stop.
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Comma: A comma indicates a pause or slight break within a sentence. Like a

full stop, a comma too has several uses.
x If you want, you may join. (here it suggests a pause)
x 15, 21st cross, Indiranagar (while suggesting different parts of an address)
x We are going there, aren’t we? (Always used in a question tag)
x Listen to me, please.
x Yes, I’ll be coming.
x No, she is not coming.
(A comma is used before please, and after yes or no.)
x 35,565 or 21,36,425 (while describing figures to indicate lakhs [hundred
thousand], thousands and figures beyond.)
While we have indicated some uses here, a comma is also used for several
other reasons that a good writer will learn over time.
Colon: A colon is another punctuation mark with several uses.
x Students should bring the following items: pencil, eraser, scale, writing pad
and notebooks. (before giving a list and as an alternative for a dash)
x Exhibit 12.5: Personal Details (while citing sub-topics or table details)
x 19th century: Greek (while citing period and origin)
Semicolon: A semicolon is used to mark a break or pause within a sentence.
It indicates a pause stronger than that marked by a comma but weaker than that
marked by a full stop.
x The delegation visited several places including Lagos, Nigeria; Paris,
France; and Milan, Italy. (It is used to group parts of a long sentence.)
x You may be contented; I am dissatisfied. (to join two separate sentences)
Apostrophe: An apostrophe is used to indicate that there is an omission of
letters or to indicate position.
x I’ll get back to you. Don’t go alone. (here it indicates missing letters)
x These are Robert Frost’s poems. (here it indicates possession)
Brackets: Brackets are used to group together words or figures. It is also
used to provide additional related information.
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x World War I (1914–18) had a devastating impact.

x Relevant pages (42–46) should be carefully studied.
(here it is used to group together figures)
x The bank has opened more outlets (branches and ATMS). (to provide
additional information)
Brackets are also known as parenthesis. In practice, there are different kinds
of brackets such as round brackets, square brackets and angle brackets.
Hyphen: A hyphen is used to join two words or even to separate words. It is
also used at the end of a line to indicate that the word is incomplete.
x The factory manufactures man-made fibre.
x It was a none-too-satisfactory experience.
(Here it is used to join words or link them.)
x In all matters of import–export documentation, you may consult us. (to
suggest that the word is incomplete)
Dash: A dash is a short line used to suggest a break in a sentence or to link
items. A dash can be long or short.
x We must do it—and we shall. (This is an example of long dash.)
x World War I (1914–1918) (Here the short dash suggests a range.)
Quotation Marks: Quotation marks are used to suggest the beginning and
end of a quote or what someone else has said. Quotation marks can be single or
double and are also referred to as inverted comma.
x The management expert said, ‘India will be a super-power.’
x I didn’t say ‘I am interested.’
Both single and double quotation marks can be used. British English uses single
quotation marks while American English uses double quotation marks.
Question Mark: A question mark is used to indicate that a sentence is a
question. It is also used to make a polite request.
x What are you up to?
x How? Why? When? (indicates a question)
x Could you tell me when the shop opens? (making a polite request)
Exclamation Mark: An exclamation mark is used to indicate an exclamation
or a sudden utterance. It is used to express command or strong feelings.
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x My God! What a beautiful sunset.

x Run fast! Police are chasing.
(to express awe or surprise or to emphasize)
We have taken note of most of the commonly used punctuation marks in the
above paragraphs. While some general guidelines have been stated, the reader
should note that the punctuation marks are quite often interchangeable. One should
not take what is stated as a hard and fast rule for every occasion. Further, we have
only given a few examples and there are many more ways in which these punctuation
marks can be used in good writing. Those who are keen to know more about the
subject should refer to a good book on grammar or even a standard English
dictionary. The Chambers 21st Century Dictionary, in fact, has been of great help
in describing various punctuation marks in this chapter.
Capitalization: Capitalization relates to the use of capital letters. A capital
letter is the alphabet in its large form. A capital is also called uppercase. Capitals are
used in the following ways:
x Be an upright citizen.
x Small is beautiful.
(used at the beginning of a sentence, invariably after a full stop.)
x The Sri Lankan cricket team
x The book written by James Hadley Chase.
x The Government of India
(the first letter of places, people and other proper nouns)
x It is a Reebok shoe.
x We had our dinner at the Pizza Hut.
(while using brand names)
x Tale of Two Cities
x All the President’s Men
(while referring to titles of books, novels, etc.)
x National Institute of Bank Management
x The Ten Commandments
(while referring to organizations, movies, etc.)
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The capital letter serves its purpose by drawing attention. While we have
mentioned the different ways in which capital letters can be and should be used in
English writing, it is also essential to avoid using capitals where they are
unnecessary. Use of capitals where it is not appropriate makes the writings clumsy,
and may even mislead the reader.
Let us look at the following examples:
x Indian negotiators initially showed Reluctance to such a Deal.
x The Trade volume Between India and North Korea is quite Insignificant.
x The Child and the Father were the First to Enter.
x The River is not Very Deep at the Middle.
In all these examples, there is an excessive and unnecessary use of capital

letters. Moreover, the capital letter has not been used where it is essential. A good
writer should know when to use the capital letter and when to refrain from using it.
Where to use capitals
All proper nouns—Alexander, Bhagmati, Anuj
Names of places—Bangalore, Sydney, Birmingham
Months—June, August, December
Days—Thursday, Saturday, Sunday
Rivers—Ganges, Alakananda, Amazon
Official title—Mayor Muthanna, Senator Kennedy, Mother Teresa
Historical events—Battle of Panipat, Great Depression
Countries—India, Australia, Brazil
Streets and localities—Anna Salai, Park Street, Janpath, Mohali
Spellings
A spelling is a group of letters used in a certain sequence to describe the words.
Every word is made up of letters. Just as it is imperative to know the right word for
every idea, it is also essential to know the right way of spelling the word. Spellings
are fixed or specific. Everyone must spell in the prescribed manner. Any deviation is
unacceptable. What is not spelt correctly is an error. Incorrect spelling makes the
writing shoddy and exposes the writer. Not only that, incorrect spelling may even
change the meaning of the word. A word is spelt properly when the right set of
letters is used. Also, they should be used in the exact sequence. Spellings carry a
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precision that must be followed by a good writer. There can be no good writer with
a bad spelling.
A change of a single letter can make the meaning of the word different. Following are
some examples:
appraise apprise
compliment complement
advice advise
device devise
birth berth
week weak
Similarly, changing the sequence of the letters can also change the meaning. Here are
some examples:
tier tire
fist fits
compere compeer
hate heat
In English language the spellings do not necessarily follow logic. They are not spelt
the way they are pronounced. Look at the following examples:
chaos; sojourn; pious; phlegm; pneumonia; honest
Some letters become silent making the spellings even more tricky.
Good news, bad news and persuasive writing

Good news writing relates to communicating messages which the reader finds
pleasant and is keen to receive. Instances of good news include the following:
x A request for a loan is considered favourably.
x A job applicant has been selected.
x An employee has been promoted.
Good news is best communicated in a direct manner. Your opening sentence
should start on a pleasant note. Cover the good news in brief sentences. Follow a
friendly tone. Convey the positive content of the message. Avoid irrelevant details.
Do not wait till the end of the letter to convey the good news. If the good news has
a limiting factor or a portion that is not considered favourable, put it across in a
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positive manner. Make sure the letter or writing leaves a positive impression in tune
with the content of the letter. Otherwise, the good news will be accompanied by
poor writing.
Bad news letters are those that convey an unpleasant message. The reader is
likely to be disappointed. It may relate to failure in a test or interview, rejection of a
raise or promotion, lay off or retrenchment or any such event that would be
unpleasant to the receiver. The drafting of a bad news message has to be done with
more care than a good news letter. The writer should visualize the extent of shock or
hurt that would be caused to the recipient. Choose words that will soften the impact
of the message. Explain what is essential. Take care to avoid being blunt or hurtful or
apologetic. State the facts and avoid being judgmental. Be polite. Whether you
should give the bad news direct and upfront or after some explanation depends upon
the content and your relationship with the recipient. Elsewhere in this book (Chapter
18), we have discussed crisis management and the sensitivity under the heading
‘Communication in a Crisis’.
Persuasive messages constitute a challenging task for any good writer. Here the
writer has to go beyond a mere statement of fact. The writer has to not merely
inform, but has to go beyond and persuade. Persuasive messages call for planning in
advance and working out an appropriate strategy. The writer should have adequate
information about the recipient of the communication. Persuasive communication
should generally cover the following:
1. Gain reader’s attention.
2. Make your opening statement so as to get the reader interested in what you
want to say.
3. State clearly and reason out.
4. Anticipate probable resistance and try to address it.
5. End by seeking action.
The objective of any persuasive message is to seek the desired action. Your
strategy will determine what would be the most appropriate approach for persuading
the reader. Persuasion succeeds when the reader is induced, convinced or prevailed
upon to act as intended. Whether to make an emotional appeal, or to follow a strong
logical approach or emphasize the benefits or advantages depends upon the subject
and the target group. Brochures, pamphlets and other advertising material, direct
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mailers and sales letters are some examples where persuasive communication
becomes relevant. Often, persuasion calls for repetitive communication. The initial
message may have to be followed up by follow-up letters and messages.
Some common mistakes

Good writers should learn how to avoid some common mistakes in English writing.
They should know how to use the right word and avoid the inappropriate word. Let
us look at the following examples:
x My manager was wearing the same shirt. (The right expression is similar,
not same.)
x The judge interfered when the lawyers started fighting. (The right
expression is intervene, not interfere.)
x The general manager appraised the chairman about the incident. (The right
word is apprise, not appraise.)
x The pilot manipulated the aircraft very well. (The right word is manoeuvred,
not manipulated.)
While both the words mentioned above appear to convey the same meaning, in
fact it is not so. Some words like interfere or manipulate even carry a negative
connotation. Good writers understand the subtle differences and avoid using
incorrect and negative words.
Similarly, some other common mistakes we see in the Indian context are the
following:
x You should return back the umbrella by evening. (Return back is incorrect.
Just say return.)
x He is my cousin brother. (Just say cousin. Not cousin brother)
x Both of them are my brother-in-laws. (You should say brothers-in-law not
brother-in-laws.)
x This playground is meant for childrens. (The right word is children, not
childrens.)
x The Board meeting has been preponed. (The right word is advanced.)
We have just looked at some examples to suggest how some common mistakes
creep into our writing. A careful observer knows how to avoid such mistakes.
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Using words inappropriately results in shoddy writing. Let us look at some examples:
x John & Tara met after several years.
x Bangalore & Mysore & Mangalore are in Karnataka.
x The General Manager & the Area Manager attended the meeting.
x Let us meet & discuss the matter in detail.
In these sentences instead of ‘and’, its abbreviation is used (&). Although the
meaning is conveyed, the writing is unimpressive. A good writer knows when to use
‘and’ and when not to use ‘&’. Let us look at the following examples:
x M/S Mahindra & Mahindra is a reputed firm.
x Ramkumar & Sons is in the business since long.
In the above stated sentences, the abbreviated version is not out of place
Likewise, there are some rules to be observed while referring to numerals. As a
general rule, use numerals for larger numbers and spell them out if they are in single
digits.
Instead of writing: You should write:

One thousand nine hundred and forty 1947 was the year of Indian
seven was the year of Indian independence.
independence.
1 and 1 make 11. One and one make eleven.
Grammar rules
At the beginning of this chapter, we have noted how important it is to ensure
grammatical correctness. Since bad grammar stands out like a sore thumb and mars
elegance of writing, let us study more about the subject. Grammar is learnt the hard
way. One should read a good book on grammar to understand and appreciate the
fundamentals. It is a fairly vast subject and calls for a dedicated step-by-step
approach. What we propose to do here is to look at some examples of incorrect
grammar and bad English.
Singular and Plural

While singular refers to one person or thing, plural refers to more than one person or
thing. Person is singular and persons are plural. In most cases, plural is indicated by
adding an ‘s’. There are, however, instances where the plural is not achieved by
adding ‘s’, but by spelling the word differently.
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In the following sentences, some are right and some are wrong. Can you note them?
x Our country needs well educated peoples.
x Only one children was waiting.
x At the end of the day, my foot get tired.
x Man is kind but men are cruel.
x What I need are three umbrellas.
x Our team stand a very good chance
Articles
Articles are three in number—‘a’, ‘an’ and ‘the’. While ‘a’ and ‘an’ are indefinite
articles, ‘the’ is a definite article.
Let us look at the following sentences and note which are right and which are wrong:
x Human mind is like the monkey.
x You should bring with you a apple and umbrella.
x He is an ardent admirer of the chairman
x It was an unique experience.
x It is a honour to meet a person like you
Participles
A participle shares some of the characteristics of a verb and is used as an adjective.
What is relevant while using it is that a participle used in a sentence should be related
to its subject. When there is no relationship or reference, it is called a dangling or
unattached participle. In the following examples, some participles are used properly
and some are dangling:
x Driving carefully, he arrived in time.
x Playing on the road, the car hit the child.
x Being a sought-after artist, the auditorium was full.
x Reaching late in the morning, the bus had left.
x Looking for something sharp, she picked up a knife.
Question Tags
Question tags follow certain well laid down principles. For example, if the statement
is positive, the tag is negative and vice versa. Let us again look at the following
question tags, where some are right and some are not.
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x You are not going there, are you?

x I am not coming there, am I ?
x This is a lovely dress, is it?
x Anyone can do it, can they?
x Jamuna speaks well, doesn’t she?
We have, in this chapter, noted the important rules to be observed by a good
writer. We have appreciated the significant aspects of grammar, punctuation,
spellings and capitalization. We have seen how good writers can improve their
writing by avoiding hackneyed phrases, dull and outdated words and expressions,
and instead use strong and vibrant words. We have also noted several examples of
common grammatical and other mistakes that good writers need to avoid. One’s
writing gets better through conscious efforts and continuous refinement.
Three-stage process
Any good writing is essentially a three-stage process. We have already noted that
good writing is no accident. It comes out of organized efforts. Effective speaking, it
is worth noting, is also a three-stage process. It involves planning, preparation and
practice. Likewise, effective writing involves a three-stage process. It involves pre-
writing, writing and revising. No good writing happens in one draft, unless you are
the most accomplished writer. We have already noted the essentials of good writing.
These include grammatical correctness, well-developed paragraphs and sentences,
focus, unity, coherence and logical sequencing, careful selection of words, correct
spellings, gender neutrality, balance and readability. It is indeed difficult to
accomplish all this at one go. That is why good writing is described as a three-stage
process. Let us take a close look at each of the three steps.
Pre-writing
Pre-writing is the first step in any good writing. It involves planning and preparation.
It also involves gaining clarity on the objectives of writing. What does the writing
propose to achieve? We have noted earlier that any communication has multiple
objectives, such as to inform, to motivate, to educate, to clarify, to caution, to
persuade, to covey good news and bad news and so on. Depending upon what he/
she wants to achieve, the writer should organize his/her thinking. Such writing would
cover not merely letters and simple messages, but also memos, circulars,
representations, proposals, reports, resumes, theme or keynote addresses,
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persuasive letters and so on. They are of a wide variety and address a variety of
target sections such as employees, customers, trainees, decision makers, media,
executives and the like. Clarity and focus in every case are a must.
Pre-writing is also described as mind travelling. Mind travelling relates to
building a vision of what you propose to write. It relates to organizing the thoughts—
what to say, how to say, what style to adopt, where to emphasize, how many pages
to write and so on. Pre-writing also relates to collecting all relevant information such
as names and designation, addresses, previous correspondence, target profile, facts
and figures and so on. One essential item that this author recommends is to keep a
dictionary or thesaurus handy for reference. Pre-writing is thus a combination of
mental and physical steps. It is a process that ensures preparedness.
Writing
The next step is actual writing. Here you prepare the first draft. You write your
paragraphs and sentences in a logical sequence. You draft your topic sentences and
support sentences. You put across the content and bring out the message you want
to convey. If it is a letter, you keep in view the essentials of letter writing such as the
introduction, content, closing, salutation, etc. If it is a proposal or a report, much
more intense efforts would be involved. Not only the content in terms of facts and
figures, recommendations and conclusions, but also tables, charts, annexures and the
like should receive due attention. If it is a keynote address or a persuasive or
motivational communication, all the three areas, viz., introduction, body and
conclusion or closing should be appropriately covered.
Writing is the most essential aspect of the three-stage process. Writing relates to
writing with a purpose, writing with clarity and writing for effect. Writing should be
in tune with the context and the main objective. Writing should be goal oriented. The
writer should make sure that what he/she set out to achieve in the pre-writing stage
is actually achieved in the writing stage. The draft of the letter or memo or the
proposal or the report covers all the features as visualized in a manner that has been
already been pre-planned. The writing should have appeal and create the requisite
impact. The writing should have positive approach and strive for effectiveness.
Revising
Revision is the final step in the process of writing. To revise a write-up means (1) to
examine the writing again in order to identify and correct faults, (2) to improve it or
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to take new circumstances into account, (3) to bring up to date, (4) to study or look
at the contents once again and (5) to reconsider and amend. Good writers know
how to do revision to bring about the desired impact, completeness and balance.
Revision essentially involves two steps, viz., editing and correction.
Editing relates to going through or examining the draft once again thoroughly to
make improvements. Editing would consist of (1) ensuring that the writing conveys
the key message as intended, (2) the language used is appropriate for the target
group, (3) the message is concise, clear and consistent, (4) the words used are
vibrant, contemporary and gender neutral where appropriate, (5) the names,
addresses, designations, etc., are correct and duly updated, (6) ensuring that the
latest developments are duly factored and (7) eliminating all loose ends,
inconsistencies, hackneyed and confusing phrases, and amplifying technical words
and jargon, if any. Editing also consists of proof reading. Editing calls for a sharp eye
for spotting deficiencies and making refinements. Editors of newspapers, magazines,
books and publications are people who are adept at making thorough revisions and
refinements to the drafts and enhancing the content and readability of the writing.
Correction
Correction is the other facet of revision. No matter how much care the writer takes
while preparing the draft, there are bound to be errors. These errors would relate to
grammar, spellings, punctuation, figures, capitalization and usage. Elsewhere in this
chapter, we have noted some common mistakes that creep into writing. A good
writer takes care to identify all such errors and makes appropriate corrections.
1. What is a ‘period’?
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2. What is the use of a hyphen?

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15.4 MANUALS
A manual is a handbook that gives instructions on how to operate a particular

device, equipment, or a piece of software, the buttons/icons and its meaning and
uses, its salient features, the regular maintenance that the device needs, the list of
service centres, common problems, how to troubleshoot problems, etc. It is very
comprehensive but gives a step by step instructions. So it is a very useful guide to the
first time users. This type of Manual is categorized under technical writing as they
primarily involve writing the technical details of the product/procedure.
Manuals also include documents on a particular procedure that is the flow of
work, the who’s who of the company, the background of the project, etc. There are
some manuals that talk about the how to write.
Manuals are thus in essence the most common form of documentation in any
business environment. It also forms a part of our daily lives because we come across
it whenever we buy a new product, whether it is to operate a laptop, mobile phone,
washing machine, microwave, etc. Manual is a valuable tool for understanding
technical knowledge in fields such as law, construction, and finance.
Types of Manuals and its Importance

There are different types of manuals depending on which function does it perform
and to whom it is catering too. For example, there are manuals on how to run a
business, customer services, employee manuals, product manual, Manuals that tell
how to use language styles for research purposes, etc. Manuals may be in the
electronic form in this age of digital world or print form.
Technical manual is to document a process or mechanism or a combination of the
two and instructions for its use are provided. This use can cover such things as
operation, maintenance, servicing, and repair. There are many types of technical
manuals. The most prevalent types of manuals are user manuals, installation manuals,
trouble shoot manuals, service manuals and maintenance manuals.
x User Manual: It is also called an “Instruction manual”. As the name itself
suggest a user manual instructs the users on how to use the specific
product. The content of a product manual included the different parts or
components of the product, how-to use them, functionality, and processes
of the product. It focuses on different kinds of users—administrators,
beginners, managers, or students. A user manual makes the operation of a
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product smoother and hassle free for the users. It enables the user who is
not technically very sound to use the product independently without the
help of others. As this is the main function of a manual they are written in a
language that can be understood by ordinary people. As all the buyers of a
product are not expert of that particular product, it is especially important
for the companies that produce consumer electronics products, medical
equipment, construction machinery, computer and its accessories to focus
on manual writing. This is a quick guide for customers to gain information
about the product. It will not just give information about the product but
also help the user to get the utmost benefits from the product.
x Installation Manual: It give a step by step guide to setup or install or
assemble the product without the help of a technician. This is very helpful
when the product is intended to be used in areas far and wide and the
company cannot send their professionals for installation.
x Troubleshoot Manual: It is a type of manual used to fix parts of the
product or give a solution to a problem if any arises.
x Service Manuals: The manuals include the cycle of service and the
authorized service personal. It help maintain the product in optimum
performance level for a longer period of time. It also helps reduce the time
and cost to productivity that improves the quality of products and services.
For example there will be lesser complaints and clarifications regarding
how to use or how to install the product.
x Technical Maintenance Manuals: They are meant primarily for the
highly technical expert who will be repairing and maintaining the product or
the piece of equipment. As this manual is for the technical expert they
heavily rely on such tools as schematics and performance graphs. They
also use jargons and technical terms to describe the process. Visuals used
in a maintenance manual require and advanced understanding and expertise
in the specific technical field.
Operations Manual is used for the operations of a company or businesses.
It is a set of standards and procedures for operations, work standards, and
policies of the company to apprise the employees, suppliers, customers,
shareholders, and anyone else who has an interest in their business of
policies, procedures, and regulations. It helps to give consistency to the
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organization by giving instructions and guidelines on the working of the

organization.
x Procedure Manuals: Essentially, the purpose of such a manual will be to
give the new employee a detailed picture of the work situation concerned
and try to convey the background to him/her, so that s/he is also at par with
the level of other employees in the team. But it will give useful details only
to avoid information overload. There are different types of procedure
manuals in different fields viz., Procurement, Production and Services,
Quality, Human Resource management, Authority, Accounting and Finance,
Costing, Procurement, Process mapping, Marketing and sales to name
some of the major procedural manuals. These manuals act as guidelines for
the smooth and effective functioning of an organization. They are used to
instruct and guide users on technical procedures, corporate policies, and
many other kinds of information that is not intuitively obvious or easy to
remember. In a company a procedure manual will help reduce the time for
the training of the new employees as it will provide them with the standards
and procedures of the company that they need to abide by. It sometimes
helps an organization or an individual to pull out from a difficult situation.
x Internal Quality Assurance Manual: In this manual the vision and
mission of the company is elaborated. It gives the organogram of the
company. It also gives roles and responsibilities of different employee
designations, the different functions, processes, rules, and operations of the
company. This manual set the standards for the company to ensure
profitability and growth. Manual provides consistency and quality
assurance. Referring to a Manual increases the productivity and profitability
of the company. It will also give the employees a general overview of how
the company operates and their respective roles and responsibilities and the
interplay and collaboration between different departments. These written
records of the rules, guidelines and policies of the company operations
reduces the risk of misconceptions or misunderstandings amongst the
management and the employees and vice versa.
x Crisis Management Manual: Explains how to respond to crisis or
tragedies such as earthquake, fire, storms, tsunami, chemical contamination,
theft or violence in the work premises. It will give the evacuation route/
procedure during a specific situation. It will give a categorization of all the
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different types of crisis, and gives a the flow chart of the who will be
responsible for the management of the crisis etc. In worst case scenarios a
crisis management manual in the absence of an expert anyone would be
able to handle the situation with its help.
x Audit Manual serves as a guide on how to do or make finance reports in
relations to accounting and auditing matters.
Manual of style- Chicago manual of style, modern Language association style
(MLA style), these manuals tell you the rules laid down by the authorities on written
style. For example
According to The Chicago Manual of Style, one should use the word ‘that’ to
introduce a restrictive clause and the word ‘which’ to introduce a non-restrictive
clause. The following sentences are examples of correct writing style then:
1. The pen that John gave Mary was bad.
2. The pen, which John gave Mary, was bad.
Training manuals - Manuals are also used in training programs, often in the form
of tutorial or instructional guides. The objective of a training manual is not merely to
document a process or procedure, but to actively teach something. For example,
accent training manual, computer training manual, business communication manual,
etc. Manuals are a vital part of in-house training programs.
The Art of Manual Writing

These manuals are written by professional technical writers and graphic artists. The
former is responsible for the written part and the latter is responsible for all the
illustrations and pictures that accompany the text in the manuals. Both of them may
be professionals within the industry that is in the company payroll, whereas others
may work as freelancers on individual projects or on contract basis but within their
areas of technical expertise. Those who write the manual has to produce industry
specific information in a language and style that is easily understood by a lay person
who will be using it. There is a kind of translation involved in such kind of writing as
the manual writer has to be aware of the nuances of the technical jargons as well as
how to translate them into common language used by the community.
These manual writers may vary from engineers, scientists, and technicians to the
chief executive officers of corporations. The decision of who writes a particular
manual in a company is decided by many variables such as the size of the
corporation, the expertise of the employees, the purpose of the manual, etc.
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In the writing of a manual all the procedure of good writing has to be followed.
The writers have to understand/define three things before they start to write a
manual. They are audience, purpose, and scope.
The audience is the set of people who will read the manual. Different groups of
people have varied levels of understanding about certain topics and linguistic
capabilities and so the target audience gain much importance. The choice of relevant
terminology and the assumptions about the background knowledge of the audience
and what needs to be explained and what is considered obvious will be directly
proportional to the target audience.
If the audience is lay men, then it will be necessary to define any technical terms
used in the manual. These terms should be used only when they cannot be omitted.
Similarly, the use of illustrations should also be dictated by the intended audience’s
profile, with diagrams or screen shots being chosen to clarify points that are most
crucial or difficult to understand. The information that is required in the manual to be
followed by the audience is dependent on their level of understanding and the
background knowledge. The use of jargons, which is an exclusive language of a
particular field and understood only by a narrow margin of readers, also follows the
same criterion. One can use jargons in a maintenance manual but jargon should be
replaced by common language in a user manual intended for common users or
general readers.
Secondly, the writer must understand the purpose of the manual. Is the manual
meant to be instructional or Informative? Does it present the solution to a problem?
The answers to these questions will decide the presentation of the material in a
particular manual.
Thirdly, the writers should be clear about the scope of the manuals. That is the
writer should not include too much or too little. The scope is mainly determined by
the type, function, audience and purpose of the manual. For example, to teach a user
how to use the major functions of a software application you don’t need to include
the programming language and code. Similarly, maintenance personnel don’t need
the basic components of the machine and how it works because he already
possesses that knowledge. He will need how those basic components are
assembled.
Now that we have defined the three terms and the importance of it in writing the
manual, the writer needs to collect the hoard of information necessary to write the
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manual. This information may come from different departments of the same
company. So it has to be collected and organized into a logical whole first.
Next step is to ensure proper writing and editing. The writer should follow an
appropriate style guide/ manual. While writing we have to avoid errors in spelling,
grammar, punctuation, and other basic mechanics. As we have already noted, the
writer should use short and simple sentences as far as possible to maintain clarity in
the meaning. Long sentences may lead to complexity and misunderstood meaning. In
short, the manual should be clear, concise, consistent, and accurate.
Once the document is written down, the writer has to proofread the document
for clarity and accuracy. Conciseness, clarity, organization, consistency,
comprehensiveness is all necessary for the manual to be easily used.
Illustrations also form an important component in the manuals. These illustrations
vary from simple hand-drawn charts, graphs and circuit prints to three-dimensional
computer-generated designs.
Once both the necessary writing and illustrations are ready, we also have to
determine the manual’s physical format, that is, layout, presentation, and size,
material, and binding and cover. Layout and presentation include the page size,
margins, format, typography, and colours, etc. These features are also dictated by
the audience’s need and also the manual’s type and purpose.
1. Name the different types of manuals.

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2. How is the presentation of the manual decided?

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15.5 TECHNICAL WRITING
Technical writing or technical documentation has evolved into a subject of growing

significance in the world of written communication. Given its specialized nature,
technical communication has developed into a well-defined profession, especially in
the developed world. In fact, technical writing is a natural offshoot of the
knowledge-based economy. Qualified technical writers are in demand in a host of
industries including software, telecommunications, financial services and healthcare.
Technical writing consists of specialized writing skills whereby businesses use the
services of technical writers to translate and communicate industry-related
information into user-friendly documents and publications. Technical writing
therefore calls for both an insight into the industry or domain knowledge and
excellent communication skills. Technical writing consists of bringing out manuals,
training material, technical reports and documents, graphic designs and illustrations,
magazines, journals and newsletters, indexes, web pages and text books. Technical
writing covers material to be brought out for the use of employees and trainees as
well as the ultimate end users.
Technical writers, to be effective, should possess a set of requisite skills. They should
have good command over English, or other relevant languages and be well versed in
the techniques of writing. They should be skilled at design and illustration. A technical
writer’s responsibilities would generally cover the following:
x Developing end-user documentation for products
x Developing technical documentation/curriculum
x Creating and redefining graphics, text and layout of courseware
x Editing, rewriting and authenticating technical instructional information
x Developing and maintaining style guides
x Developing user manuals and online help systems
The responsibilities relating to technical communication would cover the
activities relating to technical writers, curriculum developers, technical publication
specialists, technical editors and even graphic designers.
Technical writing in the field of Software and Information Technology
Management calls for proficiency in the relevant tools and programs, apart from
strong domain knowledge and communication skills. The tools and programs
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appropriate for the job would include MS Word, Lotus Word, PageMaker,
FrameMaker, Interleaf, Acrobat, Illustrator and Photoshop.
Bringing out technical publications of high quality with accuracy would call for
knowledge and experience of page layout, publishing design, typography, graphic
design principles, colour theory, proofreading and editing skills.
1. Which set of skills should a technical writer possess?

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2. Enlist the tools and programs appropriate for technical writers.

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15.6 SUMMARY
x The grammar comes into being even before the language itself gets written.
If you look up the dictionary, grammar is described as the accepted rules
by which words are formed and combined into sentences. It is a
description of these rules as applied to a language.
x What is acceptable in spoken English may not necessarily be so in written
English. Grammar deals with rules of writing or generalizations that are
generally true. For example, every sentence in English must have a subject
and a verb. If these rules are not followed, whatever be the other merits of
writing, it fails to be counted as good writing.
x A paragraph is a group of sentences covering or describing a central idea.
Good writers take care to organize their paragraphs sequentially and
ensure that each paragraph is well structured. Paragraphs can be long and
short depending on the central idea that needs to be conveyed.
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x Sentences too can be long or short. It is possible to write very long

sentences. In fact, in written English literature, there are examples of
sentences that stretch up to 300 words.
x Good writers know how to economize on words. If you can convey the
intended meaning with fewer words, your effectiveness improves. The
following examples suggest how one can write with fewer words.
x One of the rules relevant for good writing relates to avoiding repetition of
words. Using the same word repeatedly in every sentence makes for dull
writing. Repeat the words, if necessary, for emphasis, otherwise, take care
to avoid repetitive use of words, ideas and phrases.
x Gender-neutral writing also relates to avoiding masculine words. Masculine
words are generally used in a male-dominated society. Masculine words
exclude women. Today’s organizations call themselves equal opportunity
employers.
x Yet another rule to be observed for ensuring good writing is proper
punctuation. Punctuation can liven up or blot out one’s writing. Punctuation
is a system of conventional marks used in a text to clarify its meaning to the
reader, indicating pauses, intonation and missing letters.
x A manual is a handbook that gives instructions on how to operate a
particular device, equipment, or a piece of software, the buttons/ icons and
its meaning and uses, its salient features, the regular maintenance that the
device needs, the list of service centres, common problems, how to
troubleshoot problems, etc.
x Technical writing or technical documentation has evolved into a subject of
growing significance in the world of written communication. Given its
specialized nature, technical communication has developed into a well-
defined profession, especially in the developed world.
15.7 KEY WORDS
x Conjunctive adverb: A conjunctive adverb is an adverb that connects two

independent clauses. Conjunctive adverbs show cause and effect,
sequence, contrast, comparison, or other relationships.
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x Ditransitive verb: A ditransitive verb is a verb which takes a subject and

two objects which refer to a theme and a recipient. According to certain
linguistics considerations, these objects may be called direct and indirect,
or primary and secondary.
x Modal auxiliary: A modal verb (also modal, modal auxiliary verb,
or modal auxiliary) is a type of verb that is used to indicate modality – that
is: likelihood, ability, permission, and obligation.
x Jargon: Jargons are special words or expressions used by a profession or
group that are difficult for others to understand.
x Cliché: A cliché is a phrase or opinion that is overused and betrays a lack
of original thought.
x Hackneyed: (of a phrase or idea) having been overused; unoriginal.
x Trite: Trite is something which lacks originality or freshness; dull on
account of overuse.

1. Paragraphs can be long and short depending on the central idea that needs
to be conveyed. The length of the paragraph depends upon the details that
the writer wants to cover in that paragraph. Every paragraph essentially
consists of topic sentences and supporting sentences.
2. Good writers learn to discard outdated words and use contemporary
words. Writing becomes dull and weak when the writer uses those words
that are not in current use in business. Just as new words get added, old
words get deleted. For example, words like anent, ultimo and proximo that
were used frequently a few decades earlier are now outdated.

1. A full stop marks the end of a sentence. It is also referred to as period. A
full stop serves several purposes and is used in different ways.
x The train came to a grinding halt. (at the end of the sentence)
x May I look forward to an early reply (after a polite request somewhat
like a question)
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x 11.02.2009 or 9.45 p.m. (while indicating date or time)

x A.M. or P.M. or etc. (while using an abbreviation)
x 206.50 or 5.6 or 64.5 kg. (while indicating decimals in units or figures)
2. A hyphen is used to join two words or even to separate words. It is also
used at the end of a line to indicate that the word is incomplete.
x The factory manufactures man-made fibre.
x It was a none-too-satisfactory experience.
x (Here it is used to join words or link them.)
x In all matters of import–export documentation, you may consult us. (to
suggest that the word is incomplete)

1. There are nine types of manuals. Namely:
x User Manual
x Installation Manual
x Troubleshoot Manual
x Service manuals
x Technical Maintenance Manuals
x Procedure manuals
x Internal quality assurance manual
x Crisis Management Manual
x Audit Manual
2. As soon as the necessary writing and illustrations are ready, we also have
to determine the manual’s physical format, that is, layout, presentation, and
size, material, and binding and cover. Layout and presentation include the
page size, margins, format, typography, and colours, etc. These features are
also dictated by the audience’s need and also the manual’s type and
purpose.

1. Technical writers, to be effective, should possess a set of requisite skills.
They should have good command over English, or other relevant languages
387
and be well versed in the techniques of writing. They should be skilled at

design and illustration.
2. The tools and programs appropriate for the job would include MS Word,
Lotus Word, PageMaker, Frame Maker, Interleaf, Acrobat, Illustrator and
Photoshop.
1. Elaborate the rules for good writing.

2. Differentiate between paragraph and sentences.
3. How should the selection of words be done? Discuss with examples.
4. What is the importance of punctuation in writing?
5. Analyse the art of manual writing.
Locker, Kitty and Stephen Kaczmarek. 2001. Business Communication: Building

Critical Skills. New Delhi: Tata McGraw Hill.
Monippally, M M. 2001. Business Communication Strategies. New Delhi: Tata
McGraw Hill.
Monippally, M M. 1997. The Craft of Business Letter Writing. New Delhi: Tata
McGraw Hill.
Sebranek, Patrick, Verne Meyer and Dave Kemper. 2000. Writers Inc.
Wilmington, DE: Great Source Education Group Inc.
Arihant Prakashan.
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Introduction to the Historical
BLOCK-IV
Indian English literature (IEL) defines the body of work by Indian writers who write in the
English language and whose native or co-native language could be one of the numerous
languages of India. Indian writing in English has a relatively short but highly charged history.
In 1793, Sake Dean Mahomed wrote perhaps the first book by an Indian in English, called
The Travels of Dean Mahomed. However, most early Indian writing in English was usually
non-fictional work, such as biographies and political essays. In the present day, Indian
English literature has been associated with the works of the members of the Indian diaspora
which include Jhumpa Lahiri, Amitav Ghosh, V.S. Naipaul, Salman Rushdie, Kiran Desai,
Anita Desai, who are of Indian descent. Indian authors have long since carved a niche for
themselves in the minds of readers worldwide. With their uniquely Indian style of writing
characterized by satirical descriptions of their land, fluidity of language and a melancholy
vibe, writers from the far eastern subcontinent are adored by critics and the common
populace alike. This block consists of five units.
The sixteenth unit presents the historical background of India and its struggle for
Independence.
The seventeenth unit describes the major themes used in Kanthapura. It examines the
narrative technique used in the novel.
The eighteenth unit describes the role of stress and stress pattern.
The nineteenth unit identifies the different types of sounds. The speech mechanism includes
concepts of vowels and consonants that have been discussed in this unit.
The twentieth unit explains the importance of sound symbols. It also analyses the articulation
of different sound symbols.
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UNIT–16 INTRODUCTION TO THE HISTORICAL

BACKGROUND OF INDIA AND INDEPENDENCE
STRUGGLE
Objectives
x Understand the vast historical background of India
x Evaluate the different periods of the development of Indian nation
x Analyse India’s struggle for independence
x Understand the various phases of independence
Structure
16.1 Introduction
16.2 Historical Background of India
16.3 India’s Struggle for Independence
16.4 Summary
16.5 Key Words
16.1 INTRODUCTION
The history of India contains the prehistoric settlements and societies in the Indian
subcontinent; the advancement of civilisation from the Indus Valley Civilisation to the
advent of European traders resulting in the establishment of the British rule; and the
subsequent independence movement that led to the Partition of India and the
creation of the Republic of India.
In this unit we will learn about the historical background of India and her fight for
independence.
16.2 HISTORICAL BACKGROUND OF INDIA
The Economic history of India began with the Indus Valley Civilization which is the
known history of India. Like any major comparable civilization of its times, namely
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‘The Nile Valley’, ‘Mesopotamia’. The economy of the Indus Valley Civilization
seems to have depended primarily on trade which was aided by its proximity to both
a great river system and sea ports which facilitated both transport of goods and
people.
The benefit of being in a great river system was that it enabled the growth of a
strong agrarian society as well, which helped to facilitate different trades. The great
granary allowed the storage of grains which could thus ensure that each household
was not dependent agriculture. The development of the cities under the Indus Valley
civilization also helped in administration and communication, both written and verbal.
Concepts of numbers and records became a common phenomenon, which aided in
trade.
The first coins which were used were invented by around 600 BC, by the
Mahajanapadas and were punch-marked silver coins. This corresponded to the
period marked by intensive trade activity and urban development. As the centuries
progressed the Mauryan Empire integrated most of the Indian subcontinent in the
period of around 300 BC. This political unity and resultant secure environment
enabled a common economic system which boosted trade and commerce.
What followed from there for the next 1,500 years was the golden age of the
Indian economy. This was due to the many strong Empires and kingdoms of such
dynasties as the Rashtrakutas and Hoysalas. It has been estimated by many experts
that the Indian economy was one of the largest economies which comprised of
almost one fourth of the total world economy. This condition existed till the period of
the Maratha rule after which it declined rapidly.
The period between the 18th century and the middle of the 20th century saw
that the economy of India subjugated to the needs of the British Empire and the
various pockets of European influence scattered along the coastline of India.
Post-independence India followed a socialist pattern of economic development
characterized by central planning for most of the period till 1991 when the economy
was close to collapse and India had changed course from a socialist, license permit
raj to an open capitalist society. With the passing of years, India has been within the
top in terms of growth on a GDP basis.
Early Modern Period (1707–1757)

Immediately preceding this period was the period of the Mughal Empire. Its
foundation was laid by Babur. The classical period of the Mughal Empire was from
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the period of 1556 when Akbar ascended the throne till 1707 when Aurengzeb
passed away. The period from 1707 onwards saw a decline of the Mughal Empire,
which started slowly but rapidly gained a downward speed under the rule of
Farrukhsiyar who ruled between 1713 and 1719. It was during his reign in 1717
that the British were allowed to trade in Bengal without any duties.
This period saw the rise of the Maratha Empire. Besides the Marathas, the large
territories under various Nawabs were almost totally independent only giving titular
homage to the Mughal emperor. Despite the decline of the Mughal Empire, the tax
administration was almost intact. It is said that in 1750, the Indian economy was
almost as big as that of the Chinese economy, which was by then the largest
economy in the world.
British East India Company Rule

The English East India Company was founded in the year 1600 for purposes of
carrying out trade between Britain and the ‘East Indies’. Its first major foothold in
India came in the year 1612 when Mughal emperor Jahangir granted it the rights to
establish a factory in the port-city of Surat. This was followed by similar concessions
along different parts of the coast of India.
In 1640, a factory was established at Madras (Chennai) after receiving
permission from the Vijayanagara ruler and a settlement was established at
Bombay (Mumbai) in 1668. This was followed by a factory at Calcutta
(Kolkatta). The first major concession was in 1707 when the East India Company
was allowed to trade in Bengal with paying duty. Till then though the East India
Company had maintained its own army to protect its economic interests, it was
only in 1757 that the British were formally independent of subordination to Indian
rulers. This happened after Robert Clive’s victory over the Nawab of Bengal in
the Battle of Plassey.
This allowed the British East India Company the right to collect taxes or Diwani.
This was followed by the Battle of Buxar in 1764, which further strengthened the
Company’s influence over a larger area in Bihar, Bengal and Orissa. The growth
steadily continued after the victories in the Anglo–Mysore wars between 1766 and
1799; and the (Anglo–Maratha wars between 1772 and 1818). Victories in these
wars gave the East India Company virtual control over most India; south of the
Sutlej.
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The British followed a two pronged policy of expansion. The first comprised
outright annexation of Indian states. This ensured direct governance and became
part of British India. These regions were as follows:
x Delhi
x Sindh
x Punjab
x Berar
x Awadh
The second form of expansion was through the form of alliances with princely
states. This enabled the British to extend their influence and increase their revenue
without the burden of a direct cost of administering the areas or the political cost of
subjugating the entire local populations.
x Cochin
x Jaipur
x Travancore
x Hyderabad
x Mysore
x Kutch
x Gujarat Gaikwad
x Rajputana
x Bahawalpur
Under this policy, the East India Company began tax administration over an
Empire spread over 250 million acres. It is reported that the annual revenue was of
the order of £111 million by 1800. Most of this revenue was diverted to assist the
British Crown during the Napoleonic wars.
Economic Impact of British Imperialism

Did the British rule have a great impact on the Indian Economy? This issue has been
bitterly debated by Historians and even civil servants and parliamentarians for
centuries. The British Politician, Edmund Burke was one of the first to claim that
Warren Hastings of the East India Company was responsible for the ‘ruination’ of
the Indian economy and society.
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Amongst Indian historians this has been a common theme. The 18th century
British rule laid the groundwork for the destruction of the traditional Indian economy.
Such was the effect of inordinately high taxes that it depleted the food stocks of the
peasants and resulted in the famine of 1770, which wiped out more that one third of
the population of Bengal.
Dadabhai Naoroji was one of the first to propound the ‘Economic Drain
Theory’. This theory essentially laid the ground for how the British rule and policies
were structured in a manner so that there was a systematic drain of wealth from
India to the coffers of the British.
P. J. Marshall, another British historian has taken a contrary view. His point of
view is that the British generally continued with the same model of tax collection. His
contention is that the British relied on the regional rulers and hence if there was a
breakdown of the economy, it was more to do with the inherent inability of the local
rulers to maintain prosperity.
Nature and Structure of Economy: Rural and Urban

Indian society has been divided into the rural and urban divisions. This is due to the
following:
x Geography
x Social patterns
x Cultural characteristics
Rural society
The rural societies are centered in the villages or at best very small towns with an
agrarian economy. Along with the economic makeup there is great importance
attached to caste. The rural societies can thus be said to be characterized as follows:
x Agriculture is the prime occupation and the only source of income for the
inhabitants.
x The life of a villager revolves around his farming and the seasons, and his
pattern of life is determined by this.
x The average population density and size is small. This ensures that there is
greater space for people to live than in the urban areas.
x The joint family is the norm, with the patriarch of the family living with his
children and grandchildren under one roof.
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x In such a setup, there is a great deal of brotherhood with sharing of kitchen

and all resources. Families bond at times of emergencies.
x The primary relationship is family. The concept of ‘Vansh’ plays an
important role in the psychological make-up in social relationships.
x Most interactions are face to face.
x There is a certain degree of conservativeness in traditions.
x With a lack of development of educational facilities economic development
beyond agriculture has been limited and there has been a tendency to
migrate. This is also due to the fact there has been no percolation of new
technologies down to the bottom layer.
x The economy is self-sufficient and is not dynamic and hence there is
stagnation.
x The average rural setting has strong caste traditions, which have created a
hierarchy in the villages. The Brahmins are at the top of the pecking order
while the Shudras are the lower end.
Changes in rural society

x Independence in 1947 has heralded change in the focus towards the
agrarian economy. The first community development programme was
started in 1952 with the objective of improvement in the lives of the people
in the rural areas through involvement of the intended beneficiaries.
x In 1959, Panchayati Raj was started with the aim of bringing about political
empowerment in the villages. The stated aim was that they should be
responsible for their won decisions.
x The next major program was the Integrated Rural Development
Programme in 1979.
Urban Society
The urban society is town and city centric and is dependent on industry and services
for the economy. Though from a societal perspective, there is still a major influence,
there are some relaxations in the social interactions and caste considerations. The
cultural traditions in the urban areas have been evolving over time. The
characteristics of urban society can be said to be as follows:
x There is a higher density of population in urban areas as compared to the
rural areas
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x There is a great deal of cultural diversity due to migration of people from

various rural settings and regions, each bringing in their unique social mores.
x Economic activity revolves around industry, manufacturing, trade and the
provision of services.
x There is a greater degree of social mobility and intermingling between
castes and people from different economic standings.
x There is a very formal structure of governance in urban areas, like
administrative bodies, law-enforcement and judicial processes.
x The availability of civic facilities like water and electricity, garbage disposal,
health services and proper means of communication is a direct result of the
formal structures in place.
x Relationships are characterized by monetary needs and are more
impersonal. The ‘Vansh’ is not the overall riding factor in relationships.
x The side effect of an impersonal status is that people do not know each
other leading to social and mental stress and isolation.
x The characteristics of urban communities are as follows:
o There is an area having an administration like a municipal board
o Population is greater than 10,000 people
o Economic activity is non-agricultural
o Population density is high
Agrarian and Non-Agrarian Production

In this section, you will learn about the features of agrarian and non-agrarian
production systems.
Agrarian production
An agrarian society is a society which is based on agriculture. Agriculture becomes
the prime economic activity. This economic model was the main stay of most
economies till the Industrial revolution. The dependence on agriculture varied from
society to society over the ages.
Agriculture is the cultivation of plants and animals for food, fiber and other
products. Agriculture provided the rise of human civilization allowing man to settle
down and pursue other activities. The history of agriculture dates back to thousands
of years, and its variations and development has been defined by different climates,
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cultures and technologies. Even though agriculture today accounts for about 5 per
cent of the world’s production, it still engages about a third of the population.
Therefore, when you look at the dependency of the population on agricultural
activities, you realize that consistent reform and modernization is a must for growth.
At the same time it is important that specific agrarian reforms will only partly impact
development as there are many associated issues which play a crucial role. Some of
these are as follows:
x Population growth
x Ecological impact
x Climatic conditions
x Technological advancement
x Societal impact
There are times when technological advancement has to be tampered to ensure
that excessive labour opportunities are not lost. This would put additional pressure
on the employment opportunities and impact the overall economy. Here one needs
to realize that long terms unemployment solutions lie in an advancement of the
economy to areas in the non-agrarian areas like manufacturing and services.
Similarly, climatic conditions can create either positive or negative impact on
growth. This is a recurrent feature on the Indian economy. A good monsoon brings
prosperity while a bad monsoon causes chaos. Of late it has been seen that global
warming has been affecting the cropping patterns with unseasonal rains, rising
temperatures and other phenomenon, which is causing disruption.
Thus, you see from the above that agrarian reforms can only partially affect the
problem of unemployment and poverty.
The limitations of impact of agrarian reforms provide greater integration in the
economic development process that is required to make it effective. It is also seen
that agrarian reform measures have a limited time span of effect. New structures
soon have new problems regarding the relation of people, land and technology. This
mandates additional changes to re-adjust
As different countries have reached different levels of development process, the
effects agrarian reform measures vary. You see that there are different definitive
stages in agrarian structural evolution.
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In the initial stages of development, the challenge is the identification of where

the control of the land lies. Usually, there is a tendency for the accumulation of land
and property in the hands of a few landlords, a situation which has its own
repercussions on society. This monopolistic concentration of land has a tendency of
exploitation of the peasants who work on these lands. Along with this occurs the
situation where the land owner’s top priority is the control over the land and not its
productivity.
The next stage in the evolution is agrarian reform dealing with ownership issues
and insuring a more equitable distribution of land. This causes a greater interest
amongst the owners and peasants as the need for productivity per unit area rises.
Land ownership reform has generally marked an increase in productivity and helped
reduce abject poverty.
The next level of evolution occurs with urbanization and industrialization which
begins to see the transformation from an agrarian based society to an industrial
society. However this has its own challenges as industrialization is less labour
intensive and hence the dangers of unemployment increase.
Progressive industrialization causes reduction of manpower needs and, thus,
forces agriculture to become more capital intensive. This increased employment of
inputs produced outside the agrarian economy causes a greater dependency
between the agriculture, industry, and the service sector.
To further develop as per the introduction of capital intensive practices
adjustments need to be made. This could be in the form of following:
x Changes in the size of farms or farm holdings in the form of collective farms
or corporate farms.
x Greater use of fertilizers and pesticides for ensuring greater growth
x Better management of water resources
x Where warranted, use of farm machinery
x Greater education and training on new principles and methodologies
Thus, in order for agriculture to be comparable to other productive sectors, the
farm size, capital assets, and investment of labour have to be appropriate.
Agricultural production has characteristics similar to industrial production whether in
a socialistic or capitalistic system. True agrarian reforms are less important under
these circumstances than carefully planned incentives in the form of taxes, prices,
and subsidies. They have to be integrated in the overall development policies due to
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the inseparable interlacing of the agrarian economy and society with the other sectors
of the economy and society.
Non-agrarian production
The impact of the British rule was more keenly felt after the first war of
Independence when India came under direct British rule, from the East India
Company. It is important to know that this was also a period of great change
brought about by the Industrial revolution. The assumption of direct control by the
British government and the simultaneous advancements in technology and factory
systems served to interconnect the economies of both Britain and India.
The effects of the direct British rule were the following:
x Establishment and strengthening of the railway network in India
x Establishment of a strong system of development of canals and bunds,
embankments
x Establishment of a comprehensive road network
x Establishment of the communication network around the telegraph system.
x Establishment of the three universities for the spread of education, patterned
on the British style.
However, if seen carefully, these were instruments to facilitate economic activity
in a manner favourable to the ruler. The extensive rail and road networks along with
port facilities greatly facilitated the movement of raw materials to the factories in the
home country. The reverse flow of finished goods was also facilitated by these very
networks. This can be seen from the fact that raw materials such as cotton and
indigo went from India to Britain and the finished textile goods flowed from Britain
to India. The ports greatly facilitated this traffic.
The most amazing part was the system of taxes, and tax collection was so
favourable to the ruling British. There were very heavy duties on the export of goods
from India to Europe, like handicrafts and handloom, while the import duties into
India were almost negligible. This basically acted as a barrier for exports and a
magnet for imports.
Further all the administrative machinery which was created to manage these huge
systems of rail and transport networks and communications were almost exclusively
managed by the British at the higher levels thus further reducing job opportunities.
This also contributed to flow of wealth from India to Europe in the form of
remittances.
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With the progress of time a great indebtedness of the peasant population was
seen. The last part of the nineteenth century saw a great increase in the famines
which occurred resulting in the deaths of millions of people. The British
administration was responsible for this.
Taxes in India reduced during the colonial period for most of India’s population.
The land revenue claimed 15 per cent of India’s national income during Mughal times
as compared to 1 per cent at the end of the colonial period.
Under the British rule there was a gradual erosion of the wealth of India in all
sectors. There was no industrialization but de-industrialization. It can be seen that at
the advent of British into there was a progressive country. Not only was it a great
agricultural country but it was also a great manufacturing country with its products
being famous all over the world. Some of the industries which existed were as
follows:
x The handloom industry of Dhaka was famous all over the world for its fine
muslin cloth and was in great demand. Similarly Cotton handloom was
exported all over the world and India probably had the first and most
developed industry.
x The ship building Industry centered around the port cities of Surat, Bombay
and Calcutta were famous for the ships built of teak and considered far
superior to the ships made of Oakwood by the Europeans.
x Varanasi and Moradabad were famous for the brass and copper wares.
x Rajasthan was famous gold and silver jewelry.
All this and much more changed with the transformation of the economy of India
by its de-industrialization. However it would be incorrect to say that all of it was a
result of direct British Policy. Some of it was also the result of the changing
landscape in the economy brought about the Industrial Revolution. That brought
about a paradigm shift in manufacturing and there were no Indians who could take
advantage of these changes. The few who did attempt faced systematic difficulties
so that the first major industries could be established only much later. The nature of
the Industrial Revolution almost necessitated the need for sources of raw materials
and captive markets for finished goods.
In the book, ‘History of British India from 1805 to 1835’ Horace Wilson
equated the British administration as an arm of economic stranglehold over the local
population to prevent any competition on equal terms.
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Thus, we see that from being a net exporter of textiles, India became an
importer of clothes. Similarly, in other fields, there was great destruction of job
opportunities causing great stress in society so much so that more than twenty nine
million people starved to death between 1854 and 1901.
Technology and Methods of Production

The Industrial Revolution spanned the period between the 18th and 19th century. In
this period, there were major changes in agriculture, manufacturing, mining,
transportation, and communication which had a considerable impact on the socio
economic conditions of the world. It can be said to have begun in Great Britain and
slowly spread throughout the world.
This period was a major turning point in history. It can be said to have presented
a paradigm shift in the way of life of humans. It brought about a great change in the
average income of the people. Better living standards also greatly helped to increase
the population. It is estimated that the sustained growth brought about by the
industrial revolution helped to increase the per capita income 10 times. In the words
of the Nobel Prize winner Robert E. Lucas, Jr.:
‘For the first time in history, the living standards of the masses of ordinary people
have begun to undergo sustained growth. ... Nothing remotely like this economic
behavior has happened before.’
The transition in the economy in Britain from one based on manual labour to that
of the machine based one first impacted the Textile Industry. From here the other
industries were impacted and developed. One such was the iron and Steel industry
which tool shape from an early unsuccessful start in 1777.
Transport both through the railways and ship based expanded considerably
facilitating trade and movement of goods. This was greatly facilitated by the use of
‘Steam Power’ over ‘Manual Power’ as the key driver in this vast improvement of
transport services.
The exact definition of the period of the Industrial revolution is difficult to define.
However one advance led to another and consequently each advance helped to set
up the stage for the next advancement. For example the development of the steam
engine greatly facilitated travel on land and sea by use in the railways and the steam
ships. Later when the internal combustion engine was developed along with the
development of electricity generating plants there was greater impetus in the
revolution.
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The subject of the impact of the Industrial revolution is one of great debate.
However it cannot be denied that the Industrial Revolution started an era of per-
capita economic growth in capitalist economies. Economic historians believe that the
onset of the Industrial Revolution is the most important event in the history of
humanity.
Factors leading to the industrial revolution

The factors leading to the industrial revolution are as follows:
x The invention of mechanical tools to replace hand tools
x The use of steam power replacing muscle-power
x The adoption of the assembly line in the factory system
Try to imagine the world minus the Industrial Revolution:
x No Electricity and no electric lights
x No planes to fly in and cars to drive in
x No radio or television for entertainment
x No phone or cell phone to connect
x Imagine the world without the internet and Google!!
While it may seem that the Industrial Revolution was a gradual process in the
overall span of human existence it was very short. Just imagine the flying shuttle was
invented as a late as 1733 while the spinning jenny was developed in 1764. Within
this short span of time the production of textiles was forever changed, from the pace
which had been in existence for the last thousands of years.
Similarly the progress in the railways happened in less than a hundred years,
transforming journeys which had followed a similar pattern for thousands of years.
In the overall span of human life the period of the industrial revolution is quite short.
Therefore it is fit to be called a ‘revolution’.
Organizing production
It must be noted that merchants have been engaged in trade for centuries. There has
always been pressure to source cheaper goods in larger quantities so that profits can
be maximized. Initially the production of goods was done by an individual who
would provide a finished good to a trader. These traders slowly realized that artisans
and craftsmen living in urban areas tended to produce costlier goods. This was
because their livelihood depended on the money they made. Traders also realized
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that if they extended the reach of their search for goods beyond city walls they
would get cheaper goods as people in the rural areas tended to grow their food and
hence their production of goods was to supplement their income and not the main
stay of their livelihood.
Also there was less competition going beyond the city walls away from the
traditional craftsmen. This led to the development of the ‘cottage industries’
originating from the production in these cottages.
From cottage industry to factory

In this stage, the traders would first source the raw material such as cotton and wool
from the farmers and pass onto weavers in the countryside to develop the cloth. The
third stage was the creation of usable garments by craftsmen. Thus there was greater
sophistication in the production systems. This sort of production systems was soon
applicable in all industries.
Causes of the Revolution

This is an important question related to why technological innovation first came to
Britain. The reasons are multi-fold which are as follows:
x Cheaper means of production of goods from the cottage industry to the
factory floor which enabled British traders to have more goods to sell and
at more competitive prices
x Accumulation of capital, necessary to spend on the new inventions, give
these inventions commercial shape. This was made possible by the
impressive gains made in trading.
x The use of coal and the steam power to multiply the effectiveness of
manufacturing processes
x Captive markets in the form of Colonies where the finished goods could be
sourced
x Important sources of raw material to feed the factories which were coming
up
x Ideas of governance and social behavior as reflected by those espoused by
Adam Smith in his book ‘The Wealth of Nations’. The doctrine of ‘laissez
faire’ was instrumental in giving tradesman a free hand in their businesses.
x Relaxation of control of the sovereign or government over traders.
x Inventions such as the steam engine, flying shuttle, etc
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Inventions in textile industry

x Thomas Newcomen made a steam powered engine in 1705, which was
used to pump water out of mines. This helped in the sourcing of energy for
the factories.
x In 1733 John Kay invented the flying shuttle
x The next invention was a frame for spinning cotton thread with rollers,
developed by Lewis Paul and John Wyatt in 1741
x James Hargreaves, patented his spinning jenny in 1770 which allowed a
single worker to run eight spindles.
x In 1779 Samuel Crompton, created a spinning machine, called a mule to
produce threads of great strength and fineness.
x In 1785 Edmund Cartwright patented a power loom
x In 1785 Thomas Bell invented the cylinder printing of cotton goods
x In 1793 the available supply of cotton was increased by Eli Whitney’s
invention of the cotton gin.
In 1804, J.M. Jacquard, a Frenchman, perfected a loom on which patterns
might be woven in fabrics by mechanical means.
Trade and Indigenous Banking

In the beginning of the eighteenth century, the East India Company was in India with
the purpose of creating outposts for trading. Before the close of the century, the East
India Company had become a dominant force in the South and was quickly
spreading to the North. There are two phases in the eighteenth century British
interest in India which can be logically be divided from the beginning of the 18th
century to the mid 18th century and from mid 18th century till the end of 18th
century. In the first phase, they worked specific coastal points as traders and from
the 1750s, they started to war with south-eastern and eastern regions where they
obtained success and started welding political power in affluent and rich regions such
as Bengal. Before the dawn of the 19th century, The British welded political power
over a large swath of territory.
When the 18th century dawned, the English had already been involved with
India in commerce for hundred years. The first traders were the East India
Company, that when founded in 1600, with its head office in the City of London had
got a royal grant making it the monopoly trader for entire English trade with Asian
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nations. As years passed, this further evolved and the Company morphed to become
a huge commercial concern. The only other similar company anywhere near its size
was its Dutch competitor. There were approximately 3000 shareholders holding £3
200 000a worth of stock; in addition there were short term bond borrowing £6
million; they sent in between 20 ships to Asia annually and in London they sold
nearly £2 million worth of goods annually. The Company had 24 elected directors to
run the operations. Shareholders voted annually to elect the Directors.
By the closing of the 17th century, the main trade focus of the Company was
India. There was a huge demand across the world for hand woven cloth from India
for the purpose of furnishing and dresses which were low cost, easy to maintain and
light weight and washable. So, such fabric was imported into Britain from India.
The Company set up its key settlements in Calcutta, Madras and Bombay where it
was easiest to procure cotton cloth for the purpose of exporting. Over time, the
settlements no longer remained trading posts or factories and they became important
commercial towns that were subject to British jurisdiction. This came about due to
the movement of Indian artisans merchants who moved to these towns to conduct
business with the British inhabiting those regions and with the Company.
Regional politics
The East India Company had made the highly developed Indian economy the very
basis of its trade. What India had to offer were goods like woven cloth and wound
raw silk made by its highly skilled artisans, produce of agriculture like opium, indigo
and sugar, and the skilled, efficient the services of wealthy bankers and substantial
merchants. In the 17th century, there existed a very safe framework for trading due
to the stable and efficient rule of the Mughal emperors all across the Indian
subcontinent.
During the 18th cuenturys first 50 years, the Indian trade of the Company’s
looked like it rested on a stable and profitable ground. The company’s directors in
London found no requirement to intervene in the workings of the Compny wither
politically or militarily. They wanted to maintain status quo. This changed by the
rapid decline of the Mughal Empire after the death of Aurangzeb in 1707.
However, within some new states, there arose conflicts. In some costal states,
those looking to obtain power were willing to take help from Europeans. The
Europeans were ready to extend their support. Partly, they were playing this role as
representatives of their Companies. Around 1740s the Anglo-French rivalry took on
an acute form. It needs to be noted that both the British and the French had entered
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Indian trade later than other traders. In southern India, within the successor states to
the Mughals, the French and British aligned with factions which were politically
opposed. This was done to dilute their opponents’ position and to acquire
advantages for their own companies. It needs to be noted that this situation was not
devoid of private ambitions. European commanders were promised huge personal
rewards if they were successful in instating their Indian clients on the thrones they
were trying to obtain. A kingmaker such as Robert Clive who had many a success
could become extremely wealthy.
Along with the India’s political scenario the bitter enmity that peoplewere
participating in Europe greatly affected the political struggle.
In the 1750s, the Anglo-French conflicts started and came to an end in 1763
when the British ascended the region of Southeast India and, importantly, Bengal. In
Bengal, the local ruler had taken over the Calcutta settlement of the Company’s in
1756 but Robert Clive and his forces managed to remove him. He was again
victorious in the Battle of Plassey in 1757 which set up a new satellite rule of the
British. The British moved fast and from just exerting influence in Bengal, they now
began rule it. By 1756, the rule was formally given to the British by the then Mughal
emperor.
Slowly the political situation in Europe led to a greater role of the British
Government in the affairs of the east India Company. In Indian commercial
settlements of the Company, the governors soon became governors of provinces.
Though the Company still traded, a number of its servents were now administrators
within the newly acquired British regimes. Along with standard British regiments,
large armies got together mostly comprising Indian sepoys. The purpose of these
armies were as follows:
x Prevention probable internal resistance from adjoining Indian states by
crushing them
x Defence of the territories under the Company
Company government
The Company governed its new territories on the basis of the governments they had
removed from the territories. The most effective administrative work was initially left
in the hands of the Indians. Tax collection was the government’s main task.
Approximately a third of the land produce was taken from the cultivators. It
reached the government of the territory after passing through a number of
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intermediaries who each had a share in it which they would take before passing the
revenue further up.
Apart from implementing a system that gave resources to the Company for the
financing of its trade and maintenance of its armies, the British officials strived to
strike a balance between the cultivating peasants’ rights and the rights of the
intermediaries who for them were like landlords. The courts were supervised by the
British judges. They applied Muslim and Hindu laws and not British law.
As yet, there was lack of much belief for the requirement of innovation rightly.
But people like Warren Hastings, the ruler of British Bengal between 1772 and
1785, felt that Indian institutions were well tailored to the requirements of the Indians
and new British governments should try to reinstate the ‘ancient constitution’ that
was ousted by the 18th century turmoil. This would bring back territories like Bengal
to their previous glory and prosperity.
However, as the century closed, there was a change in opinions. The British
were of the opinion that India was living in utter backwardness and it was the task
of the benevolent British to bring relief to the Indians. This is what they considered
the ‘White Man’s Burden’. This White Man’s Burden included the following:
x Property reforms to provide a better level of security on land ownership
x Codification of laws based on scientific principles
x Removal of all hurdles in the way of free trade between India and Britain.
This would trigger and open the economy of India to growing trade with
European countries
x Re-modelling of education.
x Replacing the superstition and ignorance ingrained in the minds of the
masses with rationality of the Church.
Debate on the Potentialities of Capitalist Change in the Pre-colonial Economy

Before the advent of the process of colonization of India through both political and
armed means, the question of capitalism did not really rise. Though there were
traders in India, there was no ‘bourgeoisie’ or ‘middle class’, as a distinct unit of
society. It has been argued by many historians that the Empire and the conditions of
colonial rule helped in the creation of a capitalist society and was the change agent
in society.
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While studying this phenomenon, it must be understood that the concept of the
middle class actually arose due to certain conditions in European history. There were
many constituents of this so called middle class which included the following:
x Artists and others engaged in the performing arts
x Intellectuals, novelists, writers
x Industrial bourgeoisie
While this term was not used by many Europeans for the local population,
Viceroy Dufferin saw them as, ‘certain number of leading natives who were well-
meaning, intelligent and patriotic.’
This was a tacit agreement that there were a number of people, perhaps a
minority, who were present. However many did not ascribe to this thought and as
late as 1893, Aurobindo Ghosh, an Indian freedom fighter and philosopher,
described this group as the ‘new middle class’ which comprised traders, graduates,
officials, doctors, barristers journalists. Aurobindo Ghosh was of the view that they
were not representatives of India in totality. However, this term has since gained
wide acceptance while referring to such a class of people based on professional
academics and intellect.
In India, the term ‘middle class’ is applied to various groups that have varying
scope of social standing and experience. It is a class neither in just the economic nor
Marxist sense of the term. It comes with gender, caste and religious dimensions. This
class also has a stamping of education which is colonial and western. To top it all,
this group aspires to take on the leadership of India. It has displayed a ‘cultural
entrepreneurship’ that has enabled it to define a culture which others would like to
emulate to become socially mobile in the upward direction.
Public sphere in pre-colonial India

While this concept of the middle class can be seen in the light of the advancement
caused by colonial rule, can one assume that such a group existed for hundreds of
years prior to British rule in India? This question becomes of increasing importance
when we consider the recent historiographical developments that investigate India’s
potential of indigenous modernity prior to the coming of colonialism.
Chris Bayly, a British historian, has said that:
The group of people comprising Hindustani-writing literati, Indo-Islamic
notables, religious leaders, and officers of the State participated in public debates
about rights, duties and good kingship. This group of elect people, who were
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also joined by common people from time to time as participants in common
public discussions, can be considered as constituting a public sphere in
precolonial India. They also represented the ‘opinion of the locality’ to the
authorities.
Now the question arises as to whether there was any continuity between the
‘group of people described by Bayly’ of India before the colonial period and the
‘middle class’ of the colonial period. Intuition tells us that any such continuity should
not be present. During the colonial period, there was a huge disconnect between the
logic of the Indian society and the logic of the ruling state. The patronage given to
this class by the traditional ruling elite disintegrated. This included the disuse of the
traditional Indian languages like Persian and Urdu which were slowly replaced by
English. The education system was changed. There was a shift from the earlier
perception of the so called middle class and realignment with the new thought
processes.
The essays of Dipesh Chakrabarty, Tanika Sarkar and Partha Chatterjee more
or less seem to display a commonality of perspective. Based on this perspective, the
middle class appears to be formed of educated elite being a group between the
colonial rulers and the semi-literate or illiterate rural majority.
According to this perspective:
x The social universe of the colonial Indian was or may be viewed as a split
of a private/spiritual and a public/material domain
x Indians had no participation or equality as far as the public domain was
concerned
x Indians moved to the private domain to stress the sovereignty of the rising
concept of nation
x Indians defied all interference by the colonial power in their private domain
x Indians professed that the Indian culture was superior to the western
culture. They used this validity and uniqueness as the foundation for Indian
nationalism
x The women of India have the task of acting as custodians of Indian culture
According to B B Misra, an Indian historian, the term middle-class mainly
refers to civil servants, salaried executives, proprietors of modern trading firms and
merchants and such, with the first two included where the criteria is income and
income source.
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Jawaharlal Nehru said that the middle class had no capacity to perform either
manual or technical work. They had been uprooted from their original culture,
remained conservative socially, and were modern only in outlook, that too
superficially.
As can be noted from above, it seems quite possible that in a loosely defined
manner, there was a presence of components of the middle class in India and as
such the semblance of or the roots of a capitalist society.
Question of growth in the late pre-colonial economy

One feature of commercial capitalism which needs to be looked at is the effect of
monetization affecting India. This was connected with commercialization of both
agrarian and urban economy, and the development of markets through distortion
caused by trade and increasing European intervention in Indian markets. This
affected both trade and manufacture.
This was impacted because of the colonial occupation creating political
monopoly and control over the taxation system to systematically benefit first the East
India Company and then the British government directly. This helped to destroy
competition and drive prices downwards in an increasingly competitive world caused
by the effects of the Industrial revolution. The corollary was that until the mid-
nineteenth century, India’s integration into a colonial Empire was marked by a
broad-based process of under development of which deindustrialization was merely
a part, and included the process of relative demonetization.
Causes of the Emergence of Indian Nationalism

The causes that led the emergence of Indian nationalism were as follows:
x British imperialism: British imperialism helped the process of the unifying
the whole country. It was during the British rule that the whole of India was
conquered and brought under one sovereign authority. This domination by
one country over the whole of India enabled the people of India to think
and act as one nation. Before the coming of the British to India, the people
of the South were usually separated from the rest of India except for short
intervals.
x Role of transport and communication: The improvements in the means
of transport and communication also accelerated the pace of the nationalist
movement in the country. The Indian leaders found themselves in a position
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to carry on their propaganda in every nook and corner of the country. The
frequent meetings of the leaders among themselves and their personal
contact with the people in different parts of the country gave a momentum
to the national movement.
x Administrative unification of India: The British established a uniform,
modern and high centralised administrative system in India and thus, unified
it administratively. After the chaotic condition of 18th century (partly
created by the aggressive wars waged by European companies), the British
rulers established peace and orderly government in India.
x Influence of India’s past: Historical researches in ancient Indian history
conducted mostly by European scholars like Max Muller, Monier Williams,
Roth, Sassoon etc. opened new vistas of India’s rich cultural heritage. In
particular, the excavations conducted by archaeologists, like Cunningham
created a new picture of India’s past glory and greatness. The scholars
praised the Vedas and Upanishads for their literary merit and excellent
analysis of the human mind. The theory put forward by European scholars
that the Indo-Aryans belonged to the same ethnic group of mankind from
which stemmed all the nations of Europe gave a psychological boost to
educated Indians. All these gave a new sense of confidence to the educated
Indians and inspired them with a new spirit of patriotism and nationalism.
x Western modern thought and education: The improvements of Western
modern education and thought afforded opportunities, for Indians to imbibe
a modern rational, secular, democratic and nationalistic political outlook.
The system of English education in India was introduced by Sir Charles E.
Trevelyan, T.B. Macaulay and Lord William Bentick (then Governor
General),
The English system of education though conceived by the rulers in the
interests of efficient administration opened to the newly educated Indians
the floodgates of liberal European thought.The liberal and radical thought of
European writers like Milton, Shelley, Bentham, Mill, Spencer. Rousseau
and Voltaire inspired the Indian intelligentsia with the ideals of liberty,
nationality and self-government and made clear to them the anachronism of
British rule in India.
The English language played an important role in the growth of nationalism.
It became the medium for spread of modern ideas. It also became the
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medium of communication and exchange of ideas between educated

Indians from different linguistic regions of the country.
x Role of press and literature: The emergence of the both English and
Vernacular modern press was another offshoot of British rule in India. The
Indian Press has played a notable role in mobilising public opinion,
organising political movements, fighting out public controversy and
promoting nationalism. Newspapers like the Indian Mirror, the Bombay
Samachar, the Hindu Patriot. The Amrita Bazar Patrika, The Hindu, The
Kesari, The Bengalee, The Hurkura, The Bengal Public Opinion, The Reis
and Rayet, The Somprakash, The Sulabh Samachar, The Sanjibam, The
Sadharm, The Hitavadi, Rast Goftar, The Indu Prakash, The Standard,
The Swadeshmitram, The Herald of Bihar, The Advocate of Lucknow etc.
in English and different Indian languages exposed the excesses of British
Indian administration apart from popularizing among the people the ideas of
representative government, liberty, democratic institutions, home rule and
independence. The growth of the Indian Press was phenomenal and by
1875, there were no less than 478 newspapers in the country.
National literature in the form of novels, essays and patriotic poetry also
played an important role in arousing national sentiments. Some of the
prominent nationalist writers of the period were-Bankim Chandra
Chatterjee and Rabindranath Tagore in Bengali, Lakshminath Bezbarua in
Assamese, Vishnu Shastri Chiplunkar in Marathi, Subramanya Bharathi in
Tamil, Bharatendu Harish Chandra and Prem Chand in Hindi and Altaf
Husain Hali, Mohammed Shibli Nomani and Mohammed Iqbal in Urdu. All
of them stressed upon the humanistic character, equality and freedom of all
individuals.
x Impact of socio-religious reform movements: The religious and social
reformers like Raja Ram Mohan Roy, Keshab Chandra Sen, Debendra
Nath Tagore, Ishwar Chandra Vidyasagar, Swami Dayanand Saraswati,
Ramakrishna Paramhans Vivekanand and others exercised a tremendous
influence on the people of India and they were responsible in different ways
in putting the people of India on the road to progress.
In the 19th century, educated-Indians began to examine afresh their
religious beliefs and customs and their social practices in the light of new
knowledge of western science and philosophy which they had acquired.
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The result was various religious and social reform movements in Hindu
religion like the Brahmo Samaj, the Prarthana Samaj, the Arya Samaj, the
Ramakrishna Mission and the Theosophical Society. Similar movements
reformed Muslim, Sikh and Parsi societies also.
In the religious sphere, the reform movements combated religious
superstition, attacked idolatry, polytheism and hereditary priesthood. In the
social sphere, these movements attacked the caste system, untouchability
and other social and legal inequalities. These movements were progressive
in character for they sought reorganisation of society on democratic lines
and on the basis of ideas of individual equality, social equality,
enlightenment and liberalism.
Most of the religious societies had no political mission, all the same
whosoever came under their influence rapidly developed a sense of self-
respect and spirit of patriotism. Since many reform movements drew their
inspiration from India’s rich cultural heritage, these promoted pan-Indian
feelings and spirit of nationalism.
x Influence of contemporary european movements: Contemporary
strong currents of nationalist ideas which pervaded the whole of Europe
and South America did stimulate Indian nationalism. A number of national
states came into existence in South America on the ruins of the Spanish and
Portuguese Empires. The American Revolution of 1776 infused strong
aspirations for liberation and nationalism. In Europe, the national liberation
movements of Greece and Italy in general and of Ireland in particular
deeply stirred the emotions of Indians. Indians were also greatly inspired by
the French Revolution, We find Surendranath Banerji delivering lectures on
Joseph Mazzini and the ‘Young Italy’ Movement organised by him. Lajpat
Rai very often referred to the campaigns of Garibaldi and the activities of
Carbonaris in his speeches and writings.
x Racialism: One unfortunate legacy of the rebellion of 1857 was the feeling
of racial bitterness between the rulers and the ruled. The Anglo-Indian
bureaucracy developed an attitude of arrogance and contempt towards the
Indians.
They called the Indians the creatures of an inferior breed, ‘half Gorilla, half
Negro.’ The Indians were frequently referred to as a nation of liars,
perjurers and forgers. The police and law courts were racially partial
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towards the Whites. One of the odious form taken by racial arrogance was
the failure of justice whenever an Englishman was involved in a dispute with
an Indian. Indians were kept out of exclusively European clubs, and in
public places benches were kept reserved against the Indian people.
Indians were often not permitted to travel in the same compartment in a
train with the European passengers. This made Indians conscious of
national humiliation and resulted in thinking of themselves as one people
when facing Englishmen.
x Economic exploitation: The destruction of the rural and local self-
sufficient economy and the introduction of modern trade and industries on
all-India scale had increasingly made India’s economic life a single whole
and interlinked the economic fate of people living in different parts of the
country.
All the intelligent Indians felt and bewailed the economic exploitation of
their country. The economic system of India was adjusted to the needs of
the people of England. AH tariff duties were abolished in 1879 with a view
to benefit Lancashire. In 1895, an excise duty of 5 per cent was imposed
on Indian cotton goods with a view to countervail similar tariff on
Lancashire goods imposed in the interests of revenue. The value of the
Indian rupee in terms of the English pound was fixed in such a way as to
help imports from England and discourage exports from India.
There was a lopsided development of the Indian economy, while Indian
handicrafts and industries were allowed to starve. Indian agriculture was
encouraged with a purpose. Most of the raw materials were produced in
the country so that those could be used to feed the industries in England.
That policy made India dependent on England. The free trade policy
helped the British manufacturers and sacrificed the interests of India. The
public debt increased tremendously. After 1858, the Crown took over the
entire debt of 70 millions from the English East India Company. Between
1858 and 1876, the public debt was practically doubled. Out of the
additional debt, only about 24 millions were spent on the construction of
railways and irrigation works. No proper use of the money was made
while constructing the railways.
The extravagant civil and military administration, the denial of high posts to
Indians, the ever-mounting ‘Home Charges’, and the continuous drain of
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wealth from India resulted in stagnation of Indian economy. The cumulative

effect was increasing misery for the people. Periodical famines became a
regular feature of Indian economic life. During the second half of the 19th
century, 24 famines occurred in various parts of India taking an estimated
toll of 28 V2 million lives. What is worse is that even during the famine
times, export of food grains from India continued.
The acknowledged high-priest of the ‘drain theory’ was Dadabhai Naoroji.
Indian nationalists like Romesh Chandra Dutt, G.K. Gokhale, Justice
Ranade, K.T. Telang etc., developed the ‘theory of increasing poverty in
India’ and attributed it to Britain’s anti-India economic policies. This
psychology developed a hatred for foreign rule and love for Swadeshi
goods and Swadeshi rule. The spirit of nationalism received a powerful
stimulus in the process.
x Ilbert bill controversy: Lord Ripon tried to remove some of the
grievances of India but before he could do so, the Ilbert Bill controversy
came to the fore. The Ilbert Bill was a simple measure whose object was
to put the Indian judges on the same footing as the European judges in
dealing with all cases in Bengal Presidency. This meant the possible trial of
Europeans by an Indian judge without a jury. This was considered to be
too much by the Europeans. The Bill raised a storm of agitation among the
members of the European community and they all stood united against the
Bill. Ripon had to modify the Bill which almost defeated the original
purpose. The Ilbert Bill Controversy proved an eye-opener to the Indian
intelligentsia. It became clear to them that justice and fairplay could not be
expected where the interests of the European community were involved.
Further, it demonstrated to them the value of organised agitation.
x Lord Lytton’s policies: The following short-sighted acts and policies of
Lord Lytton acted like catalyst and accelerated the nationalist movement.
o In order to gag the Indian public opinion, Lytton passed the notorious
Vernacular Press Act in 1878. The discriminatory provisions of this
Act were universally condemned by the people belonging to all walks
of life.
o The grand Delhi Darbar of 1877, held by Lord Lytton, when South
India was in the severe grip of famine, solicited the remark from a
Calcutta journalist that ‘Nero was fiddling while Rome was burning.’
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o The Afghan War cost the Indian treasury a lot, for which Lytton was
criticised mercilessly by the Indians.
o The maximum age limit for ICS Examination was lowered from 21
years to 19 years by a regulation of 1876, thus making it impossible
for Indians to compete for it.
o Lytton passed the Arms Act in 1878 which made an invidious
distinction between the Indians and the Europeans. While the
Europeans were allowed to keep arms freely, the Indians could not do
so without a licence. In the words of Surendra Nath Banerjee, the
Arms Act ‘imposed upon us a badge of racial inferiority.’
o Lord Lytton removed the import duty on cotton manufactures with a
view to help the British manufacturers and this was resented by the
Indians.
Role of Moderates and Extemists
Thesb Moderates (1885-1905)

Generally, the period between 1885 and 1905 is known as the moderate phase of
Indian National Congress. The leaders met at the end of each year for there days
(29th, 30th, and 31 st of December), which was a great political assembly and
social occasion. The President addressed the gathering with long speeches and after
discussing the various issues; they passed resolutions and dispersed, with pledges to
meet again in the same month, if not at the same place.
Leaders of moderate phase came mainly from Bombay, Bengal and Madras.·
For instance, Dada Bhai Naoroji, Badruddin Tayybji. Apte Agarkar, Pheroz Shah
Mehta, Gopal Krishna Gokhale, K.T. Telang and Govind Ranade were from
Bombay. Wumesh Chander Banerji, Anand Mohan Bose. Surendra Nath Banerji,
and Ramesh Chandra Dutta were from Bengal. Similarly, Subamanya Ayer, Anand
Charlu, and Raghavacharya were from Madras. Very few leaders like Madan
Mohan Malaviya and Pundit D.P.Dhar came from North India. These moderate
leaders treated British rule as a blessing. They sincerely believed that the British rule
would make India a developed democratic and liberal country. They had the illusion
that the British would introduce modem institution and remove superstitious believe.
They saw England as a source of inspiration and treated English as their political,
guru. Many of these Nationalist leaders had anglicised life style. All they wanted and
expected from the British were some ‘reform package’ for Indians.
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Lord Dufferin, the Governor- General (1884–1888), called Congress party as a

party of microscopic minority, which represents only a small section of Indians.
Since then, a debate started about the role, purpose and achievement of Indian
National Congress. Most of its critique, both in England and India, labelled
Congress as a congregation of middle-class Zamindars and capitallists. A very simple
look on the resolutions of Congress, from 1885–1905, is enough to prove that it
was not a party of microscopic minorities. The resolutions of the Congress can
broadly be divided into three categories-political, administrative and economic.
The Congress programme during the first phase (1885–1905) was very modest.
It demanded moderate constitutional reforms, economic relief, administrative
reorganization and defence of civil rights.
x Political demands
o To give greater power to the Supreme Council and local Legislative
Council.
o To allow the council to discuss on budget.
o To make the council more representative through local bodies like
Universities and Chambers of Commerce.
o To create the Legislative Assembly in Punjab, Awadh (NWP) and
North-west Frontier Province (NWFP).
x Economic demands
The Congress sessions, between 1855 and 1905, regularly passed
resolutions for the following:
o Reduction in land revenue and establishment of agricultural banks
o Cuts in home charge and military expenditure
o To end unfair tariffs and excise duties
o Enquiry into India’s growing poverty and famines
o More funds for technical education to promote Indian industries
o Protection and development for Indian industries
o Better treatment of Indian coolies abroad
o Changing forest laws, which deprived the tribal to use forest predicts
x Administrative demands
o Simultaneous examination for the I.C.S. in India and England.
o Rising of an Indian volunteer force.
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o Make administration more responsive to Indian needs.

o Separation of Judiciary from Executive.
o Extension of trial by jury.
o Higher Jobs in the army for Indians.
Analysis of moderates
Thus, it is clear that the Congress was not only concerned with the issues of
zamindars, capitalist and English educated professionals, but it showed concern for
almost all the sections of society. The objectives of Congress were never the reason
for calling it ‘moderate’, rather its methods and style of functioning. The early
Congress leaders believed in the constitutional method of struggle i.e., through
petitions, speeches, and articles. One important reason for this was the social
composition of early Congress leaders. They came from successful professional
background (most of them were lawyers, journalists and academicians) and their
personal life-style was anglicised. Perhaps the first lesson they learned from the
British was, how to write applications and give petition. Moreover politics, for most
of them, remained a part-time affair.
If we critically evaluate the work of the Moderates, it appears that they did not
achieve much success. Very few of the reforms advocated by them were carried
out. The foreign rulers treated them with contempt. The moderates failed to acquire
any roots among the common people and even those who joined the Congress with
high hopes were feeling more and more disillusioned. The politics of the moderates
was described as ‘halting and half-hearted.’ Their methods were described as those
of mendicancy or beggary through prayers and petitions.
Moderates failed to keep pace with the yearnings and aspirations of the people.
They did not realize that the political and economic interests of the Indians and the
British clashed and consequently the British people could not be expected to give up
their rights and privileges in India without a fight. Moreover, it was during this period
that a movement started among the Muslims to keep away from the Congress and
that ultimately resulted in the establishment of Pakistan. In spite of their best efforts,
the moderates were not able to win over the Muslims,
They succeeded in creating a wide political awakening and in arousing among
the Indians the feeling that they belonged to one common nation. They made the
people of India conscious of the bonds of common political, economic and cultural
interests and the existence of a common enemy and thus, helped to weld them into
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a common nationality. They popularised among the people the ideas of democracy
and civil liberty. They exposed the true character of British imperialism in India. They
successfully brought to light the most important political and economic aspect of the
Indian reality that India was being ruled by a foreign power for economic
exploitation. The agitation of the moderates in the economic field completely
undermined the moral foundations of British rule in India.
This was the seed-time of Indian nationalism. The moderates sowed the seeds
well and deep. They evolved a common political and economic programme which
united the different sections of the people. In spite of their many failures, they laid
strong foundation for the national movement to grow upon and they deserve a high
place among the makers of modern India
It is interesting to note that the early Congress leaders, who believed in
democratic ideals, did not demand similar rights from the party itself, nor did they
demand any self-government. The representation for the Indians in the legislative
bodies meant only ‘educated’ and ‘qualified’ Indians. In 1905, Gokhale in the
Presidential address of Indian National Congress asserted that the educated were
the ‘natural leaders of the people’ and explained that political rights were being
demanded, ‘not for the whole population, but for such portion of it as has been
qualified by education to discharge properly the responsibilities of such
associations.’
The social composition of Indian National Congress remained, by and large the
same till 1905. Hume, the Congress Secretary, tried his best to bring Muslims and
peasants into the Congress fold, but with little success. The Muslim elite, especially
from Aligarh, felt that they would lose from the elected councils and that the Hindus
would dominate (Hindus were in majority in most places). The Muslim elite also
opposed competitive examinations for the recruitment into civil services, as it was
based on modern English education and the Muslims were far behind the Hindus in
this field. They feared Hindu domination in the civil services too. All these factors
kept Muslims away from the Congress; neither did the Congress give a serious look
into inducting Muslims. This was a big mistake, as they realized in later years.
Despite all limitations, the moderates succeeded in making India politically
aware. The early moderate leaders succeeded in getting the Indian Council Act,
1892, passed. Under this Act, the number of elected members in Central Legislative
Council and the provincial Legislative Council increased. The Council acquired the
right to discuss on budget, but was not permitted to vote on it. Towards the end of
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the nineteenth century, the issue of ‘Swarajya’ started gaining attention in the
Congress circle. Finally, in its annual session of 1905 (Banares) and 1906
(Calcutta), under the presidentship of G.K. Gokhale and Dadabhai Naoroji,
respectively, the Congress party adopted the Resolution of ’Swarajya’ (Self-rule).
The Extremists
The closing decade of the 19th century and early years of the 20th century witnessed
the emergence of a new and younger group within the Indian National Congress
which was sharply critical of the ideology and methods of the old leadership. These
‘angry young men’ advocated the adoption of Swaraj as the goal of the Congress to
be achieved by more self-reliant and independent methods. The new group came to
be called the Extremist Party in contrast to the older one which began to be referred
to as the Moderate Party.
Growth of extremists
The militant form of Nationalism was firstly found in the teachings and preaching of
Bankim Chandra Chatterji and Swami Dayananda Saraswati. Bankim Chandra
Chatterji was inspired by Bhagavad Gita and visualised a united India through Sri
Krishna, who (according to Bhagvad Gila) established Dharam Rajya Gust rule)
after destroying evil. Vivekanand added spiritual dimension in the idea of
Nationalism. Bipin Chandra Pal called him the prophet of Nationalism. He inspired
the youth of his time, more than anyone else. The root of extremism lies in two
important factors-the policies of Colonial rule, and the failure of moderate leaders to
attract younger generation and Common people.
Factors for the rise of extremism

Following factors led to the rise of extremists:
x Enlightenment of the True Nature of British Rule.
x Civil Services Examinations was disallowed.
x Partition of Bengal.
x The Indian Council Act, 1892 failed to introduce an elective element in
India. It provided for selection of some members.
x Trial and conviction of many Nationalist leaders like Damodar, Balkrishna
(Chapekar Brothers) and Bal Gangadhar Tilak( on the killing of Rands ),
the Collector of Pune, and his associate Lt. Ayerst-Nathu and Hari were
detained without trial and their properties were attached; later, Vasudev
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Chapekar (brother of Damodar & Balkrishna) and Mahadev Ranade were

also hanged as they killed Dravid brothers-the witnesses in Damodar’s
trail.
x The Tariff and Cotton Duties Act of 1894 and 1896 were opted by the
Indians.
x Curbing Freedom of Press (1904) and controlling universities through
Indian University Act (1904
x Defeat of Russia (1904-05) by Japan, inspired the educated youth. A small
Asian country had defeated world’s largest country, that too of a white
race.
x Circulation of Vernacular newspaper were going up from 2,99,000 in 1885
to 8,17,000 in 1905. Some of the popular Journals like Kesari (Marathi)
and Bangabhasi (Bengali) opposed the moderate Congress.
x The Famine of Maharashtra in 1896.
Objectives and methods of extremists

The new turn in Indian politics found expression in two forms-the formation of the
Extremist group within the Congress and the growth of Terrorism or Revolutionary
movement in the country at large.
Four prominent Congress leaders-Lokamanya Tilak, Bipin Chandra Pal,
Aurobindo Ghosh and Lala Lajpat Rai, defined the creed of the new group, gave
articulate form to its aspirations and guided its operations. One of the earliest leaders
who criticised the moderate politics systematically, in a series of articles entitled
‘New Lamps for Old’ was Aurobindo Ghosh. He did not like constitutional method
of struggle based on English model and attacked the soft attitude of the Congress.
He told them not to take inspiration from England but to take inspiration from
French Revolution (17889) He also suggested bringing proletariat (working) class in
the national movement.
The emerging leaders in the Congress were not happy with the ‘prayers’ and
‘petitions’ methods. They were in favour of self-reliance, constructive work, mass
contact through melas, public meetings, use of mother tongue in education and
political work. Leaders like Bipin Chandra Pal, Ashwini Kumar Dutta, Lala Lajpat
Rai and Bal Gangadhar Tilak were of this view. They argued that ‘good government
is no substitute for self-government’. The issue of Swadeshi Movement widened the
gap between the moderates and the extremist. The extremists wanted to spread the
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movement in the entire country and complete non-cooperation with the Government.
Lajpat Rai and Tilak were more aggressive in their ideas and plan. Lajpat Rai
thundered ‘no national is worthy of any political status if it cannot distinguish between
begging rights and claiming them’. He further argued that ‘sovereignty rests with the
people; the state exists for them and rules in their name’.
But the true founder of militant Nationalism was Bal Gangadhar Tilak, a
Chitpavan Brahmin of Poona. He criticised the moderates in his unique style– ‘we
will not achieve any success in our labours if we croak once a year like a frog’.
He was quick to set the political goal of India-‘Swaraj’ or self-government
instead of reform in administration. He showed greater confidence and ability when
he declared’ Swaraj is my birth right and I shall have it’. He was a pioneer in many
ways. Used religious symbols and festivals like Ganesh festival since 1894, to
mobilize people and he made patriotic-cum-historical cult through Shivaji festival
since 1896, to inspire the youth. He even no-revenue campaign in 1896–97, during
severe famine in Maharashtra. He called upon the Government to take those
measures of relief, which were provided under law in the Famine Relief Code. Then,
through his paper, Kesari, he made an appeal to the people to refuse to pay taxes.
He wrote angrily ‘can you not be bold even in the grip of death’. He also started
Boycott Movement on the issue of countervailing cotton exercise of 1896.
It should be clearly understood that the extremists demand for Swaraj was a
demand for ‘complete freedom from foreign control and full independence to
manage national affairs without any foreign restraints.’ The Swaraj of the moderate
leaders was merely a demand for colonial self-government within the Empire. The
methods employed by the two groups (Moderates and Extremists) were different in
their tempo and approach. The extremists had no faith in the benevolence of the
British public or parliament, nor were they convinced of the efficacy of merely
holding conferences. The extremists also affirmed their faith in passive resistance,
mass agitation and strong will to suffer or make self-sacrifices. The new leadership
sought to create a passionate love for liberty, accompanied by a spirit of sacrifice
and a readiness to suffer for the cause of the country. They strove to root out from
the people’s mind the omnipotence of the ruler and instead give them self-reliance
and confidence in their own strength.
They had deep faith in the strength of the masses and they planned to achieve
swaraj through mass action. They, therefore, pressed for political work among the
masses and for direct political action by the masses.
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The extremists advocated boycott of the foreign goods use of swadeshi goods,
national education and passive resistance.
1. Which policy of expansion did the British follow? Write any one of the
two.
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2. What were the effects of direct British rule?

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16.3 INDIA’S STRUGGLE FOR INDEPENDENCE
It was a general belief held for a long time, both by scholars as well as commoners,
that the Indian National Congress was the handiwork of the British. It was
established to provide a ‘safety valve’ for their rule in India against the rising
discontent among the masses. The adversaries of Congress like Lala Lajpat Rai
propagated this more. But recent findings, based on Dufferin’s correspondence to
Hume and the activities of early Nationalists, have proved the ‘safety valve’ theory
is nothing but a myth.
The foundation of the Indian National Congress on December 28, 1885 at Sir
Tej Pal Sanskrit Vidyalaya, Bombay, was not a sudden event. In fact, the Indians
realized the need of a coordinated political party on an all India basis. It was as
Bipan Chandra rightly said, ‘the culmination of a process of political awakening that
had its beginnings in the 1860s and 1870s and took a major leap forward in the late
1870s and early 1880s.’ The Indian Nationalists attempted many times to form a
group of an all-India scale. Indian Association (founded in 1870) in fact organized
two National Conferences in Calcutta in 1883 and 1885. But only A. O. Hume, a
retired civil servant, succeeded in forming an All India Party with 72 delegates. It is
important to note that Hume was not the sole ‘soul’ in the foundation of an all-India-
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level party (which was not possible for one single person); rather, he took advantage
of an already existing atmosphere. Besides, he was more acceptable to Indians as he
was free of any regional or caste loyalties. The Indian leaders also had an illusion that
Hume had influence in official circle. But there is no denial of the fact that his
presence along with Wedenburn, created less suspicion in official circle about Indian
National Congress. Among its members were Pherozeshah Mehta, Badruddin
Tyabji, W. C. Banerji, Surendranath Banerji, Anandamohan Bose and Romesh
Chandra Dutt. This organization was by no means the first such association of the
Indian people. The English educated class in India was slowly becoming politically
conscious and several political associations were being formed between 1875 and
1885. Dwarkanath Ganguly of Calcutta, Ranade and G. V. Joshi of Poona, K. T.
Telang of Bombay and G. Subramaniya Iyer, Viraraghavachari of Madras were
already associated with regional political associations. The names of their
organizations were Indian Association, Poona Sarvajanik Sabha, Bombay
Presidency Association and Madras Mahajan Sabha, respectively.
The agenda of these associations was limited and far from the ideal of complete
independence. These associations were raising their voice against policies of the
colonial regime that might be inimical to the interests of Indians. The primary issues
of concern taken up by the early nationalists belonging to these associations were as
follows:
x Opposition to Vernacular Press Act (1878) and control over the press
x Opposition to Arms Act (1878)
x Cotton import duties to be made favourable for Indians
x Indianization of government services
x Opposition to Afghan policy of the British Government
x To support Ilbert Bill
What made the Indian National Congress different from the other associations
was its attempt to provide a common political platform for the people of India,
which enabled it to claim that it represented the country. Although the British
administrators attempted to play down the significance of the INC, it did manage to
reflect the aspirations of the people. Thus, the most important and the foremost
objective of this organization were to create the consciousness among the people of
belonging to a single nation. The task was daunting because of the existence of
diverse cultural, linguistic and religious traditions of the land. All the different forces
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had to be brought together against the common adversary, the British imperialism. At
first, the founders of the INC had hoped to influence the colonial government in
matters that affected the well–being of the country and specially its economic
upliftment. They expected that if the problems of the nation were brought to light
through proper propaganda, the colonial government would take steps to improve
matters. Thus, in the initial years through lectures, writings in newspapers, the
nationalists put forward the main problems of the nation and ways in which they
could be remedied. The most valuable contribution of the so-called ‘moderates’ or
the initial members of the Congress was to formulate an economic critique. Firstly,
Dadabhai Naoroji and thereafter other nationalists found that instead of bringing
about an industrial revolution, which the Indian intelligentsia was expecting, the
British rule was making the nation poorer and was destroying its indigenous
handicraft production. This discovery led to some disillusionment among the early
nationalists who had hoped that India would be modernized as a result of British
rule. The other concerns of the early Congress were as follows:
x The reform of Supreme and Local Legislative Councils with greater powers
for Indian representatives
x Indianization of the Civil Services with simultaneous examinations to be held
in England and India
x Changes in the forest laws that affected the Indian people
x Organization of campaigns against indentured labour in Assam tea
plantations
Slowly, there came to the fore other younger leaders who realized that colonial
rule would bring no positive gains for India and her people and the end of colonial
rule was the only way in which India can progress. Thus was born a new group of
leaders who condemned the ‘moderates’ for their methods of appeal and petition.
Aurobindo Ghosh, Aswinikumar Dutt, Lajpat Rai, B. G. Tilak were the new breed of
leaders who sought to generate mass support for their goal of Swaraj and Swadeshi.
One of the major objectives of the founders of the Indian National Movement
was to make India a nation and to create ‘Indian’ people. Earlier, India was merely
a geographical expression. The Nationalist leaders were aware about it. Tilak and
Surendra Nath Banerji had no hesitation in calling India as a ‘nation in the making’.
Thus, the growth of national feeling and unity of Indians was one of the greatest
objectives of Indian National Congress. The Congress, right from the beginning tried
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to remain an all India and secular political party. The Congress sessions were held
(every year) in different parts of the country on rotational basis and the President
was to belong to a region other than where the Congress session was being held.
For instance, the first session was held in Bombay and the President, Wumesh
Chandra Banerji, was from Bengal. Similarly, the second session was held in
Calcutta (1886) and the President, Dada Bhai Naoroji, was from Bombay
Presidency.
To win the confidence of the minorities, a rule was made at the 1888 session
(Allahabad) that no resolution was to be passed to which an over-whelming majority
of Hindu or Muslim delegates objected. Further, in 1889 session, a minority clause
was adopted, according to which wherever Parsis, Christians, Muslims or Hindus
were a minority, their number elected to the councils would not be less than their
proportion in the population. Another objective of the Indian National Congress, in
the beginning, was to create a common political platform so that political workers of
different parts of the country could gather and conduct their political activities. The
congress leaders also attempted to train, organize and consolidate the public
opinion. The question how far the congress succeeded in their objectives is dealt in
the next section on the moderate phase of the Congress.
Home Rule League Movement

Tilak (who served a jail sentence from 1908–1914) returned to the Congress, which
had now become more open to him after the disappointment of the Council elections
under the Morley-Minto reforms. By 1914–15, the swadeshi movement, the efforts
at council entry and influencing the administration from within and the revolutionary
movement had all spent themselves. It was a time for a new thrust to the national
movement that was to come from the Home Rule Movement of Annie Besant and
Tilak. Tilak (Figure 16.1) worked from within the Congress to set up a kind of
agitational network through his Home Rule League, which he set up in April 1916.
At about the same time, Theosophist leader Annie Besant rose to great prominence
and proposed to start agitation for a great measure of self-government for the
Indians. Besant also proposed to set up a Home Rule League in the country
modelled on the Irish Home Rule movement to spread awareness. Besant’s League
was set up in September 1916. Tilak’s League was active in Maharashtra and
Karnataka. Besant’s League, with its headquarters in Adyar, Madras had more of an
all India following. The activities of the Home Rule Leagues were to organize
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discussions and reading rooms in cities, to circulate pamphlets and conduct lecture
tours to sway public opinion. The Home Rule Movement never spelled out the goal
of complete independence; however, they did focus on the oppression of colonial
policy through its opposition to government policy, e.g., forest laws, liquor laws etc.
A new generation of leaders of the nationalist movement was formed during this time
and the focus of the movement shifted from Bengal and Punjab to Maharashtra and
the South. Many moderate Congressmen also joined the Home Rule movement.
However, the Home Rule movement came to an abrupt end after 1918.
Fig. 16.1 Balgangadhar Tilak
Important Points
The objective of Home Rule League were:
x Work for national education, social & political reforms.
x Tilak linked up the question of swaraj with the demand for the formation of
linguistic states and education in vernacular. He also used Home Rule to put
an end to caste. feeling among the common people and advocated
abolition of untouchability.
x Self Government for India in British Empire
x Tilak (April) and Annie Besant & S. Subramaniam lyer (September)
established Home Rule Leagues in 1916.
x Tilak’s League was to work in Maharashtra, Karnataka, Central Provinces
and Berar and Annie Besant’s in the rest of India.
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x Annie Besant set up the newspapers—New India, Commonweal and

Young India (1916)
x Tilak published—Mahratta & Kesari
x Jamnadas Dwarkadas, Shankarlal Banker, Indulal Yagnik, George
Arundale, B P Wadia and L. P. Ramaswamy lyer were in Besant’s League.
x Home Rule Movement declined after Besant accepted the proposed
Montford Reforms and Tilak went to Britain to fight the libel suit against
Valentine Chirol’s Indian Unrest.
Methods
x Create public opinion in favour of Home Rule through public meeting, also
organising discussions, reading rooms propangda through public meetings,
newspapers, pamphlets, posters, etc.
x Emphasis shifted to the masses permanently organizational link established
between town and country prepared a generation of ardent nationalists,
influenced Moderate-Extremist reunion at Lucknow (1916).
Results
x It discredited moderates of INC and created condition for readmission of
neo-Nationalists in 1916
x The movement marks the beginning for attainment of Swaraj.
x Education Programme
x Montague declaration of 1917—Greatest political achievement
Non-Cooperation Movement (1920)

After the Jallianwalla Bagh massacre, Martial law was imposed in Punjab. Inhuman
treatment was meted out to Indians e.g. men were made to crawl on their bellies in
the by-lane where a European woman had been attacked. Although the satyagraha
against the Rowlatt Act had been withdrawn, the feeling of resentment toward British
rule grew even more bitter. The Montague Chelmsford reforms of 1919 frustrated
the hopes of those who still had any faith in the colonial government’s intention for
bringing about reforms enabling Indians to participate in the government. At this
juncture, a large group of enlightened Muslim leaders emerged and they had a
special reason for discontent with the British government. The Muslims were
offended by the insensitive treatment of Turkey after the First World War. Muslims
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all over the world regarded the Caliph of Turkey as their spiritual leader and they
had been assured that the Caliph would be treated leniently after the defeat of
Turkey and its allies in the War. However, in the post-war treaty with Turkey, the
powers of the Caliph were severely curtailed. Matters came to a head when the
Hunter Committee that was appointed by the government to look into the Jallianwala
Bagh tragedy submitted its report. In this report, they upheld the action of General
Dyer and all other kinds of repression. This report enraged all the Indian leaders and
the moment was ripe for the next movement of protest. It was at this time that
Gandhi contemplated a non-violent non-cooperation movement. The non-
cooperation movement was an expression of the growing resentment of all classes of
the Indian people against oppressive British rule. Gandhi took up three specific
points on which the movement was initiated: (a) the Khilafat wrong, (b) the Punjab
wrong and (c) Swaraj. The call for non-cooperation first came from the All India
Khilafat Conference at Delhi on 22–23rd November 1919 at the initiative of the Ali
brothers (Mohammad and Shaukat). At the Allahabad meeting of the Khilafat
Conference, a programme of four-stage non-cooperation was announced–boycott
of titles, of the civil services, of the police and army and finally non-payment of taxes.
Thereafter, Gandhi began to urge the members of the Congress to give theirs support
to the movement. In the historical Calcutta special session in September 1920, the
Congress adopted a programme of giving up of titles, a boycott of schools, courts
and Councils and the boycott of foreign goods. This boycott would was supported
with the establishment of national schools and courts to resolve matters without
taking recourse to the judicial system of the government and the adoption of khadi.
In the Nagpur Congress of December 1920, veteran Congress leader of Bengal
Chittaranjan Das lent his support to the movement. Although the movement was
formally initiated on 1st August 1920, the Congress leaders support gave a new
impetus to it and from January 1921, it gained great strength. Within a month, a large
number of students left government aided schools and colleges and joined national
institutions that had been started in different parts of the country. Several well-
established lawyers like C. R. Das, Motilal Nehru, Saifuddin Kichhlu, Vallabhbhai
Patel, C. Rajagopalachari, Asaf Ali, etc., gave up their lucrative practices. This
sacrifice inspired the people. Boycott of foreign goods, picketing of shops selling
foreign cloth were other forms of protest. Charkhas began to be distributed and
handspun cloth became popular among nationalists. Nationalist newspapers held
advertisements inviting people to participate in bonfires of foreign goods. The value
of cloth exports fell to a great extent. Along with cloth shops, there was also for the
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first time picketing of liquor shops. To the alarm of the British government,
Muhammad Ali in July 1921 appealed to all Muslims in the British Indian army and
declared that they must consider it morally wrong to be a part of the British army
and that they should not continue in it. He was arrested at once. This call was taken
up by the Congress and Gandhi. A manifesto was issued calling all men (civilian and
soldier) to sever all links with the British Indian army. In the midst of this, the Prince
of Wales visited India in November 1921, and was greeted by a hartal in Bombay
where he landed. The hartal was also held in the rest of the country. Gandhi
addressed a huge meeting on the day of the Prince of Wales’ arrival and anti- British
feeling was so strong that a riot situation occurred when the people dispersing from
the meeting came across the others who had gone for the welcome procession of the
Prince. Gandhi had to go on a four-day fast to reduce tension. The non-cooperation
movement was gaining strength progressively. In Midnapur district of Bengal, a
movement was organized against Union Board taxes and a no-tax movement was
also organized in Andhra Pradesh. The refusal to pay taxes under the Gandhian
scheme was to be resorted to in the very last and most radical stage of the
movement. In the Awadh region of UP, the kisan movement was gaining ground
through the kisan sabhas, which were becoming more organized and a great threat
to British rule. The stand of the colonial government was also becoming more rigid.
The fall in cloth exports, the show of resentment from the students, lawyers,
government officials, workers, peasants, plantation workers and attempts to
influence the army finally led to the adoption of repressive measures against the
movement. Public meetings and assemblies were banned, newspapers repressed
and midnight raids were conducted at Congress and Khilafat offices.
The Congress under Gandhi’s guidance was beginning to chalk out a programme
of civil disobedience at Bardoli. This move was however cut short by a violent
incident at Chauri Chaura in Gorakhpur district of UP. A Khilafat and Congress
procession, on being confronted by some policemen, turned violent and attacked the
police. The policemen tried to take shelter in the police station; however, the
enraged mob set fire to it and hacked to death those policemen who came out to
escape the fire. Twenty-two policemen were killed. This incident occurred on the
5th of February and on the 12th, Gandhi withdrew the non-cooperation movement.
This withdrawal proved that at this stage Gandhi did not want to lead a movement,
which he could not control and it also proved that the nationalists would heed
Gandhi’s call, for though there were many who differed from him, no one thought of
defying his call for withdrawal.
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Struggles for Freedom Movement from 1922 TO 1947

With the ending of the non-cooperation movement, the Indian freedom struggle
entered into its next level, which can be discussed on the basis of the political events
that took place between 1922 to 1947.
Swaraj Party
Within the Congress party, there was a difference of opinion between those who
wanted to enter the legislative councils through the soon to be held elections, and
those who wanted to undertake Gandhian constructive work in villages and
preparing for the next step of the struggle. Rajagopalachari, Ansari and others
advocated rural constructive work while Motilal Nehru, Vithalbhai Patel and Hakim
Ajmal Khan wanted to enter the councils and disrupt the business of the government
through creating a deadlock in the system. Rajendra Prasad and Vallabhbhai Patel
supported the former view while C. R. Das adhered to the latter view. Das and
Motilal Nehru set up a Swaraj Party in 1923 to contest the elections. The ‘No-
Changers’, as the group of Gandhians was called, gained support with the release of
Gandhi from jail in 1924. However, the Congressmen could not be prevented from
standing in the elections though they were made to acknowledge the importance of
constructive work. The Congress candidates did win several seats in the elections
held in November 1924 in the Central Provinces and in Bengal. Initial efforts at
disrupting the processes of the Councils began, but whatever regulation the members
did not allow to be passed was pushed through by the special powers assigned to
the Governor exposing the limitations of the system of diarchy. Soon the elected
members began to lose direction and were slowly beginning to be absorbed in the
system. In Bengal, C. R. Das suddenly passed away causing a leadership problem
there. At this stage of the nationalist movement amidst political uncertainties and a lull
in the activities under the ‘mainstream’, Congress movement developed a far more
radical group of activists in the second phase of the revolutionary movement.
The Revolutionary Movement

The spontaneous upsurge of the non-cooperation movement released the great force
of India’s youth that were determined to wrest freedom. The youth of the country
had responded eagerly to the call of Gandhi and had participated in the non-
cooperation movement. The sudden withdrawal of the movement was a blow to
their aspirations. The secret samitis of the first phase of the revolutionary movement
began to be revived in Punjab and in Bengal. The Anushilan Samiti in Bengal was
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associated with Subhas Bose and the Yugantar Samiti with the J. M. Sengupta
group. There was considerable amount of political rivalry between these two
groups. Some smaller revolutionary groups began to be formed at about this time for
example the one under Surya Sen of Chittagong that developed along much more
radical lines. The most striking revolutionary action of the time was the murder of an
Englishman, Day, by Gopinath Saha in January 1924.
Saha had planned to kill Tegarb, the police Commissioner of Calcutta, and killed
Day by mistake. This incident resulted in the arrest of many nationalists. Another
centre of revolutionary ferment was northern India where Sachin Sanyal and Jogesh
Chatterji and others formed the Hindustan Republican Association in the United
Provinces and started raising funds through dacoities. The most renowned of which
was the Kakori train robbery in August 1925 that resulted in the arrest of several
members of the organization. This organization also established links with a group of
young men in the Punjab under the dynamic and brilliant student leader Bhagat
Singh. The Punjab group was deeply influenced by socialist ideology. Hence, the
organization was renamed Hindustan Socialist Republican Association (HSRA). The
aim of the revolutionaries was complete independence and they had a vision of how
the State should be after the achievement of the same. They envisaged a mass
struggle of the people and for this purpose, they tried to mobilize students, workers
and peasants.
Boycott of Simon Commission

Amidst this reformulation and resurgence of the revolutionary movement and the
subdued state of the mainstream movement was announced the Simon Commission
to formulate further constitutional reforms for India. The all-white commission did
not include any Indian and thus it was clear that the forthcoming reforms, if any,
would not fulfill the aspirations of the Indian people. Diarchy had already shown itself
to be a great farce with all the key decision-making powers still firmly in the hands
of the colonial government. The announcement of the all-white Simon Commission
sparked off widespread discontent and fanned the fires of the nationalist movement.
All shades of political opinion in India unanimously condemned the Commission, as
not a single Indian was included in it. The Indian response to the Commission was a
unanimous resolution by leaders of every shade of opinion to boycott it. All the
important cities and towns observed a hartal on the day that the members of the
Commission landed in India (3rd February 1928). There were mass rallies and
processions and black flag demonstrations against the Commission. ‘Go Back
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Simon’ was imprinted on banners, placards and even kites. Black flags were waved
at the Commission wherever it went. It is needless to say that police repression was
harsh and merciless and processions were attacked and not even the most
prominent leaders were spared. The most insensitive attack was on Lala Lajpat Rai,
one of the outstanding leaders of the extremist era in Lahore. This, now elderly,
leader was hit by lathis and he succumbed to this attack a few days later. The death
of Lajpat Rai created tremendous resentment against the British rule all over. During
this period, an important development within the Congress was the adoption of
Purna Swaraj or complete independence as its objective. Complete independence
meant a total severance from the British connection. As a result of the adoption of
the Purna Swaraj pledge, there was a rise of great expectations in the country and
similar independence pledges were taken all over the country on 26th January 1930.
There was unrest brewing in the country proof of which was a railway strike led by
the communists based in the Bombay-Nagpur region. The Congress led movement
started getting ready for a movement of civil disobedience that would include non-
payment of taxes in its extreme form. Congress legislators were instructed to resign
preparation for the next round of struggle. Gandhi however began with issuing an
ultimatum to the Viceroy Irwin on 31st January, which did not mention anything
about complete independence, or Purna Swaraj. The Eleven points were rather a set
of specific demands that the nation was making from the colonial government. One
of the demands was for the abolition of the salt tax and the government monopoly of
manufacture of salt. The demands also included 50 per cent reduction in land
revenue, protection of textiles, 50 per cent cuts in army expenses and civil service
salaries etc.
Civil Disobedience Movement

As there was no response to the eleven-point ultimatum, the movement of civil
disobedience was launched based on the issue of salt. Salt was an item of basic
necessity for all and any taxation on it would affect the poorest of the poor, thus salt
became the symbol of the deprivation and oppression of the Indian people. Both the
masses and the nationalist leaders began to identify with the issue. On the 12th of
March 1930, Gandhi accompanied by 72 of his followers at the Sabarmati ashram
began a march up to the sea at Dandi. The dramatic Dandi march (Figure 16.2)
drew a great response from people. Crowds of people greeted and followed the
marchers all along the way. Villagers’ spun yarn on charkhas, as Gandhi went past,
to show their solidarity to him. On 6th April, Gandhi reached the sea at Dandi and
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picked up a handful of salt at the seaside launching a countrywide civil disobedience

movement by breaking the salt law. All over India, people began the illegal
manufacture of salt. Through careful planning and large-scale recruitment of
volunteers, the movement spread from one part of the country to another, from
Madras to Maharashtra and from Bengal and Assam to Karachi. In the farthest
north, there was a massive demonstration at Peshawar. Khan Abdul Gaffar Khan
and his followers the Khudai Khidmatgars or the Red Shirts had been active here
doing constructive work for some years, and the response was tremendous. The city
came under the control of the masses for at least a week and the soldiers of the
Garhwali Regiment refused to fire at the unarmed crowds. Nehru’s arrest on 14th
April was followed by public protests in Madras, Calcutta and Karachi. The
colonial government was in a dilemma as they had not expected the salt satyagraha
to create such an upheaval. Finally, it decided to act and Gandhi was also arrested
in May that only resulted in further intensification of the movement. The most
important aspect of the civil disobedience movement was the widespread
participation the youth, particularly students and women. Women picketed liquor
shops and shops that sold foreign goods. The government started to issue
ordinances curbing the civil liberties of the people and civil disobedience
organizations began to be banned in the provinces.
Fig. 16.2 Gandhi Leading the Famous Dandi March
The Congress Working Committee was banned in June and the Congress
President Motilal Nehru was arrested. Local Congress Committees were also
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banned by August. A number of local issues also become a part of the civil
disobedience movement. In the midst of government repression and the
intensification of the- movement, the Simon Commission report was published and
there was no suggestion that India might be given dominion status. This resulted in
turning the most moderate of Indian political opinion against the British. The Viceroy
then extended the invitation for a Round Table Conference and reiterated the
intention of discussing the award of Dominion Status. Motilal and Jawaharlal Nehru
were taken to Gandhiji to discuss the offer. However, no headway could be made
between the Congress and the government. The First Round Table Conference was
held in London in November 1930 between the Indian leaders and the British but
the Congress was not represented. However, it was evident that in any negotiation
involving the British and Indian leaders on an equal footing, the absence of the
Congress would fail to bring any results. The next Conference was scheduled to be
held in the next year. The Government released Gandhiji on 25th January 1931; all
other members of the Congress Working Committee were also released
unconditionally. The Congress was asked to deliberate on the Viceroy’s offer to
participate in the next Round Table Conference. After a lot of deliberation and
discussions with the delegates of the First Round Table Conference, the Congress
assigned Gandhi the task of negotiating with the Viceroy. The discussions between
Gandhi and Irwin went on for a fortnight. Finally, on 5th March 1931 the Gandhi-
Irwin Pact was signed.
The terms of the Gandhi-Irwin Pact were as follows:
x All people arrested for non-violent protest were to be released immediately.
x Fines that had not been collected were to be remitted.
x Confiscated land that had not been sold off yet was to be returned to
peasants.
x Government employees who had resigned were to be treated leniently.
x Villages along the coast were to be given the right to make salt for
consumption.
x The right to peaceful and non–aggressive picketing was granted.
On its part, the Congress agreed to withdraw the civil disobedience movement
and also agreed to participate in the next Round Table Conference. Many among
the nationalist leaders perceived this agreement as a temporary truce. However,
many were not convinced of the necessity of this settlement. This gave rise to the
436
renewed activities of the revolutionary secret societies and the more radical
communist movements. Bhagat Singh, Sukhdev and Rajguru were executed at this
time as the communist movement spread throughout the country. The Congress in
the Karachi session in March 1931 while reiterating the goal of Purna Swaraj, also
in the same breath endorsed the Delhi Pact between Gandhi and Irwin. Although the
Delhi Pact had made no mention of independence, the Congress at Karachi was
preparing for the framing of India’s Constitution and it adopted resolutions on
Fundamental Rights and a National Economic policy. This resolution was one of the
landmarks of our constitutional history, where the civil liberties of free speech, free
press and freedom of association was worked out. Neutrality in religious matters,
equality before law, universal adult franchise, free and compulsory primary education
and many other provisions anticipated constitutional provisions of free India. Gandhi
set off to attend the second Round Table Conference in August 1931. Meanwhile
the British Government’s stand was hardening in Britain and in India. Irwin was
replaced by Willington and the favourable attitude of the Home Government had
also changed. As a result, not only did Gandhi gained nothing from the discussions at
the Round Table, but on his return in December 1931, he found that new Viceroy
did not wish to meet him. It was as if the colonial government was regretting that
they had put the Congress at an equal footing with themselves by making an
agreement with them. The government had also arrested Jawaharlal Nehru and had
repressed the movement of the Khudai Khidmatgars in the North West Frontier
Province by arresting their leader Abdul Ghaffar Khan. Under these circumstances,
the Congress decided to resume the civil disobedience movement on the eve of
which Gandhi had requested to meet the Viceroy to negotiate peace and the Viceroy
refused. The colonial government thereafter launched a severe offensive the first step
of which was to arrest Gandhi in early January and a total curtailment of the civil
liberties of the people. This was followed by the government getting the right to
appropriate property and detains the people. Armed with this power, the
government put all the prominent leaders of the Congress behind bars.
This was followed by a massive reaction by the people. Thus, mass
demonstrations, picketing of liquor shops and those selling foreign goods, ‘unlawful’
gatherings etc occurred in a large scale, which was followed by severe repression by
a government that was in no mood to come to an understanding with the nationalists.
Jails were filled, the Congress was banned, Gandhian ashrams were occupied by the
police. Processions were beaten up, and scattered people, who refused to pay
taxes, were beaten and jailed and their properties attached. The people of the
437
country with most of the leaders in jails and on their own initiative with ruthless rep
from the government managed to sustain this civil disobedience for more than two
years. Finally, in April Gandhi withdrew the movement. This movement exemplified
the moral strength of the common people or India and the stronghold of Gandhi as
a national leader. Even at this stage, the leaders and the people alike, in spite of
difference in opinion, obeyed his decisions regarding the continuance of a movement.
Revolutionary Movements and Rise of the Left

The years between 1930 and 1934 were also marked by an unprecedented
explosion of acts of revolutionary terrorism with its focus in Bengal and Punjab. A
total of 92 incidents were reported in 1931 itself that included 9 murders. Exemplary
among them was the Chittagong Armory Raid. In Chittagong, a group of
revolutionaries under Surya Sen captured the local armoury, issued an Independence
Proclamation in the name of Indian Republican Army and put up a brave fight with
the British in the hills of the countryside for several days. The number of terrorist
cases kept rising in spite of severe repression by the colonial administration. The
HSRA had also become very active in the Punjab with 26 incidents reported in 1930
alone. The freedom struggle was never confined to the single path of Gandhian
satyagraha. It contained the very violent and extremist revolutionary movement. It
also comprised of the socialist ideology that came to India after the Russian
Revolution. It also included a military offensive. These different strands of the
movement were by no means isolated. Most of the revolutionaries had participated
in the Gandhian non-cooperation movement. In fact, the Chittagong armoury was
seized amidst cries of ‘Gandhi Raj has come!’ Chandrashekhar Azad and Bhagat
Singh’s revolutionary groups adopted socialism, as did sections of the Congress
under Jawaharlal Nehru and Subhas Bose.
Socialism combined the freedom struggle with a clear-cut agenda of social
equality through organized mass movements that helped to mobilize the working
class. The initiative of working out the ideology of the communist movement in India
was taken up by eminent men like M. N. Roy who interpreted Marxism and the
ideas of Lenin to fit the Indian context. Seven Indians including Roy founded the
Communist Party of India at Tashkent in October 1920. Slowly the idea of
Communism found favour among many Indian intellectuals and even members of the
Congress.
Subhas Chandra Bose was a unique personality influenced by a wide variety of
ideologies and epitomized the spirit of the nationalist movement from non-
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cooperation through giving up of government posts, to the revolutionary extreme, up

to the ideas of socialist thought and finally choosing the courageous option of military
offensive. Bose straddle all these different strategies and proved that there was in
essence no basic conflict between the different visions of freedom at work within the
nationalist movement.
Participation of Congress in Legislatures

The Government of India Act that extended some concessions to the nationalist
movement by introducing more autonomy to the elected members in the legislatures
of the provinces was passed in 1935. This Act also extended the voting rights to a
greater percentage of the Indian People. The British after introducing the 1935 Act
announced the holding of elections to the provincial legislatures in early 1937. After
the resolution of the dilemma within the Congress, it took part in the electoral
process and did very well. The Congress had absolute majorities in five out of the
eleven provinces. This win encouraged the nationalist movement with students,
peasants and the working class. They all made their presence felt and soon there
were movements among these classes even in the Princely States that were outside
the full control of the colonial State.
Congress governments in different provinces remained in office for over two
years and undertook various measures in the interest of various sections of the
people. Reduction in rent for the peasantry, release of political prisoners and the
lifting of restriction on the press were some of the steps taken by the Congress
governments. But above all, it indicated that the Indian people were capable to
governing themselves. Towards the end of 1939, all the Congress governments
resigned. The Second World War broke out in 1938 and the Viceroy unilaterally
declared that India, as a British colony, was a party to the war on the British side. As
a mark of protest against this decision, the Congress high command instructed all the
Congress governments to resign.
With the resignation of the Congress ministers, an important phase in the national
movement came to an end. As a result of the non-cooperation and civil disobedience
movements, the national movement had reached out to new areas and groups. This
led to an erosion of the British control from the minds and hearts of the people. The
effective running of the government by the congress in the provinces undermined the
British control further. The Second World War created a new crisis for the British.
The War created a new demand for various commodities like clothes and food for
the soldiers. These demands could only be met through extractions from the society.
439
This added to general resentment against the British and weakened their support
base further. To take an example, as a part of the requirement for the war, large
quantities of foodstuffs had to carry out of Bengal. This resulted in a severe famine
in Bengal and over three million people died due to starvation. Thus, the situation
created by the Second World War created tremendous hardships for the people. It
also created an unprecedented crisis for the British rule in India.
August Offer (1940)

Meanwhile, a change of government took place in Britain in May 1940 and Winston
Churchill became the Prime Minister (1940–1945). The fall of France temporarily
softened the attitude of the Congress. Britain was in immediate danger of Nazi
occupation. Gandhi wrote on June 1, 1940, ‘We do not seek our independence out of
British ruin’. As the war was taking a menacing turn from the allies’ point of view, the
Congress offered to cooperate in the war effort, if at least a provisional National
Government was constituted at the Centre and the right of India to complete
independence was acknowledged by Great Britain. The Government’s response was
a statement of the Viceroy on August 8, 1940, known as the August Offer. It referred
to the need to consult representatives of ‘several communities’ and it was made clear
that the British would not transfer responsibilities ‘to any system of government’ whose
authority is directly denied by large and powerful elements in India’s national life. This
in effect conceded one of Jinnah’s central demands since the outbreak of the war; not
only was the League sole spokesman for India’s muslims, there was to be a kind a
League’s veto on future constitutional changes. Meanwhile, the British Government, it
was mentioned, would welcome the efforts of ‘representative Indians themselves’ to
reach a basis of friendly agreement. They hoped that immediate effect would be given
to the enlargement of the Central Executive Council by nominating additional Indian
members and to the establishment of a War Advisory Council comprising
representatives of British India and the Indian states.
The August Offer shocked nationalists, and Gandhi at last sanctioned Civil
Disobedience, but of a peculiarly limited and deliberately ineffective kind. The
Congress started Individual Satayagraha.
The first man to court arrest was Vinobha Bhave, the Bhoodan leader. He was
followed by Jawaharlal Nehru, who, in November, was sentenced to four years of
rigorous imprisonment. Others, such as Vallabh Bhai Patel and Maulana Azad also
participated in this Satyagraha. Nearly 20,000 Congressmen courted arrest during
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the year 1940–1941. However, the movement petered out by the autumn of
1941.
It was decided that if the government did not arrest a satyagrahi, he or she
would not only repeat the performance but would also move into the villages and
start a trek towards Delhi, thus participating in a movement that came to be known
as the Delhi Chalo movement.
The aims clearly were not to cause any serious embarrassment to the British, but
merely to register the presence of the Congress and hostility to a war being waged
without consulting Indians, while giving Linlithgow no opportunity for a major
crackdown. At the same time, it also aimed at giving the British Government further
opportunity to peacefully accept the Indian demands.
Cripps Mission (1942)

As the war came near India (Singapore fell on February 15, 1942, Rangoon on
March 8 and the Andaman islands on March 23), the British at last felt obliged to
make some gestures to win over Indian public opinion. Roosevelt raised the question
of Indian political reform in his talks with Churchill in Washington in December
1941. On January 2, Indian liberal leaders like Sapru and Jayakar appealed for an
immediate Dominion status and expansion of the Viceroy’s Executive into a National
Government. In February, Chiang Kai-Shek during his visit to India, publicly
expressed sympathy for India’s aspirations for freedom. All this provided an opening
for relatively pro-India groups, particularly Labour members of War Cabinet like
Cripps and Attlee in Britain, to persuade the War Cabinet in the first week of March
1942 to agree to a draft declaration promising post-war dominion status with the
right of secession, a constitution-making body elected by provincial legislatures, with
individual provinces being given the right not to join it, and with states being invited
to appoint representatives. A clause invited ‘immediate and effective participation of
the leaders of the principal sections of the Indian people in the counsels of their
country’ on urgent issues but insisted that the British during the war would have to
retain ‘the control and direction of the defence of India’. The declaration was not
published immediately, but Cripps went to India on March 23 to negotiate on its
basis with Indian leaders.
Negotiations between Cripps and the Congress leaders broke down. The
Congress objected to the provision for Dominion status rather than full
independence, the representation of the princely states in the constituent assembly
441
not by the people of the states but by the nominees of the rulers, and above all by
the provision for the partition of India. The British Government also refused to
accept the demand for the immediate transfer of effective power to the Indians and
for real share in the responsibility for the defence of India. Gandhi urged the
Working Committee to reject the ‘post dated cheque’. The reason for the failure
was that Cripps was asked not to go beyond the draft declaration. Moreover,
Churchill, the Secretary of State, Amery, the Viceroy, Linlithgow and the
Commander-in-Chief, Wavell, did not want Cripps to succeed, and constantly
sabotaged his efforts to accommodate Indian opinion. Cripps left behind a frustrated
and embittered Indian people.
Quit India Movement

In these circumstances, a constantly declining support base of the British, Mahatma
Gandhi decided to launch a final offensive against the British rule. Thus began the
famous Quit India movement in August 1942.
Following were the reasons for the outbreak of the movement:
x There was anger and hostility towards meaningless war especially when
thousands of wounded soldiers returned from Burmese war.
x Prices of food grains were rising up—almost 60-point rise in eastern UP
between April and August 1942. There was also shortage of rice and salt.
x The majority of British, American and Australian soldiers stationed in India
ill-treated Indians; many of them even raped Indian women.
x The boats of common men, in Bengal and Assam, were seized and de-
stroyed due to the fear of Japanese attack in Bengal and Assam. ‘To
deprive people in East Bengal of boats is like cutting off vital limbs’ (Gandhi
in Harijan, May 3, 1942).
x During the crisis of food grains, the Indian market was left in the hands of
black marketers, and profiteers, which affected the poor most, espe-cially
in eastern India.
x The war made some traders and capitalist fat but a large section of Banias
and Marwaris started loosing in Malaya and Burma from mid-1942
onwards. The capitalist element in the Congress Working Commit-tee took
notice of it.
442
x The success story of Japanese in South-East Asian countries demystified

the superiority of Europeans especially English.
The condition in India, thus, in mid-1942 was that of chaos. Even the ever-
patient-looking Gandhi was becoming impatient and he was in a different and militant
mood. He urged the British, ‘This orderly disciplined anarchy should go, and if as a
result there is complete lawlessness I would risk it.’ Congress leaders met at Wardha
in mid-July to discuss the course of action and on August 8, 1942 Quit India
Resolution was passed by the Bombay session of the AICC. The leaders made an
enthusiastic call for ‘mass struggle on non-violent lines on the widest possible scale’.
In his famous ‘do or die’ speech, Gandhi declared, ‘let every Indian consider himself
to be a free man. Mere jail going would not do.’ Interestingly, Jawaharlal Nehru,
Bhula Bhai Desai and Rajgopalachari opposed Quit India Resolution. Though,
Nehru, as always, fell in line and moved the Quit India Resolution, which had the
following conditions:
x Immediate end to British rule in India. The British were told in clear ever
term—‘Quit India’.
x India is committed to defend itself against all types of Fascism and
Imperialism.
x A provisional government of India after British withdrawal.
Apart from formal resolutions, Gandhi, in an informal way at Gowalia Tank
Ground (Bombay), directed at various sections of society.
1. To the students—If ready for sacrifice and confident, leave studies.
2. To the peasants—If zamindars are pro-government, do not pay rent.
3. To the soldiers—Do not open fire on fellow countrymen.
4. To the Government Servants—Do not resign but oppose the Government
from within.
5. To the Princes—Support the masses and accept sovereignty of your
people.
6. To the people of Princely states—Support the ruler only if he is anti-
government and declare your state to be a part of the Indian nation.
The government took no time in taking decision and arrested most of the leaders
on August 9, 1942 including Gandhi. The sudden crackdown of the people
produced spontaneous reaction among the people.
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In this movement, no demands were made from the British. They were simply
asked to quit India. The British retaliated to Gandhi’s call to ‘Quit India’ by arresting
him and all the members of congress working committee. The news of the arrest of
Congress leader angered the people further who came out on the streets and
attacked the British government which way they could. In the absence of their
leaders, people became their own leaders and attacked, looted and destroyed
government property. The government dealt with the movement with severe brutality
and many people were killed in police firing. In the end of British government was
able to suppress the movement only with the help of large-scale killings and arrests.
According to official figures, the number of people arrested by the end of 1943 was
well over 91,000. Although the movement had been suppressed, it became very
clear to the British government that they would not be able to hold on to India for
long. The British themselves had realized it. Until now, they had ruled the country
with the help of a support system that they had built in India since the 19th century.
This support system had been eroded by the national movement through a series of
struggles. Without the help of various sections of Indians (peasants, workers, middle
classes, rich people, police and army among others) it was not possible for the
British to rule India. Once the British realized this, they began to prepare for a
gradual and peaceful withdrawal from India. From 1944–45 onward, they released
all the Congress leaders and initiated a process of negotiations for a transfer of
power from British to Indian hands. And so it was that India became free in August
1947. The attainment of freedom was a matter of great joy for Indian people. Indian
people had won their battle against mighty British imperialism. But it was not an
absolute victory. Along with the freedom India came the partition of the land in two
nation states-India and Pakistan. The British government had always tried to prevent
a unity of the Indian people. They had never agreed that all the Indian people were
one with common interests. And so, when they left India, they decided to divide the
country on the basis of religion. The Partition of India was also accompanied by
communal violence at a very large scale. The year 1947 is a very important phase in
the history of India. It was a year of triumph of Indian people as they achieved their
freedom from foreign rule. But it was also the year of a great tragedy for the unity of
Indian people as the country was partitioned into two separate nation-states.
Growth of Communal Politics

In India, there emerged a kind of communal politics, which was based on certain
factors. Let us discuss them one by one.
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Seeds of Communalism
Communalism is basically an ideology. It is the belief that in India Hindus, Muslims,
Sikhs and Christians are from different and distinct communities. Inherent in
communalism is the second notion that the social, cultural, economic and political
interests of the followers of one religion are dissimilar and divergent from the
interests of the followers of another religion. When religious ‘communities’ are seen
to be mutually incompatible, antagonistic and hostile communalism is said to be at its
apex. Thus, at this stage, the communalists assert that Hindus and Muslims cannot
have common secular interests, and that their secular interests are bound to be
opposed to each other.
To look upon the communal problem in India merely as the Hindu-Muslim
question or of religious antagonism between the Hindus and the Muslims is
misleading. Apart from the Hindus and the Muslims, there was third party in the
Communal triangle—the British rulers who interposed themselves between the
Hindus and the Muslims and thus, created a communal triangle of which they
remained the base.
Anti-Muslim British Policy

The strongest arm of the communal triangle was the British rulers. They were neither
the true friends of the Muslims, nor the foes of the Hindus; they were the true friends
of British Imperialism and acted on the tested and tried maxim Divide and Rule.
Until the seventies of 19th century, it suited the imperial interest to support the
Hindus and they did it. The early British economic and educational policies benefited
the Hindus more than the Muslims. The result of these policies was the catastrophe
of 1857. Even before the Mutiny of 1857, the Muslims had revolted against the
British Government under the Wahabi leaders.
The British Government ruthlessly suppressed the movement; but it manifested
itself in the form of the Mutiny. The prime movers in the Mutiny of 1857 were the
Muslim Wahabis. As the British considered the Muslims to be responsible for the
Mutiny, they were treated very severely after 1858.
However, a change in British policy is perceptible towards the 1870s. The
Hindus, politically more advanced than the Muslims, demanded more share for
Indians in higher services, agitated for grant of political rights, introduction of
representative government, etc. The Hindu posed a serious menace to the stability of
British rule in India than the politically, economically and educationally backward
445
Muslims. This marked the beginning of a change in British policy towards the two
communities. W. W. Hunter’s book, The Indian Mussalmans (published in 1871)
described ‘the Muslims too weak for Rebellion’ at pleaded for a change of official
attitude towards the Muslims community. Mr. Theodore Beck, the first British
principal of the newly started Mohammedan Anglo-Oriental College at Aligarh,
played a notable role in mobilizing Muslim opinion and influencing British policy
towards the Muslims.
Role of Sir Saiyed Ahmad Khan

Saiyed Ahmad Khan (Figure 16.3) became a staunch opponent of the Indian
National Congress; he fell into line with the British imperialists.
Principal Beck was able to convince Sir Saiyed Ahmad Khan became the great
leader of the Muslims, that ‘while an Anglo-Muslim alliance would ameliorate the
condition of the Muslim community, the nationalist alignment would lead them once
again to sweat, toil and tears.’
Fig. 16.3 Sir Saiyed Ahmad Khan
Saiyed Ahmad Khan started his political career as an advocate of Hindu-Muslim

unity. He had described the Hindus and Muslims as ‘two eyes of the beautiful bride
that was India.’ He had declared in 1884 at Gurdaspur that the Hindus and Muslims
should try to become of one heart and soul and act in unison. ‘If united, we can
446
support each other. If not, the effect of one against the other would tend to the
destruction and downfall of both,’ he said.
Contrast with this, Sir Saiyed’s speech at Meerut on 16 March 1888, where he
maintained that the Hindus and Muslims were not only two nations, but as two
warring nations who could never lead a common political life, should ever the British
quit India. The Muslim demand for separate electorates almost synchronized with
the introduction of the system of election in the constitution of local bodies. Speaking
in the Central Legislature in January 1883 on Ripon’s Bill for establishment of local
self-government in the Central Provinces, Khan referred to the vital difference
between different between races and different religions and the unequal or
disproportionate progress of education among different sections of the population.
He said that the fear that any system of election, pure and simple, would result in the
larger community overriding the interest of the smaller community. A true devotee of
the Muslim cause, Saiyed Ahmad Khan was fully aware of Muslim backwardness in
the fields of education and politics and came to the conclusion that India was not fit
for the introduction of Western political institutions like representative or responsible
government, for his community could not get its due share in it. His policy was based
on fear of permanent domination of Muslims by Hindus educationally, economically
and politically.
The Anglo-Indian administrators were quick to work on Muslim apprehensions
and strove to drive a wedge between the Hindus and the Muslims. The three English
principals of the Mohammedan Anglo-Oriental College, Beck, Morrison and
Archbold, gave the pro-British and anti-Hindu bias to the Aligarh Movement. The
Aligarh Movement worked to instil into the minds of the Muslims a spirit of loyalty
towards the British Crown and worked consciously and deliberately to keep them
away from the mainstream of Indian political life. In August 1888, Saiyed Ahmad
Khan set up the United Indian Patriotic Association with the avowed object of
countering the Congress propaganda and policy in England and in India. This was
followed a few years later (1893) by the exclusively sectarian Muhammadan Angi
Oriental Defence Association of Upper India to keep the Muslims aloof from
political agitation and to strengthen British rule in India.
Morley-Minto Reforms of 1909 and Communalism

The Morley-Minto Reforms introduced the system of separate electorate under
which all Muslims were grouped in separate constituencies from which Muslims
alone could be elected. This was done in the name of protecting the Muslim minority.
447
But in reality, this was a part of the policy of dividing Hindus and Muslims and thus,
maintaining British supremacy in India. The system of separate electorates was
based on the notion that the political and economic interests of Hindus and Muslims
were separate. This ‘notion was unscientific because religions cannot be the basis of
political and economic interest or of political groupings. What is even more
important, this system proved extremely harmful in practice. It checked the progress
of India’s unification, which had been a continuous historical process. It became a
potent factor in the growth of communalism–both Muslims and Hindus–in the
country. Instead of removing the educational and economic backwardness of the
middle class Muslims and thus, integrating them into the mainstream of Indian
nationalism, the system of separate electorates tended to perpetuate their isolation
from the eloping nationalist movement. It encouraged separatist agencies. It
prevented people from concentrating on economic political problems, which were
common to all Indians—Hindu or Muslim.
Communalism in Interpretation of Indian History

British writers on Indian history also served the imperial cause by initiating,
developing and emphasizing the Hindu-Muslim approach in their study of Indian
history and development of Indian culture. This communal approach to history also
imitated by Indian scholars and fostered the communal way of thinking. For
example, the ancient period of a history was described as Hindu Period and the
medieval period labelled as Muslim Period of Indian history, implying thereby that
religion was the guiding force behind politics during whole of the medieval period.
True, both the rulers and the ruled, not often used religious slogans to suit their
material and political ambitions, but it was certainly a distortion of history to infer-as
was done by these writers-that all Muslims were the rulers and all Hindus were the
ruled. In fact, the Muslim masses as poor, if not more, as the Hindu masses and
were thoroughly oppressed and exploited by the Muslim rulers and their Hindu
collaborators. All the same, this communal approach Indian history did foster
divisive communal tendencies in Indian politics in the last quarter of the 19th century
and first of the 20th century.
Militant Nationalism with Communal Overtone

Unfortunately, while militant nationalism was a great step forward in every other
respect, it was to some extent responsible for the growth of communalism. The
speeches and writings of some of the militant nationalists had a strong religious and
Hindu tinge. In their search for national heroes and hero myths, the militant
448
nationalists referred to Maharana Pratap, Shivaji and Guru Gobind Singh as national
heroes and the Muslim rulers like Akbar, Shahjahan and Aurangzeb as ‘foreigners’.
The straight logic was that Pratap, Shivaji and Gobind Singh were nationalists
because they were Hindus, and Mughal emperors were foreigners because they
were Muslims. In reality, struggle between Pratap and Akbar or Shivaji and
Aurangzeb to be viewed as a political struggle in its particular historical sitting.
Besides, it was too much to assume that nationalism of the 20th century existed in
the medieval period of Indian history. They emphasised ancient Indian culture to the
exclusion of medieval Indian culture. They tried to abandon elements of composite
culture. For example, Tilak’s propagation of the Shivaji and Ganapati festivals,
Aurobindo Ghose’s semi-mystical concept of India as mother and nationalism as
religion, the terrorists’ oath before goddess Kali and the initiation of the anti-partition
agitation with the dips in Ganga could hardly be attached to the Muslims.
This does not mean that militant nationalists were anti-Muslim or even wholly
communal. Most of them including Tilak, Lajpat Rai, Aurobindo and later Gandhiji
were strong believers in Hindu-Muslim unity. True, the references to Hindu theology
were intended to involve the politically inert masses into the nationalist struggle by
explaining to them nationalism couched in a language within their comprehension, i.e.,
religious phraseology, but it did have the undesired effect of rousing Muslim
communal susceptibilities-feelings cleverly exploited by the British rulers.
Economic backwardness: In the absence of any avenues of gainful
employment in trade and industry, the British Indian Government remained the
biggest employer to which the educated youth, hopefully, looked for their means of
livelihood. The rulers to promote rivalry and discord among different sections of
society cleverly used this enormous patronage in higher and subordinate service.
This led to demoralization and conflict and the government could play one group
against the other. Our nationalist leaders were fully aware of the mischievous
character of this bait, but the hunger, rather compulsion, for loaves and fishes
blinded them to its dangerous potentialities.
Foundation of the Muslim League

The separatist and loyalist tendencies among a section of the Muslim intelligentsia
and the big Muslim nawabs and landlords reached a climax on 30 December 1906,
when the All India Muslim League was founded under the leadership of the Aga
Khan, the Nawab of Dhaka and Nawab Mohsin-ul-Mulk. Founded as a loyalist,
communal and conservative political organization, the League made no critique of
449
colonialism, supported the partition of Bengal, raised the slogan of separate Muslim
interests, demanded separate electorates and safeguards for Muslims in government
services, and reiterated all the major themes of communal politics and ideology
enunciated earlier by Sir Ahmad and his followers. The aims of the League were as
follows:
x To promote among Indian Muslims feelings of loyalty towards the British
Government and to remove any misconception, that may arise, as to the
intentions of the Government with regard to any of its measures.
x To protect the political and other rights of the Indian Muslims and to place
their needs and aspirations before the Government in temperate language,
and
x So far as possible without prejudice to the objects mentioned under (i) and
(ii) to promote friendly relations between Muslim and other communities of
India.
Thus, from its very inception the Muslim League was a communal body
established to look after the political rights and interests of the Muslim community
alone. Its political activities were directed not against the foreign rulers but against the
Hindus and the National Congress. It, thus, played into the hands of the British who
announced that they would protect ‘special interests’ of the Muslims.
To increase its usefulness, the British also encouraged the Muslim League to
approach the Muslim masses and to assume their leadership. It is true that the
nationalist movement was as also dominated at this time by the educated town-
dwellers but in its anti-imperialism, it was representing the interests of all Indians-rich
or poor, Hindu or Muslim. On the other hand, the Muslim League and its upper
class leaders had little in common with the interests of the Muslim masses, who were
suffering as much as the Hindu masses at the hands of foreign imperialism.
This basic weakness of the League came to be increasingly recognized by the
patriotic Muslims. The educated Muslim young men were, in particular, attracted by
radical nationalist ideas. The militantly nationalist ‘Ahrar Movement’ was founded at
this time under the leadership of Maulana Mohammed Ali, Hakim Ajmal Khan,
Hasan Imam, Maulana Zafar Ali Khan and Mazhar-ul-Haq. These young men
disliked the loyalist politics of the Aligarh School and the big nawabs and zamindars.
Similar nationalist sentiments were arising among a section of the traditional
Muslim scholars led by the Deoband School. The young Maulana Abul Kalam
450
Azad, who propagated his rationalist and nationalist ideas in his newspaper Al Hilal,
which he brought out in 1912 at the age of 24, was also a prominent Muslim scholar.
In 1911, war broke out between the Ottoman Empire (Turkey) and Italy and
during 1912 and 1913, Turkey had to fight the Balkan powers. The Turkish ruler
claimed at this time to be also the Caliph or religious head of all Muslims; moreover,
nearly all of the Muslim holy places were situated within the Turkish Empire. A wave
of sympathy for Turkey swept India. A medical mission, headed by Dr. M. A.
Ansari, was sent to help Turkey. Since Britain’s policy during the Balkan War and
after was not sympathetic to Turkey, the pro-Turkey and pro-Caliph or Khilafat
sentiments tended to become anti-imperialist. In fact, for several years (from 1912
to 1924), the loyalists among the Muslims Leaguers were completely overshadowed
by nationalist young men.
Unfortunately, with the exception of a few persons like Azad who were
rationalists in their thinking, most of the militant nationalists among Muslim young
men also did not fully accept the modem secular approach to politics. The result was
that instead of understanding and opposing the economic and political consequences
of imperialism, they fought imperialism on the ground that it threatened the Caliph
and the holy places. Even their sympathy for Turkey was on religious grounds.
Moreover, the heroes and myths and cultural traditions they appealed, belonged not
to ancient or medieval Indian history but to West Asian history. It is true that this
approach did not immediately clash with Indian nationalism. Rather, it made its
adherents and supporters anti-imperialist and encouraged the nationalist trend among
urban Muslims. But in the long run, this approach too proved harmful, as it
encouraged the habit of looking at political questions from a religious point of view.
In any case, such political activity did not promote among the Muslim masses a
modem, secular approach towards political and economic questions.
The elections results were a great disappointment to the Muslim League and
Jinnah. It could not gain a majority even in the Muslim-majority provinces of the
Punjab and Bengal. Jinnah who had parted company with the Congress in 1928,
settled down in London in 1932 to practice law.
He returned to India in 1935 and led the Muslim League to the polls. The poor
election results convinced Jinnah that the only way to counteract the Congress was
to inflame communal feelings among the Muslims.
In Uttar Pradesh, the Congress rejected a demand for a coalition with the
Muslim League, which fanned the fires of Muslim frustration. Some of the Congress
451
leaders in Uttar Pradesh feared that if the Muslim League was brought into the
ministry the Congress agrarian programme would suffer. The Uttar Pradesh
legislature during the years 1937–46 justified the apprehensions of the Congress
leaders. The Congress stood for democracy, socialism and a common Indian
nationality, the League tried to promote the interests of only the Muslims in India.
Jinnah proclaimed that Muslims could not expect any justice or fair play at the
hands of the Congress. Through out the twenty-seven months of the Congress rule
in the provinces, the League kept up intense propaganda climaxed by the Pirpur
Report in the late 1938, the Shareef Report on Bihar in March 1939 and Fazul
Haq’s Muslim Sufferings under Congress Rule in December 1939. The charges
included failure to prevent encouragement of Hindi at the cost of Urdu and the
Wardha Scheme of Basic Education, which was ironically enough devised largely to
two eminent Muslim educationists, Zakir Husain and K. G. Saiyidin. The Congress
suggested an enquiry by Sir Maurice Gwyer, the Chief Justice of the Federal Court,
but the Muslim League turned down the proposal. Jinnah asserted that India was not
one nation, and that the Muslims of India constituted a separate nation, and
therefore, entitled to a separate homeland of their own.
The Muslim League propaganda gained by the existence of such communal
bodies among, the Hindus as the Hindu Mahasabha, They too accepted the two-
nation theory. They actively opposed the policy of giving adequate safeguards to the
minorities so as to renovate their fears of domination by the minorities. Interestingly
enough, the communal groups-Hindu as well as Muslims-did not hesitate to join
hands against the Congress.
Another characteristic feature the various communal groups shared was their
tendency to adopt pro-government political attitudes. It is to be noted that none of
the communal groups and parties, which talked of Hindu and Muslim nationalism,
took active part in the struggle against foreign rule. They saw the people belonging
to other religions and the nationalist leaders as the real enemies.
The communal groups and parties also shied away from social and economic
demands of the common people, which as we have seen above, were being
increasingly taken up by the nationalist movement. In this respect, they increasingly
came to represent the upper class vested interests.
Communalism also became, after 1937, the only political recourse of colonial
authorities and their policy of ‘divide and rule’. This was because, by this time,
nearly all the other divisions, antagonism and divisive devices promoted and fostered
452
earlier by the colonial authorities had been overcome by the national movement, and
had become politically non-viable from the colonial point of view, The Non-Brahmin
challenge in Maharashtra and South India had fizzled out. The Scheduled Castes
and other backward classes could no longer be mobilized against the Congress
except in stray pockets. The Right and Left wings of the Congress also refused to
split. Inter-provincial and inter-lingual rivalries had exhausted themselves much
earlier, after the Congress accepted the validity of linguistic states and the cultural
diversity of the Indian people. The effort to pit the zamindars and landlords against
the national movement had also completely failed. The elections of 1937 showed
that nearly all the major social and political props of colonialism lay shattered. The
communal card alone was available for playing against the national movement and
the rulers decided to use it to the limit, to stake all on it. They threw all the weight of
the colonial state behind Muslim communalism, even though it was headed by a
man, M. A. Jinnah, whom they disliked and feared for his sturdy independence and
outspoken anti-colonialism.
The outbreak of World War II in September 1939 further strengthened the
reliance on the communal card.
Jinnah’s Two-Nation Theory

The British Government harped on ‘the issue of minorities’ and some talked of the
unbridgeable gulf between the Congress and the Muslim League. Mahatma Gandhi
held that it was a domestic problem, which would disappear if the British withdrew
from India. At the Ramgarh session of the Congress, held in March 1940, Maulana
Abul Kalam Azad, the President, emphasised the heritage of a common nationality
between the Hindus and the Muslims in India and significantly remarked, ‘Whether
we like it or not, we have now become an Indian nation, united and indivisible’.
Various factors fanned communal bitterness and at its annual session, held at Lahore
in March 1940, the Muslim League enunciated the theory that the Muslims are not
a minority but a ‘nation’ and they must have their separate homeland. It was of the
view that ‘the areas in which the Muslims were numerically in a majority, as in the
north-western and eastern zones of India, should be grouped to constitute
independent states in which the constituent units would be autonomous and
sovereign’. Indeed, the influence of the Muslim League over the Muslims had
increased much by that time. Gandhi’s reaction to the Lahore resolution was
prophetic, ‘I can never be a willing party to the vivisection. I would employ every
non-violent means to prevent it. For it means the undoing of centuries of work done
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by numberless Hindus and Muslims to live together as one nation. Partition means a
patent untruth.’
Hindu Communalism
Simultaneously, Hindu communalism was also being born and Hindu communal ideas
were arising. Many Hindu writers and political workers enjoyed the ideas and
programmes of Muslim communalism and the Muslim League. From the 1870s, a
section of Hindu zamindars, moneylenders and middle-class professionals began to
arouse anti-Muslim sentiments. Fully accepting the colonial view of Indian history,
they talked and wrote about the ‘tyrannical’ Muslim rule in the medieval period and
the ‘liberating’ role of the British in ‘saving’ Hindus from ‘Muslim oppression’. In UP
and Bihar, they took up, correctly, the question of Hindi, but gave it a communal
twist, declaring totally unhistorical, that Urdu was the language of Muslims and Hindi
of Hindus. All over India, anti-cow slaughter propaganda was undertaken in the
early 1890s. The campaign was, however, primarily directed not against the British
but against Muslims; the British cantonments, for example, were left free to carryon
cow slaughter on a large scale.
Factors Leading to Independence and Partition of India

The result of so many political events was that many great political leaders jointly
tried to pave a final way for the attainment of India’s independence.
C. R. Formula (1944)
C. Rajagopalachari, realizing the necessity of a set-tlement between the Congress
and the Muslim League for the attainment of independence by India, evolved in
1944, a formula, called the C. R. Formula. Its main contents were as follows:
After the war, a commission shall be appointed to demarcate the boundaries of
the Muslim-dominated districts in the north-west and east of India. The people of
these districts shall decide, by plebiscite, the issue of separation from India.
The Muslim League should cooperate with the Congress in the formation of
provisional interim government for the transitional period.
In the event of separation, a mutual agreement shall be entered into between the
two governments for jointly safeguarding defence, commerce, com-munications and
other essential sectors, etc.
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Gandhi-Jinnah Talks (1944)

The talks began on September 9, 1944 in Bombay, and continued up to September
27, when Jinnah announced their termination and failure to reach agreement. Gandhi
maintained that since the ‘C R Formula’, conceded the substance of the Muslim
League demand, he wanted the League to renounce its Lahore Resolution, which, in
his opinion, was based on the two-nation theory. But Jinnah argued that Gandhi
(Figure 16.4) should accept this premise and recognize that Hindus and Muslims
were two independent nations.
Fig. 16.4 Jinnah and Gandhi Shearing Laughter
Desai-Liaqat Pact (1945)

Talks between Bhulabhai Desai and Liaqat Ali Khan, leaders of the Congress and
the League respectively, were meant to find a way out of the 1942–45 political
impasses. After Desai’s declaration at Peshawar on April 22, 1945, Liaqat Ali
published the gist of the agreement. According to it, the Congress and the League
would form the interim government at the centre on the following lines: (i) nomination
of equal number of persons by both in the central executive; and (ii) representation
of the minorities, in particular of the scheduled castes and the Sikhs.
Known as the Desai-Liaqat pact, it was never for-mally endorsed either by the
Congress, or by the League.
Wavell Plan and Simla Conference (1945)

After the failure of the Gandhi-Jinnah talks, Wavell, who succeeded Linlithglow as
Viceroy of India, was convinced that the initiative should come from the
Government. On 14 June 1945, new proposals were announced to introduce further
constitutional changes in India ‘within the framework of the 1935 Government of
India Act’. All the members of the Congress Working Committee were released and
455
Conference of representative political leaders was called. It was to be held at Simla

starting on 25 June 1945.
The proposals were conciliatory to some extent but unsatisfactory and
provocative in one respect. The Viceroy’s Executive Council was to be wholly
Indian, except for the Viceroy himself and the British Commander-in-Chief. The
Viceroy’s special powers would not officially lapse but an assurance was available
that they would not be used ‘unreasonably’. Thus, far it was some progress. Then
came the divisive characteristic. There would be equal proportions of caste-Hindus
and Muslims in the Council. This meant that the Muslim League’s demand for parity
on a communal basis had been endorsed for the first time in an official declaration of
British policy. A concrete outcome to the Wavell Plan was the summoning of the
Simla Conference.
The Simla Conference began on a note of optimism. Gandhiji, who had been
opposed to the Cripps Offer, felt that Wavell’s plan was sincere and would lead to
independence. Jinnah, however, ‘flatly refused to cooperate’, as Wavell later
reported. The Muslim League leader was determined to undermine the Conference
unless, it agreed to his own terms. These included the demand that Muslims not
belonging to the League could not be appointed to the Executive Council. Congress
President Abul Kalam Azad was firmly opposed to any such arrangement. He
thought that the Congress would be betraying its Muslim members if it accepted
Jinnah’s demand. Wavell would not proceed without obtaining Jinnah’s cooperation.
When it was withheld, the Viceroy announced the failure of the Conference. Jinnah
had, in effect, been given the power to veto over all negotiations, and he would use
or threaten to use this weapon again and again in the months to come. From this
point onward, the communal question dominated the struggle for freedom. Indeed,
the attainment of freedom was already certain; the conflict now was between those
who struggled to achieve a united and secular Indian state, and those whose rigid
sectarianism stood in the way of this accomplishment.
Cabinet Mission Plan (1946)

In the 1945 general elections of England, the Conservatives, under Churchill, were
routed by the Labour Party, under C. R. Attlee, who took over as the new prime
minister. Soon after Lord Wavell was summoned to London and informed that
Britain had made up its mind to quit India.
Later, in the same year (1945–46) elections were held in India also to the
provincial assemblies and the legislative assembly at the centre. In these gen-eral
456
elections, the Congress won 57 seats in the Central Legislative Assembly. The
Muslim League captured all the 30 seats reserved for Muslims. In the provinces,
while in 1937, the Congress had 714 seats, in 1946, it won 923. The League did
even bet-ter: in 1937, its representatives numbered a bare 109 out of the Muslim
quota of 492; in 1946, it won 425 seats, its percentage going up to 86.
On March 24, l946, a special mission of cabinet ministers consisting of Lord
Pethick Lawrences, Sir Stafford Cripps and A. V. Alexander came to India to help
her to achieve freedom as speedily as possible. The mission spent nearly five weeks
in discussions with the representatives of the Indian States as well as those of British
India. Finally, a conference of leaders of the Congress and League was begun at
Simla on May 5 to consider the grouping of provinces; character of the federal
union; and the setting up of a constitution-making machinery.
When the Congress and League differences were found to be irreconcilable, the
conference was closed. On May 16, the mission published a state-ment putting
forward their recommendations, which came to be known as the Cabinet Mission
Plan. Its main provisions were as follows:
1. A Union of India, comprising both British India and princely states, should
deal with three subjects, viz. foreign affairs, defence and communications.
2. It should have an executive as well as a legisla-ture.
3. All subjects other than the Union subjects and all residuary powers should
vest in the provinces of British India.
4. The princely states would retain all subjects other than, those ceded to the
Union.
5. Provinces should be free to form groups (sub-federal).
6. The constitution of the Union and the groups should contain a provision
whereby any province could by a majority vote of its legislative assem-bly
call for a reconsideration of the terms of the constitution after an initial
period of ten years.
7. The formation of a constituent assembly on the basis of the recently elected
provincial legisla-tures by allotting to each province a total number of seats
proportional to its population. Elections were to be held by a method of
proportional rep-resentation with single transferable vote.
457
8. To carry on the country’s administration while the constitution making was

proceeding, an interim government having the support of the major political
parties should be set up.
The proposed Constituent Assembly was to consist of 292 members from
British India and 93 from the Indian States. The British India members were to be
divided into 210 General (viz., all those who were not Muslims or Sikhs), 78
Muslim and 4 Sikh seats. In the preliminary meeting, the Assembly was to elect not
only a Chairman and other office bearers, but also an advisory committee. Next it
divided itself into three sections consisting of groups of Provinces A, B, C.
Provinces, thus, put in group ‘A’ were Madras, Bombay, the United Provinces,
Bihar, the Central Provinces and Orissa, Group ‘B’ consisting of Punjab, the North-
West Frontier Province and Sind; and Group ‘C’, Bengal and Assam.
Further, it was provided that any decision about the secession of any province
from a group would be taken by the legislature of that province after the first general
election under the new constitution.
Both the Congress and the League were quite ambivalent in their reaction to the
Cabinet Mission proposals. In addition, about the issue of filling posts in the
proposed interim government, there was more dis-agreement.
Thus, the Cabinet Mission got exasperated in its attempts to find a meeting
ground between the two major political parties. For members of the Mission could
satisfy neither the Congress nor the League. Finally, they left for England on 29 June.
The Congress agreed to contest the election and take part in the constituent
assembly, but refused to join the interim government. The Muslim League approved
the plan and expected the viceroy to call upon it to form the interim government.
However, the viceroy refused to do so. There upon the Muslim League withdrew its
acceptance of the Cabinet Mission plan.
On August 12, 1946, Wavell called upon the Congress to form the interim
government. The Congress reversed its original decision and agreed to form the
interim government. At first, the League did not take part in the interim government,
but later it joined the government. The League refused to par-ticipate in the
constituent assembly that met to draft the constitution. It continued its insistence on
Pakistan and called upon the British government to dissolve the constituent
assembly.
458
Direct Action Day

The League decided on July 30 that August 16 would be observed as ‘Direct Action
day’ throughout the country. In this tense situation, the viceroy’s decision to invite the
Congress to form the interim govern-ment at the centre added fuel to the fire. In
Calcutta, on August 16, the League organized public demon-strations and hartals,
resulting in clashes and rioting all over the city. The mob fury continued for four
consecutive days, after which normalcy was gradu-ally restored. The Bengal
government led by the League leader, H. S. Suhrawardy, had declared August 16 a
public holiday, which made things worse. Nor did it call the army until the situation
had become completely out of hand.
Attlee’s Announcement
It was obvious that something drastic had to be done to break the deadlock. The
initiative was taken by British Prime Minister Attlee, who on 20 February 1947,
announced in Parliament that the Government’s ‘definite intention was to transfer
power’ into responsible Indian hands by a date not later than June 1948. This
historic declaration caught everyone by surprise. Like it or not, the British would be
pulling out of the country little more than a year hence. The Indian people would
have to settle their differences before then.
Prime Minister Attlee on 20 February 1947, announced that the British would
withdraw from India by 30 June 1948, and that Lord Mountbatten would replace
Wavell. British powers and obligations vis-à-vis the Princely States would lapse with
transfer of power but these would not be transferred to any successor Government
in British India. Partition of the country was implicit in the provision that if the
Constituent Assembly were not fully representative then power would be transferred
to more than one central government. It was hoped that fixing a deadline, would
shock both parties to come to an agreement. The Muslim League launched civil
disobedience in Punjab, which led to the fall of Khizr Hayat Khan’s ministry.
Jinnah saw victory in sight and made a desperate attempt to secure control over
the provinces with Muslim majority. Riots broke out in wild frenzy in Calcutta,
Assam, Punjab and North-West Frontier Province. The new Viceroy reached India
on 22 March 1947. He had come with instructions to work for a united India; but
meetings with leaders of the different parties and communities soon convinced him
that partition was inevitable. Few people desired the country’s dismemberment.
Gandhiji declared that India would be divided ‘over my dead body’. Abul Kalam
459
Azad was vehemently opposed to the creation of Pakistan. But Jinnah was adamant:
Muslims must have their own state.
Mountbatten Plan
Mountbatten now set about convincing Congress leaders of the necessity of
partition. He made use of two opposite lines of reasoning. On the one hand, he
declared that ‘the truncated Pakistan, if conceded now, was bound to come back
later’; on the other hand, he promised that if India’s two unwilling wings were lopped
off, a strong and united centre would be the result. This second argument appealed
to Sardar Patel, who was Home Minister, was already giving thought of the
country’s internal security. Mountbatten overcame Pandit Nehru’s objection by an
appeal to his democratic instinct. No community, the Viceroy said, should be forced
to join a nation against its will. Now, it was time to speak with Gandhiji. In a last
desperate effort, Gandhiji suggested making Jinnah the head of Government of an
undivided India. The Muslim leader could select the entire ministry himself. But after
their sad experiences in the Interim Government, Patel and Nehru were unwilling to
expose themselves to Jinnah’s caprices. Finally, even Gandhiji relented.
Attlee announced the plan in the House of Commons on 3 June 1947, hence it
came to be known as ‘the June 3rd Plan.’
The Government’s Plan or the Mountbatten Plan dealt with the method by which
power will be transferred from British to Indian hands, in particular the methods by
which Muslim-majority provinces would choose whether they would remain in India
or opt for the ‘new entity’ that is Pakistan. In Sind and Baluchistan, a straightforward
decision would be made by the provincial legislatures. The legislatures of Bengal and
Punjab would have to make two choices; first, whether the majority was for joining
Pakistan, and, if so, whether the provinces should be partitioned into Muslim and
non-Muslim areas. Special arrangements were made to determine the popular will in
the North-West Frontier Provinces and in the Muslim majority district of Sylhet in
Assam. Boundary Commissions would be set up if partition was desired. The Indian
Constituent Assembly would continue to function but a separate Assembly would be
convened for areas that chose to become parts of Pakistan.
The provincial choices went as expected. Baluchistan, Sind, and the North-West
Frontier opted for Pakistan. Punjab and Bengal decided for double partition-the
provinces would leave India, but their Muslim-minority areas would remain parts of
the mother country. Sylhet would join the eastern wing of Pakistan. Boundary
Commissions were set up to delineate frontier between Muslim and non-Muslim
460
areas of Punjab and Bengal. The English Chairman of the two tribunals, Sir Cyril
Radcliffe, was ultimately requested to make his own award.
Not only the land, but also the financial and material assets of India had to be
divided. Each of the new nations had to have its own civil services and armed forces.
Lord Mountbatten showed considerable ‘expedition and dispatch’ in bringing about
a solution to these and other problems before the deadline expired.
The June 3rd Plan was given legal effect by the Indian Independence Act. The
Bill was introduced in the British Parliament on 4 July 1947. It was passed quickly
and without amendment, and on 18 July 1947, received the Royal assent. India had
won her freedom but the price had been partition. The Dominion of Pakistan was
inaugurated in Karachi on 14 August 1947.
At midnight of 15th August 1947, as the clock struck 12, India became free.
Nehru proclaimed it to be the nation with his famous ‘Tryst With Destiny’ speech.
On the morning of 15th August 1947, Lord Mountbatten was sworn in as
Governor-General and he in turn swore in Jawaharlal Nehru as the first Prime
Minister of a free India.
The 15th August 1947 dawned revealing the dual reality of independence and
partition. Lakhs of refugees, forced to leave the lands of their forefathers were
pouring into the two new states. The symbol of this tragedy at the moment of
national triumph was the forlorn figure of Gandhiji—the man who had given the
message of non-violence, truth, love and courage and manliness to the Indian
people. In the midst of national rejoicing, he was touring the hate-torn land of
Bengal, trying to bring comfort to people who were even then paying through
senseless communal slaughter, the price of freedom.
Indian Independence Act 1947

This Act declared that British power over the Indian States to lapse on August 15,
1947. They were allowed to join either India or Pakistan. Before that date, most of
the States had signed the Instrument of Accession by which they agreed to accede
to India. But there were some States which thought that in the changed situation they
were entitled to declare their independence.
Independence and partition

The last two years of British rule were marked by tortuous negotiations between
British, Congress and League statesmen. These were increasingly accompanied by
communal violence, culminating in freedom accompanied by partition and sporadic,
461
localized but often extremely militant and united mass action—the INA release
movement and the RIN mutiny in 1945–1946, the Tebhaga upsurge in Bengal,
Punnapra vayalar in Travancore and the Telengana peasant armed revolt in
Hyderabad. In addition, there were numerous agitations, strikes and demonstrations
all over the country. The mass pressure, thus, generated helped bring about the
decisive shift in the British policy. Another important development was the change in
the total objective situation worldwide as well as in India. Germany had been
destroyed. Japan had surrendered after Hiroshima bombing in August 1945, socially
radical regimes with communist leadership or participation were emerging throughout
Eastern Europe and seemed on the point of doing so even in France and Italy. The
Chinese revolution was forging ahead, and a tremendous anti-imperialist wave was
sweeping through South-East Asia with Vietnam and Indonesia resisting efforts to
restore French and Dutch colonial rule. With a war weary army and people and a
ravaged economy, Britain would have had to retreat; the labour victory further
quickened the process somewhat.
Partition
The partition was to be effected in the following manner. If the members of
Legislative Assemblies of Bengal and Punjab were to decide in favour of partition by
a simple majority, a Boundary Commission, set up by the Viceroy, would demarcate
the appropriate boundaries. Sind and Baluchistan would decide which Constituent
Assembly to join. In the NWFP, there was to be a referendum to ascertain whether
it would join Pakistan or not. The Muslim-majority district of Sylhet was also to
decide by referendum whether it would join East Bengal or would remain in Assam.
The British Parliament would undertake legislation to transfer power before the end
of 1947 to one or two successor authorities on a Dominion status basis. This was to
be done without any prejudice to the final decision of the Constituent Assembly on
whether to stay in the Commonwealth or not.
The Muslim League accepted the Plan within a week and so did the Congress.
The Congress had no alternative, according to Maulana Azad, but to accept the
plan. It was important to arrest the drift towards anarchy and chaos. The lesser evil
had to be chosen. Partition was better than murder of the hapless citizens. Gandhi
who had till now steadfastly opposed the division of India, also supported the
resolution, which was carried by 157 to 29 with 32 members remaining neutral.
462
The task was enormous but time was running out. Punjab and Bengal were
divided by two boundary commissions with Sir Cyril Radcliffe as the Chairman of
both. East Bengal, West Punjab, Sind and Baluchistan opted for Pakistan while
West Bengal and East Punjab opted for India. Sylhet threw its lot with Pakistan. In
the NWFP, Abdul Gaffar Khan and the Red Shirts demanded an independent
Pakhtoonistan. This was found to be unacceptable. The Red Shirts did not
participate in the plebiscite, which went in favour of joining Pakistan.
1. What were the concerns of the early Congress?

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2. Write the terms of Gandi-Irwin pact.

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3. What were the aims of the foundation of Muslim League?

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16.4 SUMMARY
x The Economic history of India began with the Indus Valley Civilization
which is the known history of India. Like any major comparable civilization
of its times, namely ‘The Nile Valley’, ‘Mesopotamia’.
x Mughal Empire’s foundation was laid by Babur. The classical period of the
Mughal Empire was from the period of 1556 when Akbar ascended the
throne till 1707 when Aurengzeb passed away.
463
x The English East India Company was founded in the year 1600 for
purposes of carrying out trade between Britain and the ‘East Indies’. Its
first major foothold in India came in the year 1612 when Mughal emperor
Jahangir granted it the rights to establish a factory in the port-city of Surat.
This was followed by similar concessions along different parts of the coast
of India.
x An agrarian society is a society which is based on agriculture. Agriculture
becomes the prime economic activity. This economic model was the main
stay of most economies till the Industrial revolution. The dependence on
agriculture varied from society to society over the ages.
x The impact of the British rule was more keenly felt after the first war of
Independence when India came under direct British rule, from the East
India Company. It is important to know that this was also a period of great
change brought about by the Industrial revolution.
x Under the British rule there was a gradual erosion of the wealth of India in
all sectors. There was no industrialization but de-industrialization. It can be
seen that at the advent of British into there was a progressive country. Not
only was it a great agricultural country but it was also a great manufacturing
country with its products being famous all over the world.
x The East India Company had made the highly developed Indian economy
the very basis of its trade. What India had to offer were goods like woven
cloth and wound raw silk made by its highly skilled artisans, produce of
agriculture like opium, indigo and sugar, and the skilled, efficient the
services of wealthy bankers and substantial merchants.
x Before the advent of the process of colonization of India through both
political and armed means, the question of capitalism did not really rise.
Though there were traders in India, there was no ‘bourgeoisie’ or ‘middle
class’, as a distinct unit of society. It has been argued by many historians
that the Empire and the conditions of colonial rule helped in the creation of
a capitalist society and was the change agent in society.
x One feature of commercial capitalism which needs to be looked at is the
effect of monetization affecting India. This was connected with
464
commercialization of both agrarian and urban economy, and the

development of markets through distortion caused by trade and increasing
European intervention in Indian markets.
x All the intelligent Indians felt and bewailed the economic exploitation of
their country. The economic system of India was adjusted to the needs of
the people of England.
x Generally, the period between 1885 and 1905 is known as the moderate
phase of Indian National Congress. The leaders met at the end of each
year for there days (29th, 30th, and 31st of December), which was a great
political assembly and social occasion. The President addressed the
gathering with long speeches and after discussing the various issues; they
passed resolutions and dispersed, with pledges to meet again in the same
month, if not at the same place.
x The closing decade of the 19th century and early years of the 20th century
witnessed the emergence of a new and younger group within the Indian
National Congress which was sharply critical of the ideology and methods
of the old leadership. These ‘angry young men’ advocated the adoption of
Swaraj as the goal of the Congress to be achieved by more self-reliant and
independent methods. The new group came to be called the Extremist
Party in contrast to the older one which began to be referred to as the
Moderate Party.
x The foundation of the Indian National Congress on December 28, 1885 at
Sir Tej Pal Sanskrit Vidyalaya, Bombay, was not a sudden event. In fact,
the Indians realized the need of a coordinated political party on an all India
basis.
x What made the Indian National Congress different from the other
associations was its attempt to provide a common political platform for the
people of India, which enabled it to claim that it represented the country.
x One of the major objectives of the founders of the Indian National
Movement was to make India a nation and to create ‘Indian’ people.
Earlier, India was merely a geographical expression.
465
x With the ending of the non-cooperation movement, the Indian freedom

struggle entered into its next level, which can be discussed on the basis of
the political events that took place between 1922 to 1947.
x The announcement of the all-white Simon Commission sparked off
widespread discontent and fanned the fires of the nationalist movement. All
shades of political opinion in India unanimously condemned the
Commission, as not a single Indian was included in it. The Indian response
to the Commission was a unanimous resolution by leaders of every shade
of opinion to boycott it.
x On the 12th of March 1930, Gandhi accompanied by 72 of his followers at
the Sabarmati ashram began a march up to the sea at Dandi. The dramatic
Dandi march drew a great response from people. Crowds of people
greeted and followed the marchers all along the way.
x The years between 1930 and 1934 were also marked by an
unprecedented explosion of acts of revolutionary terrorism with its focus in
Bengal and Punjab.
x Subhas Chandra Bose was a unique personality influenced by a wide
variety of ideologies and epitomized the spirit of the nationalist movement
from non-cooperation through giving up of government posts, to the
revolutionary extreme, up to the ideas of socialist thought and finally
choosing the courageous option of military offensive.
x A constantly declining support base of the British, Mahatma Gandhi
decided to launch a final offensive against the British rule. Thus began the
famous Quit India movement in August 1942.
x In this movement, no demands were made from the British. They were
simply asked to quit India. The British retaliated to Gandhi’s call to ‘Quit
India’ by arresting him and all the members of congress working committee.
The news of the arrest of Congress leader angered the people further who
came out on the streets and attacked the British government in whichever
way they could.
x Hindu communalism was also being born and Hindu communal ideas were
arising. Many Hindu writers and political workers enjoyed the ideas and
programmes of Muslim communalism and the Muslim League.
466
x On August 12, 1946, Wavell called upon the Congress to form the interim
government. The Congress reversed its original decision and agreed to
form the interim government. At first, the League did not take part in the
interim government, but later it joined the government.
x The Act declared that British power over the Indian States to lapse on
August 15, 1947.
16.5 KEY WORDS
x Indus Valley Civilization: The Indus Valley civilization was an

ancient civilization in the Indian subcontinent. It started during the Bronze
Age. It developed along the Indus River and the Ghaggar-Hakra River, in
the area of modern Pakistan and north-west India and Afghanistan.
x Mahajanapadas: It refers to 16 monarchies and ‘republics’ that stretched
across the Indo-Gangetic plains from modern-day Afghanistan to
Bangladesh in the sixth century B.C.E.
x Racialism: Racialism is the belief that the human species is naturally
divided into distinct biological categories called races, while not considering
variable values between them.
x Communalism: A theory or system of social organization in which all
property is owned by the community and each person contributes and
receives according to their ability and needs.

1. The British followed a two pronged policy of expansion. The first
comprised outright annexation of Indian states. This ensured direct
governance and became part of British India. These regions were as
follows:
x Delhi
x Sindh
467
x Punjab
x Berar
x Awadh
2. The effects of the direct British rule were the following:
x Establishment and strengthening of the railway network in India
x Establishment of a strong system of development of canals and bunds,
embankments
x Establishment of a comprehensive road network
x Establishment of the communication network around the telegraph
system.
x Establishment of the three universities for the spread of education,
patterned on the British style.

1. The concerns of the early Congress were as follows:
x The reform of Supreme and Local Legislative Councils with greater
powers for Indian representatives
x Indianization of the Civil Services with simultaneous examinations to be
held in England and India
x Changes in the forest laws that affected the Indian people
x Organization of campaigns against indentured labour in Assam tea
plantations
2. The terms of the Gandhi-Irwin Pact were as follows:
x All people arrested for non-violent protest were to be released
immediately.
x Fines that had not been collected were to be remitted.
x Confiscated land that had not been sold off yet was to be returned to
peasants.
x Government employees who had resigned were to be treated
leniently.
468
x Villages along the coast were to be given the right to make salt for
consumption.
x The right to peaceful and non–aggressive picketing was granted.
3. The aims of the League were as follows:
x To promote among Indian Muslims feelings of loyalty towards the
British Government and to remove any misconception, that may arise,
as to the intentions of the Government with regard to any of its
measures.
x To protect the political and other rights of the Indian Muslims and to
place their needs and aspirations before the Government in temperate
language, and
x So far as possible without prejudice to the objects mentioned under
(i) and (ii) to promote friendly relations between Muslim and other
communities of India.
1. What were the causes of the emergence of Indian nationalism?

2. Write a note on the analyses of Moderates.
3. Give an account of the non-cooperation movement (1920).
4. Discuss the factors that gave rise to Industrial Revolution?
5. Explain the role of trade and indigenous banking.
6. Differentiate between the agrarian and non-agrarian products.
7. Critically evaluate the Home Rule League movement.
8. Give a detailed description of Quit India Movement.
9. What are the factors of growth of command politics?
Mayor, John N. 2003. India: Issues, Historical Background and Bibliography.

New York: Nova Science Publishers Inc.
Robinson, Andrew. 2014. India – A Short Story. London: Thames And Hudson.
469
Foster, E. M. 1996. A Passage to India. New Jersey: Maxnotes.

Chandra, Bipan. 2000. India’s Struggle for Independence. New Delhi: Penguin
Books Ltd.
Mehta, Chandralekha. 2008. Freedom’s Child: Growing Up During Satyagraha.
UK: Penguin Books.
Kumar, Raj. 2003. Essays on Indian Freedom Movement. New Delhi: Arora
Offset Press.
470
Reading Raja Rao’s
Kanthapura
UNIT–17 READING RAJA RAO’S KANTHAPURA
Objectives
x Discuss the life and works of Raja Rao
x Analyse the novel Kanthapura and it relation with the freedom struggle
x Describe the major themes of Kanthapura
x Examine the narrative technique used in Kanthapura
Structure
17.1 Introduction
17.2 About the Author
17.3 Summary and Major Characters
17.4 Techniques and Themes
17.5 Summary
17.6 Key Words
17.1 INTRODUCTION
Raja Rao is known to be one of the most respected and honoured Indian writer of
English language novels and short stories. All his works are characterized by
Hinduism. His novel The Serpent and the Rope (1960) established Raja Rao as
one of the finest Indian stylists. The Serpent and the Rope is a semi-
autobiographical novel which refers to the seeking of spiritual consciousness in
Europe and India. In this unit, we will discuss the major themes and issues of Raja
Rao’s novel Kanthapura.
17.2 ABOUT THE AUTHOR
Raja Rao was born on 8 November, 1908, in Hassan, in the state of Mysore into a
well-known Brahmin family. He was the eldest of nine siblings (two brothers and
seven sisters). His father taught Kannada at Nizam College in what was then
Hyderabad State. His mother died when he was four and that left a lasting
471
Kanthapura
impression on the novelist. This may also be the reason of orphanhood being a
recurring theme in his novels. Another influence from early life was his grandfather,
with whom he stayed in Hassan and Harihalli.
Rao was educated at Muslim schools, the Madarsa-e-Aliya in Hyderabad and
the Aligarh Muslim University, where he became friends with Ahmed Ali. He began
learning French at the University. After matriculation in 1927, Rao returned to
Hyderabad and studied for his degree at Nizam’s College. After graduating from the
University of Madras, having majored in English and history, he won the Asiatic
Scholarship of the Government of Hyderabad in 1929, for study abroad for which
he joined University of Montpellier in France. He studied French language and
literature, and later at the Sorbonne in Paris, he explored the Indian influence on Irish
literature. He married Camille Mouly, who taught French at Montpellier, in 1931.
The marriage lasted until 1939.
Returning to India in 1939, he edited with Iqbal Singh, Changing India, an
anthology of modern Indian thought from Ram Mohan Roy to Jawaharlal Nehru. He
participated in the Quit India Movement of 1942. In 1943-1944 he co-edited with
Ahmed Ali a journal from Bombay called ‘Tomorrow.’ It is in this phase of activism
that Kanthapura was conceived. He was the prime mover in the formation of a
cultural organization, Sri Vidya Samiti, devoted to reviving the values of ancient
Indian civilization; this organization failed shortly after inception. In Bombay, he was
also associated with Chetana, a cultural society for the propagation of Indian
thought and values.
In 1988, he received the prestigious International Neustadt Prize for Literature.
The Serpent and the Rope was written after a long silence during which Rao
returned to India. The work dramatized the relationships between Indian and
Western culture. The serpent in the title refers to illusion and the rope to reality. Cat
and Shakespeare (1965) was a metaphysical comedy that answered philosophical
questions posed in the earlier novels.
Rao eventually settled in the United States and was Professor of Philosophy at
the University of Texas at Austin from 1966 to 1983, when he retired as Emeritus
Professor. Courses he taught included Marxism to Gandhism, Mahayana Buddhism,
Indian philosophy: The Upanishads, Indian philosophy: The Metaphysical Basis of
the Male and Female Principle, and Razor’s Edge. One of his students and literary
critic Robert D King fondly recollects his experiences as Rao’s student:
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‘...it is as teacher that I know Raja Rao best... Raja Rao began his formal affiliation
with the University [of Texas] as a member of the Faculty of Philosophy in
1966... He was a campus icon, acclaimed for his lectures on Buddhism and
Eastern thought.’
Raja Rao would deny that he is a teacher, and above all that he is a guru—no,
above all not a guru. He shuns those designations. But there he is wrong. He
is a teacher, a guru, and a generation of his Texas students are the witnesses.
His method is subtle, seductive, humorous at times. I do not think Raja Rao is
aware of whether he is talking to a class or to many people or to only one
person. It is always a subdued discourse, a monologue at times, quiet, level,
steady. ...
‘Raja Rao’s lesson, though I could not absorb it whole at any one time, has
always been that we must each of us seek our way to salvation in our own way. It
is a lonely search, not communal; each man is alone. Out of our emptiness will come
knowledge, understanding, forgiveness—all that matters. There is only the One Way:
not Indian, not Western, but both. Never the dualistic Either-Or; always the monistic
Both-And. The secrets lie in our own hearts. ... “His message, I have now come to
know, is not so much knowledge and understanding as it is something very close to
the supreme achievement of love. Or perhaps it is simply love.”
That, in the end, is what we all learnt from Raja Rao, Our Teacher. We learnt
love. That is our debt, a debt that can never be repaid in full but only in karmic
installments, of which this is one.’
In 1965, he married Katherine Jones, an American stage actress. They have one
son, Christopher Rama. In 1986, after his divorce from Katherine, Rao married his
third wife, Susan, whom he met when she was a student at the University of Texas
in the 1970s. Rao died on July 8, 2006 at Austin, Texas, at the age of 97.
1. What were the major influences of Rao’s early life as seen in his novels?
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2. When was Kanthapura conceived?

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17.3 SUMMARY AND MAJOR CHARACTERS
The summary of this novel has been divided into various subsections, each relating
an important event or plot movement within the story. It should be noted that this
section is not intended to substitute a firsthand reading of the novel. You should read
this section only after reading the whole work and it will serve as a good reminder
of the main events, characters and issues that you encountered while reading it.
1. Kanthapura: A Small Indian Village

The story of the novel is set in Kanthapura, a small, obscure village in a remote
corner of south India. Rao seems to be drawing from his memory of Hassan and
Harihalli in conceptualizing the nature of this state.
The people here are mostly poor, illiterate and backward. The village is ridden
with three major ills: caste, class and toddy. Different quarters in it house people of
different castes—the highest caste being Brahmins, the lowest, the Pariahs. But
despite the ills, people from different castes and classes manage to live harmoniously
accommodating peacefully the demands one makes on the other. People are also
extremely religious-minded and at least among the lower classes Goddess
Kenchamma is the presiding deity enshrined in the village temple.
2. Village Katha Man’s Arrest

The protagonist of the novel is a young Brahmin boy, named Moorthy. Moorthy
was a staunch follower of Mahatma Gandhi. Although he had never met Gandhi
personally, he had read enough of his ideas and heard about his speeches to be
influenced by his ideas and had even seen him once in a vision. What appealed
to him in Gandhi’s ideas was the quest for the realization of equality among all
and based on this, the need to resist British occupation through non-violent
protest.
One day Moorthy found a half -buried linga in the village. He dug it out, installed
it at another place and built a temple there. This temple soon became the center of
social life in the village. Moorthy arranged various religious ceremonies and kathas
here. One day one of the speakers who delivered the katha named Jayaramachar
mixed his kathas with political propaganda. Instead of speaking only about the gods
and parables he introduced the villagers to the ideals of Gandhi and the need to free
the country from British occupation and slavery. Religious and political messages
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mixed inseparably in his story with religious figures and events becoming a metaphor
for the political condition of the country and how it could be improved.
The foreign government got a wind of this and arrested him. The Government
was on the lookout for the first stirrings of nationalism and resistance to the British in
the village and when it noticed it, it tried to contain the stirrings with force. In one
sense this was the first instance in Kanthapura when an external entity had interfered
with their religious actions and had prevented them from doing something that the so
ardently desired. The villagers were quick to sense the desire to control and exploit
that the British government was trying to direct at them.
3. Awakening Against Foreign Exploitation

Sensing trouble, the British administration posted a policeman, Bade Khan to keep
an eye on the villager’s activities. Being a Mohammendan and being perceived as an
instrument of foreign control, he could get no accommodation in the village. The
sahib of the neighbouring Skeffington Coffee estate fearfully referred to as Hunter
Sahib (probably because he carried a whip or was fond of hunting or both) opened
a hut for him and lodged him in his estate.
Meanwhile Moorthy’s political exposure grows. The congress committee of the
nearby Karwar city influenced Moorthy immensely who came back to the village
with lots of congress literature and wearing home-spun khaddar. One of the
messages he has brought into the village related to Gandhi’s call of swadeshi:
discard foreign cloths and thus stop the economic exploitation of Indians by
foreigners. Use of indigenously manufactured khaddar was to have manifold effects:
not only would it generate employment for a host of unemployed Indians, specially
women, making them self-dependent, it would also stop the sale of British
manufactured textiles thereby resisting the colonial use of India as a market by the
colonizing powers. Khaddar would generate a distinct visual identity for the Indians
which would have potent political implications in the national movement.
4. Moorthy Excommunicated
Moorthy, in fact, had turned into a follower of Gandhi since he saw the Mahatma in
a vision. He then discarded his foreign clothes, adopted khadi and returned to his
village Kanthapura. In one sense he was bringing city-bred ideas to the village. Here
he preached Gandhi’s ideals of truth and ahimsa to the villagers. Though a Brahmin,
he began to mix freely with the pariahs in an effort to spread the Gandhian message
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far but also because he wanted to practice the political ideal of liberty and equality
in his personal life.
Bhatta, the village Brahmin did not like this. What Bhatta saw in Moorthy’s
actions was not a conscious political programme that would free them from British
control but its logical corollary— an attack against the centuries old caste-system
which kept the Brahmins at the center of social and religious power. He complained
against Moorthy to the religious head of the region, called the Swami. Swami was an
orthodox Brahmin and an agent of the British government. Realizing the kind of
challenge the Gandhi man posed to the power structure operating within the society,
the swami excommunicated Moorthy. The excommunication caused severe shock to
Moorthy’s mother and she died of grief.
Moorthy now began to live with the Rangamma, a childless widow of the village.
Rangamma was an educated lady and was a supporter of Moorthy, the freedom
fighter. Moorthy was now on the religious, moral and political periphery of his
society and it is from this periphery that he began his political struggle decisively.
5. Violence in Skeffington Coffee Estate

The Skeffington coffee estate was spread over a vast sprawling expanse in the
neighbourhood of Kanthapura. The owner of the Estate, an Englishman, ruled the
coolies with an iron hand, using their physical labour in an unrestricted way and
freely using their womenfolk for sexual ends. It was a veritable slavery under a lone
slave master and his system.
Once the two Brahmin clerks on the estate invited Moorthy to create an
awaking among the pariahs there both by teaching them how to read and write and
exposing them to the ideals of Gandhian politics. As Moorthy approached the gate
of the coffee estate, Bade Khan hit him with his lathi. The pariahs at the estate sided
with Moorthy and attacked Bade Khan. Moorthy reminded his followers to remain
non-violent which stopped the fight, but the violence left Moorthy sad and sorrowful.
A pariah named Rachanna was thrown out of the coffee estate, along with his
family, for beating the policeman severely. He began to live in Kanthapura and
became a strong congress worker.
6. Moorthy’s Three Day Fast

Moorthy held himself responsible for the violence at the coffee estate and felt the
need to purify himself. So he undertook a fast for three days. Fasting was another
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stock Gandhian practice. Fasting when directed against an erring system was
supposed to put moral pressure on the system to accept the wrongs committed and
undo them. When directed against the self for a mistake committed by the self,
fasting worked not only as a penance but also as a purification ritual.
Both these effects are evident in Moorthy’s life. At the conclusion of the fast, he
felt his whole inner being over brimming with love for all mankind. The world
seemed to be bathed in a new light. He felt happy and satisfied. He walked out to
preach ‘don’t-touch-the government campaign’.
7. Kanthapura Congress Committee Formed

Moorthy’s next step was organizing his political activities better. He contacted
various people and succeeded in establishing the Kanthapura Congress Committee.
Moorthy was unanimously elected the president of the congress committee, with
Range Gowada, Rangamma, Rachanna and Seenu as the other office bearers. The
committee had twenty three members. They vowed to spin every day, practice
ahimsa and seek truth. The larger aim obviously was to begin a grass root level
political movement based on Gandhian values that could fight for the freedom of
their motherland.
8. Moorthy Arrested
One night the police arrived at Rangamma’s house and arrested Moorthy. When
people protested, they were beaten. This time, however, Moorthy’s supporters were
non-violent. Seventeen of them were beaten and were taken to the Santur police
station, where they were beaten again and eventually set free. Moorthy was taken
away to Kanwar jail and a case of political conspiracy against the state and inciting
villagers to use violence against the police lodged against him.
Eminent lawyers like Sankar and Ranganna met him in the prison and offered to
contest his case but Moorthy declined any legal aid, asserting that truth was its best
self-defense. His stand was that truth, if it was genuine was self-evident and did not
need to be bolstered by a lawyer’s arguments. Standing unrepresented in the court,
Moorthy was sentenced to three months rigorous imprisonment by the British Judge.
A pall of gloom spread over Kanthapura. People fasted in protest but none of them
could think of a strategy to counter this injustice of the British.
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9. Kanthapura Women’s Volunteer Corps Founded

As the political energies of the people of Kanthapura recuperated in Moorthy’s
absence, Rangmma became active. She thought of forming a woman’s volunteer
crops or sevika sangha. She inspired the women of Kanthapura by telling them
stories about historic patriotic women who had devoted their lives to resisting the
British like Maharani Lakshmi Bai of Jhansi, Rajput princess, Sarojini Naidu ,etc.
Thus she instilled in them the courage to fight for the freedom of their country, but in
the Gandhian non violent manner. Soon the women’s volunteer corps in Kanthapura
was formed and became active.
10. Moorthy Released

Three months later in the month of Vaisakh came the news that Moorthy was going
to be released. On the appointed day, the people of Kanthapura erected victory
arches and gathered to welcome their hero. But the police brought Moorthy to
Rangmma’s house through a secret route. When people learnt this, they gathered
there, shouting slogans like ‘Mahtma Gandhi ki jai’ and ‘Vande Matram’. The
crowd was asked to disperse peacefully and they obeyed because that was their
leader’s wish as well. People noticed no change in Moorthy. He was, to use the
author’s words, “as ever—as ever”.
Imprisonment hadn’t saddened Moorthy therefore freedom did not elate him.
Like a true Gandhian he had learnt to keep his feelings in control even under
extreme provocation and had also learnt to hate the colonial system not the people
who administered it on him.
11. Gandhi’s Dandi March

When the news of Mahatma Gandhi’s Dandi March, Moorthy told the villagers that
the Mahatma had left for the Dandi beach, along with eighty-two of his followers. He
would prepare salt here and would break the salt law. The people of Kanthapura
joined Mahatma Gandhi in his venture. The very moment Gandhi was supposed to
make salt, the villagers took batch, led by Moorthy, and shouted: ‘Mahatma Gandhi
ji ki jai’. Then came the news that Gandhi had been arrested for breaking the salt
law which prohibited people from manufacturing the essential salt for their own use
and forced them to buy imported salt from the market.
People were filled with resentment against the foreign government and were
prepared to make any sacrifice for their Mahatma. Gandhi’s march had managed to
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bring back the spirit of political protest into the people that had been disoriented
because of Moorthy’s arrest.
12. Boranna’s Toddy Grove Picketing

Moorthy addressed meeting of the Kanthapura Congress inspired by the next step
in Gandhi’s struggle against the British. First it was swadeshi, and then the voluntary
breaking of law in the Dandi March and now it was the non-cooperation and
swarajya movements. The movement entailed complete withdrawal of cooperation
in all forms with the British government. He told them that they would not pay the
taxes, the land revenue and would establish a parallel government. Ranga Gowda
would be their Patel and they would refuse to recognize the new Patel of the foreign
government. Moorthy gave a clarion-call for a struggle against the British
government but he stressed that their struggle must remain non-violent.
As a part of the next campaign- an anti-alcohol drive, it was decided to picket
Boranna’s toddy grove. On the appointed day, Moorthy marched at the head of one
hundred and thirty people to the toddy grove. The police tried to stop their march,
but they didn’t stop. They forced open the gates of the Skeffington Coffee Estate.
Rachanna and others rushed into the estate climbed the trees and began to break the
twigs and branches. The police deployed in strength, rained lathi blows on the
satayagrahis. Many of them were caught, loaded in lorries and left in the far off
jungles at the time of night. Cartmen on their way back brought them back to the
village.
One another day Moorthy and his satayagrahis picketed Boranna toddy booth
outside the coffee estate where the coolies of the coffee estate were brought to
spend on drinking. As the coolies moved towards the booth, the stayagrahis sat in
the front of the shop, blocking their way. The police beat the coolies to drive them
into the satayagrahis. Upon this assault the freedom fighters stood close-knit, leaving
no space for coolies. Helpless in breaking the movement, the police rained lathis
blows on the freedom fighters yet again.
13. Police Brutalities and Repression

The news of picketing spread in the neighbouring areas. As a result, as many as
twenty-six toddy booths were closed down in the vicinity of Kanthapura. Moorthy
had become a hero for them. Many came to meet this great man when the
imprisoned satayagrahis returned to Kanthapura after their release. The satyagrahis
narrated harrowing tales of police brutalities on them inside in the jail.
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Soon, the British government intensified its repression on the people of

Kanthapura. A new Patel was appointed and people were told to pay the revenue.
Only a few obeyed. All the others refused to pay under Moorthy’s instruction’s
.Then one morning, people found a heavy posse of police over Kanthapura. To the
accompaniment of the beating of drums, the new beadle announced that the people
must pay the revenue or be prepared to pay a punititve tax. Moorthy however
allayed the fears of the people, promising them full support of the freedom fighters.
Haunted by apprehensions, the people kept awake all that night, but nothing
happened.
One morning the people of Kanthapura found that the thirty-three coolies who
had escaped from the Coffee Estate were being marched back to the estate by the
police. Moorthy, Rangamma and others had been arrested and taken away during
the night. Women and children came out and pelted stones at the police. The police
beat the children and tried to molest the women. While running away from the
chasing police a seven month pregnant woman gave birth to the baby in the open
itself .The police locked the temple door from outside where the upper caste
protesters had taken shelter from the police and they stayed there hungry and thirsty.
It was only early in the morning, after the police had left, that one of the lower class
women rescued them.
14. Police Firing on Satyagrahis and the End

The misfortunes of the people of Kanthapura were not over. One day the sahibs,
along with the city coolies arrived and announced that the lands of the people were
going to be auctioned for the non-payment of land revenue. As the night fell, the city
coolies began to reap the fields. The people of Kanthapura took out a procession.
The procession was given the look of a religious one, but they eventually started
shouting political slogans. The police rushed at them with lathis. The coolies from the
Skeffington Coffee Estate and the cities coolies from the fields joined them. Many
satyagrahis were wounded others ran away and escaped to another village Kashipur.
Almost one year and two months later, thirty refugees from Kanthapur had settled in
Kashipur. They often recalled those turbulent days in Kanthapura and missed their
fellow men who were either dead or in jail. On the whole the people had the
satisfaction that they had done something for their country. When however Gandhiji
signed a truce the British Viceroy leaned towards Jawaharlal Nehru who was more
practical than the Mahatma. But people, by and large looked upon Gandhi as Lord
Ram who would slay Ravana, the British and free Sita, their motherland.
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Major Characters in Kanthapura

Let us analyse the major characters in Kanthapura
Moorthy
Moorthy is conceived as a force of change. As a Gandhian, he is responsible for
doing two things in the story. First, to make people conscious of the age old
inequalities that they are mired in and link these inequalities to colonial oppression.
His second role is to liberate the people from these inequalities so that they are
automatically harnessed to the cause of the freedom struggle. He is characterized as
the force that will cause both these changes.
Moorthy begins by challenging the villagers’ presuppositions and ideas about
hierarchy. Moorthy is the character that inspires the women in the village to embrace
change and teaches people not to relent in his beliefs, even when subjected to force
and abuse. It is here that Rao’s characterization of Moorthy is most compelling.
Moorthy becomes a signifier of something clicking in Rao’s thought that such a force
is indeed active in the country and can be personified in the form of a literary
character.
Rangamma
She is a wealthy young Brahmin who is converted by Moorthy to Gandhi’s views.
Widely respected but lonely because of the death of her husband, she doesn’t really
give up and is definitely not dejected with life. She reads extensively and nurtures
curiosity about other countries. As the freedom struggle grows, she publishes a
weekly political pamphlet and sponsors daily discussions on the nationalist
movement, turning her home into Kanthapura’s center for Congress Party activities.
Bold in a traditionalist context, she refutes Bhatta’s self- serving religiosity and
inspires many villagers to follow Gandhi’s teachings. When Moorthy is imprisoned
and her father, a Vedantic teacher, dies, she continues both as an organizer for the
Gandhians and as a Vedic interpreter and yoga teacher. Eventually, she organizes the
women of Kanthapura as the Sevis into a sevika sangh, who lead nonviolent
resistance marches, a role that results in her being beaten and imprisoned. She too is
uprooted at the end of the novel to find a new home and redefined identity in
Kashipur.
Kamalamma
She is Rangamma’s traditionalist sister. A strict adherent to the Vedic caste system,
she rejects Rangamma’s conversion to Gandhi’s teachings and her own daughter
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Ratna’s modern behaviour and attitude. Kamalamma embodies the larger conflict
within the village through her divisive stance within the family, being far more
concerned with Ratna’s eligibility for remarriage than with her daughter’s role in the
swaraj movement.
Ratna
She is the fifteen-year-old widowed daughter of Kamalamma. Thoroughly modern in
her behavior of speaking her mind and walking alone in the village, the educated,
attractive niece of Rangamma follows her aunt’s example by joining the resistance
movement. She breaks tradition by assisting Rangamma in the teaching of the Vedic
texts as justification for Gandhi’s views, suffers beatings in the protest marches, and
is nearly raped by a policeman. When Rangamma is imprisoned, Ratna assumes
leadership of the Sevis and, eventually, also suffers imprisonment. After being
released, she leaves Kanthapura to continue her activism in Bombay.
Ratna, like others in her age group in this novel represents the hope and idealism
of the youth in their vision and ability to craft a new future for themselves. Not only
are they ready to look up to elder leaders like Moorthy but they are also ready to
contribute with ideas and efforts to a cause that they believe in.
Sankar
He is the twenty-six-year-old secretary of the Kawar Congress Party. If you
recollect, Kawar Congress office is the place where Moorthy visits in the early part
of the novel and gets his Gandhian literature from which is subsequently
disseminated amongst the villagers. A saintly, ascetic widower with a young
daughter, he is a lawyer of renowned integrity who embodies Gandhian ideals. He
wears khadi, the homespun, symbolic cloth of resistance; eschews expensive status
symbols such as the cars and fine Western-style suits that his colleagues acquire;
insists on using and teaching Hindi as the nationalists’ language; and renounces the
use of tobacco and liquor. He contributes heavily to the Congress Party funds, and
he teaches Rangamma the organizational skills of activism. When Bhatta attempts to
harvest the Gandhians’ crops and auction their lands in retaliation for their refusal to
pay taxes to him, Sankar organizes a massive resistance from other villages and
Kawar to prevent Bhatta from succeeding in his punitive seizure of their properties.
Seenu
Seenu is one of the junior members of the newly formed Kanthapura Congress
Committee. Rao probably intended him to be in teenage thereby implying the sway
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of the movements appeal to the young and the idealistic. He is introduced to us as an

affectionate youngster who fetches Moorthy to his house when desired by his
mother or accompanies Rangamma to the temple late in the evening when Moorthy
has decided to fast.
Moving around Moorthy Seenu is used to bring out a number of issues that
Moorthy can otherwise only articulate through a sologny. On the issue of fasting, for
example, Seenu tells Moorthy that he should not try to be like Gandhi because
Gandhi was not an ordinary mortal to which Moorthy’s response is “Never mind-let
me try. I will not die of it, will I?’
In that state of fasting and hunger how is it that he could meditate so deeply
thought Moorthy? Once again it is to Seenu that the answers are given. “Thoughts
seemed to ebb away to the darkened shores and leave the illumined consciousness
to rise up into the back of the brain, he had explained to Seenu. Light seemed to rise
far from the horizon…infuse itself through his toes and finger-tips and rise to the sun-
centre of his heart”.
Seenu’s role as an associate and an assistant in this small group is highlighted
throughout the movement whether it is grieving with Rangamma over Moorthy’s
swooning, or leading the bhajan singing or lighting the oil lamps in the temple and
taking around the camphor senses, it is difficult to visualize the completeness and
unity of this small group without this young boy.
Achakka
She is an old and simple village woman who tells us the story of Kanthapura as a
witness-narrator. Like the Greek Teresa’s figure she knows the past, lives in the
present and foresees the future. She has firsthand knowledge of the Satyagraha
movement as she was herself a participant. Refer to the Narrative Technique in the
themes section to figure out the methods and techniques with which she relates to
her audience.
Achakka symbolizes the hopes and aspirations of not only the women but the
entire generation of exploited people in Kanthapura. Gifted with insight, intelligence
and a sense of practical wisdom, she can comprehend the real meaning of satygraha
in the lives of people who are otherwise caught in a host of daily problems and
issues. It is perhaps this that makes her the most tolerant and progressive character
in the novel. She does not object to Ratna’s wearing of bangles or colours and
accepts the fact that Ratna is romantically attached to Moorthy. She is neither harsh
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nor censorious towards Puttamma or waterfall Venkamma. It is not that she always
speaks in myths and digressive comparisons. She can be very simple and
straightforward when she has to state the facts:
Notice her descriptions of Bade Khan being given a hint by Mr. Skeffington:
Bade Khan went straight to the Skeffington Coffee Estate and he said, ‘Your
Excellency, a house to live in?’ And Mr. Skeffington turned to his butler and
said, ‘Give him a hut,’ and the butler went to the Maistris’ quarters and opened
a tin shed.
As a woman, Achakka represents the fundamental force of both social and

cultural change within Kanthapura and India is general. Her life becomes a
representation of how Indians at that time were torn between accepting reality as it
was or remaking it as it should be. She is also representative of how women despite
being caught in traditions can embrace change and be an active agent of
reconstructing reality.
Although she is an old woman, sustaining a family of sons and grandchildren
(one of them is Seenu) she seems ageless in her strength and charity. The strength of
her personality derives from her physical and mental vigour which impress her to
study the Vedic texts and yoga along with Rangamma. A full-blooded political
activist, she participants in the non-cooperation movement and pickets tobacco and
liquor shops during which she is beaten up. When her house is burned along with
others in Kanthapura she goes to live in the nearby village of Kashipura.
1. Where is the story of the novel set?

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2. Why was Moorthy excommunicated?

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17.4 TECHNIQUES AND THEMES
Before discussing Rao’s narrative technique in Kanthapura let us stop for a while to
discuss what is meant by this phrase. In common terms it means the methods
involved in telling a story. Different individuals and cultures use different techniques to
tell the same story in order to score different points and achieve different effects.
Changing the narrator and his/her style can, for example, change the meaning of a
story. Imagine hearing a story about the first rains after the summers from a child and
an old woman. You will obviously savour the burst of an enthusiastic and energetic
outcry in the old woman as you will miss a calm and serene understanding of the
cycle of seasons in the child. This is just to mark the beginning of the differences
between the two.
Rao was facing a problem while writing this novel which tried to present a
uniquely Indian reality in a foreign language, i.e., English. In the preface he observes:
“the telling has not been easy”. He had to “convey in a language that is not one’s
own the spirit that is one’s own’. Adjustments had to be made at multiple levels. I
will discuss only some of them here:
x The puranic narrative devices
x Using an old woman as a narrator.
x Use of myths, legends and symbols
Puranas are a set of ancient texts among the Hindu religions scripture that
eulogize various deities through divine stories employing a rich variety of narrative
devices. Keeping in tune with this style Rao builds a narration that is robust in its
main trunk even while being rich in its branching. The rich digressions from the main
narrative serve to underline important issues engage with them.
The use of metaphors is perfectly in tune with the tone and content of the novel.
Moorthy invites Jayaramachar to conduct Hari-Katha sessions at Kanthapura and it
is Jayaramachar who speaks to the illiterate villagers through metaphors: As he
Jayaramachar talks of Damyanthi and Shakuntala and Yashoda, he must say
something about India and something about Swaraj. The subtlety of Gandhian
thought and the complex situation of Pre-independence India could be explained to
the villagers only through legends and religious stories of Gods.
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Myths are an integral part of Indian village folk lore and perhaps that is what
accounts for its ability to communicate to the masses. Every village in India is replete
with its own myths and its special place in the myths writes Rao:
“There is no village in India…that has not a rich ‘Sthala Purana’ or legendary
history of its own. Some god or god-like hero has passed by this village— Ram
might have rested under this Peepal tree, Sita might have dried her clothes,
after her bath, on this yellow stone, or the Mahatma himself on one of his
pilgrimages through the country, might have slept in this hut.”
The myth of the descent of Kanchanma from heaven to kill the demon is puranic
but when the narrator links it to the colour of a specific hill near Kanthapura, legend
and Purana mix together to make a Sthala Purana. Jayaramachar gives Gandhi the
status of a God as he is first identified with Ram for killing the demon Ravana (The
Red Man) and then with Krishna, killing Kaliya (The poisonous British
Government). Gandhi’s emergence in Indian politics is linked to Krishna’s prophetic
cry wherever there is decay of righteousness I shall come. Gandhi’s visit to England
for the Second Round Table Conference is presented there:
Or simply reflect the narrator’s mind frame where a set of completely discordant
thoughts may come up not linked overtly but through a complex chain in the
narrator’s mind.
The narrator is undertaken with the breathless garrulity of a puranic tale. Simple
words flow continuously, effortlessly and simply from the narrator’s mouth as if what
was going on was a simple conversation. Rao says in the preface that the story is
told in the oral tradition without any break:” episode follows episode and when our
thoughts stop, our breath stops and it moves on to another thought. This was and still
is ordinary style of our story-telling. I have tried to follow it myself in this story.” The
western method of chapter decision is not followed and the narrator talks to the
reader as if it was one continuous tale:
“Our village- I don’t think you have heard about it- Kanthapura is its name and
it is in the province of Kara.”
Achakka, the narrator uses the language typical of old women, expressing her
feelings without any inhibition: “If rain comes not, you fall at her feet and say,
Kenchamma, goddess, you are not kind to us. Our fields are full of Younglings
and you have given us no water.”
Yet another relation between Rao’s narrative style and the Puranas is the
extensive use of religious myths, legends, symbols and metaphors.
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“They say that Mahatma will go to Redman’s country…he will get us

Swarajya… come back with Sita on his right in a chariot of air”
The use of such myths and legends is also linked to the use of the old woman
Achakka as the narrator and her illiterate audience. A villager born and brought up
in the Indian tradition understands easily a contemporary problem if it is explained
through a myth of that tradition. It was easier for the old woman to explain the
subleties and complexities of the Indian nationalist movement through the legends
and myths. The entire freedom struggle becomes the Derfa’s campaign against the
Azim’s in which Gandhi becomes a veritable god symbol! The strength to fight the
British can now be tapped from religious faith and it is through religious appeal that
the villagers can join the Satyagrahis. Temples are used to recruit workers for the
Congress, vows of ahimsa, love and truth are taken in the temple sanctum and
Moorthy, Gandhi and Kanchamma merge into one.
It is in this context that they interpret the destruction of Kanthapura towards the
end of the novel. It is seen as symbolic of a new life emerging out of the dead one.
Kashipura is the new phoenix that arises out of the ashes of the dead Kanthapura.
This is also like the end of Kalyug with Pralay engulfing the whole village. Range
Gowda goes to Kanthapura to find it completely deserted. This is like a new Yuga
emerging from an old one—a trumpet call for change heard by Range Gowda who
responds to it with a heart “beat[ing] like a drum”.
Major Themes in Kanthapura

Let us analyse the major themes in Kanthapura
Gandhi in Kanthapura
Around the beginning of the Twentieth century emerged an Indian leader who taught
the people belonging to different class, caste, language and religion how to unite to
gain freedom. He stripped them of their cultural baggage which formed their divisive
identities and taught them to see each other only as humans. It was a strange war
where non-violence and love for enemy was prerequisite. Before taking on external
enemy he wanted people to eliminate the enemy inside themselves. He stormed the
ancient bastion of untouchability which had colonized a large section of the Indian
society. People across the country were following his directions as if enchanted by
him and the entire social and cultural order was undergoing a huge churning. Raja
Rao was a committed follower of the man who was causing these cataclysmic
changes in the Indian society. He perceived Gandhi as an idealistic leader but
acknowledged his profound influence on the individual and society.
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Rao captures Kanthapura when as it is sucked into the vortex of the freedom
struggle which in its initial phase was mostly an urban phenomenon located most
intensely in the cities where the leaders operated. Although colonial exploitation is
evident in Kanthapura, none seems to be aware of its implications. It is an archetypal
Indian village which is lost in a web of age old traditions, conventions and
orthodoxies. They worship nature and natural forces and any event is seen as
manifestation of will of village deity Kenchamma.
Rao remarks in his preface that there is no Indian village that doesn’t have a
sthala purana or legendary history of its own. Rao respects that living tradition and
presents it as a reality of Indian villages. This immersion in tradition is its past. As
time progresses we find Gandhi entering the mythical framework and according to
Prof. K. R.Srinivasa Iyengar, the shala purana turns into a “Gandhi purana.”
Gandhi is represented as an incarnation whose purpose is to liberate India from
clutches of evil.
In early parts of novel we find Gandhi’s tale interspersed with harikatha.
Jayramchar equates swaraj with Siva. “Siva is three eyed and swaraj too is three
eyed: Self-purification, Hindu-Moslem unity, khaddar.” He manages to bring in
swaraj into every topic of discussion. One day he decides to narrate the harikatha of
birth of Gandhiji putting him on same pedestal as with Siva, Krishna and other
celestial beings.
The entire episode throws light on close nexus between religion and politics
discussed elsewhere. Moorthy uses the villagers’ religious devotion to turn their
attention towards contemporary politics. He uses religious idiom to convey his
message. Rather than jolting them rudely out of their religiously drugged state and
presenting stark reality he dexterously maneuvers their religious sentiments. He uses
the immense power of faith which has acted as a cornerstone of their existence and
replaced god and religion with Gandhi and adherence to swaraj respectively.
Moorthy is the central character who invites Jayaramachar and leads the
Gandhian movement in Kanthapura. He has read Gandhi and has undertaken the
mission to spread his teaching and practices. He was in complete awe of the great
being and his body showed signs of it. He felt like losing his identity and dissolving
into a greater stream. It was a magical moment which made him realize the futility of
his life until then. He understood the essence of his teaching and followed them with
conviction. He gave up his education, changed sartorial preferences and decided not
to marry.
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He is an agent of Gandhi who works as per the directions of the Mahatma. He

ensured the presence of women in harikathas and sought their contribution as well.
Gandhi had firm faith in their abilities and worked for their emancipation. Jayramchar
too in his subtle manner narrates the stories of Damyanti, Shakuntla and Yashoda the
three legendary women famous for their exemplary courage. Gandhi sought to
motivate them to display courage in the fight for swaraj.
Slowly the seeds of swaraj begin to germinate in Kanthapura. Moorthy then
proceeds to eradicate the evil of untouchability. It was Gandhi’s biggest challenge to
manage and eradicate untouchability and uplift the condition of the untouchables.
Centuries of caste practice had rigidified the people’s outlook and it was an uphill
task to achieve caste equality. It was only by improving their condition that they
could be made to participate in India’s struggle for independence. Gandhi needed
each and every individual to contribute in the struggle and saw a tremendous
untapped political potential lying dormant in the women and members of the lower
caste.
Moorthy understands the dual reasons for this upliftment and struggles hard
against the social inertia which provided formidable resistance to change. Rao here
shows how freedom struggle had to face internal resistance as well. Venkamma and
Bhatta symbolize orthodox forces which feared losing their privileged status. They
tried their best to deter Moorthy by sneers, jibes, social ostracism and even
excommunication. But Moorthy perseveres in his decision of mixing with the lower
caste. During the process he grows distant from his mother who couldn’t bear his
son’s ways. Tension between mother and son grows and later she succumbs to it.
This is the beginning of an upheaval in Kanthapura which was to face complete
destruction.
Under the leadership of Moorthy several young activists distributed books and
charkha to everyone. The Non-cooperation movement was by now in its full sway
and Gandhi stressed on swarajya and self-reliance. However, young activists had to
face the ire of the traditionally minded upper classes. Brahmins were livid as they
were asked to do what was the job of a lower caste weaver. But Moorthy
succeeded in convincing Nanjamma and the rest agreed too.
Skeffington coffee estate is a centre of exploitation of the native coolies. Not
only are they paid less after exacting hours of work they are treated inhumanly. The
new master forced them to submit their women to his lust. He was accused of
murdering a Brahmin who refused to yield his woman but walked out free. Moorthy
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is invited to the estate to teach them. Fearing his reputation and popularity among the
masses Bade Khan doesn’t let him enter the estate. It triggers pent up humiliation
and anger in coolies who despite Moorthy’s pleas to shun violence beat up the
policeman.
He is gravely disappointed and announces three day fast as penance. This period
of self-contemplation reveals him metaphysical truths. He emerges as more tolerant
and loving. He forgives Venkamma’s jibes. He learns to control his desires and
emotions. He is ashamed when he recollects his earlier feelings for Rachnna. More
and more people came to see him and revere him as it was an incredible feat.
Moorthy’s fast induces guilt in others and they decide to cast out violence from their
lives too. Their devotion for him is shown at his arrest. It is a dramatic scene where
people of all caste are assembled standing next to each other to prevent his arrest.
They peacefully resist and don’t hit back. They court arrests and face police
brutalities but stay non-violent. They later stage various marches and picketing of
liquor shops in a non-violent way.
Gandhism however encounters a crisis at the end of the novel. Police atrocities,
seizure of land and a survival crisis force the Gandhians of Kanthapura out and they
ultimately find refuge in Kashipura. Gandhi’s ideals may be very appealing but they
are found impractical as they do not address issues of hunger, thirst, security and
brute survival until the time when Gandhian politics has overturned the exploitative
system. As a mode of resistance Gandhian philosophy, as you will see in the
decolonization section is found wanting in the face of the brute forces of colonization.
If poor people must live while struggling, grow their food and tend their families
while they are struggling politically, Gandhian thought must change and incorporate a
different tactics.
Religion as Politics
In his autobiographical account, Gandhi observed that “those who say religion has
nothing to do with politics, do not know what religion is” That there is a clear link
between the two and that one can serve the other is something that has been proven
in human history repeatedly. However, the nature of the link is complex and can take
a myriad forms, each specific to the context in which the interaction between the two
actually takes place. Gandhi was deeply aware of this fact and transformed this into
a political strategy. Two strands of this linkage are however clear in Kanthapura.
Religion provides the physical location in which political meetings, fasting, speeches
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and protests can take place is obviously the first. Religion also provides the
vocabulary and the truths in terms of which the issues and truths of the freedom
movement can be explained to the common illiterate villager and their role in taking
the movement further can be explained to them. Shahid Amin in his essay Gandhi
as Mahatma (1988) discusses how Hindi journalism played an immensely
significant role in the upheaval of the nationalist sentiment in Gorakhpur post 1919.
“In April of that year two important papers— the weekly Swadesh and the
monthly Kavi — made their appearance. These, especially Dasrath
Dwivedi’s Swadesh, were to exercise an important influence in spreading the
message of Gandhi over the region.”
Amin goes on to discuss how this influence in the district led to the idea of
Gandhi to be appropriated by the peasants to validate their own means of
addressing local problems, very much as depicted in Kanthapura.
Such re-appropriation of Gandhian thought implied a radical redefinition of the
role of religion as experienced in the day to day lives of the common people and the
change was clearly experienced as a contested power struggle. However, the fact
that the temple becomes the site of the conflict indicates that is in the realm of religion
that the larger and deeper political goals have to be negotiated because they can
reach state politics.
In Kanthapura, the temple begins as a place of strict traditionalism. As
Moorthy attempts to propagate social change by meeting with people of the Pariah
caste, the village religious leader declares that he will outcast every Brahmin who
follows Moorthy’s example and mixes with the Pariahs. When Moorthy attempts to
talk about Gandhi in the Brahmin temple, a village woman is outraged. Her son,
“who too has been to the city,” says, “but, Mother, [Gandhi] is…a holy man”; to
which the woman declares, “Holy man or lover of a widow, what does it matter to
me? When I go to the temple I want to hear about Rama and Krishna…and not all
this city-nonsense”. The Gandhian ideals of social change are initially unwelcome in
a village deeply rooted in tradition.
Critic Meeta Chatterjee provides more understanding of the context of Gandhi
and the changes he promoted.”The erosion of hierarchy, the breakdown of ‘caste
pollution’ rules and the disregard for the occupational stratification of the caste
system is a threat that Gandhi’s ideology in general posed.” As a Gandhian
representative promoting Gandhian ideals in the village, it is Moorthy who poses the
direct threat to the tradition and hierarchy of Kanthapura. Moorthy is both a physical
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and metaphorical representative of the modern ideological change which is battling

the deep seated traditions.
Two crucial events illustrate the change: a three-day period which Moorthy
spends in the temple fasting, and a violent clash between villagers and English law
enforcement in which the village women take refuge in the temple. The first event—
Moorthy’s three-day fast in the temple—is the first time in the novel that external
politics enters the internal space of the religious building.
The ideological and physical invasion, however, does not occur without
confrontation. As Moorthy fasts and meditates in the temple, a village woman
“roused him with her loud laughter: ‘Ah, the cat has begun to take to asceticism…As
though it were not enough to have polluted our village with your pariahs! Now you
want to pollute us with your gilded purity!’”. The insults are not the only rebukes
Moorthy receives. Another woman “laughed and mocked at Moorthy”; a village
leader, “furious that Moorthy was pretending to be pious … insulted him and
[swore] he would…denounce [his] conversion”. As Chatterjee explains, “The
internal confrontation between high caste Hindus who want to preserve their status,
and Moorthy is a power struggle.” Through Moorthy, then, modernization directly
challenges the traditionalism of the village. The location of the temple as a battlefield
makes the confrontation a metaphor for all social activism in India that opposes a
religious tradition.
The conflict determining the future of the temple—whether it will maintain its
rigid traditionalism or succumb to the modern activism Moorthy brings into it—is not
settled until several days after Moorthy’s three-day fast. Because of Moorthy’s
unwavering love towards the villagers, the people decide that he “is grown-up and
great, and he has wisdom in him”. He then gives a speech declaring his social and
political intentions. Previously, villagers were vehemently opposed. After Moorthy’s
speech, they respond, “He will be our Mahatma”. The binary opposition between
orthodox and modern is settled decidedly in favour of the modern.
The second crucial event of Kanthapura that occurs in the temple demonstrates
the drastic ideological and physical transformation of the temple. During one of the
villagers’ final political marches, violence erupts between demonstrators and
authorities. Many of the village women take refuge in the temple. Outside the temple,
an opposition policeman seals the door closed, trapping the women inside. The
narrator, Achakka, recounts: “[W]e cry out hoarse behind the door, and we cry and
moan and beg and weep and bang and kick and lament, but there’s no
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answer…and…as the afternoon drew on, our stomachs began to beat like drums
and our tongues became dry”. The women suffer through the rest of the day and all
through the night. The next morning a Pariah woman steals a key to the temple and
“[rushes] up to the temple to unlock it”. How drastically the village has changed is
illustrated when a pariah frees them from the temple that in former times she would
not have even been allowed to enter. A lower-caste woman as a savior to the
Brahmin women demonstrates the complete revision of the local social standard. In
the beginning of the novel, a Pariah woman would have been scorned and rebuked
for even nearing the temple; at the end, she has saved the women from the very
temple they would have earlier denied her.
Notably, the entrapment of the women in the temple also makes visible the
deficiency of the temple as a physical protectorate. It is as a realm of ideas that the
temple is significant and not as a physical fortress. The women enter the temple
seeking refuge, but the immediate threat of starvation is presented. The temple can
only offer temporary physical shelter but not any long term protection from the
British. It is in what goes on inside the temple, namely the politico-spiritual
discoursing that political protection lies.
Decolonization in Kanthapura
Frantz Fanon is a renowned postcolonial thinker known for his two seminal works
Black Skin and White Masks (1986) and The Wretched of the Earth (1991).
One of the issues Fanon’s explorations center around and return to often is how ill
equipped are the former colonies to function as independent nations and offers a
critique of present day bourgeois nationalism that operates in third world nations
after the departure of the European powers.
Fanon views decolonization as a violent phenomenon replacing one set of
political values by another and the two having a clear oppositional relationship with
each other. It executes the strategy in which, “The last shall be the first and first last”.
The settler inaugurates and perpetuates his illicit statute on the colony with violence
through the police and the army. It is to be noted that the famous Battle of Plassey
(1757) laid the foundation stone of British dominion in India followed by numerous
local rebellions like the Maratha war, the Chauri-Chaura incident and the tribal
movements of Jharkhand, each marked by the same bloodshed.
Fanon’s argument is that the violent trait of decolonization is a natural corollary
of its predecessor, imperialism. In order to reverse the multi-faceted violence that
colonization inflicts upon its target culture, a corresponding violence of reversal is
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necessary. Violence here is to be read as occurring at all levels - physical, rhetorical,

emotional, socio-cultural etc. In this Fanon is different, even opposed to Gandhi who
saw ahimsa or non-violence as one of the pre-requisites to decolonization.
Moorthy’s negotiation with all the villagers, specially the upper-caste ones, the
villagers’ negotiation with each other, Bade Khan, the police man’s negotiation with
the villagers and the changes that occur in the minds of the villagers, each of these
instances is an example of the kind of violence Fanon speaks of here.
The struggle in Kanthapura is thus one of de-colonization. Fanon sees a critical
role for the native intellectuals as agents of decolonization. Despite his western
education, the native intellectual will sympathize as well as empathize with his
countrymen and slowly but surely he will lead the mass mobilization against the
colonial regime. In Kanthapura, Moorthy is the native intellectual who succeeds in
that endeavour. He is the educated Brahmin youth who joins the hands of men and
women, Brahmins and pariahs, and potters and coolies of the village against British
dominion. He intimates all the village men on the deterioration of the native economy
and exhorts them to foster indigenous goods. Other educated youth like Seenu, read
Gandhiji’s Story of My Experiments with Truth to his illiterate village men and
Ratna transcends the stigma and limitations of her widowhood to enlighten the
women folk.
The people of Kanthapura, under the influence of Moorthy have crossed the first
major hurdle towards decolonization. They have realized the need for new liberating
ideas and if necessary taking recourse to violence, though Moorthy has taught them
the lesson of non-violence. That the ideas reign supreme is evident in the fact that
they are ready to overcome their prejudices and come together in their fight for the
common cause of freedom. Indeed, “The national unity is first the unity of a group,
the disappearance of old quarrels and final liquidation of unspoken grievances”
writes Fanon. All the Brahmins, pariahs, and even the lumpen proletariat of the
Skeffington Coffee estate come under a single flag. The break-up of the colonial
government is their one and only target to accomplish.
Fanon resurfaces in our analysis of Kanthapura through his analysis of how
myths, tribal dances and occult practices of the natives abet their spirits and
contribute to their cohesion for a common cause. The faith in Kenchamma, the
presiding deity of the village is one such conviction joining the people of Kanthapura.
In the place of tribal dances, the harikathas of Jayaramachar enliven their fight.
Jayaramachar jumbles up Indian mythology with contemporary politics as swaraj is,
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like Lord Siva three-eyed; khaddar, self purification and Hindu-Muslim unity. The
camphor ceremonies and bhajans held during the Sankara Jayanthi, the Ganesh
festival and the Krishnashtami are the Indian equivalents of Fanonean tribal affairs.
Fanon also speaks of decolonization as a positive and creative struggle which
bind the natives together and inculcates in every native mind the vibrant ideas of
national destiny and collective history. If colonialism is a divide and rule policy,
decolonization is its counter- a mass movement resisting parochial divisions in every
form. The native believes a renewed and invigorating life will arise from the ashes of
the colonizer’s corpse.
Fanon’s colleague, Aime Cesaire shows how colonization works by the perverse
logic of denigrating the native culture and asserting the western culture as superior.
Decolonization therefore will involve recovering the lost sense of pride in one’s own
native culture which is what we see happening in Kanthapura. On the individual level,
the struggle will purge of the native’s inferiority complex and reclaim his self respect.
In each moment of ‘don’t touch the government campaign,’ reluctance to pay taxes
and toddy picketing in Kanthapura one can perceive the self esteem and vigour of
the people.
The process of decolonization cannot function without facing violence from the
colonizers, warns Fanon. In Kanthapura, there is a wave of arrests and police
parade to engender panic among the innocent people. But as Fanon prophesied it
fans the anti-colonial flames. At the zenith of the anti-colonial struggle, “On every hill
a government in miniature is formed and takes over power. Everywhere in the
valleys and in the forests, in the jungles and in the villages we find a national
authority. Each man and woman brings the nation to life by his or her action and is
pledged to ensure its triumph in their locality”. This statement by Fanon can be
applied word by word in the case of Kanthapura if one replaces hill by a village.
The colonizer’s violence erupts in the Satyanarayan procession. The initial slogan
of ‘Satyanarayan ki Jai’ later becomes ‘Inquilab Zindabad and they shout:
“Lift the flag high
O, Lift the flag high
Brothers, sisters, friends and mothers
This is the flag of Revolution.”
Soon, the volunteers and the police begin to wrestle each other. Some have
brought gas cylinders, sickles and lathis to fight the police. “... Violence touched all
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sides (places, areas, et cetera) at all times, and all violence was equal, and the police
and the soldiers were all equally violent, and the people were all equally victimized,
but especially some of the girls”
Rachi’s act of blazing the village transforms the serene hamlet into a bloody
pandemonium. Leaving their birth place the fortunate ones flee and settle in
Kashipura. Fanon would trace the root cause for the failure of this struggle in the
lack of proper guidance and adept organization –something native cultures are not
adept in traditionally. The procession is only an inchoate affair executed in a hasty
manner. When the British government intensifies its iron hand measures like
confiscating their land, their spirit is dampen. Weary of the long drawn hardships
they are dubious about the efficacy of Moorthy and his Gandhian ideology.
When they are finally driven out of their household, the only means is a violent
retort.
Towards the end of the novel, Moorthy expresses his disapproval of Gandhism
and steps towards Nehruvian socialism in his letter to Ratna. Thus, Fanon’s words,
“Non-violence is an attempt to settle the colonial system around a green baize table,
before any regrettable act has been performed or irreparably gesture made, before
any blood has been shed” holds true for the Kanthapura crusade also. The
destruction and anarchy that disturbs Moorthy is a necessary part of the
decolonization process. For decolonization in its attempt to re-territorialize the
colonial cartography “is obviously a programme of complete disorder”. However, it
is only out of such disorder that a kind of new order can emerge, an order that is
based on the formation of a new nation.
Decolonization and the emergence of nation are simultaneous processes.
Chapter three of The Wretched of the Earth titled “The Pitfalls of National
Consciousness” describes the imminent dangers of independence in nascent nation
states. All the parochial considerations began to reappear and eclipse the national
consciousness. “The nation is passed over for the race and the tribe is preferred to
the state”. The spiritual penury of the native bourgeoisie accounts for this
catastrophe. The new Kashipura will have to face the challenges and learn the
necessities of egalitarian politics itself. A new state post decolonization must be born
out of the dreams aspirations and efforts of its people. This is why the novel leaves
Kashipura in state of evolution far from Moorthy’s ideal conception of a village.
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Women in Kanthapura
Raja Rao’s Kanthapura (1938) is a subtle record of the immense changes that the
Gandhian movement of the thirties brought into the life of the Indian woman and yet
didn’t let her cross the conventional feminine boundaries. The novel traces the
material and psychological revolution that accompanied the emergence of the
woman from within the twin incarnations of the devi and the dasi that has reigned
the imagination of the patriarchy since ages. From the polar images of the all-
pervading and all-powerful goddess Kenchamma and the Pariah Rachanna’s wife
who would spin only if her husband tells her to, emerge the new women who defy
conventions and lead the war of independence — Rangamma and Ratna.
Political mass movements in any country, as Ania Loomba suggests, have
dubious attitudes to the question of female agency and women’s rights. It appears as
if, much like patriarchal culture, political movements demand a particular role from
the women and force her to change, adapt and perform in the name of ideals that on
the surface may appear highly desirable but end up confining women in newer and
different ways. Throughout Latin America, argues Loomba, machismo posed a real
problem for the women in political struggle. Given the idealization of the machismo
cult it was difficult if not impossible to visualize how a woman’s contribution could be
significant.
Some critics suggest that Gandhi’s Non-cooperation movement was feminist in
nature —it mobilized an unprecedented number of women and also, it adopted
attributes such as passivity, and activities such as spinning, traditionally considered to
be feminine in nature. This is debatable as the movement in its essence remained
deeply conservative. It is true that the Gandhian movement had a considerable role
to play in bringing the woman out of purdah. Women made up a significant part of
the satyagrahis and many assumed the role of leaders in the movement. Thus we
find the Gandhi of Kanthapura, Moorthy, selecting Rangamma as one of the
members of the Congress Panchayat Committee, saying “We need a woman for the
Committee for the Congress is for the weak and the lowly”.
But Gandhi’s movement confined the women’s public roles to being merely an
extension of their domestic selves in concurrence with the patriarchal conceptions of
the family and society. Despite the references to Rani Laxmibai in Kanthapura, the
ideal woman is projected in the figure of the ever-obedient and eternally suffering
Sita. As Loomba puts it, the woman’s state was simply a transition “from a
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traditional child bride into the nationalist ideal of the wife as help-mate and
companion”.
We get a glimpse of this painful evolution in the autobiography of Ramabai
Ranade, who was married at the age of eleven to the well-known scholar and jurist
Mahadev Govind Ranade. Torn between her husband’s persistence for her to be
educated and the taunts of her mother-in-law and other female relatives, she decides
on one occasion to be absent from a function at the temple where she had to choose
between sitting with orthodox or reformist women. Her husband punished her by
refusing to speak to her even when she performed the traditional rubbing of his feet
with ghee, without even telling her what her fault was. The matter was only resolved
when she went up to him and apologized. His response was:
“Who would like it if his own one didn’t behave according to his will? Once
you know the direction of my thoughts, you should always try to follow the
same path so that neither of us suffers. Don’t ever do such things again.”
We meet with similar resistance to the Sevika Sangha from the men in
Kanthapura. As long as the male privileges and rights are not jeopardized, men in
Kanthapura do not have any problems with their women being radicalized into
politics. But the moment any of these men are asked to compromise on any of these
rights or privileges the situation turns against the women:
“And when our men heard of this, they said: was there nothing left for our
women but to vagabond about like soldiers? And every time the milk curdled or
a dhoti was not dry, they would say, ‘And this is all because of this Sevi
business’.”
A woman is beaten as a consequence of being a part of this Sangha although she

is seven months pregnant. Post office Satamma’s husband forbids her to go to
Rangamma’s house and when accosted by the latter says, ‘I am a Gandhi’s man,
aunt. But if I cannot have my meals as before, I am not a man to starve’. Rangamma
in accordance to the Gandhian ideals tells Satamma not to fail in her timely services
to her husband or home.
Another point of dubious credibility relates to the education of women. Women’s
education has always been a sore point with the Indian patriarchy. Arguments for
women’s education in metropolitan as well as colonial contexts, according to
Loomba, rely on the logic that educated women would make better wives and
mothers. At the same time, they have to be taught to remain in their places. This
idea is as current now as it was eighty years back. The widening up of one’s world
as a result of education fails to keep the woman shackled within the four walls of her
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Kanthapura
home and it is precisely this spectre of the truly independent woman that haunts
patriarchy.
The women leaders in Kanthapura are both educated widows, Rangamma and
Ratna. Rangamma acts as a source of information, knowledge and inspiration to the
village women. Apart from telling them about other galaxies on the one hand and the
equal rights that women share with the men in a far-away country on the other,
Rangamma is a regular subscriber to newspapers from the city. These papers supply
the villagers with the latest developments in the revolutionary struggle in the other
parts of the country and later as to the trial and judgment of Moorthy and his
fellow satyagrahis. Rangamma is the one who tells the women about Laxmi Bai and
trains them to resist the lathi blows of the police passively. She modulates the deep
core religious zeal in the women and adds a nationalist dimension to it, ‘…we shall
fight the police for Kenchamma’s sake, and if the rapture of devotion is in you, the
lathi will grow as soft as butter and as supple as a silken thread, and you will hymn
out the name of the Mahatma.’
On the other end there is Ratna. Initially, she is detested by the village women
along with the evil Bhatta, for walking about the streets like a boy, wearing her hair
to the left “like a concubine”, and wearing her jewellery —and all this being a
widow. Ratna’s retort when accosted for this is remarkable,
“…when she was asked why she behaved as though she hadn’t lost her
husband, she said that that was nobody’s business, and that if these sniffing
old country hens thought that seeing a man for a day, and this when one is ten
years of age, could be called a marriage, they had better eat mud and drown
themselves in the river.”
We find innumerable examples of similarly suffering women in Bengali literature

as well, but none perhaps daring to voice so vehement a protest. Her mother reacts
to her attitude in the conventional fashion, calling her a wicked tongued creature and
significantly, that she ought never to have been sent to school. Later, in the
absence of Moorthy and Rangamma, it is Ratna who leads the women against the
police as the latter launch a violent assault against the village.
Another great leap towards liberation is achieved by the women in the novel by
their deciding to read and comment on the vedantic texts when Ramakrishnayya
dies. The women choose Ratna to read the texts and Rangamma to comment on
them, a remarkable decision when one considers the contemporary furore over
whether a woman at all has the right to read the Vedas or not!
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Kanthapura
Rao’s selection of an old grandmother as the narrator in Kanthapura is one of

the finest stylistic devices of the novel. We witness the immense change that is
gradually brought about in the psyche of the narrow-minded, prejudiced and
uneducated widow as she mingles facts with fantasy to describe how the world
changed for her and her companions under the influence of Moorthy’s preaching and
Rangamma’s Sevika Sangha. This is one of the rare instances where history is
looked at from a woman’s point of view as opposed to its analytical, power-
structured male version that inevitably leaves the women folk out.
1. What adjustments were made by Rao while writing Kanthapura?

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2. How does people of Kanthapura deal with decolonization?

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17.5 SUMMARY
x Raja Rao is known to be one of the most respected and honoured Indian
writer of English language novels and short stories. All his works are
characterized by Hinduism. His novel The Serpent and the Rope (1960)
established Raja Rao as one of the finest Indian stylists. The Serpent and
the Rope is a semi-autobiographical novel which refers to the seeking of
spiritual consciousness in Europe and India.
x In 1988, he received the prestigious International Neustadt Prize for
Literature. The Serpent and the Rope was written after a long silence
during which Rao returned to India. The work dramatized the relationships
between Indian and Western culture. The serpent in the title refers to
illusion and the rope to reality. Cat and Shakespeare (1965) was a
metaphysical comedy that answered philosophical questions posed in the
earlier novels.
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Kanthapura
x The protagonist of the novel is a young Brahmin boy, named Moorthy.

Moorthy was a staunch follower of Mahatma Gandhi. Although he had
never met Gandhi personally, he had read enough of his ideas and heard
about his speeches to be influenced by his ideas and had even seen him
once in a vision. What appealed to him in Gandhi’s ideas was the quest for
the realization of equality among all and based on this, the need to resist
British occupation through non-violent protest.
x Moorthy lives with the Rangamma, a childless window of the village.
Rangamma was an educated lady and was a supporter of Moorthy, the
freedom fighter. Moorthy was now on the religious, moral and political
periphery of his society and it is from this periphery that he began his
political struggle decisively.
x The Skeffington coffee estate was spread over a vast sprawling expanse in
the neighbourhood of Kanthapura. The owner of the Estate, an Englishman,
ruled the coolies with an iron hand, using their physical labour in an
unrestricted way and freely using their womenfolk for sexual ends. It was a
veritable slavery under a lone slave master and his system.
x Moorthy is conceived as a force of change. As a Gandhian, he is
responsible for doing two things in the story. First, to make people
conscious of the age old inequalities that they are mired in and link these
inequalities to colonial oppression. His second role is to liberate the people
from these inequalities so that they are automatically harnessed to the cause
of the freedom struggle. He is characterized as the force that will cause
both these changes.
x Rao was facing a problem while writing Kanthapura which tried to present
a uniquely Indian reality in a foreign language, i.e., English. In the preface he
observes: “the telling has not been easy”. He had to “convey in a language
that is not one’s own the spirit that is one’s own’.
x Gandhism however encounters a crisis at the end of the novel. Police
atrocities, seizure of land and a survival crisis force the Gandhians of
Kanthapura out and they ultimately find refuge in Kashipura. Gandhi’s
ideals may be very appealing but they are found impractical as they do not
address issues of hunger, thirst, security and brute survival until the time
when Gandhian politics has overturned the exploitative system.
x But Gandhi’s movement confined the women’s public roles to being merely
an extension of their domestic selves in concurrence with the patriarchal
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Kanthapura
conceptions of the family and society. Despite the references to Rani

Laxmibai in Kanthapura, the ideal woman is projected in the figure of the
ever-obedient and eternally suffering Sita. As Loomba puts it, the woman’s
state was simply a transition “from a traditional child bride into the
nationalist ideal of the wife as help-mate and companion”.
x Rao’s selection of an old grandmother as the narrator in Kanthapura is
one of the finest stylistic devices of the novel. We witness the immense
change that is gradually brought about in the psyche of the narrowminded,
prejudiced and uneducated widow as she mingles facts with fantasy to
describe how the world changed for her and her companionsunder the
influence of Moorthy’s preaching and Rangamma’s Sevika Sangha. This is
one of the rare instances where history is looked at from a woman’s point
of view as opposed to its analytical, powerstructured male version that
inevitably leaves the women folk out.
x Rao eventually settled in the United States and was Professor of
Philosophy at the University of Texas at Austin from 1966 to 1983, when
he retired as Emeritus Professor. Courses he taught included Marxism to
Gandhism, Mahayana Buddhism, Indian philosophy: The Upanishads, etc.
x The summary of this novel has been divided into various subsections, each relating
an important event or plot movement within the story. It should be noted that this
section is not intended to substitute a firsthand reading of the novel.
x The story of the novel is set in Kanthapura, a small, obscure village in a
remote corner of south India. Rao seems to be drawing from his memory
of Hassan and Harihalli in conceptualizing the nature of this state.
17.6 KEY WORDS
x Anthology: A published collection of poems or other pieces of writing

x Corollary: Forming a proposition that follows from one already proved
x Gandhism: A body of ideas and principles that describes the inspiration,
vision and the life work of Mahatma Gandhi. It is particularly associated
with his contributions to the idea of nonviolent resistance, sometimes also
called civil resistance.
x Swaraj: Self-government or independence for India.
x Untouchability: A direct product of the caste system. It is not merely the
inability to touch a human being of a certain caste or sub-caste.
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Kanthapura
x Puranas: Any of a class of Sanskrit sacred writings on Hindu mythology

and folklore of varying date and origin, the most ancient of which dates
from the 4th century AD.
x Satyagraha: A policy of passive political resistance, especially that
advocated by Mahatma Gandhi against British rule in India.

1. The two influences that can be seen in Rao’s works are that his mother died
when he was four and that left a lasting impression on the novelist. This may
also be the reason of orphan hood being a recurring theme in his novels.
Another influence from early life was his grandfather, with whom he stayed
in Hassan and Harihalli.
2. Rao participated in the Quit India Movement of 1942. In 1943-1944 he
co-edited with Ahmed Ali a journal from Bombay called ‘Tomorrow.’ It is
in this phase of activism that Kanthapura was conceived.

1. The story of the novel is set in Kanthapura, a small, obscure village in a
remote corner of south India. Rao seems to be drawing from his memory
of Hassan and Harihalli in conceptualizing the nature of this state.
2. Bhatta observed that Moorthy’s actions was not a conscious political
programme that would free them from British control but its logical
corollary— an attack against the centuries old caste-system which kept the
Brahmins at the center of social and religious power. He complained
against Moorthy to the religious head of the region, called the Swami.
Swami was an orthodox Brahmin and an agent of the British government.
Realizing the kind of challenge the Gandhi man posed to the power
structure operating within the society, the swami excommunicated Moorthy.

1. The adjustments that had to be made at multiple levels were:
x The puranic narrative devices
x Using an old woman as a narrator.
x Use of myths, legends and symbols
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Kanthapura
2. The people of Kanthapura, under the influence of Moorthy crossed the first
major hurdle towards decolonization. They realized the need for new
liberating ideas and if necessary they look recourse to violence, though
Moorthy had taught them the lesson of non-violence.
1. Assess the characterization of Moorthy in Kanthapura?

2. What are views and uses of religion by the character Moorthy in
Kanthapura and Gandhi, as expressed in Hind Swaraj and My
Experiments with Truth?
3. Who is the owner of Skeffington Coffee Estate? Write a brief sketch of his
character.
4. Identify the major themes in Raja Rao’s novel Kanthapura.
5. Discuss major women characters in Raja Rao’s Kanthapura.
6. Can Raja Rao’s Kanthapura be considered as a post-colonial novel?
Rao, Raja. 1996. Kanthapura. New Delhi: Orient Paperbacks.

Hein, Carolina. 2013. Raja Rao’s Novel Kanthapura - The Example of Uniting
Fiction and Reality. Norderstedt, Germany.
Sharma, Kaushal. 2005. Raja Rao: A Study of His Themes and Technique. New
Delhi: Sarup & Sons.
Dayal, P. 1986. Raja Rao. New Delhi: Atlantic Publishers & Distri.
Prasad, Amar Nath. 2001. Studies in Indian English Fiction. New Delhi: Sarup &
Sons.
Dodiya, Jaydipsinh 2006. Perspectives on Indian English Fiction. New Delhi:
Sarup & Sons.
504
Stress and Stress Pattern
UNIT–18 STRESS AND STRESS PATTERN
Objectives
x Understand the importance of stress in English language
x Discuss the use of stress
x Analyse the rules for placement of primary stress
x Evaluate stress pattern
Structure
18.1 Introduction
18.2 Word Stress
18.3 Stress Pattern
18.4 Summary
18.5 Key Words
18.1 INTRODUCTION
In linguistics, stress is the relative emphasis or force that may be given to certain
syllables in a word, or to certain words in a phrase or sentence. Stress is typically
signalled by such properties as increased loudness and vowel length, full articulation
of the vowel, and changes in pitch.
In this unit, we will discuss how and where the stress works in English language.
18.2 WORD STRESS
We have already come across the way the vowels and consonants in different
combinations produce words and how the words are categorized into syllables.
Each syllable has an obligatory vowel sound and one, two or more consonantal
sounds. These syllables make up a word. When there is merely one syllable, the
stress is obviously on that particular syllable. But when there is more than one
syllable in a word, then one syllable gets more stress than the other. For example, in
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the word ‘all’, which is monosyllabic, the stress is one the syllable ‘all’. But when we
speak the word, ‘almost’, there is more stress on ‘al’ than the syllable ‘most’.
Some definitions of stress

x Stress is the force used in speaking. (Palmer)
x Stress is the relative degree of force with which a syllable is uttered. (Daniel
Jones)
x Stress is the degree of loudness or intensity upon some syllable which makes
it louder and more prominent than unstressed syllables.
(Bloch & Trager)
Stress is usually studied from two points of view: production and perception. The
production of stressed syllables is said to imply a greater muscular energy than the
production of unstressed syllables. That is to say that when there is more than one
syllable in a word, the speaker of the word gives more prominence to one syllable than
the other(s). From the perceptive point of view, stressed syllables are prominent.
There are several factors responsible for such prominence or word stress.
x Loudness: When you speak, you are breathing out. When the speaker
provides greater muscular energy, the syllables are heard with greater loudness
or stress. For example, in the word ‘calculation’, there are four syllables—‘cal’,
‘cu’, ‘la’, ‘tion’. Amongst these four syllables, ‘la’ receives usually the loudest
followed by ‘cal’, while ‘cu’ and ‘tion’ are unstressed syllables.
x Pitch change: The pattern of accent in a word also becomes clearer when
the prominent syllable of the word is associated with a pitch change. For
example, in the two syllabic word ‘insult’, the first syllable is not only
louder. But at the same time, there is a pitch change in the first syllable from
high to low, resulting in more emphasis on the first syllable.
x Quality of the vowel: The prominence of a syllable in a word also
depends on the quality of the vowel that the syllable contains in comparison
to the vowels of the neighbouring syllables. The syllable which will have a
strong vowel sound will be more stressed than the rest.
x Quantity: Sometimes, the quantity or the length of the syllable decides the
stress of a syllable in a word.
Some Rules for Placement of Primary Stress on Words

It is true that the stress in unpredictable and this is all the more true in English. Yet,
some general rules can be framed based on certain regularities that are found in
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providing stress in words. However it can never be said that these rules are always
true in every case. They are significant so as to make us understand that there are
certain patterns of stress in English.
1. The first rule which can be exemplified is that all English words more or less
have some stress (whether primary or secondary) in the first or second
syllable. For example, in the word ‘calculation’ which has four syllables, the
primary stress is in the third syllable but the first syllable has got the
secondary stress.
x Two-syllable words are normally stressed on the first syllable:
foreign2, mountain, legal
x Three-syllable words are normally stressed on the first syllable:
character, family
x Words of more than three syllables are normally stressed on the
antepenultimate: original, curiosity
2. The inflectional morphemes or suffixes are not stressed and do not affect
the stress in a word. The word ‘mistake’ becomes ‘mistaken’ by adding an
inflectional morpheme but that does not affect the stress in the word.
3. The following derivational morphemes or suffixes are not stressed and do
not affect stress. They are given in Table 18.1.
4. Some derivational suffixes receive stress and some others affect word
stress. In case of these suffixes, the stress is shifted when the suffix is
added to the stem. For example, in the word ‘employ’, the primary stress
is in the second syllable’-ploy’, but when we add the suffix’-ee’ to the stem
‘employ’, the new word ‘employee’ is formed where there are three
syllables and the primary stress shifts to the third syllable.
Another important feature related to stress is the ‘weak forms’. There are many
functional or grammatical words in English which can be pronounced in strong and
weak forms. There are about forty such words.
The most common weak-form words are:
x THE
x A
x AND
x BUT
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x THAT (as a conjunction of relative pronoun)

x THAN
x AT
x FOR
x FROM
x OF
x TO
x AS
x SOME
x CAN, COULD
x HAVE, HAS, HAD
x SHALL, SHOULD
x MUST
x DO, DOES
x AM, IS, ARE, WAS, WERE
Table 18.1 Examples of Derivational Morpheme
Derivational morpheme Exampl e

-age Postage, breakage
-ance Appearance, governance
-en Soften, brighten
-ence Subsistence
-er Doer, keeper
-ess Lioness, goddess
-ful Dutiful, faithful
-fy Beautify, classify
-hood Childhood, manhood
-ice Cowardice
-ish Childish, foolish
-ive Creative, attractive
-less Aimless, careless
-ly Faithfully, happily
-ment Government, postponement
-ness Boldness, heaviness
-or Governor
-ship Scholarship
-ter Laughter
-ure Enclosure, failure
-y Bloody, woolly
-zen Citizen
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To sum up, one can say that words have as many syllables as there are vowel
sounds. In English language, depending on the number of vowel sounds, there can be
one syllabic (monosyllabic) word, or word consisting of two or more syllables
(sometimes the syllable count van go up to seven). All the syllables in the word do
not receive similar kind of prominence or stress which makes the language rhythmic
or musical.
1. Define stress.
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2. What are the constituents of a syllable?

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18.3 STRESS PATTERN
Stress is a term used in phonetics to refer to the degree of force used in producing
a syllable or a relative emphasis or prominence given to a syllable in a word while
talking. The prominence is usually due to an increase in loudness of the stressed
syllable. Apart from this one can also employ the method of increase in the vowel
length and pitch and full pronunciation of vowel to contribute to the overall
impression of prominence. In popular usage, ‘stress’ is usually equated with an
undifferentiated notion of ‘emphasis’ or ‘strength’. The stress placed on syllables
within words is called word stress or lexical stress.
Some languages like French and Mandarin, is described to lack lexical stress
entirely. Whereas other languages do have a stress pattern. But the pattern varies
according to the language. In Hindi and other Indian languages equal stress is given
to all the syllables in a word. Some languages follow a fixed stress pattern like
Czech, Finnish, Icelandic and Hungarian. In other words, in such languages the
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stress on virtually any multisyllable word falls on a particular syllable, such as the first
or the penultimate. But English language doesn’t fall into either of these categories
but have variable stress. That means the position of stress in a word is not
predictable according to the number of syllables in a word. So stress becomes a
major aspect of study in English pronunciation. In such languages with variable
stress, stress may be phonemic in that it can serve to distinguish otherwise identical
words.
We will now look at some of the major stress rules at the word level in English.
Nouns
1. If the noun has two syllables the first syllable is stressed as in words
promise and tribune
2. If the noun has more than two syllables then
(a) If the last syllable has a free vowel (that can come without a following
consonant /ii ei ai oi uu ou au, aa, rr/) the antepenultimate is stressed
like ‘anecdote, ‘ photograph
(b) If the last syllable does not have a free vowel then we look at whether
the penultimate syllable is stresssable (has a free vowel or has a VCC
construction).
i. Then it is stressed a’roma, e’nigma,
ii. If no then the antepenultimate is stressed like ‘cinema,
pho’tographer
Verbs
1. If the last syllable of the verb is not stressable (has a free vowel or end with
two consonants) then the penultimate syllable is stressed like so’licit.
2. If the last syllable of the verb is stressable, and
(a) If the word has two syllables then the final syllable is stressed con’tain,
er’upt.
(b) If the word has more than two syllables then the antepenultimate
syllable is stressed like ex’aggerate, ‘supplement.
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Stress is a defining parameter to identify words as either nouns or verbs. There

are so many words in the English language that sound and spell the same but belong
to different word categories. For example the concept or the word desert in the
sentence, “The soldier decided to desert his dessert in the desert”. This points out to
the importance of stress in English language.
Many pairs of words and word sequences can also be distinguished using stress
variation (lexical stress or word stress).
The analytical question here, which attracted a great deal of attention in the
middle decades of the twentieth century, is how many degrees of stress need to be
recognized in order to account for all such contrasts, and to show the
interrelationships between words derived from a common root, such as
ctelegraph, telecgraphic and teclegraphy. In the American structuralist tradition,
four such degrees are usually distinguished, and analysed as stress phonemes,
namely (from strongest to weakest) (1) ‘primary’, (2) ‘secondary’, (3) ‘tertiary’
and (4) ‘weak’. These contrasts are, however, demonstrable only on words in
isolation, as in the compound elevator operator – one of several such phrases
originally cited to justify analyses of this kind. Alternative views recognized
different kinds and degrees of stress, the simplest postulating a straight stressed v.
unstressed contrast, referring to other factors (such as intonation and vowel
quality) to explain such sequences as elevator operator. In distinctive feature
theories of phonology, the various degrees of stress are assigned to the syllables of
words by means of the repeated application of rules (such as ‘lexical’,
‘compound’ and ‘nuclear’ stress rules). Some analysts maintain there is a
distinction to be made between linguistic contrasts involving loudness (which they
refer to as ‘stress’) and those additionally involving pitch (which they refer to as
accent). All the examples given above, they would argue, are matters of accent,
not stress, because contrasts in pitch variation are normally involved. Similar
problems arise in the analysis of tone languages. In cross-language comparison, it
is useful to note variations in the typical place within the word where the stressed
syllable falls. Some languages have a fixed stress (or accent), e.g. Welsh, where
the stressed syllable is almost always the penultimate, in polysyllabic words.
Others, such as English, have a free or movable stress (accent).
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Sometimes more than one level of stress, such as primary stress and secondary
stress, may be identified. In transcription the primary stress is marked by a
superscript and secondary stress by a subscript. Stressed syllables are often louder,
have a higher pitch and sometimes pronounced longer than non-stressed syllables.
Stress above the word level

The first importance of stress in English is that it is a stress timed language. That
means the time taken to pronounce a sentence is dependent on the number of stress
in that sentence and not the number of syllables as is the case in Hindi. So for
example the sentences The man is her. And The manager is here takes equal
amount of time even though the number of syllables vary. Along with rhythm and
intonation, stress forms the triad of prosody in a Language and is very important in
understanding the language.
In English, prosodic stress in mostly placed on the theme of the sentence or on the
focused or accented words. For instance, the example given below:
“are we going tomorrow?”
“No, we are not going tomorrow.”
Here the content word going get the default stress.

Another functions of stress is to provide a means of distinguishing degrees of
emphasis or contrast in sentences. Prosodic stress, or sentence stress, refers to
stress patterns that apply at a higher level than the individual word – namely within
a prosodic unit.The term contrastive stress is often used for this function. This
prosodic stress is often used pragmatically to emphasize (focus attention on)
particular words or the ideas associated with them. Doing this can change or
clarify the meaning of a sentence; for example: (here the word in italics receive the
sentence stress).
John did not give the pen to Mary yesterday. (Somebody else did.)
John did not give the pen to Mary yesterday. (He lend it or so.)
John did not give the pen to Mary yesterday. (He gave something else.)
John did not give the pen to Mary yesterday. (He gave it to somebody else.)
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John did not give the pen to Mary yesterday. (No such action took place.)
John did not give the pen to Mary yesterday. (He gave it on some other day.)
In the context of rhythm studies, the notion of a stress-timed language is often
cited, i.e. one where the stresses fall at roughly regular intervals within an utterance.
In analyzing such a language in this way, the notion of silent stress is sometimes
invoked, to handle cases where the omission of a stressed syllable in colloquial
speech can none the less be ‘felt’; a regularly cited case in the abbreviated version
of thank you /kjä/, which is said to be the unstressed residue of an unspoken
stressed + unstressed combination. A sequence of syllables constituting a rhythmical
unit, containing one primary stress, is known as a stress group. In metrical
phonology a stress-foot is a string containing as its first element a stressed syllable,
followed by zero or more unstressed syllables symbolized by 6. The most prominent
element in the stress foot is called the head. It should be noted that ‘foot’, in this
context, refers to an underlying unit, whose phonetic interpretation varies according
to the theoretical approach.
Destressing, in this approach, is a rule which eliminates stresses produced by
foot construction. When two stressed syllables are immediately adjacent, the
situation is described as stress clash. Speakers have a tendency to avoid stress
clash; for example, the word thirteen is normally stressed on the second syllable, but
in the phrase thirteen men, the stress shifts to the first syllable.
1. How many degrees of stress are used in American structuralist tradition?

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2. What is the importance of stress in English?

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18.4 SUMMARY
x When there is more than one syllable in a word, then one syllable gets more
stress than the other.
x Stress is usually studied from two points of view: production and
perception. From the perceptive point of view, stressed syllables are
prominent.
x It is true that the stress in unpredictable and this is all the more true in
English. There are certain patterns of stress in English.
x An important feature related to stress is the ‘weak forms’. There are many
functional or grammatical words in English which can be pronounced in
strong and weak forms.
x All the syllables in the word do not receive similar kind of prominence or
stress which makes the language rhythmic or musical.
x The time taken to pronounce a sentence is dependent on the number of
stress in that sentence and not the number of syllables as is the case in
Hindi.
x Destressing is a rule which eliminates stresses produced by foot
construction. When two stressed syllables are immediately adjacent, the
situation is described as stress clash.
18.5 KEY WORDS
x Monosyllabic: It a word containing one syllable.

x Pitch change: It is the change in pitch to higher or lower so as to modify
the stress.
x Morpheme: It is a meaningful morphological unit of a language that cannot
be further divided.
x Suffix: It is a morpheme added at the end of a word to form a derivative.
x Phonology: It is a branch of linguistics concerned with the systematic
organization of sounds in languages.
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1. As stated by Bloch and Trager, Stress is the degree of loudness or intensity
upon some syllable which makes it louder and more prominent than
unstressed syllables.
2. Each syllable has an obligatory vowel sound and one, two or more
consonantal sounds.

1. In the American structuralist tradition, four such degrees are usually
distinguished, and analysed as stress phonemes, namely (from
strongest to weakest) (1) ‘primary’, (2) ‘secondary’, (3) ‘tertiary’ and
(4) ‘weak’.
2. The first importance of stress in English is that it is a stress timed
language.
1. Explain the factors responsible for prominence or word stress.

2. What are the rules for the placement of primary stress on words? Explain
with examples.
3. Evaluate the major stress rules at word level in English.
4. ‘English is a stress timed language’ Explain the given statement.
5. Write a note on lexical stress.
Batstone, R. 1994. Grammar. Oxford: Oxford University Press.

Bygate, M. et al (eds.) 1994. Grammar and the Language Teacher. Hemel
Hempstead: Prentice Hall.
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Carter, R. 1987. Vocabulary. London: Routledge.

Finocchiaro, M. & Brumfit, C.1983. The Functional-Notional Approach. New
York: NY Oxford University Press.
Harmer, J 1991. The Practice of English Language Teaching. New York:
Longman.
Arihant Prakashan.
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Different Sounds
UNIT–19 DIFFERENT SOUNDS
Objectives
x Understand the sound patterns of English
x Discuss different sounds and their production
x Explain the articulations with respect to phonemes and allophones
Structure
19.1 Introduction
19.2 Sound Patterns of English
19.3 Phonemes and Allophones
19.4 Summary
19.5 Key Words
19.1 INTRODUCTION
In phonetics, the airstream mechanism is the method by which airflow is created in

the vocal tract due to which different sounds are produced. Along
with phonation and articulation, it is one of the three main components of speech
production. The airstream mechanism is mandatory for sound production and
constitutes the first part of this process, which is called initiation.
The organ generating the airstream is called the initiator and there are three initiators
used in spoken human languages:
x The diaphragm together with the ribs and lungs (pulmonic mechanisms),
x The glottis (glottalic mechanisms), and
x The tongue (lingual or “velaric” mechanisms).
In this unit, we will discuss about the patterns of different sounds in English, and
phonemes and allophones.
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Different Sounds
19.2 SOUND PATTERNS OF ENGLISH
English traces its origin to the language of the Anglo-Saxons tribes who conquered
the British Isles in and around 450 After the Common Era (ACE). These tribes were
originally from the northern part of the European continent. But over a period of
more than 1500 years of its recorded history English has changed a lot both in terms
of sound and graph (alphabet). In the beginning Runic script was used and later on
adopted the Roman script that is widely used now. So many sounds that were part
of the original vocabulary changed to new ones and more sounds were added. But
the introduction of the printing press in the year 1497 more or less standardized the
spelling. But systematic sound changes continue to happen. As a result of this English
now has become a language that is written in one way and spoken in an entirely
different way. To quote George Bernard Shaw who wanted to reform the English
spelling so that it become easy to understand has asked the following question:
How do we pronounce the word “ghoti”?
His answer was “fish”.
How can “ghoti” and “fish” sound the same? He explained it like this:
x gh is pronounced as /f/ as in the word rouGH
x o is pronounced as /i/ as in the word wOmen
x ti is pronounced as /sh/ as in the word naTIon
As a result of this we need to know how words are pronounced and what their
correct pronunciation is. This can be made possible only when we know the
International Phonetic Alphabet (IPA for short) which is used in the dictionaries to
record the correct pronunciation. In this section we will deal with the different
sounds and how they are recorded using symbols will be discussed.
Different sounds
Phonetics and Phonology are the branches of linguistics that study the sound patterns
in a language. In this section we will look at some of the common terms used in
Phonetics and Phonology to describe the different sounds and their corresponding
symbols.
Let us start with the way human beings produce sounds. The specific
arrangement and model of the vocal apparatus of a human being, helps us to
produce more than hundred sounds. The journey of sounds starts from the lungs.
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Different Sounds
Majority of the sounds is produced when the air that is coming out of the lungs
(exgressive pulmonic airstream) is blocked by the vocal cords. This will create a
Bernoulli’s effect and force open the vocal folds. These vibrations in the air is the
source of most sounds in any language. Once the air stream passes through the
larynx, it enters the long tubular structure known as the vocal tract. Here it is
modified by the action of several mobile as well as immobile vocal organs- such as
the tongue, soft palate and lips (mobile, active articulator) teeth, alveolar ridge, hard
palate, (immobile, passive articulator)- which work together to make all the possible
speech sounds. The production of speech sounds through the use of these speech
organs is known as articulation. The concept of articulation in phonetics has evolved
in such a way that present day phoneticians use expressions like ‘articulating such
and such speech sounds’, ‘articulation of such and such speech sounds’. The term is
most commonly applied to the production of a consonant.
As we have noted the number of sounds that a human being can produce add
up to more than hundred sounds. But in a specific language we use a maximum of
around sixty sounds. For example, Hindi has 54 sounds whereas English uses only
44 sounds. The first knowledge that a learner needs to gain is which all sounds are
possible in the target language and which ones are not. Here as we are concerned
with English, we will mainly talk about English has 20 vowels and 24 consonants.
These sounds can be described in different ways firstly, on the basis of its
articulatory factors -like which speech organ us used and how; secondly, on the
basis of its physical characteristics - like fundamental frequency, amplitude,
harmonic structure; and thirdly, on the basis of the perceptive correlates of the
sound. The most significant and common method is to classify the sounds on the
basis of its articulation. Further the phonetic alphabet that is used in dictionaries are
also based on articulatory classification of speech sounds. So here in this unit also
we will look at the articulatory classification of sounds.
The general term in phonetics for the physiological movements involved in
modifying an airflow to produce the various types of speech sounds, using the vocal
tract above the larynx is called articulation. Sounds are classified in terms of their
place and manner of articulation in the vocal apparatus (the articulatory apparatus).
Reference is usually made to the nature of the airstream mechanism, the action of the
vocal folds, the position of the soft palate, and the other organs in the mouth –
tongue and lips in particular. Any specific part of the vocal apparatus involved in the
production of a sound is called a speech organ.
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Different Sounds
1. State the correlation of the pronunciation of the words ‘ghoti’ and ‘fish’.
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2. How is the Bernoulli’s effect created?

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19.3 PHONEMES AND ALLOPHONES
The word ‘phoneme’ was used in the nineteenth century to refer to a unit of sound.
The term largely remained under-developed until it was used by distinguished
linguists like Saussure and Bloomfield. Leonard Bloomfield defined a phoneme thus,
‘a minimal unit of distinctive sound-feature’. Each phoneme was said to possess a
set of ‘distinctive features’ which was in clear opposition to other features in the
data. Thus, there would be no point in talking about a /p/ phoneme as voiceless and
tense as these features only make sense when considered in opposition to the /b/
phoneme, which is voiced, unaspirated and lax. So, phonemes are defined as the
minimal contrastive units of sound in a language.
Phonemes can be divided into two categories – segmental phonemes and
suprasegmental phonemes. All the segmental sounds used in each language can be
classed into a limited number of phonemes, and conversely the consonant and vowel
phonemes exhaustively cover the entire consonant and vowel sounds so occurring.
All consonant and vowel contrasts between distinct forms in a language can be
referred to one or another of its component phonemes. Thus, the English word,
‘man’ /mn/ contains three phonemes, contrasted at three points or places wherein a
distinctively different sound unit may be substituted: man, pan; man, men; man, mad.
These are called ‘minimal pairs’ or pairs of words differing by one phoneme. There
are twelve vowel phonemes and twenty six consonant phonemes in the English
language.
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Different Sounds
Suprasegmental phonemes consist of stresses, pitches and junctures (modes of

transition from one segment to another).
Phonemes are contrastive in certain environments. They may or may not be
contrastive in all environments. In the environments where they do not contrast, the
contrast is said to be neutralized.
In English there are three nasal phonemes, /m, n, K/, as shown by the minimal
triplet.
These phonemes are not usually contrastive before plosives like /p, t, k/ within the
same morpheme. Although all the three phones appear before plosives, like in limp,
lint, link (limp/, /lint/, /liKk/), only one of these might appear before each of the
plosives, i.e., the /m, n, K/ distinction is neutralized before each of the plosives /p, t,
k/:
x Only /m/ occurs before /p/
x Only /n/ before /t/
x Only /K/ before /k/
Hence these phonemes are not contrastive in these environments, and according
to some of the theorists, there is no assurance as to what the underlying
representation may be. If anyone hypothesizes that they are dealing with just a single
underlying nasal, there is no need to pick one of the three phonemes /m, n, K/ over
the rest two.
(In some of the languages there is just one phonemic nasal anywhere, and
because of the obligatory assimilation, it surfaces as [m, n, K] in only these
environments, so this is not as far-fetched an idea as it might seem in the first glance.)
In some schools of phonology, such a neutralized distinction is termed as an
archiphoneme (Nikolai Trubetzkoy of the Prague school is often associated with this
analysis). Archiphonemes are usually notated with a capital letter. Following this
convention, the neutralization of /m, n, K/ before /p, t, k/ could be notated as |N|,
and limp, lint, link would be represented as |ljNp, ljNt, ljNk| (the |pipes| hint towards
the underlying representation). Some other ways through which this archiphoneme
could be notated are as follows:
x |m-n-K|
x {m, n, K}
x |n*|
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Different Sounds
One more example of phonology from American English is the neutralization of

the plosives /t, d/ following a stressed syllable. Phonetically, both can be realized in
this position as [~], a voiced alveolar flap. This can be heard by comparing betting
with bedding.
So, it cannot be said whether the underlying representation of the intervocalic
consonant in either word is /t/ or /d/ without looking at the un-suffixed form. This
neutralization can be described as an archiphoneme |D|, in which case the underlying
representation of betting or bedding could be |Èb[DjK|.
One more way to describe about archiphonemes includes the concept of under
specification. Phonemes can be thought of as fully specified segments while
archiphonemes are underspecified segments. In a language known as Tuvan,
phonemic vowels are specified along with the following articulatory features:
x Tongue
x Height
x Backness
x Lip rounding
The archiphoneme |U| is an underspecified high vowel where only the tongue
height is mentioned.
Whether |U| is pronounced as front or back and whether rounded or unrounded
depends on vowel harmony. If |U| occurs follows a front unrounded vowel, it will be
pronounced as the phoneme /i/; if following a back unrounded vowel, it will be as an
/o/; and if following a back rounded vowel, it will be an /u/.
Minimal contrastive units in sign languages

In sign language, the basic elements of gesture and location were earlier known as
cheremes (or cheiremes), but later on the general usage changed to phoneme. Tonic
phonemes are usually known as tonemes, and timing phonemes are known as
chronemes.
In sign languages, phonemes may be grouped as Tab (elements of location, from
Latin tabula), Dez (the hand shape, from designator), Sig (the motion, from
signation), and with some researchers, Ori (orientation).
Expressions of face and mouth are also phonemic. There is one published set of
phonemic symbols for sign language, the Stokoe notation, which is used for linguistic
research and originally developed for American Sign Language. However, as they
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Different Sounds
are not bound by phonology, they do not display any particular spelling for a sign.
For example, The Sign Writing form would be different based on whether the signer
is left or right-handed, irrespective of the fact that it makes no difference towards the
meaning of the sign.
Allophones
While phoneme is the minimal unit of sound, there are many different versions of that
unit of sound, which are produced in the actual speech. These different versions are
called phones. A group of several phones, all of which are versions of one phoneme,
are referred to as allophones of that phoneme. The English words ‘can’ and scan’
contain the phoneme /k/. A native speaker will not be able to identify the difference
in the sound /k/ in the two words but for a linguist the phoneme /k/ does not sound
alike. The /k/ in ‘can’ is an aspirated sound (followed by a ‘puff of breath’) while in
‘scan’ it is un-aspirated. Such variations in sound of the same phoneme are called
allophones. Furthermore, if you take the phoneme ‘p’, a phonemic transcription will
include three kinds of /p/ - [p], [p’], [p‘] – [‘] standing for aspiration and [p’]
indicating no release by reopening the lips. All these varieties are called phones or
allophones. Allophones have complementary distribution, i.e., they do not get into
each other’s ways. They tend to be restrictive- [p’] cannot appear at the beginning
of a word and [p‘] cannot occur at the end of the word. Therefore, allophones never
collide and they complement one another in such a way that they take care of all the
situations in which the phoneme occurs.
Every time a speech sound is produced for a given phoneme, it sounds a little bit
different from the other utterances, even for the same speaker. This has led to some
kind of debate over how real, and how universal, phonemes are in reality. Only
some of the variation is important (i.e., detectable or perceivable) to the speakers.
There are two types of allophones, depending on whether a phoneme should be
pronounced by using a specific allophone in a specific situation, or whether the
speaker has freedom to (unconsciously) choose what allophone he or she will use.
Whenever a particular allophone (from a set of allophones that correspond to a
phoneme) must be selected in a specific context (i.e., using a different allophone for
a phoneme will cause confusion or make the speaker sound non-native), the
allophones are thought to be complementary (i.e., the allophones complement each
other, and one cannot be used in a situation where the usage of the other is
standard). In the case of complementary allophones, every allophone is used in a
particular phonetic context and it may be involved in a phonological process.
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Different Sounds
In the other cases, the speaker has been able to select freely from free variant
allophones, depending upon personal habits and preferences.
Most linguists have identified allophones on the following basis:

x Phonetic similarity: Linguists assume that if a phoneme is represented in
two or more environments, there will be a high degree of similarity in the
sounds produced among the allophones involved. In English, the phoneme
/p/ is similar in both the initial and final positions as in pin (/‘pin/) and gap
(/g ‘p/). Thus, both the sounds are phonetically similar. Phonetic similarity
is used for comparing two data strings that might be spelled differently but
will sound exactly the same. In master data management, phonetic similarity
is used for data matching while comparing two sets of data that does not
have a common exact key but it might be describing in the same real-world
construct. Utilizing phonetic similarity in data quality improvement applies to
both customer data quality as well as product data quality.
x Complementary distribution: Every phoneme may have allophones.
Sometimes, the allophones of a phoneme have a fixed place in different
words. For example, the phoneme /p/ is aspirated and stressed in the initial
position as in ‘pan’ but when used after ‘s’ as in ‘span’, it becomes un-
aspirated and unstressed. These variants of /p/ are said to be in
complementary distribution. Complementary distribution in linguistics is the
relationship amongst two elements, where in one element is found in a
specific environment and the other element is found in the opposite
environment. It usually hints that two superficially different elements are in
actuality one single linguistic unit at a deeper level. In some situations, more
than two elements can be in complementary distribution with one another.
Complementary distribution is basically applied to phonology, when
identical phones in complementary distribution are basically allophones of
the same phoneme. For example, in English, [p] and [p°] are allophones of
the phoneme /p/ as they occur in complementary distribution. [p°] always
occurs when it is the syllable onset and is followed by a stressed vowel (as
in the word pin). [p] occurs in all the other situations (as in the word spin).
There are various cases where elements are in complementary distribution,
but are not considered allophones. For example in English [h] and [K]
(engma, written with the digraph <-ng> in English) are in complementary
distribution, as [h] only occurs at the beginning of a syllable and [K] only at
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Different Sounds
the end. But they have so less in common in phonetic terms as they are still
considered separate phonemes.
x Symmetrical patterning: This can be explained by taking some
consonant phonemes and pairing them on the basis of the similarity between
them. For example, /p/ with /b/, /t/ with /d/ and /f/ with /v/. The phonemes
/p/, /t/ and /k/ behave in a similar manner and each of them is aspirated
when they occur in the initial position as in pill, till and kill. However, if /s/
comes before them, they become un-aspirated as in spill, still and skill.
Here the above sounds are phonetically different. /p/ is a bilabial sound
(articulated by the two lips), /t/ is a palate-alveolar (articulated by the blade
of the tongue against the teeth ridge or hard palate) and /k/ is a velar
(articulated by the back of the tongue against the central and forward part
of the soft palate). If you select a set of six phonemes /p, t, k, b, d, g/,
which contrast with each other on the same phonetic basis in both the
environments initial and final, you find that their allophones differ from each
other from one environment to the other in parallel ways, or the initial /p-/
differs from the initial /t-/ and /k-/ in that one is bilabial and the other two
are palato-alveolar and velar, respectively. The same differences can be
found in the final /-p/, /-t/ and /-k/. The initial /b-/, /d-/, /g-/ and the final /
-b/, /-d/, /-g/ also differ in the same way. This sort of parallelism is called
symmetrical patterning.
1. How can phonemes be divided?

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2. When is complementary distribution applied to phonology?

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19.4 SUMMARY
x Since its evolution, English has changed a lot both in terms of sound and
graph (alphabet). In the beginning Runic script was used and later on
adopted the Roman script that is widely used now. So many sounds that
were part of the original vocabulary changed to new ones and more sounds
were added.
x We need to know how words are pronounced and what their correct
pronunciation is. This can be made possible only when we know the
International Phonetic Alphabet (IPA for short) which is used in the
dictionaries to record the correct pronunciation.
x Phonetics and Phonology are the branches of linguistics that study the
sound patterns in a language. In this section we will look at some of the
common terms used in Phonetics and Phonology to describe the different
sounds and their corresponding symbols.
x The first knowledge that a learner needs to gain is which all sounds are
possible in the target language and which ones are not. Here as we are
concerned with English, we will mainly talk about English has 20 vowels
and 24 consonants.
x Sounds are classified in terms of their place and manner of articulation in
the vocal apparatus (the articulatory apparatus).
x The word ‘phoneme’ was used in the nineteenth century to refer to a unit of
sound. The term largely remained under-developed until it was used by
distinguished linguists like Saussure and Bloomfield.
x All the segmental sounds used in each language can be classed into a
limited number of phonemes, and conversely the consonant and vowel
phonemes exhaustively cover the entire consonant and vowel sounds so
occurring.
x There are many different versions of that unit of sound, which are produced
in the actual speech. These different versions are called phones. A group of
several phones, all of which are versions of one phoneme, are referred to
as allophones of that phoneme.
x Whenever a particular allophone (from a set of allophones that correspond
to a phoneme) must be selected in a specific context (i.e., using a different
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Different Sounds
allophone for a phoneme will cause confusion or make the speaker sound
non-native), the allophones are thought to be complementary (i.e., the
allophones complement each other, and one cannot be used in a situation
where the usage of the other is standard).
19.5 KEY WORDS
x Bernoulli effect: Bernoulli effect states that fluids in an area moving faster
than the the surrounding area possess less pressure. Faster-moving fluid,
lower pressure. (In general, fluids include liquids and gasses. Air is a gas
and as such is classified as a fluid.)
x Active articulator: An active articulator is actively involved in the
production of speech sounds. Starting at the front of the vocal tract, the
first active articulator is the lower lip, then, tongue, uvula, etc.
x Passive articulator: A passive articulator is a position in the vocal tract
which is involved in the production of speech sounds but it does not move.
For e.g. the upper lip, the teeth, velum, etc.
x Archiphonemes: An archiphoneme is a phonological unit which expresses
the common features of two or more phonemes which are involved in a
neutralisation. For example, the difference between t and d is neutralised in
word-final position in German.
x Palate-alveolar: The sounds articulated with the blade or tip of the tongue
approaching or touching the alveolar ridge and the main body of the tongue
near the hard palate; having a primary alveolar articulation and a secondary
palatal articulation.

1. Correlation between ‘ghoti’ and ‘fish’ sound the same can be explained like
this:
x gh is pronounced as /f/ as in the word rouGH
x o is pronounced as /i/ as in the word wOmen
x ti is pronounced as /sh/ as in the word naTIon
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Different Sounds
2. Majority of the sounds is produced when the air that is coming out of the
lungs (exgressive pulmonic airstream) is blocked by the vocal cords. This
will create a Bernoulli’s effect and force open the vocal folds.

1. Phonemes can be divided into two categories – segmental phonemes and
suprasegmental phonemes.
2. Complementary distribution is basically applied to phonology, when
identical phones in complementary distribution are basically allophones of
the same phoneme.
. Explain the different sound production in English.

2. What are allophones? Explain with the help of examples.
3. On which basis do most linguists identify allophones? Give a detailed
description.
4. Discuss in brief, the minimal contrastive units in sign languages.
5. What are phonemes? Describe the two categories they are divided into.
Batstone, R. 1994. Grammar. Oxford: Oxford University Press.

Bygate, M. et al (eds.) 1994. Grammar and the Language Teacher. Hemel
Hempstead: Prentice Hall.
Carter, R. 1987. Vocabulary. London: Routledge.
Finocchiaro, M. & Brumfit, C.1983. The Functional-Notional Approach. New
York: NY Oxford University Press.
Harmer, J 1991. The Practice of English language Teaching. New York:
Longman.
Arihant Prakashan.
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Sound Symbols
UNIT–20 SOUND SYMBOLS
Objectives
x Understand the origination of sound symbols
x Explain the importance of sound symbols
x Discuss the symbols used for English language
x Analyse the articulation of different sound symbols
Structure
20.1 Introduction
20.2 An Introduction to Sound Symbols
20.3 Consonants and Vowels
20.4 Summary
20.5 Key Words
20.1 INTRODUCTION
English spelling and pronunciation system is very confusing and often puzzles even
the native speaker. Dr. Edward Rondthaler the noted typographist, the chairman of
the American Literary Council and master of the English language says that ‘nothing
seems to be spelled, or said, quite the way you expect it to be!’ In fact there are two
English languages — the Written English and the Spoken or Phonetic English. But if
you really want to communicate, which means speak, understand, read and write
English, you have to deal with both of them. Moreover, there are 26 letters in the
English alphabet but they stand for at least 44 sounds of real English.
20.2 AN INTRODUCTION TO SOUND SYMBOLS
International Phonetic Alphabet is a method of writing down speech sounds in a

systematic and consistent way which is different from alphabet. It is simply known as
IPA. It is the most widely used method for transcription of sounds. IPA was
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Sound Symbols
formulated by the International Phonetic Association (IPA), an organization founded

in 1886 by a group of European phoneticians (Paul Passy (1859–1940) and others)
to promote the study of phonetics. It was in 1889 that it published the International
Phonetic Alphabet (also IPA) which was later modified and expanded in 1993.
Fig. 20.1
Source: https://s-media-cache-ak0.pinimg.com/originals/09/74/54/097454bcb9725540605cec
336ff3a8e8.png
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Sound Symbols
IPA often uses the same letters of the English alphabet (Roman Script), e.g.
[b] as in bite, [k] as in kite. But many new symbols have had to be invented to
cope with the range of sounds heard in speech. For example, in English there are
only 26 alphabets and there are 44 sounds e.g. [ ] for the sh sound in ship, [T]
for the ‘th’ sound in thin. Most of the vowel sounds have had to be given a new
symbol, to avoid overloading the five traditional vowel letters of the alphabet
[a,e,i,o,u].
In this type of phonetic transcription, the sounds are symbolized on the basis of
their articulatory/auditory identity, regardless of their function in a language and each
sound is given its own ‘symbol’. That is there is a one to one correspondence
between the sound and the symbol.
The IPA chart shows all the possible sounds that can be pronounced with the
help of our vocal apparatus. It contains symbols of consonants, vowels, diacritics,
etc. It also shows the symbols for suprasegmental features.
In the above given IPA chart we can see separate columns for both consonants
and vowels. In the topmost rectangular box we can find consonant sound symbols
which are produced with the help of pulmonic airstream. In the third row you can
find the vowel sound symbol. IN the consonant box the rows tell you the manner of
articulation and columns tell you the place of articulation. In each box there is space
for a pair of symbols. The symbols on the right hand side is a voiced sound and on
the left hand side is a voiceless sound. But there are so many white spaces without
any symbol. This suggest that in this place in that particular manner a human being is
able to produce sounds but no such sounds have been attested in the languages that
has been studied. On the other hand, the blacked out spaces tell that such a sound
is not at all possible.
Below the consonant table we have a list of consonant sounds that are
produced with other airstream mechanisms like velaric. Suprasegmental features
are stress, tone and accent that work above the level of individual sounds. Stress
is the prominence given to a syllable, tone is the variation in pitch within a word
and accent is a diacritical mark used to indicate s indicate a special pronunciation
of a vowel.
The vowel diagram is representative of how much our tongue/ mouth opens and
closes while producing a sound and which part of the tongue is raised. These vowels
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Sound Symbols
are called cardinal vowels. These are arborizing reference points and is an
abstraction. It is used to assist the description and classification of the vowels in a
language. When we pronounce a vowel it may not be the case that we achieve that
optimum position, but we pronounce with the specific part of the tongue raised
around that level. We also should know that if the tongue is raised beyond the close
position, then it will restrict the air passage and create an audible friction and will be
arborizin as a consonant. In each point there are pairs of symbols. One on the right
hand is produced with the lips in rounded position and one on the left is pronounced
with lips in the unrounded position. The slanting line on the left is representative of
the movement of the tip of the tongue which will be at its longest position when in
the close position and shortest position in the open position. As the root of the
tongue is hinged, it will move in right angles.
There are so many sounds which are produced with a combination of two
places and or manners, one closure (the primary articulation) being more marked
than the other (the secondary articulation). Such sounds are represented with the
help of the diacritics mark. This is also called secondary articulation. The four
common secondary articulation includes labialization, palatalization, velarisation and
pharyngialisation. But broadly any two different articulation can be performed
simultaneously. The list of diacritic mark is given in the right hand corner of the IPA
chart.
In the description of the IPA chart we have used many words like vowels,
consonants, manner and place. What are these? The sounds of a language are
grouped into classes based on the phonetic property that they share. The most basic
division among sounds is into two major classes Vowels and Consonants. Another
class of sound shares the property of both vowels and consonants which are called
semi vowels.
1. How many sounds and alphabets are there in English language?

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Sound Symbols
2. Which are the four common secondary articulation?

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20.3 CONSONANTS AND VOWELS
Let us learn about the use of consonants and vowels.
Consonants
Consonants can be defined in terms of both phonetics and phonology. Phonetically,
they are sounds made by a closure or narrowing in the vocal tract so that the airflow
is either completely blocked momentarily, or restricted to that extend that audible
friction is produced. As the articulators come into contact or close contact,
consonant articulations are easy to feel, and as a result are most conveniently
described in terms of place and manner of articulation. In addition, a routine
phonetic description of consonants would involve information about the mode of
vibration of the vocal folds (voicing), and it is often necessary to specify the duration
of the sound. From a phonological point of view, consonants are those units which
function at the margins of syllables, either singly or in clusters. Further a consonant
sound cannot be pronounced in isolation. It has to be arborizin along with a vowel
sound.
Place of Articulation: The points in the vocal tract at which the air stream is
modified to produce a different sound is called place of articulation.
(a) Labial: Any sound made with closure or near closure with the lips is said
to be labials. Sounds involving both the lips are termed as Bilabials. /p/
and /b/ are examples of bilabial sound. In bilabial the lower lip is the active
articulator and the lower lip is the passive articulator. Sounds involving the
lower lips, the active articulator and the upper teeth the passive articulator
are called Labiodentals. [p, b], [f,v] are examples of labiodental sounds.
(b) Dental: Sounds that are produced with the help of the tongue which is
placed against or near the teeth are called Dentals. If the tongue is placed
between the teeth then the sound is said to be Inter Dentals, The first
sounds of the English words Theta, This are examples of dental sounds.
E.g. [D, T].
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Sound Symbols
(c) Alveolar: within the oral cavity, a small ridge protrudes from just behind
the upper front teeth. This projection is called the alveolar ridge. In the
production of sounds like /t/ and /d/ the tongue touches the alveolar ridge.
Such sounds that may touch or be brought near the alveolar ridge are
called Alveolar sounds.
(d) Alveopalatal & Palatal: just behind the alveolar ridge, the roof of the
mouth rises sharply. This curved portion which is the highest part of the oral
cavity is called palate. The area the in between the palate and alveolar ridge
is called Alveopalatal. When the tip of the tongue is brought near or
touches the alveopalatal region they are alveopalatal sound. The sounds
produced with the tongue on or near this area are called Palatal. E.g.
[c, ï]. In both the cases the tongue is the active articulator.
(e) Velar: the soft area toward the rear of the roof of the mouth is called the
Velum. Sounds produced when the back of the tongue placed in this
position are called velars. /k/ as in kite and /g/ as in give are velar sounds.
(f) Uvular: the small fleshy flap of tissue known as the Uvula hangs down
from the velum. Sounds made with the tongue position near or touching this
area are called Uvular. French R as in rentrer “to come back in”,
pur “pure”, purée “purée”, arrêt “stop” train “train”, pupitre “desk”,
“console” are examples of this sound. This sound is typical of French and
so is called the French R.
(g) Pharyngeal: The area between the uvula and the larynx of the throat is
known as Pharynx. Sounds made through the modification of the air flow in
this region by retracting the tongue or constricting the pharynx is called
Pharyngeal.
(h) Glottal: sounds produced by adjusting the glottal opening to states other
than voicing and voiceless are called Glottal Sound. The /h/ sound in the
English word initial like him, his, happy are examples of glottal sound.
Manner of Articulation: This describes the way in which the air passes through at
a given place of articulation. Say for example with the both the lips we can either
stop the airflow momentarily or restrict the passage of air. The former will be
arborizin as plosive or affricate and the latter a fricative.
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Sound Symbols
(a) Plosives: refers to the sound made when a complete closure in the vocal
tract is suddenly released. As the air passage is blocked at different places
and the air pressure builds up behind this closure. The air is then released
suddenly by opening the closure. The sudden release results in the air
rushing out with an explosive sound and hence plosive (from plosion/
explosion). They are also called stops. Some of the example of plosive
sounds are [p, t, k, b, d, g].
(b) Fricative: also known as Spirant, refers to the sounds made when two
organs come so close together that the air moving between them produces
audible friction. There is no complete closure between the organs but
simply a stricture or narrowing. They are sounds with a potential for
considerable duration so it is also called Continuants. Some fricatives
have a sharper sound than the others because of the greater intensity of
their high frequency as [s, z, S]. They are called Sibilants.
(c) Approximant: they are produced when two articulators are very close to
each other without the vocal tract being narrowed to such an extent that a
turbulent air stream is produced. It is also called Frictionless
Continuants. E.g. [Ts, Dz].
(d) Laterals: sounds are produced by obstructing the air stream at a point
along the centre of vocal tract with incomplete closure between one or both
sides of the tongue and roof of the mouth producing Unilateral and
Bilateral sounds respectively. Various kinds of [l] sounds are the result.
(e) Trills: they are produced by intermediant closure of the two articulators
where the tongue is held loosely so that it can vibrate freely. It is also called
Trilled Consonants or Rolls. As opposed to trills we have flaps sounds
in which the tongue opens and closes only once. In English the trill flap
distinction is not there. The /r/ sound is pronounced either as a flap or a trill
depending on the various phonetic environment. This distinction in sounds is
made in Spanins ere (flap) and erre (trill). For example
(f) NASAL: In a nasal sound a complete closure is made at some point of the
mouth by the speech organs so that the air cannot escape through the oral
cavity. The soft palate is lowered so that air escapes through the nasal
cavity as in [m] and [n]. most of the vowels are oral but when they are
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Sound Symbols
sandwiched between nasal consonants then they also become nasal vowels
as in the English word man.
(g) Glides/ semi vowels: A type of sound that shows the properties of both
vowels and consonants. Glides are produced with a vowel like
articulation but move quickly to another articulation. So they are treated
as consonants. This is also because in phonological approach, which is
concerned with the way in which sounds behave, a syllable always
contains a peak sonority, a part of which is louder than the rest. These
sounds cannot behave like that. They are also called Semi-Vowels
because they are transition sounds.
Voicing: the third criterion for arborizin a consonant is voicing. Voicing can be
described as the frequency of vibration of the vocal cords. There are two types of
consonant sound on the basis of voicing. They are voiced and voiceless. Now let us
look at both of them.
(a) Voiced Sound: A sound that is produced with the help of a high frequency
of vibration of the vocal folds in principle whether or not it is phonetically
present. We can feel the vibration if we place the hand on the throat while
producing these types of sounds. All the vowel sounds are voiced and most
of the consonants also make use of this affect. For example the
[a,e,I,o,u,b,d,g] are all voiced sounds. It can also be defined as a feature
exhibiting periodic low frequency excitation and involving sufficient
narrowing of the glottis to make vocal fold vibration possible.
(b) Voiceless Sound: A sound segment produced with the help of a
comparatively less vibration of the vocal folds is called a voiceless sound. It
can also be described as sounds that does not exhibit periodic low
frequency excitation. Many of the consonant sounds like [p, t, k, f, s] are
examples of voiceless sounds. Two other types\ of voiceless speech are
also distinguished viz.
(i) Breath the vocal folds are kept apart from each other so that air
passes freely between them in the direction causing neither glottal
friction nor vocal vibration. It involves a turbulent, noisy voiceless flow
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Sound Symbols
of air through the open glottis. In breath the glottis is wide open, the
larynx is relaxed and the sound produced is less loud.
(ii) Whisper is characterized by complete closure of the anterior
(ligamental) part of the glottis combined with a broad triangular
opening in the posterior (arytenoidal) part. Air flowing through the
opening produces friction noise and hence the distinctive whisper
sound quality. It differs from breath as that in whisper the larynx is
tensed, the glottis is partly closed and the sound produced is loud. It
is used in some languages to add conspirational meaning to what is
said.
Aspiration
The fourth articulatory classification of consonant is aspiration. Aspiration is a term
used in phonetics for the audible breath that accompany a sound’s articulation. For
example in English when we have to pronounce voiceless plosive sounds in word
initial position or begin a stressed syllable, we hear the aspirated sound. Aspiration
is usually symbolized by a small raised [h] following the main symbol as we have
already noted in the IPA chart. Pronounce the words pin and bin and you will find
that the former word starts with aspiration whereas the latter not. In English,
aspirated consonants are allophones in complementary distribution with their
unaspirated counterparts. Whereas in Hindi the aspirated unaspirated distinction is
used phonemically, that is they are treated as separate sounds. This happens to both
voiced and voiceless consonants. For example [p, ph], [b, bh], [t, th], [d, dh], etc.
Similar to voicing if we want to feel the aspiration of some sounds, we can place our
hand in front of our mouth and pronounce words like pin and spin. You will feel a
puff of air striking against the hand.
The following is the list of consonants sounds in English with the examples of
each sound in the initial, medial and final positions. You will notice from the chart that
some sounds are not possible in some positions like /K/is not possible in the initial
position in English. From the list you can also see how the same sound is represented
by different alphabets and combinations.
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Sound Symbols
Table 20.1
Consonant Symbol Initial Position Medial Position Final Position
p Pit, pat, pot, paper, Respect, aspect, carpet, Keep, tip, whip, sheep
snippet
t Tap, tattoo, torso, teeth Neatness, fitness, heater, Neat, wheat, heat, sit
plaster
f Father, family, fender, fodder Craft, loft, baffle, buffoon Leaf, safe, roof, cough
Theta, Thames, thalamus, Within, tether, With, teeth, cloth,

theatre
Chips, chipmunk, chew, Question, hatchet, hatchery, Witch, church, hatch, thatch
chair hatchback
s Sow, sun, sail, some, Past, history, fist, best Pass, less, has, toss
Shoe, shiver, shampoo, Wishtown, hashtag, bashing, Cash, borsch, bush, lush
shame ashtray
k Kettle, keep, kite, kitten Picket, wicket, locket, Pick, pack, arc, wick
docket
m Mars, mare, many, model Caramel, family, karma, Team, farm, balm, madam
army
h His, hip, hop, have Bohemia, ahem, Wah,
w Won, Away swallow
b Bat, ball, benign, battery Carbohydrate, Arabic, Barb, bob, bulb, orb
blabber, harbour
v Van, very, Pavement, avarice, Have,
d Deep, door, drive, deliver Wonder, boulder, cardio, Did, hound, pound, wound
powder
ð That, this, those, them within breathe
d3 Juggle, jam, jazz, joy Pigeon, widget, Wedge, hedge, porridge
z Zoo, Zambia, zinc, zenith Hazard, wizard, blizzard, rise
3 Genre Vision garage
g Game, goal, goat, give Giggle, bargain, ago, logos Big, wig, log, dog
n Noun, number, never, nod Mantle, handle, bundle, Can, pan, van, tan
round
l Long, love, live, life Along, belong, belt, helmet Wall, will, bell, hall
j Yippee, yellow, yonder, yell Wayward, Gay,
- Singing, Bing, ring, wing, long
r Rabbit, robber, robe, ribbon Hard, robber, arbor, murder Lower, war, barber, boulder
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Sound Symbols
Vowels
Like consonants Vowels can also be defined in terms of both phonetics and
phonology. Phonetically, they are sounds articulated without a complete closure of
the oral tract or a degree of narrowing that could produce audible friction. Vowels,
like consonants, are mostly produced with a raised velum that prevents the air from
escaping through the nose. As a result, the air escapes evenly and freely over the
centre of the tongue through the oral tract. In other words a speech sound produced
with no obstruction of the air stream in the vocal tract is called a vowel. As has
noted earlier, if air escapes solely through the mouth, the vowels are said to be oral.
Most of the world languages have oral vowels. But if some air is simultaneously
released through the nose, the vowels are nasal. In such cases the velum is lowered
so that it permits the air to pass also through the nasal passage. Such vowels are
called Nasal or Nasalized Vowel. In English, all the 20 vowels are oral vowels,
and in special phonetic environment it is realised as nasal vowels. Speakers know
intuitively which sounds are vowels and which are consonants.
From a phonological point of view, vowels are those units which function at the
centre of syllables. That is vowels usually constitute the Main Core or the Nucleus of
syllables and without which the syllable cannot be formed. Also note that one and
only one vowel sound can be there in a syllable. All the suprasegmental features that
is attributed to the syllable is placed on the vowel like tone and stress. Vowel sounds
also carry the pitch and loudness. In some approaches, the term ‘vowel’ is reserved
for the phonological level of analysis; vocoid is then used for the phonetic level (as
opposed to contoid, for the phonetic equivalent of a consonant). The usefulness of
this distinction is in relation to those sounds which are vowel-like in articulation, but
which function as consonants in syllables: [r], for example, is phonetically very similar
to a vowel, but it occurs at the margins of English syllables, as in red, car. In such
cases, it is sometimes clearer to talk of a ‘vocoid with consonantal function’.
In establishing the vowel system of a language, several further dimensions of
classification may be used.
A phonetic classification of vowels takes into account three variables, the first of
which is easily describable, the last two much less so: (a) the position of the lips –
whether rounded, spread, or neutral; (b) the part of the tongue raised, and (c) the
height to which it moves. Once the pulmonic airstream reaches the oral tract even a
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Sound Symbols
relatively slight movement of the tongue can produce quite distinct auditory
differences in vowel (or vocalic) quality. But the tongue movements are very difficult
to see or feel. As a result of this classification of vowels is usually carried out using
acoustic or auditory criteria, supplemented by details of lip position. Otherwise it will
be a very difficult thing to describe. But let us describe them in detail now:
(a) The part of the tongue raised- For convenience of explanation the entire
tongue is divided into three parts. The tip of the tongue or front, the blade
of the tongue or centre and the root of the tongue or back. In English,
examples of front vowels are feet, fit, [e] bet, [H] girl, [æ] answer..
These vowels are articulated relatively forward in the mouth. Examples of
back vowels are [u] food, foot, goat, ought. These vowels are
articulated relatively far back in the mouth. Examples of central vowels are
[] up, about.
(b) The height to which the tongue is raised-Theoretically four such positions
are identified close, close mid, open mid and open (it is also the degree to
which the mouth is opened). The close position is the maximum the tongue
can raise without audible friction. Beyond that point there will be audible
friction and will be categorised as consonant. In English, examples of high
vowels are , , [u], . These are vowels with a relatively narrow space
between the tongue and the roof of the mouth. Examples of low vowels are
[æ], . These are vowels with a relatively wide space between the tongue
and the roof of the mouth. Examples of mid vowels are [e], [H], , .
These are vowels whose tongue positions are roughly between the high and
low vowels.
(c) The shape of the lips- while pronouncing vowels even the shape of the lips
matters. For example when we pronounce /i/ as in feet our lips are
unrounded and when we try to round the lips you will be able to hear a
different sound. In English we can find both rounded vowel like in [u] and
, or unrounded vowels like in and [H].
Another criterion that is used to classify vowels is in terms of the duration of the
vowel that is the time taken to produce a vowel. There are two types of vowels
according to such a distinction relatively ‘long’ or ‘short’ vowels. For example the
/i/ in the word ‘it’ and ‘feet’ are different in terms of its duration. In English there are
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Sound Symbols
seven short vowels and five long vowels. In Hindi and other Indian languages, the
long short distinction is phonetically present.
Another is whether, during in articulation of the vowel, there is any detectable
change in quality. In other words the part of the tongue raised and the height to
which the tongue raised remain the same throughout the articulation. If the quality of
a vowel stays unchanged, the term pure vowel, or monophthong, is used, e.g. in the
standard British pronunciation of the words ‘red, car, sit, seat’. Monophthongs are
simple vowels like [a], [i] and [u]. If there is an evident change in quality, one talks
instead of a gliding vowel. In other words, the production of a vowel sound starts
with one part of the tongue raised to a certain height but ends with a different one.
If two auditory elements are involved, the vowel glide is referred to as a diphthong,
e.g. light, say, go; if three elements, as a triphthong, e.g. fire, hour (in some
pronunciations). Diphthongs can be described as a sequence of two sounds,
vowels plus glides or two vowels [aU], [aw], [ei]. In the distinctive feature theory of
phonology, the term vocalic is used as the main feature in the analysis of vowel
sounds. In English we have twelve monophthongs and eight diphthongs.
Yet another way of classifying vowels is in terms of the amount of muscular
tension required to produce them: vowels articulated in extreme positions are more
‘tense’ than those articulated nearer the centre of the mouth, which are ‘lax’: cf. seat
v. sit, flute v. foot.
Vowel sounds are usually voiced, though some languages have been analysed as
having ‘voiceless’ vowels, e.g. Portuguese. Vowels can stand alone, that is, they can
be produced without any consonants before or after it. Finally, vowels are more
sonorous, that is we perceive them as louder and long lasting.
There are several systems for representing vowel position visually, e.g. in
terms of a vowel triangle or a vowel quadrilateral such as the cardinal vowel
system. The vowel quadrilateral is used in the IPA chart. Below all the twenty
English sounds are enlisted with words in the initial, medial and final position. From
the list you can also see how the same sound is represented by different alphabets
and combinations.
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Sound Symbols
Table 2
Vowels Symbol Initial Position Medial Position Final Position

i Eat, easy, Teen, feet, teeth, beat Tree, wee, settee, me
It, ill, impart, in Tin, pin, tip, whip
e Epsilon, any, Bet, men, pet, said
æ Apple, ant, after Cat, mat, bat, pat
Art, arm, Cart, father, part, half car
Ought, on, Bought, hot, shot, got
All Doormat, fought, sport, Saw, war
Foot, wood, good,
u Ooze Boot, food, fool, truth Zoo, shoe, true
Up But, hut, shut, cut
Earl, early, Girl, firm, curl, turn fur
Ago, about, arrive, away Cinema, Better, doctor, picture,
Eight Weight, late, train, face Play, say
Aeolic, old, over Sold, gold, Know, go , so,
Item, eye, I Fight, sight, bike, line Sky, try,
a Owl, out Fowl, chow-mein, How, cow, now
Oil Foil, soil, spoil, Boy
e Ear, year Shear, Rear, fear,
e Air, earea Fair, Pair, share
Tourist Poor, tour, sure
Phonology is the study of the sound patterns in a language. More than hundred
sounds can be produced using the vocal apparatus of a human being. But in a
specific language we use a maximum of around sixty sounds. For example, Hindi
has 54 sounds whereas English uses only 44 sounds. So the first knowledge that
a learner needs to gain is which all sounds are possible in the target language and
which ones are not. English has 20 vowels and 24 consonants. How do we arrive
at the fact that there are 44 sounds in English? A minimal pair test is used to find
this. A minimal pair is a set of two words in which all the sounds are the same in
the same order except for one. For example, bit and pit. If in a minimal pair the
542
Sound Symbols
two words have different meanings, then the sounds in question are separate
sounds.
Syllable
Syllable is a sequence of speech sound that can be pronounced in a single breath
force. It is usually larger than a single sound but smaller than a word. The notion of
a syllable is very real to native-speakers. But it is the most difficult term to define in
phonetics and phonology. For example the English word renationalisation has seven
syllables re-nat-ion-al-i-sa-tion. As per the International Phonetic Alphabet (IPA)
transcription, the period marks syllable breaks, such as in the word
“astronomical” . There are different theories that try to
understand a syllable and define it. Some of them are given below.
According to the ‘pulse’ or ‘motor’ theory of syllable production which was
proposed by the psychologist R. H. Stetson (1892–1950) each syllable
corresponds to an increase in air pressure, air from the lungs being released as a
series of chest pulses.
A phonetic approach to syllable tries to interpret a syllable in auditory terms.
According to this theory, in a string of sounds, some sounds are intrinsically more
‘sonorous’ than others. These variation in sonority can be described as different
syllable boundaries. Each ‘peak’ of sonority corresponds to the centre of a syllable.
This sonority peak is carried by the vowel.
In the phonological view of the syllable two classes of sounds have to be
established. Firstly, sounds that can occur or pronounced on their own, or at the
centre of a sequence of sounds, and sounds that cannot occur or pronounced on
their own, or which occur at the edges of a sequence of sounds. The former set of
sounds as [i], [a], [u], etc., and are generally referred to as vowels; the latter set of
sounds as [p], [t], [k], etc., and are generally referred to as consonants.
When we talk about the structure of a syllable, a Consonant Vowel Consonant
(CVC) pattern is very common in English. And to describe the syllable we use the
following terms – the onset which is the opening segment of a syllable; the coda
which is the closing segment of the syllable; and the centre or nucleus which is the
central segment of the syllable. Though a CVC pattern is the most common
543
Sound Symbols
structure, various consonant clusters can occur at syllable margins. For example
English words such as CV (say, fee, who, she, low, so, no, go, etc), CCV (play,
blow, ), CCCV (stray, spree) CCCVC (strong, strip, stroll, scrub, sprite), etc. can
also be seen in English. Sometime in English we come across exceptional syllables
too. These can be identified as those consonants that occur alone to form the
syllable or form the nucleus of the syllable. Usually the nasals and laterals are found
in such function as in words such as button and bottle where the /n/ and the /l/ which
form the final consonant is a syllabic consonant.
Syllabification is the separation of a word into syllables. In this process we can
see that if there are consonant clusters in the middle of a word maximum of those
sounds will be attached to the onset of the second syllable rather than the coda of
the first syllable. This principle of syllabification is called Maximum onset Principle.
Say for example the English word diploma can be divided in two ways dip-lo-ma or
di-plo-ma. As per the Maximum onset Principle and also as per the native speaker’s
intuition only the second syllabification is possible.
To conclude we can say that a syllable should contain a vowel and only one
vowel. Whereas the number of consonants in a syllable is not defined. But the
combination for the consonant cluster is limited to a sonorant in the beginning
followed by a plosive and then either /l/ or /r/. Tone and stress are attributed to a
syllable. A word with a single syllable is called a monosyllabic word and if it contains
more than one, then it is called a polysyllabic word. A syllable is divided into three
onset (all the consonants before the vowel), nucleus (vowel) and coda (all the
consonants occur after the vowel). The combination of the nucleus and coda is
called a Rhyme. Rhyming words in poetry are words whose last vowel and the
consonants that follow it are the same. Words like like and mike, wonder and
blunder are examples of rhyming words. Syllables are the building blocks of words.
They can influence the rhythm of a language, its prosody, its poetic meter and its
stress patterns because of its qualities described above. Hindi is a syllable timed
language which means that the time taken to pronounce a sentence in Hindi is
directly proportional to the number of syllables in the word. It is also very important
to note that the earliest form of writing was syllabic.
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Sound Symbols
1. What are glides?

................................................................................................................
................................................................................................................
................................................................................................................
2. Differentiate between monophthong and diphthongs.

................................................................................................................
................................................................................................................
................................................................................................................
20.4 SUMMARY
x There are two English languages—the Written English and the Spoken or
Phonetic English
x International Phonetic Alphabet is a method of writing down speech sounds
in a systematic and consistent way which is different from alphabet. It is
simply known as IPA.
x IPA often uses the same letters of the English alphabet (Roman Script), e.g.
[b] as in bite, [k] as in kite. But many new symbols have had to be invented
to cope with the range of sounds heard in speech.
x Stress is the prominence given to a syllable, tone is the variation in pitch
within a word and accent is a diacritical mark used to indicate s indicate a
special pronunciation of a vowel.
x There are so many sounds which are produced with a combination of two
places and or manners, one closure (the primary articulation) being more
marked than the other (the secondary articulation).
x The sounds of a language are grouped into classes based on the phonetic
property that they share. The most basic division among sounds is into two
major classes Vowels and Consonants.
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Sound Symbols
x From a phonological point of view, consonants are those units which

function at the margins of syllables, either singly or in clusters. Further a
consonant sound cannot be pronounced in isolation.
x Phonetically, they are sounds articulated without a complete closure of the
oral tract or a degree of narrowing that could produce audible friction.
Vowels, like consonants, are mostly produced with a raised velum that
prevents the air from escaping through the nose.
x Vowels usually constitute the Main Core or the Nucleus of syllables and
without which the syllable cannot be formed.
x A phonetic classification of vowels takes into account three variables, the
first of which is easily describable, the last two much less so: (a) the
position of the lips – whether rounded, spread, or neutral; (b) the part of
the tongue raised, and (c) the height to which it moves.
x In English there are seven short vowels and five long vowels. In Hindi and
other Indian languages, the long short distinction is phonetically present.
x Syllable is a sequence of speech sound that can be pronounced in a single
breath force. It is usually larger than a single sound but smaller than a
word.
20.5 KEY WORDS
x IPA: It is the abbreviation for International Phonetic Alphabet. It is a

method of writing down speech sounds in a systematic and consistent way
which is different from alphabet.
x Bilabial: It is the sound which is formed by closure or near closure of the
lips.
x Pulmonic: It is a consonant produced by air pressure from the lungs.
x Suprasegmental: It refers to denoting a feature of an utterance other than
the consonantal and vocalic components, for example (in English) stress
and intonation.
x Monophthongs: It is a vowel that has a single perceived auditory quality.
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Sound Symbols
x Diphthongs: It is a sound formed by the combination of two vowels in a

single syllable, in which the sound begins as one vowel and moves towards
another (as in coin, loud, and side).

1. In English, there are only 26 alphabets but there are 44 sounds.
2. The four common secondary articulation includes labialization,
palatalization, velarisation and pharyngialisation.

1. Glide is a type of sound that shows the properties of both vowels and
consonants. Glides are produced with a vowel like articulation but move
quickly to another articulation. So they are treated as consonants.
2. Monophthongs are simple vowels like [a], [i] and [u]. Whereas,
Diphthongs can be described as a sequence of two sounds, vowels plus
glides or two vowels [aU], [aw], [ei].
1. ‘IPA is the most widely used method for transcription of sounds.’ Elaborate
the given statement.
2. What is place of articulation? Explain with the help of different sounds
produced through it.
3. Write a note on the manner of articulation explaining the various manners
involved.
4. How are the voiced sounds different from the voiceless ones? Elaborate.
5. Discuss in detail the three phonetic classifications of vowels.
6. Write a short note on syllable.
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Sound Symbols
Cesar, Daniel Joseph. 2010. Of Sounds And Symbols. The First Phonetic System
That Works: Imagines English As It’s Spoken. Indiana: Authorhouse.
Geigerich, Heinz J. 1992. English Phonology, An Introduction. New York:
Cambridge University Press.
Fuster, Miguel. Sanchez, Antonia. 2008. Working With Words. An Introduction To
English Linguistics. Spain: Universtat de Valencia.
Arihant Prakashan.
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An Introduction to the
BLOCK-V
The problem of untouchability is still prevalent in the society and Mulk Raj Anand through his
novel Untouchable brings so light the sorrous and sufferings that high caste Hindus inflicted
on the untouchables.
This block is divided into four units.
The twenty-first unit discusses the caste issues in India. It talks about the origin of casteism
in India and how it affected the lower caste people.
The twenty-second unit is about the reading of Mulk Raj Anand’s ‘Untouchable’. It deals
with the plight of the lower caste people in India. It also shows the hypocrisy of the ones
who belong to the upper caste.
The twenty-third and twenty-fourth units discuss phonetics and its different aspects like
organs of speech, vowels and consonants, consonant clusters, and the approaches and
theories related to the learning and teaching of phonetics.
549
550
UNIT–21 AN INTRODUCTION TO THE CASTE ISSUE

IN INDIA
Objectives
x Understand the Indian system of stratification
x Describe the meaning of caste, origin of caste system and also analyse its
characteristics
x Analyse the modern changes in Indian caste system
x Explain caste mobility and the role of dominant caste
x Explain the characteristics of tribe and tribe-caste interaction
x Describe the constitutional provisions for scheduled castes, scheduled tribes
and other backward classes
Structure
21.1 Introduction
21.2 Meaning and Origin of Caste System
21.3 Concept of Dominant Caste
21.4 Constitutional Provisions Towards Positive Discrimination
21.5 Summary
21.6 Key Words
21.1 INTRODUCTION
Pritim Sorokin’s statement, ‘an unstratified society is a myth’, clearly reflects that
stratification is inherent in nature. Social stratification has existed in all known
societies. India has long been reckoned as the most stratified of all known
societies in human history. Stratification is the structuring of society on the basis of
differential social status of various groups. But the traditional pattern of social
stratification in India has certain characteristics which are unique, and these have
attracted and intrigued many scholars all over the world. The caste system with its
myriad forms of super- ordination and subordination of its many customs and
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taboos is perhaps most responsible for conferring on India this dubious honour.
From your study of the earlier unit you would be aware of the nature of Indian
society and the uniqueness of India being a diverse country and at the same time
maintaining the ethos of unity. This unit would help you to understand the internal
dynamics of Indian society through caste system and how this institution has
created inequality for many years.
21.2 MEANING AND ORIGIN OF CASTE SYSTEM
Caste is an ancient social institution that has been a part of Indian history and culture
for centuries. It is an institution uniquely associated with the Indian sub-continent and
hence is of indigenous nature. The term ‘caste’ owes its origin to the Portuguese
word casta meaning race, pure breed, etc. In India, caste is termed as jati.
Theoretically, the caste system can be understood as the combination of two sets of
principles — one based on difference and separation and the other on wholism and
hierarchy. M.N. Srinivas, in his book Caste in Modern India, provides a
sociological definition of the caste system. To him, a sociologist would define a caste
as a hereditary, endogamous, usually localized group, having a traditional association
with an occupation, and a particular position in the local hierarchy of castes. He
further stated that relations between castes are governed, among other things, by the
concepts of purity and pollution, and generally, maximum commensality occurs
within caste. According to Irawati Karve in her book Hindu Society: An
Interpretation, ‘The Indian caste society is a society made of semi-independent
units, each having its own traditional pattern of behaviour. This has resulted in a
multiplicity of norms and behaviour, the existence of which has found a justification
in a religious and philosophical system’. Accordingly, Hindu religion is intrinsic in the
particular stratification found in caste.
Many Western and Indian scholars have studied caste system and have tried to
define it. Sir Herbert Risley defined caste as ‘a collection of families, or group of
families, bearing a common name, claiming a common descent from a mythical
ancestor, human or divine, professing to follow the same hereditary calling and
regarded by those who are competent to give an opinion as forming a single
homogeneous community.’ C.H. Cooley stated, ‘when a class is somewhat strictly
hereditary, we may call it a caste.’ However, the above views reflect that caste is
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usually a group of people having similarity with regard to race, occupation, and
lineage, etc., and this institution is hierarchical in nature.
On the basis of combination of two dichotomous propositions (structural and
cultural), we can get four approaches on the caste system,—structural
universalistic, structural pluralistic, cultural universalistic and cultural
particularistic. The structural universalistic view is promoted by K. Davis, N.K.
Bose and A.R. Desai. They are of the view that caste in India manifests the general
principle of a closed form of social stratification based on hierarchy. The structural
particularistic view on caste is promoted by E. Leach, who contends that the use of
the word caste is to define the system of social stratification found in traditional
Indian society and also surviving to a greater extent in modern India. The cultural
universalistic view of caste is held by Weber and Ghurye, who consider caste a
cultural phenomenon, a matter of ideology and value system. Caste System
promotes the idea of hierarchy. The cultural particularistic view of caste is held by
Louis Dumont. He says that caste system is based upon a set of ideas like pollution
and purity and these ideas are unique to India.
Origin of Caste System

To understand the origin of caste system, we need to have an eclectic approach
towards the various theories propounded in sociology. The explanation on caste
system on the basis of these theories is as follows:
x Traditional theory: According to traditional theory, the caste system was
created by the creator, Brahma, himself. According to Rig Veda, Brahmins
are like the mouth, Kshatriyas are like the arms, Vaishyas are like the
stomach, and the Shudras like the feet of the social body.
x Political theory: According to this theory of caste, the caste system in
India happens to be the Brahmin progeny of Indo-Aryan culture, which
developed in the Indo-Gangetic Plains. The Political Theory was
propounded by Abbe Dubois in 12th century, in his work Hindu Manners
and Customs, where he declared caste to be ‘the scheming of the
Brahmins’. Thus, as per this theory, caste system was invented in order to
dominate the entire Hindu society by the higher castes.
x Economic/occupational theory: While explaining the origin of caste
system in India, Nesfield stated, “function and function alone is responsible
for the origin of caste system”. Even ancient Hindu traditions support this
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theory. In Bhagwat Gita, Lord Krishna pointed out that the fourfold Varna
system was created by the God himself. Buddhist literature mentions about
the existence of many castes according to occupational distinctions in
various crafts and industries. Occupations in most of the castes in Hindu
society were fixed. For example, lohar, sunar, chamar, julaha signified
the economic occupations of these castes. Critics point out that the
Economic/Occupational Theory does not explain the hierarchy in caste
system and variation in caste of agricultural workers.
x Ethical theory: This theory was propounded by S.C. Roy. According to
the Ethical Theory, caste system originated in the class system of Indo
Aryans, the tribal system of pre-Dravidians and conflicts among various
occupations.
x Ethnic theory: As the name suggest, as per this theory castes are ethnic
groups. Risley pointed out that the Aryans gave a lower place in society
to the Dravidians due to their different nasal structure, and thus the latter
were labelled as lower castes. According to G.S. Ghurye, the caste
system was a clever scheme of the Brahmins to maintain their hold on
Hindu society. D.N. Majumdar held the view that the aim of caste system
was to maintain the purity of blood. In his own words: “Nesfield said that
superiority or inferiority of occupation is represented in the hierarchy of
the castes. We should think that the status of the caste depends upon the
degree of purity of blood and the extent of isolation maintained by the
social groups.”
x Theory of mana: According to J.H. Hutton, the caste system originated in
the religious customs and rituals of the non-Aryan groups, particularly in the
theory of Mana (the mystic power). Hutton stated that the traditions of
endogamy, untouchability, and so on, have their roots in defence against the
influence of Mana. But the theory does not state how the belief in Mana
created caste system only in India, when the belief existed among all the
primitive tribes around the world.
x Theory of occupational classes: Denzil Ibbeston, in Punjab Castes,
maintained the caste system originated due to distinctions in tribes,
occupational guilds and religion. The tribes following different occupations
created different castes. In ancient India, the occupations held by the
Brahmins and Kshatriyas were considered to be best and the highest.
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Gradually, occupations became hereditary and let to custom of endogamy.

These ultimately led to the formation of hundreds of castes in India.
x Religious theory: The propounders of this theory of caste system were
Hocart and Senart. According to Hocart, the division of labour in Indian
society is based upon the religious principles and customs since in ancient
India dharma occupied the most important place. The king was
considered as the representative of God. The administrative system,
therefore, drew its authority from divine power. Therefore, the religious
priests were given the highest status in caste system. Gradually, various
social groups hardened into different castes on the basis of religious
customs and traditions. Senart explained the origin of caste system on the
basis of taboos concerning food. He pointed out that there were restrictions
upon taking food with members of other castes as their systems of worship
and their family deities were different. Persons worshipping one deity were
considered to be descendents of the same ancestors. They used to offer
different types of food to their various deities. These practices gradually led
to distinctions among various religious groups, which ultimately led to the
creation of caste system.
x The different factors pointed out by all the above mentioned theories on
origin of caste system may be taken together to arrive at the multi-sided
explanation on caste system. In words of J.H.Hutton: “It is urged
emphatically that the Indian caste system is the natural result of the
interaction of a number of geographical, social, political, religious and
economic factors not elsewhere found in conjunction.”
Characteristics of Caste System

Caste system in India is complex in nature. Scholars such as Ghurye, Hutton and
Ketkar have pointed out the characteristics of caste. Ketkar describes two
characteristics of caste. They are, (i) membership is confined to those who are born
of members and include all persons so born, (ii) the membership is forbidden by an
inexorable social law to men outside the group. From this, it can be said that if a man
should be banned from his caste for some reason, he would be without any group,
since no other group, lower or higher, could accept him into its membership.
Moreover, it also limits the choice of field of marriage partners. G.S. Ghurye, in his
book Caste and Race in India, has identified six characteristics of a caste system.
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1. Segmental division of society

The caste system exhibits a segmental division which shows that the groups are
divided into various groups called castes. Each of these castes is a well developed
social group, the membership of which is based on birth. Since membership is based
on birth, mobility from one caste to another is impossible. Each caste has its own
traditional social status, occupation, customs, rules and regulations. It has its own
governing body called the Caste or Jati Panchayat, which enforces caste rules. Such
panchayats decide not only matters pertaining to castes but other offences as well
that legitimately falls within judicial process. These include matters like eating,
drinking, matters related to marriage, non-payment of debts, breach of customs
peculiar to a caste, petty assaults, etc. Caste was thus a group, as Ghurye rightly
points out, ‘with a separate arrangement for meting out justice to its members apart
from that of the community as a whole, within which caste was included as only one
of the groups. Hence the members of a caste ceased to be members of a community
as a whole, as far as that part of their morals which is regulated by law.’ In other
words, it can be said that ‘each caste is its own ruler’. The citizens owe their moral
allegiance to the caste first, rather than to the community as a whole.
2. Hierarchy
Each caste is placed in a position of the society according to a hierarchical pattern.
The divisions of caste can be noted by watching the actions of higher castes. Castes
are never equal in status and one caste has either a low or high status in comparison
to another. Ghurye pointed out that ‘there are as many as two hundred castes which
can be grouped in classes whose gradation is largely acknowledged by all’. But
order of social precedence among individual castes of any class cannot be made
definite, because not only is there no ungrudging acceptance of such ranks but also
the ideas of the people on this point are very nebulous and uncertain. For instance,
rank of certain castes can be determined by finding out from whom a designated
caste takes water. One may take water from his equals or superiors, but not from
his inferiors unless it is served in a brass pot.
3. Restrictions on commensality and social intercourse

Every caste imposes restrictions on its members with regard to food, drink and
social intercourse. Food is another rank indicator. Indian food is placed into two
groups. Pakka food and kacchha food. Pakka khana is made with clarified butter
from flour, sugar and sweet meats, while kachha khana is cooked with water or
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salt. Pakka khana is taken from most inferiors, but kachha khana is taken with
discrimination. A man will take kachha khana from the same people from whom he
will take water. In practice, most castes seem to have no objection on taking
kachha food from the hands of a Brahmin. A Brahmin, on the contrary, does not
accept kachha food from the hands of any other caste. As far as pakka food or
pakka khana is concerned, a Brahmin can take food from the hands of a few castes
only. According to Ghurye, as many as 36 out of 76 castes of UP take kachha food
from only their own members and none others.
Besides, there are widespread beliefs of pollution by touch which require the
members of different castes to maintain social distances from one another.
Theoretically, the touch of a member of any caste lower than one’s own defiles a
person of a higher caste. The rigidity of this rule, however, varies from caste to caste
and place to place. It used to be prevalent in UP and Gujarat. As per the
classification given by Ghurye, the Shannar, a toddy tapper of Tamil Nadu,
contaminates a Brahmin if he approaches the latter within 24 paces. In Kerala, a
Nayyar would approach a Namboodiri Brahmin but may not touch him. In fact, so
much rigidity was attached to pollution that a Brahmin would not even perform his
ablution within the precints of a Sudra’s habitation.
4. Endogamy
Caste system also imposed restrictions on marriage. Castes are divided into sub-
castes and each sub-caste is an endogamous group. The principle of endogamy was
so prominent that Edward Westermarck said, ‘it is the essence of caste system’.
Every caste or sub-caste insists that members should marry within the group. Any
breach of this rule is viewed as a serious offence, the punishment for which often
amounts to ostracization from one’s own community or caste. However, there are
few exceptions to this rule in the form of hypergamy (marriage of a higher caste man
with a lower caste woman). Except in cases of hypergamy,each caste had to adhere
strictly to the rules with regard to matrimonial alliances. For instance, the younger son
of a Namboodiri Brahmin of Kerala can marry a Nayyar woman.
5. Lack of unrestricted choice of occupation

In a caste based society there are restrictions on choosing one’s own vocation. Each
caste group is traditionally associated with a caste occupation, which is hereditary.
Abandoning one’s hereditary occupation was looked down upon so people strictly
followed their caste occupation even if it was not lucrative. Thus, a Brahmin would
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consider it his rightful duty to be a priest while a shoemaker would consider it his
duty to prepare shoes. No caste would allow its members to take any calling which
was either degrading or impure. There are, however, occupations like trading,
agriculture, military service, working in the field etc, which are considered as being
open to all.
6. Civil and religious disabilities

Social segregation is another aspect of caste differentiation. Ghurye remarked,
‘segregation of individual castes or of groups of castes in a village is the most
obvious mark of civil privileges and disabilities and it has prevailed in a more or less
definite form all over India.’ In a village or a town, various castes were segregated
on the basis of residence. Segregation has been more severe in South than in North
India. In the South, as referred to by Ghurye, parts of the town or village are
inaccessible to certain castes. The agitation by impure castes to gain free access to
streets in Vaikam in Travancore brought into clear relief some of the disabilities of
these castes. ‘All over India,’ Ghurye points out, ‘the impure castes are debarred
from drawing water from the village well, which is used by members of other
castes.’ A Mahar, for example, in Maharashtra, was forbidden from spitting on the
road lest a pure caste may get polluted if his foot happens to touch it. Besides these,
there were restrictions on Shudras from entering temples and attending performance
of certain rituals. They were prohibited from reciting vedic mantras and performing
vedic rituals. They had to satisfy themselves with Puranic rituals. A Brahmin was not
expected to bow to anyone while members of other castes were required to bow to
him.
Meaning of Varna
It is now agreed that all social divisions in India were not hereditary in the beginning,
but rather were functional divisions. In Hindu social organization, varna is only a
reference category: it is not a functioning unit of social structure, and only refers
broadly to the ascribed status of different jatis. It is also a classificatory
device.(S.C. Dube, 1990). As far as the etymological meaning of varna is
concerned, it has come from the Sanskrit root ‘Vri’, which means colour .The roots
of the varna system lie in the clash of races. Fair-complexioned Aryan groups that
started pouring into India through the north-west around 1500 BC, vanquished and
subjugated the dark-complexioned earlier settlers; and thus the foundation was laid
for a class system based on birth. The primeval myth, however, is that in the
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Purusashukta, a hymn in the Rig Veda, the four orders of society emerge from the
four parts of Purusa (the supreme being). The occupations of these varnas are
related symbolically to the parts of the body of Purusa. It can be said that it is an
Organismic analogy between man and society legitimizing the varying ranks and
functions of different groups.
As far as the Rig Veda is concerned, the words Rajanya, Vaishya and Sudra
occur only in the Purusasukta. The four Varnas are Brahmanas, Kshatriyas,
Vaishyas and Sudras. The Brahmins are considered to have emanated from the
mouth of the Purusa and so placed in the highest echelon of society. Their special
function pertains to speech. The second rank is that of the Kshatriya (Rajanya), who
is born from the arms of the Purusa and hence has the privilege of wielding arms.
The Vaishyas come from the thighs of Purusa and their occupation is agriculture and
trade. Lastly, the Sudras were produced from the feet of the Purusa. Just as the feet
are the lowest in the body, Sudras are the lowest in the four-fold division of society.
The Purusasukta appears to be the composition of an era when the Aryans had
already settled down in the Indian subcontinent. Since the commoners among
Aryans required agricultural labour, they employed Dasas. Gradually, the Dasas
were given the generic name of Sudra. Both these words are of Iranian origin. The
word Dasa is the transformed version of the Iranian word Dahae or common man.
The word Sudra seems to have some connection with the word Kurda, the name of
a pre Aryan tribe still living in Iran. In the Rig Veda itself, we find the tendency of
considering the profession of a priest and warrior as higher than the profession of the
agriculturalist. The people who were employed as agricultural labourers or slaves
had naturally to occupy the lowest position in society. The composition of the
Purusa Sukta and its inclusion in the Rig Veda was probably the first attempt to
systematize, justify and legitimize the exploitation of non-aryans masses by Aryans.
Varna and Jati

The terms varna and jati (caste) may appear synonymous but are in fact two
distinct categories. The inter-changeability of these terms has created confusion in the
sociological analysis of the institution of caste. Caste is a confusing word; and has
been used in different contexts to convey different meanings and social categories. It
is better to use the term jati to denote an endogamous community with a more or
less defined ritual status, and some occupation traditionally linked to it. Jati is a
social group - a unit of great importance and a basic component of social system.
Varna is frequently mentioned in Sanskrit scripture - jati less often. Emile Senart
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warned that the two terms are confused in the literary tradition, which, he wrote, ‘is
less concerned with the faithful record of facts than with their arrangement in systems
conforming to the tendencies of a strongly biased group’.
However, the origin of castes has no semblance to the origin of varnas, although
in the process of development of castes, they came to be associated with varnas.
M.N. Srinivas believed that varna has provided a common social language which
holds good or is thought to hold for India as a whole, i.e. it has enabled ordinary
men and women to grasp the caste system by providing them with a simple and clear
scheme which is applicable to all parts of India. He further holds that the importance
of the varna system is that it furnishes an all India frame into which the jatis
occupying the lower rungs, have throughout tried to raise their status by taking over
the customs and rituals of top jatis. Caste is tied to locality but varna functions on
an all India basis.
The crucial distinction between varna and jati is that, whereas varna is a
system of differentiation in the epoch of Asiatic mode of production, which was
characterized by general exploitation, the jati system developed later in the epoch
of feudalism and was characterised by localized exploitation in a closed village
economy, where the ruling class lived off the land. Varna may be described as an
abstract classification of people on the basis of a mythical origin; jati, on the other
hand, is a concrete grouping based on ritual and occupational criteria. Varna should
be understood as a symbolic framework within which diverse castes or jatis are
grouped together. Castes belonging to the same Varna may have no social ties with
each other. For instance, a Kashmiri Brahmin and a South Indian Brahmin belong to
the same varna, but they do not intermarry or interdine. Castes have incorporated
many regional, linguistic and communal diversities, and as a consequence castes
having the same varna rank are quite distinct from each other. Varna framework has
served as a means of caste mobility but mobility is restricted among jatis. However,
it can be said that varna is a reference group to various jatis of Indian society.
1. What are the characteristics of caste?

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2. What is the traditional theory related to the origin of caste system?

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3. Write a short note on the hierarchy of caste.

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21.3 CONCEPT OF DOMINANT CASTE
The concept of dominant caste is crucial to rural social life and its dynamics. The
concept, introduced by M.N. Srinivas, has been debated ever since the conception
of the term. Indian rural society is made up of separate castes whose members are
linked by economic, political and ritual relations. A feature of rural life in many parts
of India is the existence of dominant landowning castes. While on one hand,
scholars of the caste system express the interdependence of castes, on the other,
some others have stressed the pivotal position of a dominant caste who has a
sizeable amount of arable land locally available, has strength of numbers and
occupies a high place in the local hierarchy. When a caste has all the attributes of
dominance, it may be said to enjoy decisive dominance. Such a concept of
dominance is not only important in the analysis of caste system rather it is also
significant to study social and economic change.
Srinivas introduced the concept of dominant caste in 1953 after making field
visits to Rampura, a multi-caste village near Mysore in South India. He stated, ‘a
caste may be said to be “dominant” when it preponderates numerically over the
other castes, and when it also wields preponderant economic and political power. A
large and powerful caste group can be more easily dominant if its position in the
local caste hierarchy is not too low.’ When a caste enjoys all the elements of
dominance it may be said to be a dominant caste of that village.
New factors affecting dominance have emerged in the last eighty years or so.
Western education, jobs in the administration and urban sources of income are all
significant in contributing to the prestige and power of particular caste groups in the
village.
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No longer is dominance a purely local matter in rural India. A caste group which
has only a family or two in a particular village but which enjoys decisive dominance
in the wider region will still count locally because of the network of ties binding it to
its dominant relatives.
In Srinivas’s study, the peasants in Rampura enjoy more than one element of
dominance. Numerically they are the biggest caste with a membership of 735,
while the next biggest is the shepherd with 235, followed by the Muslim, 179, and
the untouchable, 125. The biggest landowners are among the Peasants, and the
Peasants together own more land than all the other castes put together. There are
also more literates and educated men among peasants than among the others. In
1948 there were three peasant graduates and a single Lingayat lawyer employed
by the Government. The three most important patrons in the village were also
Peasants.
Over the last fifty years or more, the dominance of peasants has increased in
Rampura. The available evidence indicates that in the early years of the 20th century,
Brahmins owned a considerable quantity of irrigated land in the village. The Brahmins
were the first to sense the new economic opportunities opened to them through
Western education, and they gradually moved to the towns to enter the new white-
collar professions. Urban living, the cost of educating children, and the high dowries
which the new education and economic opportunities had brought about, gradually
caused the Brahmins to part with their land. Much of this land passed to non-
Brahmins, especially the peasants, during the years 1900-1948.
The vast improvement in communications over the years has contributed to the
decline in the prestige of purely local styles of living. The role of the dominanat caste was
not however restricted to being the guardian of a pluralistic culture. It also stimulated in
lower castes a desire to imitate the dominant caste’s own prestigious life style.
However, as Srinivas pointed out, the influence of the dominant caste seems to
extend to all areas of social life, including so fundamental a matter as the principle of
descent and affiliation. Thus, the two patrilineal Tamil trading castes, the Tarakans (of
Angadipuram) and Mannadiyars (of Palghat) gradually changed, in about 120 to
150 years, from patriliny to matriliny.
Mobility in the Caste System

Indian caste society has undergone tremendous transformation in modern days, and
is still undergoing adaptive changes. M.N. Srinivas quite aptly referred to the
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changes brought about in independent India. In independent India, the provision of

Constitutional safeguards to the backward sections of the population, especially the
Scheduled Castes and Tribes, has given a new lease of life to caste. Many factors
have been responsible for the transformation in caste system.
M.N. Srinivas draws out a distinction between traditional and modern caste
which roughly coincides with the distinction between pre-British and Post-British
period. It was indeed a matter of great significance to learn about the nature of
rendering political power to Indians by the British. This was an important step in
caste assuming political functions. There were territorial boundaries in the pre-British
period which separated the castes by limiting their mobility. But later on the
interdependence of castes upon each other for economic and other functions
somehow became instrumental in liberating caste from territorial filiations.
Srinivas also refers to the building of roads all over India, the introduction of
postage, telegraph, cheap paper and printing - especially in regional languages -
enabled castes to organize as they had never done before.
Ghurye has also reflected upon the impact of British rule on the Indian Caste
system. The civil and penal codes introduced by the British over the subcontinent
took away much of the power previously exercised by Caste Panchayats. However,
the process of Sanskritization has also been instrumental in bringing about social
mobility leading to fluidity in the caste structure.
Other factors like Western education, urbanization, industrialization and the new
legal system further contributed in bringing about changes in the caste system. The
expansion of industries and service sectors have led to expansion of occupational
opportunities to many castes. So in spite of the ascribed status assigned to castes,
people focussed on achieved status. Such occupational spaces have led to the
abandonment of the principles of pollution and purity. Moreover, democratic
decentralization of power right upto grassroots level has led to increased
participation in the political process and besides economic success, access to
political power has become another means of status enhancement.
Some of the prominent changes identified in the caste system are as follows:
1. There has been a decline in the supremacy of Brahmins. The Brahmins who
used to occupy topmost position in the stratification system of India are no
longer considered so. Modern occupation and urbanization has led to
increased occupational mobility among other castes which has enhanced
the status of castes lower than the Brahmins in the hierarchy. In the present
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day context the Weberian notion of one’s class position gains ascendancy
over one’s caste position.
2. The jajmani system has also weakened. The economic context of inter-
caste relations which is termed as jajmani system has lost its significance.
The monetization of economy and expansion of market system in rural
areas has had a severe impact on the economic functions of castes.
3. The second important change is the position of castes due to processes like
Sanskritization. Initially, it was observed that caste system had a rigid
structure that strictly prohibited social mobility. But with occupational
interdependence and opening of greater avenues for employment, the lower
castes had an opportunity to pursue an occupation according to their
choice. This led to fluidity in the caste structure and considerable positional
changes were observed.
4. The Protective Discrimination Policy of the Government further led to the
enhancement of status of many of the subjugated castes. Such policies also
led to the improvement in socio-economic conditions of various castes.
5. The enforcement of the Special Marriage Act of 1954 further brought
about many changes in improving the marital alliances among the castes.
Initially endogamy was strictly observed as an attribute of caste and people
violating it were ostracized from the village. But the Special Marriage Act
legalized inter-caste marriages which is a significant change in the entire
system.
6. The notion of pollution and purity and restrictions on feeding and
intercourse are no longer valid. The enactment of Untouchability Offences
Act 1956 was an important milestone in this direction. Untouchability was
considered a punishable offence and a person found practising it is severely
punished either in terms of being fined or sentenced to imprisonment.
7. With industrialization, new occupational structures have developed in urban
areas. These new occupations are caste free occupations. Recruitments to
these occupations are solely based upon technical skills which can be
acquired through modern education only. Thus the traditional concept of
caste occupation has lost its significance.
8. Contemporary society is undergoing massive transformation due to
technological breakthrough and is witnessing many cultural changes. A new
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class of lower caste urban youth whom some scholars have termed the
‘breakthrough generation’ are playing a significant role in bringing about a
sea-change by breaking the boundaries that had kept the Sudras in
conditions of extreme poverty. This new generation of educated Sudras are
positioning themselves for modern urban jobs.
Thus, the caste system has undergone many changes in the recent years. It is
however difficult to predict the complete disappearance of such a system. It can be
said that though there has been enough fluidity in the system due to many forces, the
system still persists in India. The practice of politics through caste, the entire
reservation issue and the recent debate about calculation of caste census has further
stirred caste sentiments.
Jajmani System
The economic system of rural India is founded mainly on functional specialization
and interdependence among various castes. Each village has several jati segments,
which have separate ties in some spheres. But there are also neighbourhood ties,
and personal and family relationships and animosities. Three aspects of inter-jati
and inter-personal relations within the village merit special consideration; the inter-
dependence of jatis through the exchange of specialized occupational services; the
functioning of village panchayats (generally involving representatives of all jatis
residing in the village) in addition to jati panchayats; and the factional politics of the
village. Now we shall discuss such a system of village economy based on
occupational inter-dependence of castes. It is called the jajmani system.
Jajmani is a system of traditional occupational obligations. Castes in early India
were economically interdependent on one another. The traditional specialized
occupation of a villager followed the specialization assigned to his caste. The
specialization of occupation led to the exchange of services in the village society. This
relationship between the ‘servicing ‘ and the ‘serviced’ castes was not contractual,
individual, impersonal or temporary but it was caste oriented, long termed and
broadly supportive. This system in which the durable relation between a landowning
family and the landless families that supply them with goods and services is called the
jajmani system.
The term jajmani system was introduced by W.H. Wiser in his book The Hindu
Jajmani System based on his study of Karimpur village in U.P. Harold Gould has
described the jajmani system as inter-familiar inter-caste relationship pertaining to the
patterning of superordinate subordinate relations between patrons and suppliers of
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services. The patrons are the families of clean castes while the suppliers of services
are the families of lower and unclean castes. The system is reciprocal to the extent
that a man of comparatively low caste will serve a Brahman patron on certain
occasions, while on others the same Brahman will serve him, in turn, in his role of
priest at family rites. Jajmani system is essentially an agriculture based system of
production and distribution of goods and services. Through jajmani relations the
occupational jatis get linked with the landowning dominant caste. The jajmani
system operates around the families belonging to the landowning dominant caste, the
members of which are called jajmans. The landowning caste maintains a paternalistic
attitude of superiority towards their occupational castes who are called kamins in
northern India. In terms of Karl Polanyi’s classification of exchange system, jajmani
exchange can be termed as a redistributive system of exchange. The jajmani
relations entail ritual matters and social support as well as economic exchanges.
Pauline Kolenda, referring to jajmani system has said, ‘Hindu jajmani system may be
approached as an institution or social system within Indian villages made up of a
network of roles and into the system as a whole and legitimized and supported by
general cultural values.
Nature of Jajmani Relations

Jajmani relations are exclusive in that the farmer family is supposed to carry on such
relations with only one blacksmith family, and those blacksmiths should make tools
only for their own farmer families. The families of village officials or village servants,
such as the watchman for example, maintain jajmani relations with the whole village
rather than with particular families.
A patron family must carry on jajmani relations with those whose services are
required for ritual purposes, especially concerning the family’s pollution and also with
those whose services and products are materially useful. Though most of these
castes have specialized occupations, they perform multiple functions. For example
though barbers have a specialized occupation of cutting hair, they have multiple roles
to play. The barber’s wife cleans and refurnishes the house, she massages the bride,
helps her bathe and dress. She joins in the wedding songs when the groom’s party
is met. The barber himself accompanies the marriage party in the ceremonial round,
doing for the members of the wedding whatever tasks that need to be done. He is
present through all the rituals, helping the priest, performing such bits as the formal
tying of the groom’s shirt to the corner of the bride’s dress. In return the barber and
his wife are given a sum of money and tips when they perform some special service
566
in the course of the rite. S.C. Dube, on the basis of his study of Shamirpet village
near Hyderabad, has shown how barbers play the additional roles of matchmakers
and messengers. Jajmani associates are expected to be and some are broadly
supportive of each other, with the quality of ready help that close kin are expected
to show.
Jajmani Payments and Obligations

The relation usually involves multiple kinds of payments and obligations as well as
multiple functions. N.S. Reddy in his study Senapur Village of eastern U.P. in
1955 found that the traditional work of Lohars was iron or blacksmith. But in
Senapur they also work in wood, because there are no carpenters in the village.
They make and repair agricultural implements for the landowner farmers, the
Thakurs. This work is apportioned among the Lohars according to hereditary shares.
Each family has an exclusive and inalienable right over its share of work, which is not
encroached upon by others. According to Harold Gould these lower castes
(kamins) make their own jajmani arrangements either through direct exchange of
labour or by paying in cash or kind. In some Mysore villages that Alan Beals has
studied, men of the lowest jatis are employed as village servants, as watchmen and
irrigators. This gives them a more assured income than that enjoyed by families of
several other jatis which rank higher in the local hierarchies. In Gould’s tabulation of
actual jajmani payments in Sherupur village, ‘the washerman received the lowest
average remuneration, the barbers next lowest, and the carpenter and blacksmiths
the highest - an order of precedence which accords perfectly with their relative
traditional statuses’.
Change and Continuity in Jajmani Relations

The jajmani relationship has by now been largely supplanted in many villages,
although in relatively few has it completely disappeared. The power of a local
dominant jati has been reduced in many places because their village dependents can
move away more easily than was formerly possible, can get some income from
outside the village. Yet the advantages of jajmani for economic stability and security
are still sufficiently great that many villagers want to continue with at least some such
arrangements. The cultivator gains from them in that he gets better credit and a more
certain labour supply than he usually can through cash transactions. In addition to the
economic benefits, the ritual services that jajmani associates provide are still in
demand. Some landowners in villages of Poona district keep up jajmani relations
mainly so that they may have ritual services readily available, as when a waterman
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must cleanse polluted clothing after a death, or when a messenger of low jati must
be sent around to relatives with the news of a death, or when a goldsmith must purify
the household deities. In a village of Barmer district in western Rajasthan, there have
been notable changes, but when Bose and Jodha studied the villages in 1963,
many of them still maintained some jajmani relations. Certain families no longer
perform their traditional occupations but may keep up certain jajmani relations. Of a
sample of 129 households out of a total of some four hundred, about 75 percent
maintained jajmani ties with families of the low leather worker jati. About 60 per
cent maintained such ties with carpenter families. Though jajmani relations are clearly
important in the eyes of these villagers, they are of minor consequences in the village
economy. Jajmani interchange, in this and many other villages, still provides a
measure of economic credit and stability even more, it helps to define the local social
order by defining those who can secure ample ritual services.
Jajmani as an Exploitative System

Whether jajmani system is an exploitative system is questionable. Biedleman
explicitly equates the jajman with ‘exploiter’ and the kamin with ‘exploited’ and
characterized the system as feudal. He believes the jajmani system to be one of the
chief instruments of coercion, control and legitimation weilded by high caste
landowning Hindus. The kamins are totally dependent on the jajmans. The jajman,
on the other hand, can treat the kamins in a paternalistic manner and help them
socially on occasions of emergencies. Considering the jajmani exchanges as mutually
beneficial, they tolerate the occasional irrelevant demands of their kamins just as the
kamins tolerate the occassional coercion of their jajmans. Therefore, to consider
jajmani as an exploitative system would be illogical. Kolenda, Orenstein and Harold
Gould have maintained that condemning jajmani arrangements as brutally
exploitative is too sweeping and obfuscating a generalization. The system persists
not because of any rational economic motivations but because of its importance to
the maintenance of the social status and patterns of social interaction that are
essential to the successful practice of rural Hinduism. To Gould, jajman status refers
to a religo-economic category rather than a social stratum. It can be concluded that
jajmans cannot be perceived as exploiters, and the desire to become a jajman is not
a desire to get feudal status or a common inclination to ‘exploit the weak’ but the
wish to practice certain rituals and away of life necessitating the avoidance of
impurity.
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Decline of Jajmani System and Changes

The challenge came to the jajmani system when India got under foreign domination.
Gradually after Independence the stability of the system was at stake. In order to
bring about economic development, deliberate attempts were made to link village
economy to the regional and national market by establishing transport and
communication networks. As a result the self sufficiency of rural economy was
destroyed. The process of planned development initiated after Independence was
oriented towards bringing about capitalistic transformation in agriculture. However
the important changes in society that have affected the jajmani system in the last five
or six decades are reduction in the powers of the village elders, effect of the factory
system and industrialization on the quality of services rendered by the kamins,
changes in the rigidity of the caste system, introduction of land reforms, better
employment in urban areas, etc. The dominant caste now prefers to summon
political help rather than depend on their kamins for support. Irawati Karve and Y.B.
Damle, found two-thirds of their respondents (222 out of 326) in a survey
conducted in 1962 in five villages in Maharashtra and Bose and Jodha found 86
percent (111 out of 129) of their respondent in their survey conducted in 1963 in
Barmer district in western Rajasthan in favour of jajmani system because of the
economic benefits, the availability of the ritual services, getting of dependable
support by the landowners from some of the families and castes in their factional
struggles, and getting patron’s protection in exigencies. The traditional jajmani
relations have weakened in recent years. Not much of the village economy is now
carried on through jajmani arrangements. Biedleman is too of the opinion that it is
doubtful if the jajmani system will survive for long.
Tribe
The stratification system in India is marked by formation of various social groups
such as caste, tribe, race, class, etc. Anthropologists and sociologists have
contributed a lot in the field of tribal studies and studies of indigenous people. The
tribes are the primitive or indigenous people of a particular area. The colonial
administrators in India created administrative zones like excluded and partially
excluded areas and their administrative system led to many problems of the
indigenous people. However, the problems of the tribal people have long been
neglected by many people in the past.
Arthur Wilke and others put the problem in proper perspective by stating that
for years ambiguity has stalked India’s official portrait of tribal people. From 1917
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through the 1931 census, for instance, the nomenclature referring to tribes underwent
successive modifications, involving primarily changes in the descriptive adjectives
such as ‘aboriginal’ or ‘depressed classes’. By the 1941 Census, these qualifying
adjectives were dropped, a practice continued after independence with the adoption
of the notion of scheduled tribes or as they are commonly called, Adivasi. Such
standardization did not, however, remove all ambiguity.
The International Working Group for Indigenous Affairs (IWGIA) thus states:
As Adivasis, ‘we are people with distinct historical, political, and cultural identities.
We are united by our histories as distinct societies, by our languages, laws, traditions,
and unique spiritual and economic relationships with our lands and territories.’
Defining Tribe
Tribe is basically a territorial group with traditional territory and the people have a
sense of belongingness to their land. The Imperial Gazetteer of India defines:
‘A tribe is a collection of families bearing a common name, speaking a common
dialect, occupying or professing to occupy a common territory and is not usually
endogamous, though originally it might have been so.’
According to anthropologist Ralph Linton, ‘In its simplest form, the tribe is a
group of bands occupying a contagious territory or territories and having a feeling of
unity deriving from numerous similarities in culture, frequent contacts, and a certain
community of interest.’
According to D.N. Majumdar, a tribe is a social group with territorial affiliation,
endogamous, with no specialization of functions, ruled by tribal officers, hereditary
or otherwise, united in language or dialect, recognizing social distance with other
tribes or castes, without any social obloquy attaching to them, as it does in the caste
structure, followed tribal traditions, beliefs and customs, illiberal of naturalization of
ideas from alien sources, above all conscious of homogeneity of ethnic and territorial
integration.
A major hurdle in defining a tribe is that related with the problem of
distinguishing the tribe from peasantry. According to Andre Beteille, ‘It is no doubt
possible to use the labels ‘tribal’ and ‘peasant’ for this type of social organization and
to characterize one by contrasting it with the other. But in spite of all the effort
invested by anthropologists in the study of primitive societies, there really is no
satisfactory way of defining a tribal society. What this amounts to in the Indian
context is that anthropologists have tried to characterize a somewhat nebulous
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sociological type, by contrasting it with another which is almost equally nebulous.

Earlier anthropologists had not paid sufficient attention to defining tribal society, but
tacitly assumed that what they were studying in Australia, Melanesia, and Africa
were various forms of tribal society. The tribe was somewhat vaguely assumed to be
a more or less homogeneous society, have a common government, a common dialect
and a common culture.’
Characteristics of Tribe
The main characteristics of a tribe are kinship ties, common territory, common
language, joint ownership, common and single political organization. However
geographical isolation has been an important characteristic of any tribal community.
According to Mandelbaum, the following are the characteristics of Indian
tribes:
x Kinship as an instrument of social bonds
x A lack of hierarchy among men and groups
x Absence of strong, complex, formal organization
x Communitarian basis of land holding
x Segmentary character
x Little value on surplus accumulation on the use of capital and on market
trading
x Lack of distinction between form and substance of religion
x A distinct psychological bent for enjoying life.
Tribe–caste Interaction
Tribe and caste have always been different systems of stratification distinct from
each other in many ways. Some investigators have emphasized that tribes are
different from castes in so far as the former represents self-sufficient economic unit,
whereas the latter are only sub-units within a wider economic system. Max Weber
regards Indian tribes as converted into an Indian caste when it loses its territorial
meaning and significance. He also points out that whereas within a tribe there are
many differences of rank and status, all members of caste have one common rank.
In India, when a tribal community is assimilated, it is usually ranked below the
lower caste. As the time passes, it comes at par with the lower caste section of the
Hindu society. For instance, in Assam there is a gradual process of Detribalization
571
and Hinduization, which has been continued for a considerable long time. This is
how the Assamese Hindu society is gradually assimilating with the bio-cultural
components of the tribal communities. In this state, a tribal person can be converted
to Hinduism and be made a member of a caste known as the ‘Koch’. This changes
the position of the ‘convert’ in the social complex.
Vidal’s work (1997) suggest that tribes cannot be understood as separated from
caste, rather they need to be analysed on the basis of how they have been able to
maintain their autonomy within the wider society that includes the castes. There have
been many instances when tribal deities have been accepted in Hindu villages. For
example, in the Hindu village of Gainpura (located in Sambalpur, Orissa), a tribal
deity called Bhim is worshipped. But, this is done without bringing about any major
change in either the tribal or the caste Hindu society. Another good example could
be the interaction of ‘egalitarian society’ of ‘Bhils’ (a tribe) with the ‘hierarchical
society’ of ‘Shahukars’ (Jain merchants). In this case, the internal organization of
neither underwent any basic change. In the first example of Gainpura, the tribal deity
was initially accepted without any major change, but later the caste folks imparted
the deity with a ‘Hindu-god’ status. This led to the change in the ceremonial process
of worshipping in accordance with the Sanskritic Hinduism practices. This was a
process of Tribalization (of the Hindu village) followed by the Sanskritization (of
the deity) according to Chitrasen Pasayat (1995). In the context of his study of
Kishangarhi village in Uttar Pradesh, Marriott (1955) had termed it to be the
process of Universalization.
The studies, demonstrating the changes in tribes as an outcome of their long-
term interaction with peasants (who in most cases were/are caste Hindus) and the
process of Detribalization, support the viewpoint that tribal economy and culture
are getting integrated with the non-tribal population. According to Roy Burman
(1994), the tribes in India were never isolated from the outside world, as generally
believed. As per his observation, this included those communities as well that were
described in anthropological literature as true examples of ‘isolated tribes’. For
example, the Jarawa tribe’s use of iron depicted their continuing relations with other
people. Their isolation was increased during the colonial rule of the British who
colonized their territories and brought their (tribal) traditional resources and life-
supporting systems under their rule. As a result, the tribals fled to the un-surveyed
territories.
572
This process of integrating tribes with non-tribes (predominantly Hindus), and of

tribes taking on the characteristics of caste, was the reason why G.S. Ghurye
described the tribes as the ‘backward Hindus’. For him, the incorporation of Hindu
values and norms into tribal life was a positive step in the process of development.
Under Hindu influence, the tribes gave up liquor drinking, received education and
improved their agriculture. In this context, Hindu voluntary organizations, such as
Ramakrishna Mission and Arya Samaj, played a constructive role in the
development of the tribes. Ghurye presented a huge data on the thoughts, practices
and habits of the tribes inhabiting the Central Indian region (like Katauris, Bhuiyas,
Oraons, Khonds, Gonds and Korkus), who substantially adopted Hinduism as their
religion. He suggested that the economic motivation behind the adoption of religion
is very strong among the tribes; who came out of their tribal crafts and adopted a
specialized type of occupation. N.K. Bose’s filed study provided him with the basic
insight into how tribes following a primitive technology like swidden cultivation, were
gradually absorbed into agriculture and craft-based Hindu society. In his various
insightful papers on tribals, he attempted to highlight the tribal economy and
absorption of tribes into the Hindu caste system. In his book Tribal Life in India,
Bose observed that barring a very small fraction, there is little difference in economic
life of tribals and peasant and artisan communities. Surajit Sinha dealt with social
movements in context of the self-conscious socio-political movement, which aimed
at asserting political solidarity of a tribe or a group of tribes vis-à-vis the non-tribals.
1. What is a dominant caste?

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2. What is the jajmani system?

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3. Mention three characteristics of a tribe.

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4. According to Weber, when does a tribe get converted to a caste?

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21.4 CONSTITUTIONAL PROVISIONS TOWARDS POSITIVE

DISCRIMINATION
For imparting equal economic oppurtunities, and social and political status, the
constitution of India ensures positive discrimination in its provisions. These special
provisions include protection of Civil Rights Act as well, discussed in this section.
Rights of SCs/STs and OBCs: Principal Legislation

The Indian Constitution contains several provisions that aim at equality and
affirmative action for Scheduled Castes (SCs), Scheduled Tribes (STs) and
Backward Classes. They are as follows:
x Equality before law – Article 14 of the Constitution of India
x Prohibition of discrimination on grounds of religion, race, caste, sex or
place of birth – Article 15 of the Constitution of India
x Equality of opportunity in matters of public employment – Article 16 of the
Constitution of India
x Abolition of untouchability – Article 17 of the Constitution of India
x Right against exploitation: Prohibition of traffic in human beings and forced
labour – Article 23 of the Constitution of India
x Right against exploitation: Prohibition of employment of children in factories
etc. – Article 24 of the Constitution of India
x Right to freedom of religion: Freedom of conscience and freedom of
profession, practice and propagation of religion – Article 25 of the
574
x Safeguarding and promotion of cultural and education rights

(i) Protection of interests of minorities – Article 29 of the Constitution of
India
(ii) Facilities for instruction in mother-tongue at primary stage – Article
350 (A) of the Constitution of India
(iii) Special officer for linguistic minorities – Article 35 (B) of the
(iv) Promotion of educational and economic interests of Scheduled
Castes, Scheduled Tribes and other weaker sections – Article 46 of
the Constitution of India
x Political Safeguards
(i) Minister in Charge of Tribal Welfare and Welfare of Scheduled Caste
and Backward Classes in Selected States – Article 164(1) of the
(ii) Reservation of seats in the Lok Sabha
(iii) Reservation of seats in the Vidhan Sabha
(iv) Time limits on reservation of seats
(v) The Bonded Labour System (Abolition) Act, 1976
(vi) The Child Labour (Prohibition and Regulation) Act, 1986
(vii) The Protection of Civil Rights Act, and Rules, 1955 and Rules 1977
(viii) The Protection of Civil Rights Act 1955
(ix) The Protection of Civil Rights Act 1977
(x) Scheduled Castes and Scheduled Tribes (Prevention of Atrocities)
Act, 1989, and Rules, 1995
o Scheduled Castes and Scheduled Tribes (Prevention of
Atrocities)Act, 1989
Atrocities) Rules, 1995
Atrocities) Rules, 1995 – Annexure I, Norms for Relief Amount
Scheduled Castes and Scheduled Tribes (Prevention of
Atrocities) Rules, 1995.
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Constitutional Provisions for OBCs

Article 340 of the Constitution of India makes it is obligatory for the government to
promote the welfare of the Other Backward Classes (OBCs). Article 340(1) states:
“The president may by order appoint a commission, consisting of such persons as he
thinks, fit to investigate the conditions of socially and educationally backward classes
within the territory of India and the difficulties under which they labour and to make
recommendations as to the steps that should be taken by the union or any state to
remove such difficulties and as to improve their condition and as to the grants that
should be made, and the order appointing such commission shall define the
procedure to be followed by the commission.” Article 340(2) states: “A commission
so appointed shall investigate the matters referred to them and present to the
president a report setting out the facts as found by them and making such
recommendations as they think proper.”
The Mandal Commission was formed in 1979 with a mandate to ‘identify the
socially or educationally backward’. The chairman of the Commission, B.P. Mandal,
submitted a report in December 1980 that stated that the population of OBCs,
which includes both Hindus and non-Hindus, was around 52 per cent of the total
Indian population. The Commission recommended reservation of seats to redress
the issue of discrimination.
The general recommendations proposed by the Commission as the overall
scheme of reservation for OBC are as follows:
x Candidates belonging to OBC recruited on the basis of merit in an open
competition should not be adjusted against their reservation quota of 27
per cent.
x The above reservation should also be made applicable to promotion quota
at all levels.
x Reserved quota remaining unfilled should be carried forward for a period of
three years and de-reserved thereafter.
x Relaxation in the upper age limit for direct recruitment should be extended
to the candidates of OBCs in the same manner as done in the case of SCs
and STs.
x A roster system for each category of posts should be adopted by the
concerned authorities in the same manner as at present done in respect of
SCs and STs candidates.
576
These recommendations in total are applicable to all recruitment to public sector

undertakings, both under the Central Government and state governments; as well as
to nationalized banks. All private sector undertakings which have received financial
assistance from the government in one form or other should also be obliged to
recruit personnel on the aforesaid basis. All universities and affiliated colleges should
also be covered by the above scheme of reservation. Although education which is
considered an important factor to bring ‘educational reform’ was not within the terms
of reference of the Mandal Commission; to promote literacy it suggested the
following measures:
x An intensive time-bound programme for adult education should be
launched in selected pockets with high concentration of OBC population.
x Residential schools should be set up in these areas for backward class
students to provide a climate especially conducive to serious studies. All
facilities in these schools, including board and lodging, should be provided
free of cost to attract students from poor and backward class homes.
x Separate hostels for OBC students with above facilities will have to be
provided.
x Vocational training is considered imperative.
x The seats should be reserved for OBC students in all scientific, technical
and professional institutions run by the Central Government as well as state
governments. The quantum of reservation should be the same as in the
government services—27 per cent.
The recommendation of reservations for OBCs in government services was
implemented in 1993. By 2008, there was a backlog of 28,670 OBC vacancies in
government jobs. The recommendation of reservations in higher educational institutes
was implemented in 2008.
Besides reservations, the Mandal Commission recommended certain structural
changes. It sharply focused on the fact that a large majority of the OBCs live in
villages, that they are poor farmers, or farm labourers or village artisans. These rural
poor are completely under the control of the rich farmers and traders who have
reduced them to a state of slavery. The Commission suggested a change in the
private ownership of the means of production, both in industry and agriculture; and
recommended that the Land Ceiling Act and other land reform statutes should be
vigorously enforced. Whatever land was acquired by the enforcement of the Ceiling
577
Act was distributed only among the SCs/STs. The Commission felt that in right
proportion, the land should also be allotted to the OBCs.
The address the struggle for survival of rural artisans, who had no or very little
land and their traditional occupations were ruined by the invasion of big firms, the
Commission recommended that separate financial institutions should be set up to
help them organize their occupation on a cooperative basis; such cooperatives must
be controlled only by the rural artisans. Furthermore, these rural artisans must be
given training in the use of modern instruments, modern methods and style. The
Commission also carried out its investigations into the conditions of the backward
sections among Muslims and Christians, thus transgressing religious divisions. The
Commission did show, with substantive evidence, how backwardness, both social
and educational, is prevalent even among religious communities which avowedly do
not believe in caste. The Mandal Commission recommendations for Hindu OBCs
are applicable to non-Hindu OBCs as well.
Protection of Civil Rights Act

India is a welfare state committed to the welfare of its people in general and the
welfare of vulnerable sections in particular. The Central government has been
responsible for implementing various plans and policies for the upliftment of weaker
and marginalized sections of the population. The practice of untouchability was so
rampant in Indian society that it became a matter of social responsibility for the
government to formulate and implement appropriate policies to remove this social
malady. So, the formulation of the Protection of Civil Rights Act (PCR Act) is a
significant endeavour in this direction.
With regard to protective arrangements, to begin with, the Constitution itself has
provided an elaborate framework for eliminating those customs, practices, or
institutional arrangements, including provisions in law, if any, which tend to sanctify
and reinforce untouchabilty practices and other discriminatory and degrading
conditions imposed on particular communities.
Within five years of adoption of the Constitution of India, the Untouchability
Offences Act, 1955 was enacted by Parliament. The Act stated that where any of
the forbidden practices is committed in relation to a member of SC, the court shall
presume, unless the contrary is proved, that such Act was committed on the ground
of untouchability. Soon after the act came into force there was a general feeling of
dissatisfaction with its impact as the legislation failed to serve the purpose for which
it was enacted. Government of India therefore appointed a Committee in April
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1965, under the chairmanship of Illaya Perumal, to study the problems of

untouchability. Based on the recommendations of the Committee, this Act was
comprehensively amended in 1976 and its name changed to Protection of Civil
Rights Act, 1955.
It came into force 19 in November 1976. This was an important step for
enlarging the scope and making penal provisions more stringent. The Act provides
for punishment for untouchability and extends to all over the country including the
state of Jammu and Kashmir. The Act is implemented by state governments and
union territory administrations.
The objective of PCR Act is to prescribe punishment for the preaching and
practice of untouchability and for the enforcement of any disability on the ground of
untouchabilty. Civil rights are rights that accrues to a person by reason of the
abolition of untouchability by Article 17 of the Constitution. Caste feelings and
prejudices associated with certain occupations like manual scavenging, flaying and
tanning put the concerned persons in a disadvantaged situation. Lack of assets, low
literacy, other social and economic backwardness aggravate the position. Several
schemes and programmes are being implemented for socio-economic and
educational development for the SC population. These measures, along with the
implementation of PCR Act, are gradually helping in reduction of offences of
untouchability. The state governments have been empowered to impose collective
fines on the inhabitants of any area found committing and abetting the commission of
untouchability offences. This Act, along with the Rules framed thereunder, lays down
elaborate procedure for ensuring protection of the victims of such practices by
providing for special courts, special prosecution, fixing period for investigation, and
so on.
Section 3-7A defines and punishes offences arising out of untouchability.
Enforcing social and religious disabilities, refusal to admit persons to hospitals,
educational institutions, etc., refusing to sell goods or render services, unlawful
compulsory labour to do scavenging, etc.
Section 7 punishes prevention of exercise of civil rights, injury for having
exercised civil rights, inciting/encouraging the practice of untouchability, insulting a
SC on the ground of untouchability, reprisal for exercising civil rights and
excommunicating another for not practicing untouchability. A public servant
neglecting investigation is considered as abetting offences under the PCR Act.
Abetment of offence under this Act is treated a commission of the offence and
579
punished accordingly. The PCR Act requires courts to presume that the offences are
done on the ground of untouchability if the victim is a SC.
The PCR Act prescribes minimum sentence and imprisonment and also
enhanced penalty on subsequent conviction. While convicting for refusing to sell or
render services, the court may, without prejudice to other penalty, cancel or suspend
licence. The government may suspend or resume the grants to institutions punished
for refusing to admit members of a SC if they receive government grants. Moreover,
the state government under the co-ordination of the Central Government, shall
ensure that civil rights are available to the concerned and there are sufficient facilities
of legal aid to victims. The government shall appoint officers for prosecution,
establish special courts, set up committees for formulating and implementing
measures, provide a periodic survey of the working of PCR Act and identify
notorious areas in order to remove disabilities.
From the above discussions, it becomes apparent that untouchability had been a
serious problem engulfing Indian society and creating social injustice. Although lot of
efforts are done to eradicate this problem, it still exists in some corners of Indian
society and gets unnoticed. The legal dimension of this problem and the
implementation of PCR Act has been instrumental in ensuring social justice yet there
are some cultural barriers due to which the act is not fully successful. It is some
comfort to think that although the practice of untouchability made India quite unique
among social systems, the attempt to eradicate it has also made the country unique.
1. What are the general recommendations proposed by the Commission as

the overall scheme of reservation for OBC?
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2. What does section 3-7A constitute?

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21.5 SUMMARY
x Caste is an ancient social institution that has been a part of Indian history
and culture for centuries. It is an institution uniquely associated with the
Indian sub-continent and hence is of indigenous nature.
x Ketkar describes two characteristics of caste. They are, (i) membership is
confined to those who are born of members and include all persons so
born, (ii) the membership is forbidden by an inexorable social law to men
outside the group.
x The crucial distinction between varna and jati is that, whereas varna is a
system of differentiation in the epoch of Asiatic mode of production,
which was characterized by general exploitation, the jati system developed
later in the epoch of feudalism and was characterised by localized
exploitation in a closed village economy, where the ruling class lived off the
land.
x Srinivas introduced the concept of dominant caste in 1953 after making
field visits to Rampura, a multi-caste village near Mysore in South India. He
stated, ‘a caste may be said to be “dominant” when it preponderates
numerically over the other castes, and when it also wields preponderant
economic and political power. A large and powerful caste group can be
more easily dominant if its position in the local caste hierarchy is not too
low.’
x Jajmani is a system of traditional occupational obligations. Castes in early
India were economically interdependent on one another. The traditional
specialized occupation of a villager followed the specialization assigned to
his caste. The specialization of occupation led to the exchange of services
in the village society.
x A tribe is a collection of families bearing a common name, speaking a
common dialect, occupying or professing to occupy a common territory
and is not usually endogamous, though originally it might have been so.
x The studies, demonstrating the changes in tribes as on outcome of their
long-term interaction with peasants (generally Caste Hindu) and the
process of Detribalization, support the viewpoint that tribal economy and
culture are getting integrated with the non-tribal population.
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21.6 KEY WORDS
x Endogamy: It is the custom of marrying only within the limits of a local

community, clan, or tribe
x Mana: It is the mystic or supernatural power.
x Commensality: It refers to eating and drinking at the same table - is a
fundamental social activity, which creates and cements relationships. It also
sets boundaries, including or excluding people according to a set of criteria
defined by the society.
x Hypergamy: It is the action of marrying a person of a superior caste or
class.
x Purusasukta: It is hymn 10.90 of the Rigveda, dedicated to the Purusha,
the ‘Cosmic Being’.

1. The characteristics of caste are segmental division of society, hierarchy,
restrictions on commensality and social intercourse, endogamy, lack of
unrestricted choice of occupation, civil and religious disabilities.
2. According to traditional theory, the caste system was created by the
creator, Brahma, himself. According to Rig Veda, Brahmins are like the
mouth, Kshatriyas are like the arms, Vaishyas are like the stomach, and the
Shudras like the feet of the social body.
3. Each caste is placed in a position of the society according to a hierarchical
pattern. The divisions of caste can be noted by watching the actions of
higher castes. Castes are never equal in status and one caste has either a
low or high status in comparison to another. Ghurye pointed out that ‘there
are as many as two hundred castes which can be grouped in classes whose
gradation is largely acknowledged by all’.

1. According to Srinivas, ‘a caste may be said to be “dominant” when it
preponderates numerically over the other castes, and when it also wields
582
preponderant economic and political power. A large and powerful caste

group can be more easily dominant if its position in the local caste
hierarchy is not too low.’
2. Jajmani is a system of traditional occupational obligations. Castes in early
India were economically interdependent on one another. The specialization
of occupation led to the exchange of services in the village society.
3. Three characteristics of a tribe are kinship as an instrument of social bonds,
a lack of hierarchy among men and groups, and absence of strong,
complex, formal organization.
4. According to Max Weber, Indian tribes are converted into castes when
they lose their territorial meaning and significance.

1. The general recommendations proposed by the Commission as the overall
scheme of reservation for OBC are as follows:
x Candidates belonging to OBC recruited on the basis of merit in an
open competition should not be adjusted against their reservation
quota of 27 per cent.
x The above reservation should also be made applicable to promotion
quota at all levels.
x Reserved quota remaining unfilled should be carried forward for a
period of three years and de-reserved thereafter.
x Relaxation in the upper age limit for direct recruitment should be
extended to the candidates of OBCs in the same manner as done in
the case of SCs and STs.
x A roster system for each category of posts should be adopted by the
concerned authorities in the same manner as at present done in
respect of SCs and STs candidates.
2. Section 3-7A defines and punishes offences arising out of untouchability.
Enforcing social and religious disabilities, refusal to admit persons to
hospitals, educational institutions, etc., refusing to sell goods or render
services, unlawful compulsory labour to do scavenging, etc.
583
1. Explain the meaning of caste. Also discuss the characteristics of Caste

system
2. What is the meaning of Varna? Differentiate between Jati (Caste) and
Varna.
3. State the recent changes in Caste System.
4. Explain the concept of dominant caste.
5. Give a brief account of sociological studies on ‘Tribe-Caste’ interaction.
6. List the constitutional provisions for Scheduled Castes, Scheduled Tribes,
and Backward Classes.
7. What was the general recommendation proposed by Mandal Commission
as the overall scheme of reservation for OBCs?
8. Discuss the features of PCR Act.
Zinkin, Taya. 1962. Caste Today. New York: Oxford University Press.
Dube, S.C. 1990. Indian Society. Delhi: National Book Trust India.
Srinivas, M.N. 1962. Caste in Modern India and other Essays. Bombay: Media
Promoters and Publishers.
Desai, I.P. 1976. Untouchability in Rural Gujarat. Bombay: Popular Prakashan.
Natrajan, Balmurli. 2011. The Culturalization of Caste in India: Identity and
Inequality in a Multicultural Age. USA: Routledge.
Jodhka, SurinderS. 2017. Caste in Contemporary India. New Delhi: Routledge.
584
Reading Mulk Raj Anand’s
Untouchable
UNIT–22 READING MULK RAJ ANAND’S UNTOUCHABLE
Objectives
x Discuss the life of the author, Mulk Raj Anand
x Understand the summary of his novel, Untouchables
x Analyse its plot, structure, and theme
x Evaluate the character sketches of the main characters of the novel
Structure
22.1 Introduction
22.2 About the Author and Untouchable
22.3 Critical Analysis of Untouchable
22.4 Major Characters of Untouchable
22.5 Summary
22.6 Key Words
22.1 INTRODUCTION
Mulk Raj Anand, an internationally reputed Indian novelist, short story writer, a
poet, an essayist and a critic, was born on 12 December, 1905 in Peshawar (now in
Pakistan). Mulk Raj Anand was recognized for the depiction of the poor and
casteless sections of the traditional Indian society. An ardent believer of social
revolution, his main concern was to stimulate the consciousness of the readers in
order to redeem the poor and the oppressed. He nurtured socialist faith and most of
his novels deal with the persistent theme of humanitarianism and compassion for the
social underdogs. Anand emphasized upon the dignity of man and right to live with
respect. His characters are from the upper class and caste, lower caste and
peasantry. Anand aimed at portraying the contemporary social situation as seen and
experienced by an individual.
In this unit we will discuss about the life and works of Mulk Raj Anand, and his
novel, ‘Untouchable’.
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22.2 ABOUT THE AUTHOR AND UNTOUCHABLE
Mulk Raj Anand was one of the three pioneers of Indian novelists writing in English,
the other two being R. K. Narayan and Raja Rao. Anand’s Untouchable and
Coolie are regarded as classics of Indian fiction composed in English. Anand wrote
during what is called the ‘pink decade’, depicting not only the anxiety of the age
following the Great Depression, but also the novelist’s protest against the age of
chaos and conundrum in morals.
His Popular Works

x The Village
x Across the Black Waters
x The Sword and the Sickle
x The Private Life of an Indian Prince
x Untouchable
x Two Leaves and a Bud
x Coolie
A Humanist
His three novels Untouchable (1935), Coolie (1936) and Two Leaves and A Bud
(1937) have gathered much admiration. But his boldness and critique of the age also
brought him notoriety and his novels were banned from being printed, sold or
marketed. He was called a propagandist and a socialist. However, Anand never
propagated the ideology of the Right or the Left. He was a humanist, a historical
humanist. He once said,
Just as I desire a total and truly human view of experience, a view of the whole
man, in order that a completely new kind of revolutionary human may arise, so
that I am inclined to stress the need for a truly humanist commensurate with the
need of our time.
However, Anand’s humanism is not merely the Hellenic idea of man being the
measure of all things, independent of social context, particularly when it comes to
measuring the development of the lowest of the low in society, especially Indian
society–the outcasts and the downtrodden. They could even be the disregarded and
denigrated erstwhile princes whose privileges were taken away after the
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Independence of India. In Author to Critic: The Letters of Mulk Raj Anand to

Saros Cowasjee, Anand explained:
My knowledge of Indian life at various levels had always convinced me that I
should do a comedic humaine. In this, the poor, the lowly and the untouchable
were the only kind of outcasts. Untouchables also included the middle sections
and the nawabs and rajas. Unfortunately, there has not been time to show the
poor – rich of our country, who deserve pity more than contempt.
Evidently, Anand’s sympathies are not confined to the poor and the outcasts, as
it is alleged. He is no political propagandist and resents being called one. Anand
never liked to be called a realist, as initially he ‘never viewed man as a compound of
egoistic influences, but as years went by, his mastery over selfish instincts, which
were stronger in the beginning than altruism and which must be held in check in
order to make society possible.’ According to Anand, the society did not come into
being out of nothing; it developed as man grew more altruistic. The measure of
development of society is in terms how many, who are not known or recognized as
human at all, are admitted within society, such as all kinds of outcasts. And in this
regard, Anand said in Author to Critic:
I not only tried to reveal things which the middle classes do not accept but the
hypocrisy of the bourgeoisie – by going below the surface of various hells
made by man for man with an occasional glimpse of heaven as a desire-image.
Anand puts great stress on the emotional and the practical-social; thus bringing
the ethical ideal into bolder relief. Anand’s humanism, thus is the way to
humanitarianism. The great problem in the way to this ideal, as he found out, was to
subordinate, so far as possible, the personality to sociability; everything must be
related to humanity. Anand’s central impulse is love of mankind, particularly love for
the neglected sections of the human races – to live for others is absolute demand in
Anand’s fiction. For him, humanity is worthy being worshipped.
Anand deserves better appreciation. Though he was awarded the Sahitya
Akademi in 1972, Indian academicians have only grudgingly and very slowly
extended their welcome to him. This is because Anand’s later novels are found to be
weak variations on the same theme of social protest and have failed to win critical
acclaim. It might be said that the first two novels—Untouchable and Coolie—are
most dear to his heart and represent his religion of humanity, which he created by
replacing the religion of God and that of metaphysics. Untouchable (1935) was
Anand’s first attempt to find this great religion of humanity by exposing the religion of
God and metaphysics.
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In Coolie, Anand exposes the religion of money. Every society passes through
two stages – theological and metaphysical—before turning to the positive stage, the
definitive stage of the religion of humanity. These three stages are clearly marked
though they coexist in Coolie and that is the reason it is marked by chaos and
confusion.
Anand thus traces the evolutionary stages of Indian society, particularly in
respect of the condition humaine of the poor Munoo, and through him of the whole
low caste people.
Untouchable
Published in 1935, Untouchable is considered a revolutionary novel as it exposes
the dehumanizing conditions of the untouchables and their systematic oppression
through the caste system inherent in Indian society. Mulk Raj Anand’s first major
novel, Untouchable champions the cause of the lowest in the society. The caste
system is a social evil that forbids the outcaste from improving the conditions of their
lives, crushes their dreams, and fosters injustice and inequality in the society. The
novel is a symbolic work with universal significance as it paints the picture of a world
that depicts the subhuman existence of people deprived of dignity by the oppressive
forces of authority. Mulk Raj Anand uses the story as a vehicle to challenge the
barriers and rules that inhibit the lives of untouchables. At the same time, the novel
also gives away the message that it was India’s internal colonialism, not the British
colonization that was preventing the country’s progression to a modern civil society.
1. Name a few of Mulk Raj Anand’s popular works.

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2. How does a society develop, according to Anand?

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22.3 CRITICAL ANALYSIS OF UNTOUCHABLE
The novel Untouchable is set in a fictional Indian town Bulashah. It describes a day
in the life the protagonist Bakha who is a sweeper by profession and belongs to the
lowest caste in the caste system of Indian society. Over the course of the day many
minor and major events take place which cause Bakha to introspect and think about
the plight of his lot, the untouchables.
The day begins early morning with Lakha shouting at Bakha to leave the bed
and clean the toilets before the high castes start yelling at them. Reluctant to go,
Bakha ultimately leaves his bed and goes to work at the loud voice of Havaldar
Charat Singh, a famous hockey player. Pleased with the boy’s work Charat Singh
asks Bakha to meet him in the day so that he can gift the young sweeper with a
prized hockey stick. Bakha is thrilled to get this invitation.
Bakha finishes his work quickly with great alacrity and rushes home to quench
his thirst. Unfortunately there is no food and water at home. Sohini, Bakha’s little
sister goes to the well to fetch water. At the well there is a long queue of the
untouchables to get their buckets’ filled. They are waiting for someone from the
upper caste to come and draw water from the well for them. Gulabo, a
washerwoman by caste, is jealous of Sohini and does not leave a single chance to
abuse her, both verbally and physically. When she was about to hit Sohini, a priest
from the town temple named Pundit Kali Nath comes along and draws water for
Sohini out of turn. This further resents Gulabo. Pundit Kali Nath instructs Sohini to
come to clean the temple later in the day. Sohini agrees and hurries home with the
water.
At home, feigning illness Lakha orders Bakha to go and clean the town square
and the temple courtyard. Without any protest, he picks his tools goes into town.
His sweeping duties kept him too busy to go to town. Bakha took the opportunity
to eat sweetmeats and look at the new things in the market place. A major incident
happens here in the town square. A high caste man brushes against Bakha.
Furiously, the touched man yells at Bakha, abusing him and his community, hurling
insults at him. A huge crowd joins in humiliating Bakha in public. A Muslim tonga
wala disperses the crowd with his call to make way for the horse boggie to pass.
The touched man slaps Bakha across the face for his impudence, and scurries away.
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Untouchable
A shocked Bakha cries in the streets before gathering his things and hurrying off to
the temple. This time, he does not forget the untouchable’s call.
The prayer service is in its full swing at the temple. Bakha wanting to experience
the prayer service musters up the courage to climb up the stairs of the temple. The
high caste people, seeing Bakha standing on the steps of the temple made a lot of
noise. Few moments later, all of them heard coming towards the temple accusing
Sohini of polluting him by her touch. As a crowd gathers around, Bakha pulls his
sister away. Crying, she tells him that the priest sexually assaulted her. A furious
Bakha tries to go back to confront the priest, but an embarrassed and ashamed
Sohini forces him to leave. Bakha sends his sister home, saying he will take over her
duties in town for the rest of the day.
Distraught and tired over the day’s events, Bakha goes from door to door to
beg for food for his family. None respond to his call. Thinking that no one is home
he falls asleep for a while. When a sadhu comes begging for his alms the owner of
the house comes out with food for the sadhu. Seeing Bakha, she humiliates him and
at first refuses to give him food. She finally agrees to give him some bread in
exchange for him sweeping the area in front of her house. As Bakha sweeps, the
woman tells her young son to relieve himself in the gutter where Bakha is cleaning so
he can sweep that up too. A disgusted Bakha throws down the broom and leaves
for his house in the outcastes’ colony.
At home, sensing Bakha’s dejection, Lakha coaxes him into telling the reason for
his despair. Bakha narrates the events of the day in a sad voice and with tears in his
eyes. To pacify Bakha, Lakha tells him a story about the kindness of a high-caste
doctor who once saved Bakha’s life. The boy is deeply moved by the story but
remains upset. Rakha comes back with food. Disgusted by the idea of eating the left
over, stale, dry food of the high-caste people, Bakha leaves abruptly.
Bakha reaches Ram Charan’s house. It is his sister’s wedding. Chota, another
friend, is also present there. Ram Charan fills his pockets with sweets for his friends
and runs away with Bakha and Chotu despite his mother’s protestations. Chota and
Ram Charan sense something is wrong with their friend. They persuade Bakha to tell
them the reason behind his low spirits. Bakha breaks down and tells them about the
slap and Sohini’s assault. Ram Charan is quiet and embarrassed by Bakha’s tale,
but Chota is indignant. He suggests to take revenge on the Pundit. Bakha dismisses
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Untouchable
the idea of revenge as a futile and dangerous endeavor. A melancholic atmosphere

falls over the group. Chota attempts to cheer Bakha up by reminding him of the
hockey game they will play later in the day. This reminds Bakha that he must go and
get his gift from Charat Singh.
Bakha waits for Charat Singh outside his house. When Charat Singh arrives, he
invites Bakha to have tea with him. He also asks Bakha to hand him his things that
surprises the sweeper boy. Singh’s disregard for Bakha’s supposed polluting
presence thrills Bakha’s heart. Thus he is overjoyed when Singh gives him a brand-
new hockey stick.
At the hockey game, Bakha sets up his mood which is soon spoiled. The two
teams enter into a brawl and a little boy of the upper caste family gets hurt with a
stone on head. Bakha quickly takes the boy in his arms and rushes to his house.
Instead of thanking Bakha, the mother of the little boy accuses him of polluting his
son and holds him responsible for his child’s condition.
Bakha is gloomy again and he runs away further from the town and outcaste
colony. Here Colonel Hutchinson, a priest and the chief of the Salvation Army,
comes to him. He is a British man who had come to India to spread the word of
Jesus and look for the lost souls and show them the path by converting them to
Christianity. He sees Bakha’s distress and convinces the sweeper to follow him to
the church. Flattered by the white man’s attention, Bakha agrees, but the Colonel’s
constant hymn singing quickly bores him. Before the two can enter the church the
Colonel’s wife shouts out at the colonel. Disgusted at the sight of her husband with
another “blackie,” she begins to scream and shout. Bakha feels her anger acutely
and runs off again.
Bakha reaches the Grand Trunk Road near the railway station of Bulashah. The
pavement was full of beggars. He sees a black leper in tattered garments, with open
raw wounds exposed to the sun and flies, asking for alms with his crumpled hands.
Bakha had a sudden revulsion of feeling. He saw another woman, holding three little
children, wailing for food outside one of the many cook-shops. Some street urchins
were running behind the stream of carriages begging for coppers. Bakha felt a
sadistic delight staring at these beggars whimpering for alms but not receiving any.
The contemptible scene and the clamour was depressing and he felt further
oppressed with the surroundings. Then he heard a choruses of voices coming from
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Untouchable
Golbagh. He saw the tide of people rushing to Golbagh to hear Mahatma Gandhi
speak. Bakha joins the crowd to listen to the Mahatma.
He talks about the plight of the untouchables and his life’s mission to emancipate
them. He exhorts everyone to spread his message to end untouchability.
After the Mahatma departs we witness an intellectual conversation on Gandhi,
his views and his ways to uplift the outcasts between two educated Indian men. One
man is a lawyer named Bashir and another is a poet named Iqbal Nath Sarshar.
Bashir criticizes most of Gandhi’s opinions and ideas. On the other hand, Sarshar
convincingly defends the Mahatma. Much of what they talk about is not understood
by Bakha. All he understood was the mention of the imminent arrival of the flushing
toilet in India, a machine that eradicates the need for humans to handle refuse. This
machine would mean the end of untouchability. With this piece of hope Bakha hurries
home to share news of the Mahatma’s speech with his father.
Analysis
Untouchable is a tale about caste struggle. The novel narrates the paralyzing effect of
the caste system on the lives of the people of a community that has been branded as
the outcastes and the untouchables. Anand uses Bakha and his world to argue that
caste system is inhumane and an unjust system of oppression. Over the course of the
day the novelist recounts the atrocities faced by people of the outcaste colony and
exposes the callousness of caste system and the subjugation that it thrusts on Bakha
and his community.
The novel opens with a description of the outcastes’ colony that divulges how
the lowest in the caste system suffer paramount economic and physical deprivation.
The description is based on Anand’s real experience with the slums and outcaste
colonies. The untouchables are denied even the basic right to live in clean
surroundings and with dignity. Anand paints a picture of the disconcerting vicinity in
which they live. The outcastes’ colony, a group of mud-walled houses clustered
together in two rows, is situated outside the boundaries of the town and the
cantonment. It is occupied by the scavengers, the leather-workers, the washermen,
the barbers, the water-carriers, the grass-cutters and other outcastes from Hindu
society. A brook that flows near the colony, the only source of easily available water
for the people of the outcaste colony, is now soiled by the dirt and filth of the public
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Untouchable
latrines situated about it. The air is filled with the odour and pungent fumes of the
hides and skins of dead carcasses left to dry on its banks, the dung of donkeys,
sheep, horses, cows and buffaloes, and the offensive stink of clogged water and
garbage in the absence of a drainage system. The outskirts of the colony is full of
human and animal refuse. The ugliness and the squalor of the colony made it an
uncongenial place to live in. The families live in small, dank and dingy one room
houses. The outside of the front wall of Bakha’s house is decorated with latrine
cleaner’s tools, a shovel, basket, brushes, and broom. Their clothes are often worn
out and usually dirty and soiled.
The caste system sets rules that limits the lives and rights of outcastes,
particularly the untouchables. The outcastes are not allowed to draw their own water
from the public well because this would pollute the water of the well and render it
useless for the upper castes. They depend on the mercy of higher castes to have
water to drink. The members of the lowest community among the outcaste, the
sweepers, toilet cleaners, depend upon the people for whom they clean the toilets for
their food. Very less cooking is done in a sweeper’s house. Bakha picks up the roti
from the pavement which was thrown at him. Food is often an obsession with
people of the sweeper class because of its deprivation. Rakha comes home with a
basket full of leftovers, some even stale and rotten. It is only on festive occasions
that they would receive some decent food. It was the army kitchen that provided the
sweepers with some generous amount of leftovers.
Caste system and everything it symbolizes has been internalized and is
manifested in a person’s attitude. It is ubiquitous. It is not only which is visible to the
eyes, it is inherent and it has been internalized, embedded in the very conscience of
both the ones who practice it as well as those who are its victims. Trait of servility,
queer humbleness and passive acceptance like the underdogs are the characteristics
of the outcastes which they inherit from their forefathers. The oppression and
unpleasant life standards the outcastes face persist across generations. Bakha began
working in the latrines as a sweeper at the age of six, same as his father, his
grandfather, great-grandfather. His status and life as a sweeper was inherited and
passed down by his forefathers and the next generation too will continue cleaning the
toilets. Lakha’s story about the kindness shown by the high caste doctor is his
passive acceptance of and submission to the caste system.
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Untouchable
The sweepers must take care not to touch those of other castes. They have to
warn people by shouting about their presence wherever they go. It is his mistake
that he is humiliated by the touched man because Bakha did not warn of his arrival
by calling out posh. Lost in the colourful scenes of the market place and the curiosity
to eat the jalebis, Bakha forgets to announce his arrival. Mistakenly, he touches the
caste Hindu who hurls abuses at him and slaps Bakha hard on his face. Agonized
and angry Bakha wants to slap him back but does not hit the man. He is reminded
of the moral fear of polluting more men and inviting more hands on him. Even an act
of love and care, when Bakha picks up the injured boy to rush him for medication is
received with cruelty. Instead of being thankful, the child’s mother accuses Bakha of
defiling her son and her house. This incident further shatters Bakha’s spirits.
There are castes within the caste. Ram Charan belongs to the highest caste
among the outcastes because he is a washerman, while Bakha is on the lowest rung
since he is a sweeper. Gulabo, Ram Charan’s mother is proud of his position. Chota,
the leather worker’s son, too is higher in social status than Bakha. Lowest of the
lower caste, a sweeper is not only excluded from the society, he cannot even escape
this existence. He is bound to his caste forever. He is an untouchable he does the
dirty task of cleaning the toilets. He is an object of disgust and repulse and it requires
purification for the so called high castes to get rid of this pollution.
The Englishmen treated people of outcaste community better than the Indians.
They gave them their clothes, shoes, ammunition and other things. Bakha admired
the soldiers of the British regiment. He desired to be a fashionable gentleman like
them. He could sacrifice the comforts for the sake of what he called ‘fashun’. By
‘fashun’ he understood the art of wearing trousers, breeches, coat, puttees, boots,
as worn by the British and Indian soldiers in India. Not only the dress, also the
European way of life had impressed him. How they eat, drink, take walks, smoke,
everything amazed Bakha. He was possessed by his naive desire to live like the
British. He was told that they were superior people. Bakha started thinking that if he
put on their clothes he would also become a sahib, a superior like them. This desire
to look like a sahib was also a desire to escape the crude system of caste in India.
Bakha’s inclination to adopt the Tommies’ ways of life is his desire to enjoy a secular
way of life, emancipated form rituals that are repressive and impede freedom. The
Indians in the army too were liberal. The contempt of Indian habits and social
customs by the British and Bakha trying to emulate and embrace British ways of life
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lay open is his unconscious desire to be liberated from the obnoxious caste system.
It is a way to get freedom from the hierarchical caste system of Hindu society and
life of humiliation.
That the idea of untouchability is based on hypocrisy is brought out effectively in
the novel. Sohini is a beautiful girl with a voluptuous which ignites the Brahmin’s
carnal desires. Pundit Kalinath invites to Sohini to clean the temple premises
motivated by his evil intentions. When the girl does not succumb to the malicious
designs of the pundit he seeks protection within the piety of caste superiority. The
episode clearly exposes that the practice of untouchability is a mask to exploit a
section of the society. The same people who feel polluted at the touch of a sweeper,
are petrified at the audacious action of the untouchable Bakha standing at the temple
stair and purify their temple since it has been polluted by the outcaste, who throw
food at the sweepers, charge them extra for anything they buy, they do not shy away
from ruining the modesty of an untouchable girl.
In the end of the novel, Mulk Raj Anand presents three solutions to end the
practice of untouchability. The first solution is that of Colonel Hutchinson, the
Salvationist missionary, that is, to accept Christianity and Jesus Christ as one’s
religion. Bakha is touched to hear that Christ receives all men. The emphasis in
Hutchinson’s religion is on sin, love and equality of birth. There is no caste system in
Christianity. But soon Bakha gets bored, because the missionary cannot tell him who
Christ is. Bakha dismisses the conversion of religion even if it means equal treatment
and an opportunity to be a part of society without discrimination. Second panacea is
provided by Mahatma Gandhi who educates everyone on untouchability. Gandhi
says that all Indians are equal. His account of a Brahmin doing sweeper’s work stirs
the boy’s heart. Cleanliness, morality and dignity of work is Gandhi’s approach to
the problem of emancipation of the untouchables. Bakha feels flattered by Gandhi’s
sympathy with his lot. Third solution, the most convincing of all, is put in the mouth
of a modernist poet Iqbal Nath Sarshar. Not god, not sacrifices, but the simple
solution to rescue the untouchables is the introduction of the flush system, water-
closets and main-drainage throughout India with the help of technology. The use of
flush system will put an end to manual collection of excreta. It is the most practical
solution to end the most deplorable and pathetic practice of untouchability. Bakha
considers this to be a solution to all his problems. Though the novelist himself does
not subscribe to any these solutions.
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22.4 MAJOR CHARACTERS OF UNTOUCHABLE
Bakha, the protagonist of the novel, is an 18-year-old young boy and a sweeper by
profession. It is his experience with various people at different places of the town
Bulashah that forms the plot of Untouchable. The novelist gives a realistic portrait of
Bakha, sometimes strong, loveable and grand and at times, weak, thwarted and
filled with inferiority that he breathes day and night. Physically, he is different from
many others in his village. With his broad intelligent face and poised visage, Bakha
looks graceful and handsome even while cleaning the toilets. He is owner of good
looks, handsome body accompanied by striking dignity in his manner. Though his
job is dirty he remains comparatively clean.
Bakha loves to play the game of hockey and is also inclined to study. He wishes
to go to school and get education. However, Bakha and others of his community will
not get admission in schools because the parents of high caste other children will not
let their children be polluted by the touch of the low-caste man’s sons. Bakha notes
the absurdity of this situation when he thinks about all the Hindu children who
willingly play hockey with him and his mates and are already contaminated. To fulfil
his desire to study he makes a deal with a little son of a babu, whom he likes, to
teach him alphabets in lieu of little money. Even after experiencing a series of
humiliating events, Bakha’s spirit is not broken, it remains intact holding the promise
for a better future. He remains undefeated man at the end of the novel. Not deterred
by anything, his consciousness grows and he recognises the plight of the people with
whom he shares his space.
Lakha, Bakha’s father, is zemadaar, the head sweeper of the Bulashah town.
Tommies had treated him as a human being that made him think of himself as
superior to his fellow-outcastes. Lakha was kind at heart but he was also weak and
infirm of which he was aware. To preserve his authority and the fear of being
repudiated and rejected by his children as rubbish, Lakha bullied his children. Bakha
shared a strained relationship with his father. Lakha abused him despite of the work
he did. His father’s rude calling, abuses and yelling almost always filled Bakha with
pain and despair. Rakha, younger son of Lakha, has been presented as a foil to
Bakha. He is a short, long-faced, black and stumpy little man. He is careless,
unclean, a true child of the outcaste community. Sohini, Bakha’s sister and the
youngest of the three siblings, shares the attractive personality and dignified manner
of Bakha. Gulabo, the washerwoman, looks down upon her because she is of the
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lowest caste. Sohini’s beauty, her innocent face, added fuel to fire. Sohini is a rival
to her charms and Gulabo is jealous of her rising beauty.
The appearance of one Mahatma Gandhi in the novel explicitly places the book
in a distinctive historical and political context. The novel Untouchable, first
published in 1935, was written against the backdrop of Gandhi’s campaigns of these
years. As Gandhi makes his appearance in the novel, we see many others under the
influence of Gandhian philosophy. He wishes to purify Hinduism by purging it of the
sin of untouchability. Gandhi appears as a symbol of hope and change who will unite
the nation and a society divided on the lines of caste, class and religion. It is here at
the gathering to listen to Gandhi that Bakha sees people of various colour, region and
religion come together. He gets a glimpse of mini India and feels a part of the nation,
the imagined nation where no body minds his touch. Gandhi, speaking on the
problem of untouchability in India, asks the nation to fight against it and eradicate it
completely.
Chota is one of Bakha’s best friends. He is the son of a leather-worker.
Although, they are of the outcaste class, he is higher than Bakha in the caste
system’s hierarchy. Chota is also obsessed with the English language like Bakha.
Havildar Charat Singh is a famous hockey player. He is one of Bakha’s
heroes. He is humorous and his mood is extremely changeable. His willingness to
share his afternoon tea with Bakha illustrates his lack of belief in untouchability.
Ali is a young man of Bakha’s age. He is the son of a regimental bandsman and
Muslim. Bakha asks him questions about Islamic practices and is accused of insulting
the religion.
Style
The novel is a skillful organization of various narrative techniques to recount a day in
the life of the protagonist Bakha. The narrator has used the third person point of
view with an omniscient narrator. The narrator knows the thoughts and feelings of all
the characters in the book.
Language is simple and easy to understand. Mulk Raj Anand frequently puts
abusive words in the mouth of his characters. The use of abusive language by the
outcasts depicts their uneducated status and the uncivilized and ruthless way of life.
The violent language also reveals the brutality of Bakha’s society. Abusive words are
used by the supposedly high caste characters in the novel to intimidate and belittle
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the people of the outcast colony. The outcastes are humiliated with derogatory
words reminding them of their lowly and despicable status in the society. Anand
includes words form Hindi and Punjabi and distinct way in which the British used
Hindi.
Anand uses recurrent images and symbols, charged with emotions. Clothes are
a recurring symbol in the novel. The novelist uses clothes to signify everything from
status, class, education, job, to religion and caste. The novelist uses clothes as
identity markers of religion and caste. He gives a description of people who come to
use the toilets on the outskirts of the town and the boundary of the outcaste colony.
The Hindus are naked except for their loincloths. Muslims wear long white cotton
tunics and baggy trousers. In goliath, where people have gathered to witness the
speech of Gandhi, The high caste and high class Hindu men and women are smartly
dressed in silks while members of the outcaste colony are dressed in rags. Clothing
also becomes a metaphor for superiority and enlightenment. Bakha always marvels
at the clear-cut styles of European dress and considers those that wear them
“sahibs,” or superior people. He thinks that if he will wear clothes like the Tommy’s
he would cast off his untouchable status and become a sahib too. Temple stands as
a symbol of relentless authority. The most loathsome incident of molesting a girl
takes place here in the temple and is almost inevitably covered up with hypocrisy in
the temple premises.
The novelist meticulously evokes the pictures of sordidness and execration
through the use of descriptive images of the outcast colony. The two contrasting
worlds are juxtaposed, the cantonment where the British soldiers and Indian army
personnel lived and the main town. In between is situated the outcast colony. Anand
also delineates the in detail the exquisite loveliness and charm of Sohini as seen by
Bakha. The novelist conjures up the colourful pictures of men, women and children
of all the different races, colours, castes and creeds, going towards Golbagh. There
were Hindu lallas from the piece-goods market of Bulashah, smartly dressed in silks,
there were Kashmiri Muhammadans from the local carpet factories, immaculately
clad in white cotton and there were the rough Sikh rustics from the near. The novel
is replete with such descriptions that immediately bring alive the situation.
Anand uses dramatic irony to present the hypocrisy of the high caste people.
The self-professed high caste people are petrified at the presence of Bakha on the
stairs of the temple and feel polluted by the touch of the outcastes. Ironically, the
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priest Pundit Kali Nath, a Brahmin, the highest caste in the Indian society, willfully
makes sexual advances towards Sohini. When Sohini spurns him, Nath defends
himself by accusing her of defiling him. The untouchables have to beg for food and
oftentimes this begging is met with derision and anger by the higher castes. On the
other hand, in order to maintain their current status or rise in the caste hierarchy in
the next life, Hindus perform acts of charity by feeding the sadhu and Brahmins. The
upper castes claim they earned their positions because of all the good deeds they
did in their past lives on one hand, while the shopkeepers and food vendors charge
outcastes higher prices, as if to compensate themselves for being polluted in dealing
with the outcastes. Teachers refuse to teach untouchables for fear of pollution, most
of them cannot read and so must pay to have texts read to them or letters written.
1. Why were the outcastes not allowed to draw their own water from the
public well?
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2. How are clothes a recurring symbol in the novel?

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22.5 SUMMARY
x Mulk Raj Anand was one of the three pioneers of Indian novelists writing in
English, the other two being R. K. Narayan and Raja Rao. Anand’s
Untouchable and Coolie are regarded as classics of Indian fiction
composed in English.
x He was called a propagandist and a socialist. However, Anand never
propagated the ideology of the Right or the Left. He was a humanist, a
historical humanist.
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x Anand puts great stress on the emotional and the practical-social; thus
bringing the ethical ideal into bolder relief. Anand’s humanism, thus is the
way to humanitarianism.
x Published in 1935, Untouchable is considered a revolutionary novel as it
exposes the dehumanizing conditions of the untouchables and their
systematic oppression through the caste system inherent in Indian society.
x The novel Untouchable is set in a fictional Indian town Bulashah. It
describes a day in the life the protagonist Bakha who is a sweeper by
profession and belongs to the lowest caste in the caste system of Indian
society.
x The narrator has used the third person point of view with an omniscient
narrator. The narrator knows the thoughts and feelings of all the characters
in the book.
x Language is simple and easy to understand. Mulk Raj Anand frequently
puts abusive words in the mouth of his characters.
x Anand uses recurrent images and symbols, charged with emotions. Clothes
are a recurring symbol in the novel. The novelist uses clothes to signify
everything from status, class, education, job, to religion and caste.
x The novelist meticulously evokes the pictures of sordidness and execration
through the use of descriptive images of the outcast colony. The two
contrasting worlds are juxtaposed, the cantonment where the British
soldiers and Indian army personnel lived and the main town.
x Anand uses dramatic irony to present the hypocrisy of the high caste
people. The self-professed high caste people are petrified at the presence
of Bakha on the stairs of the temple and feel polluted by the touch of the
outcastes.
22.6 KEY WORDS
x Humanitarian: Humanitarian approach pertains to the saving of human

lives or to the alleviation of their sufferings
x Altruism: Altruism or selflessness is the principle or practice of concern
for the welfare of others.
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x Metaphysics: Metaphysics is a branch of philosophy investigating the

fundamental nature of being and the world that encompasses it.
x Underdog: Underdog is a person or group of people with less power,
money, etc. than the rest of society.

1. Mulk Raj Anand’s popular works are:
x The Village
x Across the Black Waters
x The Sword and the Sickle
x The Private Life of an Indian Prince
x Untouchable
x Two Leaves and a Bud
x Coolie
2. According to Anand, the society did not come into being out of nothing; it
developed as man grew more altruistic. The measure of development of
society is in terms how many, who are not known or recognized as human
at all, are admitted within society, such as all kinds of outcasts.

1. The outcastes are not allowed to draw their own water from the public well
because this would pollute the water of the well and render it useless for
the upper castes. They depend on the mercy of higher castes to have water
to drink.
2. Clothes are a recurring symbol in the novel. The novelist uses clothes to
signify everything from status, class, education, job, to religion and caste.
The novelist uses clothes as identity markers of religion and caste. The high
caste and high class Hindu men and women are smartly dressed in silks
while members of the outcaste colony are dressed in rags. Clothing also
becomes a metaphor for superiority and enlightenment.
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1. Discuss the theme of social alienation in the novel Untouchable.

2. Sketch the character of Bakha.
3. Do you think the novel Untouchable is still relevant in the Indian context?
Why?
4. Comment on the use of language in the novel.
5. How does the episode of Sohini’s molestation bring out the hypocrisy of
the Indian caste system?
6. What are the probable solutions to get rid of the problem of untouchability
provided by the novelist? How does Bakha react to each one of these
solutions?
Anand, Mulk Raj. 1935. Untouchable. UK: Penguin Books.

Bhatnagar, Manmohan K; Rajeshwar, M. 2000. The Novels of Mulk Raj Anand:
A Critical Study. New Delhi: Atlantic Publishers and Distributers.
Indramohan, T.M.J. 2005. The Novels of Mulk Raj Anand – A New Critical
Spectrum. New Delhi: Atlantic Publishers and Distributers.
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Phonetics 1
UNIT–23 PHONETICS 1
Objectives
x Discuss the phonetics of English in terms of organs of speech
x Explain the concept of vowels and consonants
x Describe the meaning of consonants and analyse their manner of articulation
Structure
23.1 Introduction
23.2 Organs of Speech
23.3 Vowels and Consonants
23.4 Summary
23.5 Key Words
23.1 INTRODUCTION
One of the chief characteristics of human beings is their ability to communicate with
their fellow human beings. Human beings do not communicate only through body
language but also through sounds that have meaning. Phonetics (from the Greek
word phone which means ‘sound’ or ‘voice’) is a branch of linguistics that studies
the sounds of human speech. Phonetics is concerned with the physical properties of
speech sounds or signs, which are called phones; their physiological production,
acoustic properties, auditory perception and neurophysiological status. Phonology,
on the other hand, is concerned with the abstract, grammatical characterization of
the systems of sounds or signs.
In this unit, you will study the organs of speech, description of vowels and
consonants.
23.2 ORGANS OF SPEECH
The air that we breathe out is modified in various ways. This results in various
combinations of sounds such as consonants and vowels. Therefore, speech is also
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sometimes referred to as ‘modified breathing’. The organs of speech and their speech
functions can be described with reference to three systems, as follows:
x Respiratory system
x Phonatory system
x Articulatory system
Respiratory system
The respiratory system comprises the lungs, the muscles of the chest and the windpipe
(also known as trachea). The primary function of the lungs is to breathe or respire. The
muscles of the chest expand and contract to let the air flow in and out. The function of
the respiratory system is to let the air pass through the windpipe (trachea) towards the
glottis so that it produces sounds.
Phonatory system
The phonatory system of human beings (Figure 23.1) consists of the larynx in the
throat. When the air comes out of the lungs, it is modified in the upper part of the
trachea where the larynx is situated. The larynx is a muscular structure in the front part
of the neck and is also known as the ‘Adam’s apple.’ It contains a pair of muscular
bands or folds which are called vocal cords. They are placed horizontally from the
front to the back, and are joined at the front bit separated at the back. The space
between the cords is called the glottis.
Fig. 23.1 The Phonatory System
As the vocal cords are separated at the back to let the air flow out, it can assume
many positions. Based on the opening of the vocal cords, we can primarily talk about
three important kinds of sounds that are produced:
1. Voiceless sounds: When the vocal cords are spread apart, the air from the
lungs passes between them unimpeded, and the sounds produced is described
as voiceless sounds. Examples are sounds in English—sit, sheet, fever, think.
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2. Voiced sounds: When the vocal cords are loosely held together, the air
passes through them and causes vibration in the vocal chords. The sounds
created in this manner are called voiced sounds. For example, the consonantal
sounds in English such as veil, these, zoo, me, nose are all voiced sounds. It
should be noted here that whereas all English vowels are voiced, some English
consonants are voiced, some are voiceless.
3. Glottal stop: The vocal cords are tightly held together so that no air can
escape from them. They are suddenly drawn apart and an explosive sound is
created. This is known as glottal stop. The sounds in English such as aunt,
end and apple are examples of glottal stop.
Articulatory system
The air that we breathe out passes through the vocal cords. It is modified further in
different parts of the oral and nasal cavities to produce different sounds. The various
articulators such as pharynx, lips, teeth, teeth ridge, hard palate, soft palate, uvula and
tongue take different positions to make different sounds. This is represented in
Figure. 23.2.
Fig. 23.2 The Articulatory System
x Pharynx: The pharynx extends from the top of the larynx to the root of the
tongue which lies opposite to it. The muscles of the pharynx modify the shape
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and size of the pharyngeal cavity by contracting and expanding. It can also
be modified by the back of the tongue, by the position of the soft palate and
by the raising and lowering of the larynx.
x Lips: The lips also have an important role to play in the production of the
speech sounds. For example, the consonant sounds such as ‘p’ and ‘b’ are
produced by closing of the lips tightly and then releasing the closure abruptly
to let out the air built up behind the closure.
x Teeth: Some consonants are produced with the help of teeth, such as ‘think
and ‘that’ in English.
x Teeth ridge: The teeth ridge is the alveolar ridge. It is the convex part of the
roof of the mouth lying just behind the upper teeth. Sounds such as ‘top’ and
‘drill’ are a result of the alveolar ridge.
x Hard palate: The hard bony surface in the alveolar ridge along the roof of
the mouth is the hard palate.
x Soft palate: In the alveolar ridge, where the bony structure ends, the roof of
the mouth becomes soft and it is called soft palate or the velum.
x Uvula: At the end of the soft palate, there is a small pendant like fleshy
tongue which is known as uvula.
x Tongue: The tongue is one of the most effective articulators as it is flexible
and can take different shapes and positions which are significant in speech
production.
1. In how many systems can the organs of speech be divided into?

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2. Give examples of the alveolar ridge sound.

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23.3 VOWELS AND CONSONANTS
Speech sounds are classified as vowels and consonants. Bloomfield defines a vowel
as ‘modifications of the voice-sound that involve no closure, friction or contact of the
tongue or lips’. According to Daniel Jones, a vowel is ‘a voiced sound in forming
which the air issues in a continuous stream through the pharynx and mouth, there being
no obstruction and no narrowing such as would cause audible friction.’ Thus, when a
vowel sound is produced, the active articulator is raised towards the passive articulator
in such a manner that there is a sufficient gap between the two for air to escape through
the mouth without friction. For example, while speaking the word ‘art’, air escapes
freely and continuously without any friction while pronouncing the first sound /a:/.
From the above definitions of a vowel, it can be concluded that the characteristic
qualities of vowels depend on the shape of the open passage above the larynx which
forms a resonance chamber modifying the quality of the sounds produced by the vibration
of the vocal chords. Different shapes of the passage modify the quality in different ways,
producing distinct vowel sounds. The chief organs concerned in modifying the shape of
the passage are the tongue and the lips. Vowels are classified for linguistic purposes
according to the position of the tongue. The tongue may be kept low in the mouth or
raised in varying degrees in the front towards the hard palate or in the back towards the
soft palate. These positions produce what are called open and closed vowels, with
dependent variants, half open and half close. Different degrees of openness and closeness
also depend on the extent of the opening between the upper and lower jaws. Open
vowels may also be distinguished as front or back depending on the part of the tongue
that is highest, but the latitude of variation when the tongue is low in the mouth is more
restricted. The tongue may also produce central or neutral vowels, which are neither
distinctively back nor front if it is raised centrally in the mouth. The lip features which
distinguish vowel qualities may vary independently of the position and height of the tongue,
though obviously the more open vowel positions give less scope for lip spreading and for
strong lip rounding, because the jaw and mouth are wide open.
In phonetics, a vowel is a sound in spoken language, like English ah! or oh!, which
is pronounced with an open vocal tract so that there is no build-up of air pressure at
any point above the glottis. This contrasts with consonants, like English sh! where
there is a constriction or closure at some point along with the vocal tract. A vowel is
also thought of to be syllabic: an equivalent open but non-syllabic sound is known as
semi-vowel.
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In all languages, vowels form the nucleus or peak of syllables, whereas consonants
make the onset and (in languages that have them) coda.
Without reference to any particular language, eight vowel sounds, articulated at
fixed positions of the tongue and lips, four front and four back, have been recorded as
cardinal vowels and transcribed as [i], [e], [a], [o], [u].
There are twelve pure vowels in English and eight vowel glides or diphthongs.
There is an argument between the phonetic definition of ‘vowel’ (a sound made with
no constriction in the vocal tract) and the phonological definition (a sound that makes
the peak of a syllable). The approximants [j] and [w] describe this conflict: both are
made without any constriction in the vocal tract (so phonetically they seem to be
vowel-like), but they occur on the edge of syllables, like at the beginning of the English
words ‘yet’ and ‘wet’ (that suggests that phonologically they are consonants). The
American linguist Kenneth Pike suggested the terms ‘vocoid’ for a phonetic vowel
and ‘vowel’ for a phonological vowel, so by using this terminology, [j] and [w] are
classified as vocoids but not as vowels.
The word vowel comes from the Latin word vocalis, which means ‘speaking’, as
in most languages words and so speech is not possible without vowels. In English, the
word vowel is basically used to describe both vowel sounds and the written symbols
that describe them.
Description of vowels
The phonetics of English is given in detail in books like Daniel Jones’ Outline of
English Phonetics, Gimson’s Introduction to the Pronunciation of English and
Ward’s Phonetics of English.
x Front vowels: There are four front vowels in English. A front vowel is a type
of vowel sound used in some spoken languages. The defining characteristic
of a front vowel is that the tongue is positioned as far in front as possible in
the mouth without creating a constriction that would be classified as a
consonant. Front vowels are sometimes also called bright vowels as they are
perceived as sounding brighter than the back vowels.
o /i/: It is a short, front, unrounded vowel just above the half-close position.
It can occur initially as in it /it/, medially as in bit /bit/ and finally as in city
/siti/.
o /i:/: It is a long, front, close unrounded vowel which can occur initially as
in yield /i:ld/, medially as in wheat /wi:t/ and finally as in sea /si:/.
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o /e/: It is a short, front, unrounded vowel between half-close and half-

open. It occurs initially as in elephant /elifnt/ and medially as in met /met.
o /æ/: It is a front, unrounded vowel just below the half-open position. It
occurs initially as in ant /nt/ and medially as in man/mn/.
x Back vowels: A back vowel is a type of vowel sound used in some spoken
languages. The defining characteristic of a back vowel is that the tongue is
positioned as far back as possible in the mouth without creating a constriction
that would be classified as a consonant. Back vowels are sometimes also
called dark vowels as they are perceived as sounding darker than the front
vowels. There are five back vowels in English:
o /a/: It is a back, open, unrounded vowel, which occurs in all the three
positions. For example, initially in art /a:t/, medially in part /pa:t/ and
finally in papa /ppa:/.
o /o/: It is a short, back, rounded vowel just above the open position. It
occurs initially as in on /n/, and medially as in cot /kt/.
o /o/: It is a long, back rounded vowel between half-open and half-close.
It occurs in the initial position as in ought /t/, medial position as in bought
/bt/ and finally as in law /l/.
o /u/: It is a short, back, rounded vowel, a little centralized and just above
the half-close position. It does not occur initially but medially in put /put/
and finally as in to /tu/.
o /u:/: It is a back, long, close rounded vowel. It occurs initially as in ooze
/u:z/, medially in booze /bu:z/ and finally in too /tu:/.
x Central vowels: A central vowel is a type of vowel sound used in some
spoken languages. The defining characteristic of a central vowel is that the
tongue is positioned halfway between a front vowel and a back vowel. There
are three central vowels in English:
o /u/: It is a central, unrounded vowel just above the open position. It
occurs initially as in utter / /, and medially in butter / /.
o /o/: It is a central, unrounded vowel just below half-open. It occurs in all
the three positions – initially in upon / /, medially in forget / / and finally in
tailor / /.
o /e/: It is a central, unrounded vowel between half-close and half-open
positions. It occurs in all the three positions – initially in earthly / /, medially
in bird / / and finally in river / /.
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When a vowel comes finally in a word, it is much longer than when it occurs
initially. Similarly, if it occurs after a voiced sound, it will be longer. For example, as in
bee /bi:/, bead /bi:d/,beat /bi:t/. Vowels may also be characterized by what in linguistic
terms is called retroflexion or the slight upward turning of the tip of the tongue towards
the centre of the hard palate. Retroflexion is one of the characteristics of the American
accent. It also occurs in some dialects of British English in the pronunciation of words
spelt with an ‘r’ after a vowel (as in hard, word, etc.). It is also possible to make all
kinds of vowel sounds with nasalization, that is, with the soft palate lowered and with
the air passing partly through the nasal cavity and nostrils as well as through the mouth.
Diphthongs
A diphthong or vowel glide is a combination of two short vowels. Generally, English
vowels are characterized by lip-spreading in case of front vowels and lip-rounding in
back vowels. In the pronunciation of long vowels, a relatively constant articulatory
position is maintained but a temporary equivalent articulation may be made by moving
from one vowel position to another through the intervening positions. In such a situation,
it is necessary for the glide to take place within the same syllable. When the diphthong
is lengthened, the first element is lengthened and the second element is very short.
Therefore, the phenomenon is called falling diphthong.
x /ei/: It is the result of a glide from a front, unrounded vowel just below the
half-close position to one just above half-close. It occurs initially in ate /eit/,
medially in race /reis/ and finally in day /dei/.
x /ai/: It is a glide from a front, open, unrounded vowel to a centralized front,
unrounded vowel just above half-close. It occurs initially in ice /ais/, medially
in bite /bait/ and finally in bye /bai/.
x /o/: This is a glide from a back, unrounded vowel between open and half-
open to a centralized, front, unrounded vowel just above the half-close
position. In the beginning, the lips are rounded but as the glide moves towards
RP /i/, the lips are unrounded. It occurs in all the three positions – initially in
oil //, medially in boil / / and finally in boy / /.
x / /or /ou/: It is a glide from a central, unrounded vowel between half-close
rounded vowel just above the half-close position. Initially, it occurs in own /
oun/, medially in boat /bout/ and finally in go /gou/.
x /u/: The glide begins at the back, open unrounded position and moves in the
direction of RP /u/. It occurs initially in out / /, medially in shout / / and finally
in how / /.
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x /e/: It is a glide from a centralized, front, unrounded vowel just above half-
close to a central, unrounded vowel between half-close and half-open positions.
It occurs initially in ear / /, medially in fierce / / and finally in fear / /.
x /a/: This is a glide from a front, half-open, unrounded vowel to a central,
unrounded vowel between half-close and half-open positions. It occurs initially
in aeroplane //, medially in careful / / and finally in fair / /.
x /o/: It is glide from a centralized, back, rounded vowel just above half-close
to a central, unrounded vowel between half-close and half-open. It can occur
medially as in touring / /, and finally in tour / /.
Types of diphthongs
x Falling and rising: Falling (or descending) diphthongs start with a vowel
quality of higher prominence (higher pitch or volume) and end in a semivowel
with less prominence, like [aj/] in eye, while rising (or ascending) diphthongs
begin with a less prominent semivowel and end with a more prominent full
vowel, similar to the [ja] in yard. (Note that ‘falling’ and ‘rising’ in this context
do not refer to vowel height; the terms ‘opening’ and ‘closing’ are used instead.
The less prominent component in the diphthong may also be transcribed as
an approximant, thus [aj] in eye and [ja] in yard. However, when the diphthong
is analysed as a single phoneme, both elements are often transcribed with
vowel letters (/aj//, /j/a/). Note also that semivowels and approximants are
not equivalent in all treatments, and in the English and Italian languages, among
others, many phoneticians do not consider rising combinations to be
diphthongs, but rather sequences of approximant and vowel. There are many
languages (such as Romanian) that contrast one or more rising diphthongs
with similar sequences of a glide and a vowel in their phonetic inventory (see
semivowel for examples).
x Closing, opening, and centering: In closing diphthongs, the second
element is more close than the first (e.g. [ai]); in opening diphthongs, the
second element is more open (e.g. [ia]). Closing diphthongs tend to be
falling ([ai/]), and opening diphthongs are generally rising ([i/a]), as open
vowels are more sonorous and therefore tend to be more prominent.
However, exceptions to this rule are not rare in the world’s languages. In
Finnish, for instance, the opening diphthongs /ie// and /uo// are true falling
diphthongs, since they begin louder and with higher pitch and fall in
prominence during the diphthong.
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Phonetics 1
Another, rare type of diphthong that is neither opening nor closing is height-
harmonic diphthong. This diphthong has both elements at the same vowel
height. These were particularly characteristic of Old English, which had
diphthongs such as /æQ//, /eo//.
A centering diphthong is one that begins with a more peripheral vowel and
ends with a more central one, such as [jY/], [[Y/], and [ŠY/] in Received
Pronunciation or [iY/] and [uY/] in Irish. Many centering diphthongs are also
opening diphthongs ([iY/], [uY/]).
Diphthongs may contrast in how far they open or close. For example, Samoan
contrasts low-to-mid with low-to-high diphthongs:
’ai [“ai/] ‘probably’
’ae [“ae/] ‘but’
’auro [“au/~o] ‘gold’
ao [ao/] ‘a cloud’
x Length: Languages differ in the length of diphthongs, measured in terms of
morae. In languages with phonemically short and long vowels, diphthongs
typically behave like long vowels, and are pronounced with a similar length.
In languages with only one phonemic length for pure vowels, however,
diphthongs may behave like pure vowels. For example, in Iceland, both
monophthongs and diphthongs are pronounced long before single consonants
and short before most consonant clusters.
Some languages contrast short and long diphthongs. In some languages,
such as Old English, these behave like short and long vowels, occupying
one and two more, respectively. In other languages, however, such as
Ancient Greek, they occupy two and three morae, respectively, with the
first element rather than the diphthong as a whole behaving as a short or
long vowel. Languages that contrast three quantities in diphthongs are
extremely rare, but not unheard of; Northern Sami is known to contrast
long, short and ‘finally stressed’ diphthongs, the last of which are
distinguished by a long second element.
A consonant is defined as a speech sound that is produced when the air
passage is obstructed, or the flow of air is stopped as a result of narrowing or
a complete closure of the air passage. For example, while pronouncing the
word ‘pool’ our lips try to stop air from passing through when the sound /p/
is produced. In the production of consonants, the voice or breath is partially
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hindered by the tongue, teeth, lips, or the other organs of speech. Thus, the
production of the consonant sounds involves the action of some speech organ.
Consonants include the following:
x All sounds which are not voiced
x All sounds in the production of which the air has an impeded passage through
the mouth
x All sounds in the production of which the air does not pass through the mouth
x All sounds in which there is audible friction
Articulatory phonetics is, perhaps, the oldest and the best approach for the study
of consonants. It believes that the characteristics of speech sounds are determined by
their modes of formation. They may accordingly be described and classified by stating
the position and action of the various speech organs.
Any description of the manner of forming consonants must be based on the following
particulars:
x The place or places of articulation
x The state of the air passage at the place (or places) of articulation
x The position of the soft palate
Place of articulation
The following are the chief places of articulation:
x Bilabial: The two lips are the primary articulators. The initial sounds in the
word pat, bat, mat and what are bilabials. For example, /p/, /m/, /w/.
x Labio-dental: The lower lip articulates with the upper teeth. Here, active
articulator is lower lip and passive articulator is upper teeth. For example,
/f/,v/.
x Dental: The tip of the tongue articulates against the upper teeth. Here, active
articulator is tip of the tongue and passive articulator is the upper teeth. For
example, /t/.
x Alveolar: In the production of these sounds the tongue touches or is brought
near the alveolar ridge and here active articulator is the blade of the tongue
and passive articulator is the teeth ridge. Tip or blade of the tongue articulates
against the alveolar ridge (the rough bony ridge immediately behind the upper
teeth). For example, /t/, /d/.
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Phonetics 1
x Alveo-palatal/ Post alveolar: Behind the alveolar ridge the roof of the
mouth rises sharply and here active articulator is the tip of the tongue and
passive articulator is the rare part of the alveolar ridge. For example, English
‘r’ as in red.
x Palato-alveolar: Palato-Alveolar sounds are produced by two simultaneous
articulators, which are as follows:
o The blade of the tongue an active articulator against the teeth ridge a
passive articulator
o The front of the tongue is raised towards the hard palate
x Palatal: Sounds produced with the tongue near the hard palate and the
active articulator is the front of the tongue and passive articulator is hard
palate. For example, /j/
x Velar: Sounds produced near the soft area of the roof of the mouth and here
active articulator is the back of the tongue and passive articulator is soft
palate. /k/, /g/, //
x Glottal: The vocal folds are used as the primary articulators. Moreover,
glottis plays a vital role in the production of this sound. For example, /h/
The position of the speech organs can be studied from Figure 23.3.
Fig. 23.3 Position of the Speech Organs
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Phonetics 1
Manner of articulation
The obstruction made by the organs may be total, intermittent or partial, or may merely
constitute a narrowing sufficient to cause friction. Sibilants can be differentiated from
each other fricatives by the tongue’s shape and by the airflow that is directed over the
teeth. Fricatives at coronal places of articulation can be sibilant or non-sibilant; although
sibilants are more common.
Taps and flaps are identical to brief stops. However, their articulation and behaviour
is different enough to be thought of in a separate manner, rather than just in the length
form.
Trills include the vibration of one of the speech organs. As trilling is a different
parameter from stricture, the two might be combined. Increasing the stricture of a
basic trill leads to a trilled fricative. Trilled affricates are quite well known.
Nasal airflow might be added as an independent parameter towards any speech
sound. It is quite commonly found in nasal stops and nasal vowels. You can also find
nasal fricatives, nasal taps as well as nasal approximants. When a sound is not nasal, it
is termed oral. An oral stop is generally called a plosive, whereas a nasal stop is
basically just termed as nasal.
Laterality is the release of airflow at the tongue’s side. It can be combined together
with other manners, leading to the following:
x Lateral approximants
x Lateral flaps
x Lateral fricatives and affricates
The chief types of articulation are as follows:
x Complete closure
o Plosive: The air passage is completely closed for a considerable time
and the air is compressed and on release issues suddenly making an
explosive sound. If the consonant is voiced, then the voicing is the only
sound that is heard during the occlusion; but if it is voiceless, then the
plosive will be completely silent. What you hear as a /p/ or /k/ is the
effect that the onset of the occlusion has on the preceding vowel, as
well as the release burst and its effect on the following vowel. The shape
and position of the tongue (the place of articulation) describes the
resonant cavity which gives different plosives their characteristic sounds.
All languages have plosives. For example, /p/, /b/, /k/, /g/
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Phonetics 1
o Affricates: There is a complete closure at some point in the mouth

behind which the air pressure builds up. It begins just like a plosive, but
this releases into a fricative instead having a separate release of its own.
The English letters ‘ch’ and ‘j’ represent affricates. They are quite common
around the world, though less common than fricatives. On sudden release,
the friction is audible though it is much slower when compared with that
of a plosive. For example, /tf/, /dz/
o Nasal: A nasal sound is produced when there is a complete closure at
some point in the mouth but the air escapes through the nose as the soft
palate is lowered. They are vowel-like in the sense that they do not
issue forth with a noise. The shape and positioning of the tongue
determines the resonant cavity, which gives different nasal stops different
characteristic sounds. Some examples of nasal sounds in English include
/m, n/. Nearly all languages have nasal sounds, the only exceptions being
in the area of Puget Sound and a single language on Bougainville Island.
x Intermittent closure
o Trill or roll: The active articulator strikes several times against the passive
articulator. The structure involved is often known as intermittent stricture.
In it the articulator (usually the tip of the tongue) is held firmly in one
place, and the airstream causes it to vibrate. The double ‘r’ of Spanish
‘perro’ is a trill. Trills and flaps, where there are one or more brief
occlusions, form a class of consonants called rhotics. For example,
Scottish ‘r’ where the tongue tip trills against the alveolar ridge.
o Flap: A single tap made by the active articulator (tongue tip) against the
passive articulator (teeth ridge). For example, English ‘r’. It also occurs
in American English when the word butter is pronounced as ‘budder’.
Often called a tap, is a momentary closure of the oral cavity. The ‘tt’ of
‘utter’ and the ‘dd’ of ‘udder’ are pronounced as a flap in North American
and Australian English. A lot of linguists differentiate taps from flaps,
but there is no consensus on what the difference could be. No language
is based on such differences. There are also lateral flaps.
x Partial closure
o Lateral: At some point in the mouth, a partial but firm closure is made.
At the same time, the air stream is allowed to escape on one or both
sides of the contact. These sounds are also frictionless and therefore,
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Phonetics 1
vowel-like. Usually, shortened to lateral, is a type of approximant

pronounced with the side of the tongue. English /l/ is a lateral. Together
with the rhotics, which have similar behaviour in many languages, this
forms a class of consonant called liquid. For example, /l/.
x Narrowing
o Fricative: A fricative is formed by narrowing the air passage to such an
extent that the air on escaping produces an audible friction. Sometimes
called spirant, where there is continuous frication (turbulent and noisy
airflow) at the place of articulation. Examples include English /f, s/
(voiceless), /v, z/ (voiced), etc. Most languages have fricatives, though
many have only a /s/. However, the indigenous Australian languages are
almost completely devoid of fricatives of any kind. For example, /f/, /v/.
x Narrowing without friction
o Semi-vowel: A semi-vowel is a voiced gliding sound formed when the
speech organs first produce a weakly articulated vowel of comparatively
small inherent sonority and then change to another sound of equal or
greater prominence. For example, /j/, /w/.
A use of the word semivowel, generally called a glide, is a type of approximant,
pronounced like a vowel but with the tongue closer to the roof of the mouth,
so that there is slight turbulence. In English, /w/ is the semivowel equivalent of
the vowel /u/, and /j/ (spelled ‘y’) is the semivowel equivalent of the vowel /
i/ in its usage. Other descriptions use semivowel for vowel-like sounds, which
are not syllabic, but do not have the increased stricture of approximants.
These are seen as elements in diphthongs. The word can also be used for
covering both the concepts.
Two classes of consonants can be identified according to their modes of articulation:
x Oral sounds: The soft palate or velum can be raised to block the passage
into the nose. When this is done, the air from the lungs can pass through the
mouth only. Sounds produced in this manner are called oral sounds.
x Nasal sounds: Nasal sounds are produced when the soft palate is lowered
and the passage in the mouth is closed so that the air from the lungs can pass
through the nose only. For example, /m/, /n/, / /.
The state of the vocal chords also determines the type of consonant. When
the vocal chords are held loosely together, the pressure of the air coming
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Phonetics 1
from the lungs makes them vibrate, that is, they open and close regularly
many times a second. Sounds produced in this manner are called voiced
sounds. Voiceless sounds are those in the production of which there is no
vibration. For every voiceless sound there is a corresponding voiced sound,
i.e., one articulated in the same place and manner, only the voice being
substituted for breath and vice versa. A point to be noted is that voiced
consonants are usually pronounced with less force of exhalation than unvoiced
consonants.
1. What is the major difference between a front and a back vowel?

................................................................................................................
................................................................................................................
................................................................................................................
2. Define consonant.
................................................................................................................
................................................................................................................
................................................................................................................
23.4 SUMMARY
x The air that we breathe out is modified in various ways. This results in
various combinations of sounds such as consonants and vowels.
x As the vocal cords are separated at the back to let the air flow out, it can
assume many positions.
x The various articulators such as pharynx, lips, teeth, teeth ridge, hard
palate, soft palate, uvula and tongue take different positions to make
different sounds.
x In phonetics, a vowel is a sound in spoken language, like English ah! or oh!,
which is pronounced with an open vocal tract so that there is no build-up of
air pressure at any point above the glottis.
x Without reference to any particular language, eight vowel sounds,
articulated at fixed positions of the tongue and lips, four front and four
back, have been recorded as cardinal vowels and transcribed as [i], [e],
[a], [o], [u].
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Phonetics 1
x A consonant is defined as a speech sound that is produced when the air

passage is obstructed, or the flow of air is stopped as a result of narrowing
or a complete closure of the air passage.
x If the consonant is voiced, then the voicing is the only sound that is heard
during the occlusion; but if it is voiceless, then the plosive will be
completely silent.
23.5 KEY WORDS
x Phonatory system: It is the system which is involved in the production of

voiced sound and utilizes components of the respiratory system (laryngeal
structures) phonation.
x Articulatory system: It is the movement of joined anatomic parts and
production of speech sounds by such movements.
x Alveolar ridge: It is one of the two jaw ridges either on the roof of the
mouth between the upper teeth and the hard palate or on the bottom of the
mouth behind the lower teeth.
x Retroflexion: It is the state of an organ being bent back upon itself.

1. The organs of speech and their speech functions can be described with
reference to three systems, as follows:
x Respiratory system
x Phonatory system
x Articulatory system
2. Sounds such as ‘top’ and ‘drill’ are a result of the alveolar ridge.

1. A major difference between the front and the back vowel is that the tongue
is positioned as far in front as possible in the mouth in the front vowel.
Whereas, the defining characteristic of a back vowel is that the tongue is
positioned as far back as possible in the mouth.
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Phonetics 1
2. A consonant is defined as a speech sound that is produced when the air

passage is obstructed, or the flow of air is stopped as a result of narrowing
or a complete closure of the air passage.
1. Discuss the three speech systems in detail.

2. Explain front, back and central vowels with examples.
3. What are diphthongs? How are they different from monophthongs?
4. Elaborate the different types of diphthongs.
5. Describe consonant and their manner of articulation.
Gimson, A.C. 1962. Introduction to English Pronunciation. London: ELBS.

Hockett, C.F. 1960. A Course in Modern Linguistics. California: MacMillan
Books.
Lyons, John. 1981. Language and Linguistics. Cambridge: Cambridge University
Press.
Rajimwale, Sharad. 1997. Introduction to English Phonetics, Phonology and
Morphology. Jaipur: Rawal Publication.
Varshney, R.L. 1977. An Introductory Textbook of Linguistics and Phonetics,
Bareilly: Student Store.
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Phonetics 2
UNIT–24 PHONETICS 2
Objectives
x Understand the meaning and use of consonant clusters
x Explain the various approaches related to consonant clusters
x Discuss the approach to second language learning
x Elaborate the methods of second language teaching
Structure
24.1 Introduction
24.2 Consonant Clusters
24.3 Introductory Approach to Second Language Learning
24.4 Methods and Approaches to Second Language Teaching
24.5 Summary
24.6 Key Words
24.1 INTRODUCTION
Despite the fact that the child is in the process of acquiring competence of his or
her native language through the later years of childhood, it is usually assumed that,
by the age of five to six, a child completes the greater part of the basic language
acquisition process. Many believe that the child is then placed in a good position
to start learning a second (or foreign) language, though many children learn the
second language simultaneously with the first language. However, there are many
who start learning the second language at a much later stage in life as and when the
occasion demands it.
In this unit we will learn about consonant clusters, second language learning and
the methods of second language teaching.
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24.2 CONSONANT CLUSTERS
When a group of two or three consonants occur together in a word without any
vowel between them, it is called a consonant cluster. Sometimes it is also called a
consonant blend. Each letter in the group is pronounced individually. For example,
words like school and strange. Consonant clusters may occur initially, medially and
finally in words. For example, /r/ as in shrink, /sk/ in school, /spr/ as in spring, /lk/ as
in milk, /kts/ as in acts and /ksts/ as in texts. The longest possible initial cluster in
English is of three consonants as in split, sphere and the longest possible final cluster
is of five consonants as in angsts. Linguists have put forward the argument that the
term consonant cluster should be applied only if it occurs within one syllable but
some others have argued that the definition is more useful when it is not bound by
the limitations of a syllable boundary.
Many languages do not permit consonant clusters at all. Maori and Pirahã, for
instance, do not permit any two consecutive consonants in a word. Japanese is almost
as strict, but it allows clusters of consonant plus /j/ as in Tokyo, the name of Japan’s
capital city. Across a syllable boundary, it also allows a cluster of a nasal consonant
plus another consonant, as in Honshû [honUuÐ] (the name of the largest island) and
tempura [tempu}a] (a traditional dish). A great many of the languages of the world
are more restrictive than English in terms of consonant clusters; almost every Malayo-
Polynesian language forbids consonant clusters entirely. Tahitian, Samoan and Hawaiian
are this entire sort. Standard Arabic does not permit initial consonant clusters, or more
than two consecutive consonants in other positions; neither do most other Semitic
languages, although Modern Israeli Hebrew permits them (e.g. pkak ‘cap’; dlat
‘pumpkin’). Khmer, as do most Mon–Khmer languages permits only initial consonant
clusters with up to three consonants in a row per syllable. Finnish has initial consonant
clusters natively only on South-Western dialects and on foreign loans, and only clusters
of three inside the word are allowed. Most spoken languages and dialects, however,
are more permissive. In Burmese, consonant clusters of only up to three consonants
(the initial and two medials—two written forms of /-j-/, /-w-/) at the initial onset are
allowed in writing and only two (the initial and one medial) are pronounced. These
clusters are restricted to certain letters. Some Burmese dialects allow for clusters of
up to four consonants (with the addition of the /-l-/ medial), which can combine with
the above-mentioned medials.
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General Approaches
Innatism
Innatism refers to an approach to understand the process of language acquisition by
infants. In this approach, scholars started the study from the basic premise that a
human child is born with the innate capability to learn language. This notion of innatism
basically arises from the fact that learning of language by child happens in a magical
fashion and cannot be explained easily. Therefore, from ancient days, people have
believed and tried to figure out ways to understand the innate nature of language
acquisition device of humans. As mentioned earlier, the ancient Greek scholar, Plato,
even felt that human beings are born with certain innate ability of making the right
connection between words and their meanings. Plato’s idealistic theories of reality and
language led him to believe that language is God-given. Therefore, human beings must
be given the proper mechanism even to pick up, understand and interact in that language.
Beyond the theories of innatism, different experiments were also carried out from
ancient days to prove the existence of the theory in the first place. In the seventh
century BC, Psammeticus, an Egyptian Pharoah, thought language to be inborn in human
beings. Consequently, he thought that children isolated from birth from any linguistic
influence would develop the language they had been born with. In his experiment, he
isolated two children from the social circumstances where the children had no access
to language. These children were reported to have spoken a few words of Phyrgian,
an IE language of present day Turkey. Psammeticus believed that this was the first, or
original, language. In the fifteenth century, King James V of Scotland performed a
similar experiment and children were reported to have spoken good Hebrew.
Social interactionism
The social interactionist theory consists of a number of hypotheses on language
acquisition. As the term social interactionism suggests, this theory believes that children
do not learn language only because of some innate capability that is manifest in them.
It also happens because they interact with the other members of the speech community
that they are born in and grow up. This interaction with the other members of community
facilitates in picking up the language. The compromise between ‘nature’ and ‘nurture’
is the ’interactionist’ approach. We need to examine the language behaviours that
nature provides innately and those behaviours that are realized by environmental
exposure, which is nurture.
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Relational frame theory

While social interactionist theory makes a dual approach in terms of finding a mid path
between innateness of human beings in picking up language and the social and linguistic
environment of the child, the relational frame theory (Hayes, Barnes-Holmes, Roche,
2001) provides a wholly selectionist/learning account of the origin and development of
language competence and complexity. Based on the principles of Skinnerian behaviorism,
the relational frame theorists are of the opinion that children acquire language purely
through interacting with the environment. This challenges the notion that the language
acquisition capability in children is innate. They are of the opinion that the context in
which the child grows up is significant. This is distinguished from Skinner’s work by
identifying and defining a particular type of operant conditioning known as derived
relational responding. This refers to a learning process that appears to occur only in
humans possessing a capacity for language.
Generativism
Noam Chomsky’s studies on syntax had changed the way linguistic studies had been
progressing on in the twentieth century. His generative grammar is one of the principal
approaches to children’s acquisition language. In his Lectures on Government and
Binding, Chomsky (1980) is of the view that the child’s acquisition of syntax is similar to
ordering from a menu to some extent. The child selects the correct options using her
parents’ speech, in combination with the context. It is noted that all the children in a
speech-community ultimately learn almost the same grammar by the age of about five
years. Considerations like these have led theorist like Chomsky, Jerry Fodor, Eric
Lenneberg and others to argue that the types of grammar that the child needs to consider
must be narrowly constrained by human biology. These innate constraints are sometimes
referred to as universal grammar, the human language faculty, or the language instinct.
Further developments
Generativists have been criticized by many critics who argued that the concept of a
language acquisition device (LAD) is not supported by evolutionary anthropology.
Moreover, they point out that generative theory has several hypothetical constructs
(such as movement, empty categories, complex underlying structures and strict binary
branching) that cannot possibly be acquired from any amount of linguistic input.
Since 1980, linguists such as Melissa Bowerman, and psychologists such as Jean
Piaget, Elizabeth Bates and Jean Mandler have been studying children language
acquisition. They believed that there might be many learning processes involved in the
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acquisition process. The more recent position is that language emerges from usage in
social contexts in children. They use learning mechanisms that are a part of a general
cognitive learning apparatus (which is what is innate). This position has been championed
by Elizabeth Bates, Catherine Snow, Brian MacWhinney, Michael Tomasello, Michael
Ramscar, William O’Grady and others. Philosophers, such as Fiona Cowie, Barbara
Scholz and Geoffrey Pullum also supported the empirical point of view of language
acquisition.
The acquisition schedule

We are aware of the fact that a child does not learn language in a day. The process
takes time; it is usually thought that by five to six years, a child becomes a more or less
good user of a language. Also, five to six years is insignificant when compared to the
speed with which a child learns language. This points out to the fact that a child is born
with the innate capacity to learn language. However, as we have discussed earlier, a
child does not acquire language if he or she is not in an environment where language is
used. So, we can say that a child picks up language as a medium of self-expression
and communication, like no other creature, regardless of differences in circumstances
in the social environment in which he or she grows up. The environment decides the
kind of language that he or she will acquire. The process of language acquisition is
gradual and goes through different stages.
It is being observed that all children (that is, all normal children) acquire language
or develop linguistic competence, more or less at the same time and very much in the
same schedule. For example, at one month, a child is usually capable of distinguishing
between sounds such as [ba] and [pa]. From then onwards, till about five or six years
of age, the child carries on picking up different features of language to make more or
less a good user of language by six. Young children actively acquire language by
identifying the regularities in language.
Caregiver speech
Innatism cannot be the only reason of human language acquisition device. The social,
linguistic and cultural environment decides the kind of language that a child picks up.
Therefore, in this circumstance, the language spoken around the child by the older
children, by the elderly, by adults, and by the caregiver decides the way the child will
acquire the language. Many a times, the caregiver uses a language with the child which
is much more simplified than the everyday language that adults use. The characteristically
simplified speech style adopted by someone who spends a lot of time interacting with
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a young child is called caregiver speech. Caregiver speech is also distinguished by

many kinds—the child-directed speech used by the mother is known as ‘motherese’;
by the father as ‘fatherese’ and by others as ‘otherese’. Salient features of this child
directed speech are the frequent use of questions, often using exaggerated intonation,
extra loudness and a slower tempo with longer pauses. These are either simplified
words (tummy, nana) or alternative forms, with repeated simple sounds and syllables,
for things in the child’s environment (choo-choo, poo-poo, pee-pee, wawa).
Caregiver speech is also characterized by simple sentence structures and numerous
repetitions. In the process, the child works out a system of putting sounds and words
together to get a hold of the basic structural organization of language.
Cooing and babbling

The earliest use of speech-like sounds by infants has been described by linguists as
cooing. It is perceived that during the first few months of a child’s life, he or she
gradually acquires the ability to produce certain vowel-like sounds, particularly high
vowels similar to [i] and [u]. By four months of age, the developing ability to bring the
back of the tongue into regular contact with the back of the palate allows the infant to
create sounds similar to the velar consonants [k] and [g]. Hence the common description
of ‘cooing’ or ‘gooing’ is used for this type of production. It is also noted that by the
time they are five months old, babies can already hear the difference between the
vowels [i] and [a] and discriminate between syllables like [ba] and [ga].
Between the age of six and eight months, the child starts sitting up and produces a
number of different vowels and consonants, as well as combinations such as ba-ba-ba
and ga-ga-ga. This type of sound production is described as babbling. In the later
babbling stage, around nine to ten months, one can perceive recognizable intonation
patterns to the consonant and vowel combinations being produced, as well as variation
in the combinations such as ba-ba-da-da. Nasal sounds also become more common
and certain syllable sequences such as ma-ma-ma and da-dada are inevitably
interpreted by parents as versions of ‘mama’ and ‘dada’ and repeated back to the
child.
As the child starts to stand up during the tenth and eleventh months, he or she
becomes capable of using their vocalizations to express emotions and emphasis. This
late babbling stage is characterized by more complex syllable combinations (ma-da-
ga-ba). This stage also includes a lot of sound play and attempted imitations.
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One-word stage
Between the age of twelve and eighteen months, children usually begin to produce a
variety of recognizable single-unit utterances. This period is traditionally called the one
word stage. This stage is characterized by speech in which single words are uttered
from everyday objects such as ‘milk’, ‘cookie’, ‘cat’, ‘cup’, etc. Instead of the phrase,
‘the one-word stage’, sometimes, the term, holophrastic (meaning a single form
functioning as a phrase or sentence) is also used which describes an utterance that
could be analyzed as a word, a phrase, or a sentence. In this phase the words uttered
by the child is primarily for the purpose of naming objects, but in certain cases the child
also starts extending their use.
Two-word stage
It is usually perceived that the two-word stage begins around eighteen to twenty months,
as the child’s vocabulary moves beyond fifty words. By the time the child reaches the
age of two years, he or she is capable of using a variety of combinations, similar to
baby chair, mommy eat, cat bad. It is very difficult to predict whether the child is trying
to mean something in terms of a sentence or they are simply about naming them.
However, the adult interpretation of such two words expressed by the child is of
significance as the adult tries to interpret these utterances of the child by the context of
his or her utterance.
The words, ‘baby chair’ may be taken as an expression of possession
(= this is baby’s chair), or as a request (= put baby in chair), or as a statement
(= baby is in the chair), depending on different circumstances. The above example
taken from George Yule’s book where he suggests that the child may use the two
words ‘baby chair’ for various purposes, depending on the circumstances in which he
or she is thrown in. Whatever be the intention of the child in making such an expression,
it is usually the thing that the adult tries to interpret the utterance of the child as a way
which suggests that a communication is taking place.
Telegraphic speech
Between the age of two and two-and-a-half years, the child begins to produce a
large number of utterances which go beyond the two-word stage. This is usually
classified as ‘multiple-word’ speech. This phase is also called the stage of telegraphic
speech, as it is a phase which is characterized by strings of words (lexical
morphemes) in phrases or sentences such as ‘this shoe all wet, cat drink milk and
daddy go bye-bye’. In other words, it can be said that in this stage, the child starts
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developing some sentence-building capacity. By three, the vocabulary of the child

increases to hundreds of words and pronunciation becomes more or less closer to
the form of adult language.
Developing semantics
When a child starts using language, it starts learning which sound to associate with an
object or idea or concept. The process is interesting as the child makes many mistakes
in terms of associating a single sound with many objects, and sometimes refers to an
object with a name which is typically his or her own creation. As the child has limited
vocabulary in the holophrastic stage, it is natural that he or she may refer to a large
number of objects by the same sound. For example, ‘doggie’ is a sound that the child
not only uses for dogs, but for any hairy animal that he or she sees. This process is
called overextension. The most common pattern is to overextend the meaning of a
word on the basis of similarities of shape, sound and size, and, to a lesser extent,
movement and texture. To give another example, the word ‘ball’ is extended to all
kinds of round objects, including a lampshade, a doorknob and the moon. Thus, the
semantic development in a child’s use of words is usually a process of overextension,
followed by a gradual process of narrowing down the application of each term as
more words are learned.
Conclusion
In conclusion, we can say that despite the fact that the child is in the process of acquiring
competence of his or her native language through the later years of childhood, it is
usually assumed that, by the age of five to six, a child completes the greater part of the
basic language acquisition process. Many believe that the child is then placed in a
good position to start learning a second (or foreign) language, though many children
learn the second language simultaneously with the first language. However, there are
many who start learning the second language at a much later stage in life as and when
the occasion demands it.
1. What exceptions are there in the Japanese language regarding the use of
consonant clusters?
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2. What do you mean by telegraphic speech.

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24.3 INTRODUCTORY APPROACH TO SECOND LANGUAGE

LEARNING
Language acquisition depends on the social environment in which one grows up. A
child born in a monolingual social setup picks up one language. If a child is lucky to
be born in a setup where more than one language is used in everyday conversation,
then it becomes easy for him to acquire competence in two languages. In such cases,
the child becomes a bilingual or a multilingual individual. For example, if a child is
born in the United States, where his or her mother tongue is English, then the child
will pick up just one language, that is, English. But if the child is born in the elite class
of an Indian city where the parents and other individuals at home are bilingual,
speaking mother tongue and English at the same time, then the child will naturally
pick up two languages. It will have competence in both the languages.
However, in many cases, a child only learns his or her mother tongue, but in a later
period for various reasons, starting from academic, professional and others, an individual
may choose to learn a second language. However, it is true that the learning of second
language at a later stage in life is a bit different than learning a second language as a
child.
Moreover, a distinction needs to be made between the acquisition of a second
language and a foreign language. For example, a child learning English in India at
school learns a language which is slightly alien to him as the social setting in which he
grows up does not use English in their regular everyday conversation (if English is not
spoken in his or her immediate surroundings). If the child learns the language in USA,
then the situation would be different as he or she will be encountering the use of the
language continuously. Based on this difference of community setting, second language
learning can be distinguished into two kinds—foreign language learning and second
language learning. Both kinds of learning are referred to as second language acquisition.
There is a significant distinction between phrases, second language learning and
second language acquisition. Second language acquisition refers to the process of
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acquiring a second language where the child is not conscious of picking up a second
language. This is because it is a gradual process and comes naturally because of the
environment in which he or she grows up. However, second language learning is a
conscious process of accumulating knowledge of the features, such as vocabulary and
grammar, of a language, typically in an institutional setting.
Barriers in Acquisition of Second Language

In most of the cases, the learning of second language (L2) is very different from the
acquisition of mother tongue (L1). Most people learn their L2 during their teenage or
adult life. Moreover, they tend to learn the language in an institutionalized setting. This
makes them interact in that language only for a few hours, as for all other purposes
they already know a language (L1) in which they communicate. For example, a teenage
child in India learning English only uses English in the school for a few hours. Outside
the school and even amongst the peer group within the school, he or she uses L1.
Thus, various barriers come in the way of learning L2. Yet, there are many children
who overcome all barriers to become effective communicators in L2. Bilingualism is
generally referred to as ‘a native like competence in two languages.’ This situation
arises when a person has a native-like competence in two languages and is an ideal
state and very few of us reach that state.
Therefore, when one becomes as an effective communicator as a native speaker
of the language, then he/she is probably making an over-statement. There are cases
when a person achieves similar competence as a native speaker in one aspect of the
second language. For example, one can use spoken language in a similar way as that
of the native speaker or in some cases he or she may achieve expertise in the written
form. Joseph Conrad, the famous English novelist, is a notweorthy example whose
expertise in written English language finds its proof in his writings. His spoken English
retained a strong Polish accent. Similarly, when Indians learn English, they become
similarly adept in the vocabulary and grammar, but neglect the RP. (However, in the
present context, it is not even desirable to acquire the pronunciation of RP as Indian
English has a distinct identity of its own.)
Some scholars also are of the opinion that another critical period for language
acquisition is around the time of puberty. It becomes very difficult to acquire a second
language as one grows up; but this belief is proved to be wrong many times by the
learners those who have shown tremendous expertise in second language.
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Learning Factors in Second Language Acquisition

There are several factors which are responsible for the speed and nature of second
language acquisition. The significant factors among them are: learner’s age, intelligence,
aptitude, motivation, attitude, personality, cognitive style, etc.
Age
Many linguists and psychologists are of the opinion that children are better at learning
a second language than adults. Penfield (1953) and Lenneberg (1968) are of the
opinion that the important period for language acquisition is between the age of two to
puberty. After an individual crosses the age of puberty, it becomes difficult and
psychologically different for him or her to learn a second language. Seliger (1978) is of
the opinion that children acquire phonological system much faster than adults.
But the alternate opinion also does exist, where experts feel that adults are better
learners of second language than children. Cook, while referring to the research done
by Hoefnagel and Hohle, shows that the older learners are able to pick up Dutch much
faster than the children after a period of three months. Cook says, ‘If children and
adults are compared who are learning a second language in exactly the same way,
whether as immigrants to Holland, or by the same method in classroom, adults are
better. The apparent superiority of adults in such controlled research may meant that
the typical situations in which children find themselves are better suited to L2 learning
than those adults encounter, age itself is not so important as the different interaction
that learners of different ages have with the situations and with other people.’ He
moreover points out: ‘Adults start more quickly and then slow down. Though children
start more slowly, they finish up at a higher level.’
Sex
Several studies are done on whether sex determines the nature of second language
acquisition. It is being found that girls are better learners of second language than
boys. Trudgill points out how women used the prestige linguistic forms more frequently
than men. This is a result of female social insecurity. To compensate this insecurity,
women are faster learners of second language than the boys. Agnihotri is of the opinion
that girls pick up prestige second language faster but are slow in the stigmatized form.
Intelligence
The intelligence of a person obviously decides the way and the speed of second language
acquisition. However, many studies (Pimsleur et al, 1962; Carroll and Sapon, 1959)
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are being done where scholars are skeptical about the relationship between intelligence
and language acquisition skills.
Aptitude
By aptitude, one means whether the person has a knack for his actions. Often we hear
the phrase, ‘a knack for languages’, which means that a person can have an aptitude
to learn a new language. There are two known measures of second language acquisition
aptitude—modern language aptitude test (MLAT), developed by Carroll and Sapon
(1959) and the Pimsleur Langauge aptitude battery (LAB) (1966). MLAT talks about
four factors that predict a student’s success in the classroom:
1. Phonemic coding ability: Student’s ability to use phonetic scripts to distinguish
phonemes in the languages.
2. Grammatical sensitivity: Student’s ability to pick out grammatical functions
in a sentence.
3. Inductive language learning ability: Student’s ability to generalize patterns
from one sentence to another.
4. Rote learning: Student’s ability to remember vocabulary lists of foreign words
paired with translations.
Cognitive style
Cognitive style refers to the way a person tries to organize his or her way of looking at
things, personality and performance. It does not refer to his or her intelligence or
competence.
Researchers have pointed out that that there are three different cognitive styles:
1. Field-independence/ field-dependence: Field-dependence means that a
person cannot think of an object or event separately from the context in
which that has occurred or appeared. The context is the field. The field-
independent person can do it without the context. Researchers have related
this to the second language learning. Skehan points out that the field dependent
persons usually have greater communicative skills. Greater conversational
skills and greater negotiation skills help in being a better learner of second
language.
2. Reflection-impulsivity: The idea is whether a person impulsively responds
to a situation or reflects over the issue. People who are impulsive are faster
learners of language and are not so accurate, whereas the reflective people
are accurate though slow.
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3. Categorization styles: This refers to the way an individual classifies and

arranges the information, things, events, and objects that he or she encounters,
which can be subdivided into three types:
x Descriptive:analytic style–concentrates in a single detail common to
all objects.
x Categorical:inferential style—focuses on the class of objects.
x Relational:contextual style—focuses on the common theme or
function.
Personality
There are certain personality traits which are significant in second language acquisition.
They are social conformity, extrovertness, flexibility, tolerance for ambiguity,
independence, self-confidence, maturity, meticulousness, responsibility, etc. These
factors make a person or a child a better learner of second language.
Attitude
Attitude plays an important role in second language acquisition. The attitude of a second
language learner can vary from person to person because of different factors such as
attitude towards the teacher, attitude towards the language itself or the group that
speaks the language. According to Allport, ‘Attitude is a mental and neutral state of
readiness, organized through experience, exerting a directive or dynamic influence
upon the individual’s response to all object and situations with which it is related.’ This
readiness to learn a language can make things happen faster or slower. Some researchers
are of the opinion that attitudes towards learning of a second language and the second
language speaking community connect significantly with achievement of the learner.
Gardner and Lambert were of the opinion that ‘a friendly outlook towards the other
group whose language is being learnt can differentially sensitize the learner to the audio-
lingual features of the language, making him more perceptive to forms of pronunciation
and accent than is the case for a learner without this open and friendly disposition.’
Spolsky, Burstall and other scholars conducted evaluative researches and opined that
the initial success or failure in language learning can be a powerful determinant of
linguistic attitudes.
The general disposition among researchers is that there are essentially two factors—
ethnocentrism and authoritarianism—which are responsible for language learning.
Gardner and Lambert believe that ‘learners who have strong ethnocentric or
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authoritarian attitude or who have learned to be prejudiced towards foreign people

are unlikely to approach the language learning task with an integrative outlook…
Authoritarianism refers to anti-democratic feelings and is generally measured through
respect for authority, use of force, nationalism etc. agreement or disagreement with
some of the following statements may elicit the second language learner’s task with an
integrative outlook.’ Ethnocentrism, on the other hand, refers to people who suspect
foreign people and ideas. It is generally measured through attitude towards the foreigners,
preservation of nationality, respect for national symbols etc.
Both these factors influence second language learning very much as they both
govern the way the learner approaches the languages. Though the attitude of the learner
towards the target language varies according to the variation of geographical boundaries,
or age, etc., if the learner has more exposure to the target language then the attitude to
the language also becomes more favourable.
Motivation
The term ‘motivation’ in the second language learning is viewed by Gardner as ‘referring
to the extent to which the individual works or strives to learn the language. This is
because they have a desire to do so and there is satisfaction experienced in this activity’.
It is the learner’s drive to learn language that can be termed as motivation, and comprises
not only the favourable attitude. For example, a person living in India has a favourable
opinion about English language, but that does not mean that he is motivated. Moreover,
when he puts in a special effort to strive to learn the language, then we can call him
motivated.
Gardner and Lambert have conducted some pioneering study to explore the nature
of the motivation specific to languages. They suggest that those people who identify
positively with the target language group would like to resemble the target language
group. They tend to understand their culture and participate in it. The pattern of
motivation is named ‘integrative motivation.’ In most cases of integrative motivation,
the learner tries to get included into the culture of the target language by making his
personality and his perspective change according to the culture of the target language.
He may also learn the language to read and understand the art and literature of the
target language. In contrast to this, in the ‘instrumental motivation’, the learner learns
the language. He does so because he wants that language to be used in a utilitarian
way to attain some goals in his career. He wants to travel at ease, or have any such
practical motive. Thus, motivation differs its variety and its nature (instrumental or
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integrative) changes the perspective of the learner and also the way he learns the
language. In case of instrumental motivation, the learner only learns the language in
such a way that he may use it in the context where it is necessary. But if the learner has
an integrative motivation, then he learns it so well that he becomes a compound bilingual
or a full bilingual.
Gardner conducted a detailed study of the motivation aspects of second language
learning. He opines that motivation is a combination of the attitudes towards the target
language and the effort and the desire to learn it. These can be of three kinds—
integrative, instrumental and manipulative. The integrative motive is a hypothetical
construct comprising motivation, positive attitudes to the learning situation and
integrativeness. Gardner opines that different factors such as age, previous language
training, sources of exposure, socio-economic status, physical conditions of the learning
situation, patterns of language in different types of activity, teacher effectiveness are
also responsible for the second language learning. For example, if two people in New
Delhi are trying to learn two languages—English and French respectively, the first
person will be able to learn the language faster than the second one, even if the motivation
is the same. This is because of the situation in which they are learning. Thus, along with
other factors of equal importance, the motivation and attitude also are the important
variables in the process of the second language learning.
Conclusion
In conclusion, it can be said that second language learning is as complex a process as
first language acquisition. It is more difficult than the acquiring the competence of the
mother tongue. There are various factors responsible for such difficulty including human
capability, the context of language use, etc. As there are various reasons such as
professional, educational, cultural, financial and others, people across the world learn
or try to learn second language. There are various factors that decide the pace and
effectiveness of the second language acquisition. These include the learner’s age,
intelligence, aptitude, motivation, attitude, personality, cognitive style, etc.; many scholars
feel that the learner of the second language cannot be similarly competent as the native
speaker of the language, though many a time this theory has been proved wrong by the
learners who became very effective users of the language.
One aspect of second language acquisition that we have not discussed in this unit
is the aspect of teaching the second language. As second language is usually learnt, it
presupposes that the teaching-learning process comes into action. In this process, it is
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important that one thinks in terms of the different methodologies that the teachers can
use to make second language acquisition more effective and useful. We will deal with
this aspect of second language acquisition subsequently.
1. Why is learning second language different from the acquisition of the

mother tongue?
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2. Name the factors which affect the learning of secondary language.

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24.4 METHODS AND APPROACHES TO SECOND LANGUAGE

TEACHING
Many children learn several languages at a very young age, but many learn a second
language when they grow up. Learning a second language (L2) at a later stage in life is
not a major disadvantage, though age works as a major factor in the second language
learning as discussed in the last chapter. When we discussed the first language acquisition,
we did not talk about the method as no method is needed for the acquisition of the first
language. This is because the child has the capability to pick up languages on its own.
No one teaches the child how to pick up his first language; he or she does it by himself
or herself. But when second language is learnt after a particular age, then the notion of
teaching the second language comes into being. Scholars are varied in their opinion
about how to teach the second language or the foreign language. Therefore, it is said
that language teaching involves many methods. It is not that some methods are better
than the others; in different context and different situations different methods become
popular and effective. In other words, it can be said that different methods may be
appropriate but in different contexts. There is no one single method strongly
recommended in the teaching of second language as the level of the learners differs
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from one another. So, it becomes necessary for a teacher to know the different methods
of teaching and learning, as an awareness of variety of methods helps the teachers to
apply the relevant method in his or her classroom successfully.
However, as said earlier, there lies a difference between language acquisition and
language learning as one is an unconscious process while the other is a conscious
decision. The difference between them can be enumerated as follows:
Table 24.1
The three major second language learning issues that Stern (1983) talks about are
as follows:
1. The L1–L2 connection is the disparity in the learner’s mind between the
inevitable dominance of the mother tongue or L1 and the weaknesses of the
second language knowledge.
2. The explicit–implicit option is the choice between more conscious ways of
learning a foreign language and more subconscious ways of learning it.
3. The code-communication dilemma has been a major issue recently. It refers
to the problems that learners have to cope with when learning a new language,
as they have to pay attention on the one hand to linguistic forms (the code)
and on the other to real communication.
As mentioned earlier, acquisition of a second tongue is a conscious process where
the individual acquires or tries to acquire a second language because of a specific
purpose. The purpose may be professional, educational, financial or cultural (as he or
she may belong to a particular class or community) or may be for numerous other
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reasons. Therefore, second language learning always depends on the motivation that
the language learner has in his or her acquisition.
It is usually the norm that second language is usually taught to the learners and
teaching involves certain methodologies. Over the years, scholars and teachers have
evolved various methods of teaching second language to make language learning faster,
effective and socially and culturally productive and purposeful. Among these methods,
some have become obsolete over a period of time, and others were modified to suit
various purposes, but all methods had their importance in their periods. Let us now
focus on some of the methods of second language learning.
Traditional or Grammar Translation Method

The traditional or grammar-translation method was primarily applied to the study of
second languages from the seventeenth to the twentieth century. In the nineteenth
century, this method was rather widespread for learning second languages. Even today,
this method has not completely died out, though there are very few practitioners of this
method.
Principles of the Grammar-Translation Method

The most relevant principles of this method can be summarized as follows:
x The method emphasizes on the study and translation of written language,
more than the spoken form. When one excels in translation, then one starts
translating the moment one hears a sentence to be translated. But in the second
language learning schedule, the beginners start translating simpler things and
slowly move on to more and more complex aspects in written form of the
language. Initially, easier constructions of the language are given and
complexities of language are dealt at a later stage.
x Learners are considered successful if they can translate from their mother
tongue to the second language, even if they cannot communicate orally. As
translation is the main focus of this method, if a learner of a second language
is able to translate properly, it is assumed that he has achieved command
over the second language. The thrust is on academic use of second language
and not on social or everyday use.
x Reading and writing are considered the main language skills. The spoken
form of language is usually neglected.
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x The role of the teacher in this method is very authoritarian as the primary
interaction is between the teacher and the student. Students are not encouraged
to talk amongst themselves in any language as the focus is not on the spoken
form of language.
x Students are made to learn grammatical rules and are asked to use them in
their exercises. Understanding and grasping the rules of grammar is very
significant in the grammar-translation method, therefore, students are made
to learn grammatical rules so that it helps in the process of translation.
x The basic unit of teaching is the sentence.
x The student’s native language is usually the medium of instruction.
The main techniques used by the grammar-translation method

The method focuses on the teaching of the second language grammar primarily through
the grammatical rules and lists of vocabulary. It also comprises translations into the
mother tongue. Translation is considered the most important classroom activity. The
main procedure of an ordinary lesson follows this plan: a presentation of a grammatical
rule, followed by a list of vocabulary and, finally, translation exercises from selected
texts.
Other activities and procedures can be the following:
x reading comprehension questions about the text;
x students find antonyms and synonyms from words in the text;
x vocabulary is selected from the reading texts and it is memorized; sentences
are formed with the new words.
Major disadvantages of the grammar-translation method

Major disadvantages of the grammar-translation method are as follows:
x The grammar-translation method focuses on the use of language by the great
authors and thereby, overlooks the fact of everyday conversational language.
Great authors are grand in their constructions in language and are ahead of
the everyday conversational language. Therefore, when a second language
learner gets himself acquainted with the language through the language of the
great authors, he or she is not acquiring the conversational day-to-day
language at all. In the process, he or she completely lacks the skill to use
language for conversational purposes. For example, in India, often, we can
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find people good in written English but hesitate in using English for
conversational purposes. The primary reason for such hesitation is that he or
she has certain mental or psychological barrier in speaking English. These
mental barriers exist as at no point of time the individual has got a chance to
use the language for conversational purposes. The thrust of grammar-
translation method is merely on the written form of language and does not
make the second language learner learn various aspects of language use.
x Grammatical rules and list of vocabulary that the student memorizes are
sometimes very confusing for the student. There may be a few who are good
in memorizing, but most of us dislike it. The grammar-translation method
helps in memorizing and creates problems for the learners as they often do
not figure out or grasp the rules of language but merely memorize them, making
them useless. Similarly, learning vocabulary does not mean much as what
one needs to grasp is how those words can be used in proper occasions.
Moreover, it is also important to learn how the same word can be used in
different occasions to mean different things. This is missing in the grammar-
translation method.
x This method gives too much of importance to morphology, but neglects syntax
when syntax is thought to be one of the basic element of any language learning.
x The method provides too much importance to faults to be avoided and to
exceptions, which emphasize on the prescriptive and mechanical aspect of
language. The mechanical aspect does not make the learners engage with the
second language which hampers the learning process. Sometimes, the
mechanical aspect deters the learner away from the language making the
grammar-translation method a barrier in second language learning.
x In most cases, the translations done by learners are not up to the mark as
they are done word by word. Word to word translation can never imbibe the
spirit of the language to which it is translated. This is because each word of a
language has a cultural baggage attached to it. Therefore, it is significant that
one understands the two cultures, than merely knowing the vocabularies of
two languages. When one translates, one is translating from one culture to
another. Therefore, it is significant that translation is done in terms of finding
cultural, morphological and syntactical equivalence in the target language. As
the grammar-translation method merely focuses on word-to-word translation,
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Phonetics 2
the learners in the process of learning language merely learn the mechanical
aspect of translation and not the language and culture of the second language.
x Many a times, the tedious process of memorizing makes the learner frustrated
about the whole process of learning a second language.
The direct method

Another important method of teaching second language is called the direct method. It
is often referred to as the natural method. It evolved due to dissatisfaction with the
grammar-translation method. In the direct method, the attempt is to create a context
similar to that of the mother tongue acquisition (hence, it is sometimes also named the
natural method). It was based on the assumption that the learner of a foreign language
should think directly in the target language. According to this method, for example,
English is taught through English. The learner learns the target language through
discussion, conversation and reading in the second language. This method was
established in Germany and France around 1900. In the US, it is known as Berlitz
method. The main aim of this method is to help the students speak the target language
(L2) fluently and correctly. In other words, the focus of this method is to make the
learner get himself or herself equipped with the conversational aspect of the second
language so that he or she becomes adept in using the second language in his or her
day to day life. Thus, it can be said that there is a complete shift of focus in the direct
method from the grammar translation method as the former is more concerned with
the spoken form of language and the latter with the written aspect.
Characteristic features of the direct method

x Teaching of vocabulary is done through pantomiming real-life objects and
other visual materials. The tedious process of memorizing vocabularies is
prevalent in the grammar-translation method and does not become taxing for
learners. It does not deter them from learning the second language. Thus,
while not giving so much emphasis on memorizing and by making the students
a part of the process of learning through real life objects, the direct method
engages the learners with the second language and makes the learning process
interesting and engaging.
x Teaching of grammar is done by using an inductive approach centrality of
spoken language (including a native speaker like pronunciation), which makes
the learner feel that he or she is growing up to be a part of the speech
community of the target language. As discussed earlier, one of the main
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Phonetics 2
motivations of the second language learner is to learn the language so that he

can be a part of the speech community of the second language.
x The focus is on question–answer patterns.
x Teacher is the centre of learning.
Principles
x Instructions in classroom are given in the second language so that the learners
get the second language from the beginning and gets into the habit of interacting
in the second language.
x The focus is on the everyday vocabulary and sentences during the initial phase;
grammar, reading and writing are introduced in intermediate phase.
x Oral teaching precedes any form of reading and writing as the primary
emphasis is on the spoken form of language.
x Grammar is taught inductively.
x Pronunciation is taught systematically in accordance with the principles of
phonetics and phonology of the second language so that the learner can be a
part of the second language speech community also in terms of pronouncing
the second language exactly in the same manner as the native speaker of the
language.
x The meanings of words and forms are taught by means of object or natural
context.
x Concrete vocabulary is taught through demonstration, objects and pictures;
abstract vocabulary is taught by the association of ideas.
x Both speech and listening comprehensions are taught.
x The focus is on the learner; therefore, they speak at least eighty per cent of
the time.
x Learners are taught from the beginning to ask questions as well as answer
thems.
Advantages
There are many advantages of the direct method. They are as follows:
x This method tries to teach the second language in the same way as one learns
one’s mother tongue. The language is taught through demonstration and
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Phonetics 2
conversation in context. Therefore, students are quick at understanding the

spoken from. It is a natural method which has its benefits.
x The mother tongue is not used and the learner focuses not only on learning
the second language but at the same time tries to grasp it to the fullest.
x This method is based on sound principles of education as it believes in
introducing the particular before general, concrete before abstract and practice
before theory.
Disadvantages
The disadvantages are as follows:
x Many educationists and scholars are of the view that the direct method does
not take into account all aspects of language teaching. It emphasizes on the
written form and neglects the written aspect of language. In other words, it
can be said that this method is not comprehensive enough as language learning
involves acquisition of skills—listening, speaking, reading and writing. The
direct method concentrates on listening and speaking but not reading and
writing. That is why many of those who have learned the second language
through the direct method feel that they do not get adequate command over
written language.
x Its procedures and techniques were difficult for the learner as the instruction
from the beginning is given in the second language which makes the learner
not grasp the instructions.
x Teachers had difficulty in explaining the difficult words as he or she is not able
to use the mother tongue of the learner to explain difficult concepts and words.
x No selection and grading of vocabulary and structures.
x It was a success in private language schools but not in public secondary
schools.
x There was less time and less opportunity available in the classroom.
A comparison between the direct method and the grammar-translation method,
we must take into account the following points:
(i) The direct method:
1. Avoids close association between the second or foreign language and
the mother tongue.
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Phonetics 2
2. Lays emphasis on speech.

3. Follows the child’s natural way of learning a language.
4. Teaches the language by ‘use’ and not by ‘rule’.
5. Does not favour the teaching of formal grammar at the early stage.
(ii) The grammar—translation method:
1. Maintains close association between the foreign language and the mother
tongue.
2. Lays emphasis on speech.
3. Follows the adult’s natural way of learning a language.
4. Teaches the language by ‘rule’ and not by ‘use’.
5. Teaches formal grammar from the very beginning.
Bilingual method
Dr C.J. Dodson developed the bilingual method, which is also known as the sandwich
method. In this method, both L1 and L2 are used as medium of instruction. The
teaching begins with a bilingual approach and then gradually becomes monolingual at
the end. In that sense, the teacher uses both mother tongue (L1) and the target language
(L2) in the classroom during the initial classes and then gradually uses less of L1 to
focus on L2.
There is a three-phase structure of the presentation–practice–production model
followed in the class room where the lesson starts out with the reproduction/performance
of a basic dialogue, and then moves on to the variation and recombination of the basic
sentences and ends up with an extended application. Dodson analysed the most direct
form of access to meaning possible by using oral mother tongue equivalents at sentence
level to convey the meaning of unknown words or structures in a second language.
The following principles are followed in the bilingual method:
x Second language is learnt with the help of L1.
x Mother tongue is not used as translation, but becomes one of the medium
initially for the teachers to begin the process of acquainting the learners with
L2.
x Teacher only uses L1 in the class room, whereas the students are not allowed
to use their mother tongue.
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Phonetics 2
x When the students achieve sufficient communicative proficiency, L1 is

withdrawn by the teacher.
x Syntax is the unit of teaching
Procedure/steps in teaching
1. The teacher begins by reading out a dialogue to the learner(s). The learners
listen to the teacher with their books closed.
2. Next, the learners repeat the lines with the teacher with their books opened
in the second reading.
3. The teacher gives sentence wise or meaningful parts wise L1 equivalents
(meanings).
4. The teacher says each sentence of the dialogue twice with L1 version
(meanings).
Disadvantages
The primary disadvantages of the bilingual method are:
x One of the primary face of the bilingual method is the emphasis on grammatical
structures but not on the day-to-day conversation.
x If the teacher is not well conversant in both L1 and L2, then the whole method
fails.
x Learners become dependent on their mother tongue to some extent, thus
making their process of picking up L2 slower.
The structural-oral-situational approach

The structural-oral-situational approach to second language teaching is a method
developed by British applied linguists, Firth and Halliday. It was popular from the
1930s to the 1960s. This method harps on the structural view of language, where both
speech and structure are the basis of language learning and, especially, the competence
to speak. One of the significant features of the method is the emphasis on vocabulary
and reading skills learning. It is noticed that about two thousand words in English
occur frequently in the language. If these are mastered, they could make one proficient
in a language. Moreover, it is believed that an analysis of English and a classification of
its principal grammatical structures into syntactical patterns will help in internalizing
syntactical rules.
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Phonetics 2
This method held a behaviouristic stand to second language learning as it dealt

with the processes rather than the conditions of learning. These processes encompass
three stages:
x Receiving the knowledge or material
x Fixing it in memory by repetition
x Using it in actual practice until it becomes a personal skill
The principles of the behaviouristic theory of learning are:
1. Language learning is all about habit formation
2. Mistakes should be avoided, as they make bad habits
3. Language skills are acquired in a better way if they are presented orally first,
then in written form
4. Analogy is a better foundation for language learning than analysis
5. The meanings of words can be learned only in a linguistic and cultural context
The approach aims at the following objectives:
1. A practical command of a language in the sense of the spoken from of language
so that the learner becomes fully proficient user of the language to make him
or her similar to that of the native speaker of that language.
2. Accuracy in both pronunciation and grammar.
3. Ability to respond quickly and accurately in speech situations.
4. Automatic control of basic structures and sentence patterns.
The basic important features of this approach are:
1. Learning a language is not only learning its words but also the syntax.
2. Vocabulary is presented through grades.
3. The four skills of LSRW or listening, speaking, reading and writing are
presented in order.
4. Sentence patterns exist and can form the basis of a language course.
5. Classroom teaching and learning are made enjoyable.
6. Concrete linguistic items are taught through demonstration
7. Abstract ideas are taught through association.
8. It helps to develop learners’ competence in the use of structure in L2.
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Phonetics 2
The structural-oral-situational approach uses a structural syllabus and a word list

and relies on structural activities including situational presentation of new sentence
patterns and drills to practice the patterns. A typical structural-oral-situational approach
teaching lesson would start with stress and intonation practice. The main body of the
lesson might consist of four parts:
x Revision (to prepare for new work if necessary)
x Presentation of new structure or vocabulary
x Oral practice (drilling)
x Reading of material on the new structure, or written exercises
Advantages
Although the structural-oral-situational approach of second language teaching was
developed during the 1930s, it still attracts the interest of many teachers. Its strong
emphasis on oral practice, grammar and sentence patterns conform to the intuitions of
many practically oriented classroom teachers.
Disadvantages
x Noam Chomsky thought that the structural and the behaviouristic approaches
to language are flawed and do not account for the basic characteristic of
language namely the creativity and uniqueness of individual sentences.
x Moreover, the situations used in the classroom are not real-life situations and
therefore do not help the learners deal with the language when they are faced
with a real-life situation.
x Another drawback of this method is that the explanations of abstract ideas
become very difficult.
x This method is viable only at the elementary level, but at an advanced stage
this method does not work.
Recent methods
As all the methods discussed earlier have some disadvantages or the other, scholars
and teachers of the second language pondered over the methods and devised a new
way of teaching the second language which they thought to be more effective than the
earlier methods. The new method is called communicative language teaching.
Communicative language teaching (CLT) is a functional approach to language learning.
In 1972, this second language methodology was proposed in Europe. The main aim is
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Phonetics 2
to develop the communicative competency of the learner. Students’ need of

understanding and expressing in the L2 is the main focus of this method.
Objectives of CLT
1. To produce effective communicative competence in learners.
2. The focus is on meanings and functions of the language.
3. More importance on the learner and his learning.
4. The teacher is a facilitator in language acquisitions.
5. Involve the learner in the learning process through problem solving, tasks,
participation and interaction.
All the four LSRW (listening-speaking- reading- writing) skills are equally treated.
CLT involves many classroom activities like group work, pair work, language
games, role play and question answer sessions. It is not confined to any set of text
books. The learners are mostly introduced to task-based and problem-solving situations.
Demerits
1. No single uniform method is prescribed.
2. Different techniques are followed in the process of learning.
3. Several roles are assigned to teachers.
Conclusion
We have gone through some of the methods of second language teaching among
which some of them have become obsolete from a scientific point of view, some
others seem to be more recent, but in fact all of them have their contribution at their
time. However, there are some things which are common in all methods:
1. Their belief to be the best one, and
2. A set of prescriptions that teachers have to follow necessarily.
The teaching learning process cannot follow any prescribed methodology all the
time because it is a reflective and dynamic process which involves constant interaction
among the curriculum, teachers, students, activities, methodology and instructional
materials. Therefore, what is needed is an active role for teachers, who design her or
his own content and tasks, classroom interaction, materials, methodology, evaluation,
etc., instead of a passive role which means dependence on other people’s designs and
methods.
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Phonetics 2
1. Differentiate between acquisition and learning.

................................................................................................................
................................................................................................................
................................................................................................................
2. What are the advantages of the direct method of teaching language?

................................................................................................................
................................................................................................................
................................................................................................................
24.5 SUMMARY
x When a group of two or three consonants occur together in a word without

any vowel between them, it is called a consonant cluster. Sometimes it is
also called a consonant blend. Each letter in the group is pronounced
individually.
x Innatism refers to an approach to understand the process of language
acquisition by infants. In this approach, scholars started the study from the
basic premise that a human child is born with the innate capability to learn
language.
x The social interactionist theory consists of a number of hypotheses on
language acquisition. As the term social interactionism suggests, this theory
believes that children do not learn language only because of some innate
capability that is manifest in them. It also happens because they interact
with the other members of the speech community that they are born in and
grow up.
x While social interactionist theory makes a dual approach in terms of finding
a mid-path between innateness of human beings in picking up language and
the social and linguistic environment of the child, the relational frame theory
(Hayes, Barnes-Holmes, Roche, 2001), provides a wholly selectionist/
learning account of the origin and development of language competence
and complexity. Based upon the principles of Skinnerian behaviorism, the
649
Phonetics 2
relational frame theorists are of the opinion that children acquire language
purely through interacting with the environment.
x Language acquisition depends on the social environment in which one
grows up. A child born in a monolingual social setup picks up one language.
If a child is lucky to be born in a setup where more than one language is
used in everyday conversation, then it becomes easy for him to acquire
competence in two languages. In such cases, the child becomes a bilingual
or a multilingual individual.
24.6 KEY WORDS
x Consonant cluster: It is a group of two or three consonants occurring

together in a word without any vowel between them.
x Innatism: It is the view that the mind is born with certain ideas or
knowledge, as opposed to the idea of the “blank slate” or tabula rasa.
x L1: It is the first language or language which is our mother tongue.
x L2: It is the second language or the one which we want to learn.
x Generativism: It is a linguistic theory that considers grammar to be a
system of rules that generate exactly those combinations of words which
form grammatical sentences in a given language.

1. Many languages do not permit consonant clusters at all. Japanese is also
strict, but it allows exceptions as clusters of consonant plus /j/ as in Tokyo,
the name of Japan’s capital city. Across a syllable boundary, it also allows
a cluster of a nasal consonant plus another consonant, as in Honshû
[honUuÐ] (the name of the largest island) and tempura [tempu}a] (a
traditional dish).
2. Between the age of two and two-and-a-half years, the child begins to
produce a large number of utterances which go beyond the two-word
stage. This is usually classified as ‘multiple-word’ speech. This phase is also
called the stage of telegraphic speech.
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Phonetics 2

1. The learning of second language (L2) is very different from the acquisition
of mother tongue (L1). Most people learn their L2 during their teenage or
adult life. Moreover, they tend to learn the language in an institutionalized
setting. This makes them interact in that language only for a few hours, as
for all other purposes they already know a language (L1) in which they
communicate.
2. The factors which affect the learning of second language are:
x Age
x Sex
x Intelligence
x Aptitude
x Cognitive style
x Personality
x Attitude
x Motivation

1. Difference between acquisition and learning is:
x In acquisition, one gains knowledge by one’s own. But in learning, one
gains knowledge and skill by study (teaching-learning process).
x Mother tongue competence develops in a human beings. Whereas,
one learns the second language.
x Acquisition is done in a very early stage of life within five to six years.
While learning is done in a later stage, mostly after six years.
x Acquisition is an unconscious process. But learning a conscious
decision having a particular purpose.
x The context of acquisition is crucial and meaningful. Context of
learning is not so significant, though it may help.
x Child learns the first language effortlessly. Whereas, motivation is
essential in learning the second language.
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Phonetics 2
2. There are many advantages of the direct method. They are as follows:
x This method tries to teach the second language in the same way as
one learns one’s mother tongue. The language is taught through
demonstration and conversation in context. Therefore, students are
quick at understanding the spoken from. It is a natural method which
has its benefits.
x The mother tongue is not used and the learner focuses not only on
learning the second language but at the same time tries to grasp it to
the fullest.
x This method is based on sound principles of education as it believes in
introducing the particular before general, concrete before abstract and
practice before theory.
1. What do you understand by ‘innatism’?

2. What does the social interactionist theory state?
3. What do you understand by the bilingual method of second language
teaching?
4. What does language acquisition depend on?
5. What do you understand by consonant clusters?
6. Write a short note on any three methods of second language teaching.
7. Discuss the learning factors associated with second language acquisition.
8. State the general approaches in first language acquisition.
Gimson, A.C. 1962. Introduction to English Pronunciation. London: ELBS.

Hockett, C.F. 1960. A Course in Modern Linguistics. California: MacMillan
Books.
Lyons, John. 1981. Language and Linguistics. Cambridge: Cambridge University
Press.
Rajimwale, Sharad. 1997. Introduction to English Phonetics, Phonology and
Morphology. Jaipur: Rawal Publication.
Varshney, R.L. 1977. An Introductory Textbook of Linguistics and Phonetics,
Bareilly: Student Store.
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FICTION

Centre for Distance and Open Learning

Block I Unit-1: An Introduction to Fiction

Block II Unit-6: An Introduction to 19th Century

Block III Unit-11: An Introduction to 20th Century

Block IV Unit-16: Introduction to the Historical

Block V Unit-21: An Introduction to the

UNIT 1 AN INTRODUCTION TO FICTION 3-40

UNIT 2 A HISTORICAL BACKGROUND 41-66

UNIT 3 UNDERSTANDING VARIOUS GENRES OF FICTION

UNIT 4 E-MAIL WRITING 99-112

UNIT 5 WRITING AND REPORTING INTERVIEWS 113-136

UNIT 6 AN INTRODUCTION TO 19TH CENTURY ENGLAND 139-166

UNIT 7 READING THOMAS HARDY’S TESS OF THE

UNIT 9 PARAGRAPH WRITING: COHESION 203-210

UNIT 10 WRITING PROPOSALS, RESEARCH PAPER AND THESIS 211-266

UNIT 11 AN INTRODUCTION TO 20TH CENTURY 269-302

UNIT 12 READING ERNEST HEMINGWAY’S THE OLD MAN

UNIT 13 READING ANIMAL FARM 317-338

UNIT 14 PARAGRAPH WRITING: COHERENCE 339-352

UNIT 15 WRITING INSTRUCTIONS, MANUALS AND

UNIT 16 INTRODUCTION TO THE HISTORICAL BACKGROUND

UNIT 17 READING RAJA RAO’S KANTHAPURA 471-504

UNIT 18 STRESS AND STRESS PATTERN 505-516

UNIT 20 SOUND SYMBOLS 529-548

UNIT 21 AN INTRODUCTION TO THE CASTE ISSUE IN INDIA 551-584

UNIT 22 READING MULK RAJ ANAND’S UNTOUCHABLE 585-602

UNIT 23 PHONETICS 1 603-620

UNIT 24 PHONETICS 2 621-652

Literature as a term is used to describe written or spoken material. It consists of anything

UNIT–1 AN INTRODUCTION TO FICTION

1.2 WHAT IS FICTION?

Fiction is a literary narrative usually in prose. It is based on imagination, and not

Different Ages of Fiction

The Beginning of the English Novel (1719-1770)

Novel of Terror and Romance or Gothic Novel (1764-1818)

Romantic Novel (1790-1832)

Victorian Novel (1830-1900)

20th Century English Fiction (1900-2000)

John Galsworthy (1867-1933), Nobel Laureate, was a very famous novelist

Check Your Progress - 1

1. When did the English novel originate?

2. What was Agatha Christie famous for?

1.3 SHORT STORY

Difference between Short Story and Novel

Check Your Progress - 2

1.4 STATUS OF FICTION WRITING IN INDIA

Modern Indian fiction has seen an increase of feminist writings or woman-

Rabindranath Tagore (1861–1941)

Jawaharlal Nehru (1884–1964)

Toru Dutt (1856–1877)

Pandita Ramabai (1858–1922)

Vijayalakshmi Pandit (1900–1990)

Sarojini Naidu (1879–1949)

Kamaladevi Chattopadhyay (1903–1988)

Mulk Raj Anand (1905–2004)

Mulk Raj Anand

R.K. Narayan (1906–2001)

Narayan’s prose style is full of pathos and humour. Besides mastery in

Khushwant Singh (1915–2014)

Raja Rao (1908–2006)

collection, The Cow of the Barricades (1947). In 1998, he published Gandhi’s

Check Your Progress - 3

1. When was S. Radhakrishnan appointed as a lecturer in the Department of