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A Psychological Approach to Fiction:

Studies in Thackeray, Stendhal, George


Eliot, Dostoevsky, and Conrad 1st
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APSYCHOLOGICAL
APPROACH to FICTION
With a new preface by the author
Originally published in 1974 by Indiana University Press

Published 2010 by Transaction Publishers

Published 2017 by Routledge


2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN
711 Third Avenue, New York, NY 10017, USA

Routledge is an imprint of the Taylor & Francis Group, an informa business

New material this edition copyright © 2010 by Taylor & Francis.

All rights reserved. No part of this book may be reprinted or reproduced or


utilised in any form or by any electronic, mechanical, or other means, now
known or hereafter invented, including photocopying and recording, or in
any information storage or retrieval system, without permission in writing
from the publishers.

Notice:
Product or corporate names may be trademarks or registered trademarks,
and are used only for identification and explanation without intent to
infringe.

Library of Congress Catalog Number: 2009046333

Library of Congress Cataloging-in-Publication Data

Paris, Bernard J.
A psychological approach to fiction : studies in Thackeray, Stendhal, George
Eliot, Dostoevsky, and Conrad / Bernard J. Paris ; with a new preface by the
author.
p. cm.
Originally published: Bloomington : Indiana University Press, 1974.
Includes bibliographical references and index.
ISBN 978-1-4128-1317-4
1. Fiction--19th century--History and criticism. 2. Psychology and literature.
I. Title.

PN3499.P3 2010
809’.3’83--dc22
2009046333

ISBN 13: 978-1-4128-1317-4 (pbk)


To My Mother and The Memory of My Father
Contents

Preface ix
Preface to the Transaction Edition xiii
I The Uses of Psychology: Characters
and Implied Authors 1
II The Psychology Used: Horney,
Maslow and the Third Force 28
III The Psychic Structure of Vanity Fair 71
IV The Transformation of Julien Sorel 133
V The Inner Conflicts of Maggie Tulliver 165
VI The Withdrawn Man: Notes from
Underground 190
VII The Dramatization of Interpretation:
Lord Jim 215
VIII Powers and Limitations of the Approach 275
Notes 291
Index 301
Preface

This is a psychological study of five novels- Vanity Fair, The Red


and the Black, The Mill on the Floss, Notes from Underground, and Lord
jim. Its understanding of neurotic processes is drawn mainly
from the writings of Karen Horney, and its conceptions of health
are based on what Abraham Maslow has called Third Force psy-
chology. Since these theories are not well-known among literary
critics, I have provided a full exposition of them in the second
chapter. This study is concerned neither with authors as histori-
cal persons nor with reader response. It treats each of the novels
discussed as an autonomous work of art; and it uses psychology
to analyze important characters and to explore the consciousness
of the implied author. In the opening chapter, I try to show why
it is both necessary and proper to study certain kinds of charac-
ters and implied authors by a psychological method.
The psychological approach developed here answers a number
of needs in the criticism of fiction. The greatest achievement of
many realistic novels is their portrayal of character, but we have
as yet no critical perspective that enables us to appreciate this
achievement and to talk about it with sophistication. Realistic
novels are often flawed by incoherence and contradiction. In
some, like The Red and the Black and The Mill on the Floss, there is
X Preface

a disparity between representation and interpretation, between


the implied author as a creator of mimetic portraits and the
implied author as analyst andjudge. Movements from one neu-
rotic solution to another are interpreted as processes of growth
and education. The implied authors glorify unhealthy attitudes
which are close to their own, while at the same time showing their
destructiveness. In other novels, like Vanity Fair, the interpreta-
tions are not only inappropriate or inadequate to the experience
dramatized, but they are also inwardly inconsistent. Such works
are thematically unintelligible. The psychological approach em-
ployed here will help us to make sense of thematic inconsisten-
cies, to account for disparities between representation and inter-
pretation, and to evaluate the adequacy for life of the solutions
adopted by characters and implied authors.
This study began with an attempt to discover the unifying
structural principle of Vanity Fair. The more I thought about the
novel, the more clearly I came to see that it lacks a coherent
thematic structure, that the interpretations of experience inher-
ent in its rhetoric are not consistent with each other. As I strug-
gled to understand the novel, I suddenly remembered Karen
Horney's statement that inconsistency is as sure a sign of neurotic
conflict as a rise in temperature is of bodily disorder. A fresh
reading both ofHorney and of the novel bore out my hypothesis
that the inconsistencies of Vanity Fair make sense when they are
seen as manifestations of a neurotic psyche, the structure of
which includes and is, indeed, made up of conflicting attitudes
and impulses. I soon perceived also that the major characters-
Becky, Dobbin, and Amelia-are subtle portraits of troubled per-
sons whose inner lives and patterns of behavior are best under-
stood in terms of Horneyan psychology.
I have subsequently seen that Horneyan theory has wide appli-
cability to literature. Though her psychology (like any other) is
far from providing a complete picture of human nature, Karen
Horney deals astutely with the same patterns of intra-psychic and
Preface xi

interpersonal behavior that form the matter {and often the struc-
ture) of a good many novels and plays. In addition to applying
her theories to the characters and implied authors of five realistic
novels, in Chapters III through VII, I suggest in my concluding
remarks a variety of other possible uses.
The five novels to be discussed here were chosen not only
because they are all helpfully illuminated by Horneyan psychol-
ogy, but also because they offer an interesting variety of personal-
ity types, of modes of characterization, and of narrative tech-
niques. Comparing the novels with each other will help us to
determine the virtues and defects of various modes of narration
and the kinds of insight for which realistic fiction is most properly
a vehicle.
In the course of writing this book I have been fortunate enough
to incur many debts. Theodore Millon first made me aware of
Karen Horney; Max Bruck has helped me to become aware of
myself. I have had the opportunity to discuss Horney's thought
with Doctors Harold Kelman, Helen Boigon, Norman J. Levy,
Isidore Portnoy, Ralph Slater, Bella S. Van Bark, and Joseph
Vollmerhausen, all of whom are practitioners and teachers ofher
theory. Doctors Kelman, Boigon, and Portnoy have read Chapter
II and have given me the benefit of their advice. Abraham Maslow
was kind enough to read this chapter also, and to assure me that
it is accurate.
Herbert Josephs has discussed Stendhal with me many times;
he and Laurence Porter have read my chapter on The Red and the
Black and have shared with me their expert knowledge of the
French text. Denis Mickiewicz has checked my quotations and my
reading of Notes from Underground against the Russian original.
Portions of this work have been read by Michael Steig, Richard
Berchan, Richard Benvenuto, Joseph Waldmeir, Sam Baskett,
Lore Metzger, Barry Gross, E. Fred Carlisle, Avrom Fleishman,
J. Hillis Miller, and Frederick Crews; I am grateful to all of them
for their comments. Michael Wolf, George Levine, Mark Spilka,
xii Preface

and Henry H.H. Remak have provided thoughtful criticisms of


earlier versions of Chapters III, V, and VI in their capacity as
readers for Victorian Studies, Novel, and PMLA; such service is not
frequently enough acknowledged. Herbert Greenberg has off-
ered me the kind of dialogue without which the mind does not
grow and the spirit sags.
I am grateful to Michigan State University for a sabbatical leave
and to the National Endowment for the Humanities for a Fellow-
ship which gave me the time to write this book. A grant from the
Norman J. Levy foundation permitted me to visit New York for
conferences with the Horneyan psychiatrists named above. Typ-
ing, photocopying, and other clerical assistance have been paid
for by All-University Research Grants from Michigan State Uni-
versity.
The portions of my study which have appeared in Novel, Vic-
torian Studies, The Centennial Review, and PMIA are included here,
in revised and expanded form, with the kind permission of the
editors of these journals.
My deepest debts are to my wife, whose objections have taught
me more than the praise of others, and to Alan Hollingsworth,
who has believed in what I am doing more than anyone else and
who has given me unfailing encouragement and support.
BJP
Preface to the Transaction Edition

In this book, I laid the foundation of a psychological approach to literature


that has proven to be useful in studying many authors and works and in
addressing a variety of critical issues. The original Preface provides an
introduction to the book with which I remain satisfied, but I should like
to expand my discussion of how I came to develop this approach and to
give a brief account of its subsequent applications.
A Psychological Approach to Fiction (1974) was my second book. My
first was Experiments in Life: George Eliot’s Quest for Values (1965),
a revised version of my doctoral dissertation. I did my graduate work at
The Johns Hopkins University at a time when the history of ideas was
being combined with close explication of texts, and Experiments in Life
reflected my training. It analyzed George Eliot’s novels in relation to her
ideas and her ideas in relation to her intellectual milieu. Its predominant
concerns were thematic, and it saw Eliot’s novels as efforts to discover
enduring values that were naturalistically based. There was no interest in
psychology in my graduate program, and I had no training in it. How did
I come, then, to write a book about a psychological approach to fiction
that contained an analysis of The Mill on the Floss that was so different
from my original one?
I left graduate school with my dissertation incomplete and took a
position at Lehigh University, where I became friendly with Theodore
xiv Preface to the Transaction Edition

Millon, then an assistant professor in the Department of Psychology. Ted


urged me to read Karen Horney, Erich Fromm, and Harry Stack Sullivan,
whose theories, he thought, would be of value to students of literature. I
was so busy teaching and writing my dissertation that I had no time for
such reading; but I gave the books Ted suggested to my wife, who was
especially enthusiastic about Horney.
When I finished my dissertation, I was given a graduate course to
teach, which I devoted to George Eliot and Thomas Hardy. While I was
writing the dissertation, I was enthusiastic about George Eliot’s Religion
of Humanity, which I expounded with a proselytizing zeal that annoyed
some members of my committee. I was quite excited by the opportunity
to teach George Eliot, to preach her gospel to a live audience. I was be-
wildered, therefore, to find that my enthusiasm for her ideas had faded
and that I did not get the thrill I had expected from propounding them. I
thought I had understood them correctly, and I had no specific criticisms,
but they no longer excited me as they had done.
I think that Karen Horney had such a powerful impact on me because
I first read her at this time, and she helped me to understand the shift
in my attitude toward George Eliot. Horney describes the defensive
strategies we adopt when our basic needs for safety, love, and esteem
have not been well met. These strategies are of two kinds, interpersonal
and intrapsychic. The interpersonal strategies involve moving toward,
against, or away from other people, becoming compliant, aggressive,
or detached. Each strategy carries with it a repertory of behaviors and a
constellation of beliefs about human nature, human values, and the world
order. Intrapsychically, we develop an idealized image of ourselves that
is based on our predominant interpersonal solution, and we embark on
a search for glory in which we try to actualize that image. The idealized
image generates what Horney calls the pride system. We take pride in the
exalted qualities we have attributed to ourselves, we drive ourselves to
manifest those qualities (“shoulds”), and we demand that others treat us
in accordance with our grandiose self-conception (“claims”). If we fail to
live up to our “shoulds” or our “claims” are not honored, our defensive
strategy is threatened, and we may experience a psychological crisis.
Preface to the Transaction Edition xv

Horney’s is a theory of inner conflict. Although one strategy becomes


predominant, the conditions that gave rise to it also give rise to the others.
This produces inconsistent behavior and contradictions within our ideal-
ized image. We may be caught in a crossfire of conflicting “shoulds,” so
that we become uncomfortable with ourselves whatever we do because
in obeying one set of inner dictates we are bound to violate others. If
our predominant strategy fails, we may embrace one of our subordinate
solutions and feel that we have undergone a conversion. This very brief
account is far from doing justice to Horney’s ideas—there is a much
fuller account in Chapter 2 of this book and a fuller one yet in my 1994
biography of Horney; but it may be enough to help me explain how
Horney enabled me to understand my loss of enthusiasm for the value
system George Eliot advanced in her novels.
For a variety of reasons that I need not go into here, I grew up with a
need to be a high achiever, to do great things. Being a graduate student at
Johns Hopkins fit in with my search for glory. The program was notori-
ously selective and demanding, and very few students completed it. Only
five of the eighteen members of my entering class obtained the Ph.D.,
and that was an unusually high percentage. Succeeding in this program
would make me the very special person I craved to be. I survived the
first two years but ran into trouble on my doctoral orals, during which
I frequently went blank—for reasons I uncovered many years later in
therapy; and I had to retake two of the fields.
This experience was traumatic: it crushed my pride, threatened my
ambitions, and made my dissertation extremely difficult to write. It had
to be perfect if it was to vindicate me, and nothing I wrote seemed good
enough. I did complete it, however, when I was threatened with the loss
of my job; and it was received very well. It was at this point that I taught
George Eliot and found that my enthusiasm for her ideas had mysteri-
ously disappeared. This disturbed me a great deal. While I was writing
my dissertation, I subscribed to George Eliot’s beliefs and knew what I
thought about everything. Now I was confused.
Reading Horney helped me to understand what had happened. I had
been arrogant and ambitious and had sacrificed my human relation-
xvi Preface to the Transaction Edition

ships to my need for academic glory. What had initially appealed to me


about George Eliot was her search for secular values, for a source of
meaning in a universe without a supernatural presence. What I found
in the course of writing my dissertation was a philosophy of living for
others, of giving significance to our lives by setting our own needs
aside and helping others to fulfill theirs. Horney helped me to see that
this spoke to me powerfully at the time because my pride had received
a great blow on the orals; and needing to cope with my sense of failure
and the possible frustration of my ambitions, I had changed defensive
strategies. I would be a good husband, son, father, and teacher; instead
of pursuing my own glory, I would give meaning to my life by living
for other people. George Eliot’s religion of humanity was exactly what
I needed, and I embraced it with ardor. All the while I was trying to
work eighty hours a week, I was ignoring my wife and daughter, and
my students complained in their evaluations that I seemed to feel that I
was wasting my time teaching them. I did feel that way; their impres-
sions were correct. I was full of inner conflicts, and there was a disparity
between my behavior and the values I had consciously embraced and
was propounding in my dissertation.
The defense of my dissertation was a triumph. I was told that my
study of George Eliot should be published, and I was invited to return
to Johns Hopkins for post-doctoral work in philosophy. My pride was
restored; the disgrace of the oral exam was erased, and I was once more
in pursuit of my ambitions. The successful completion of the dissertation
in which I had embraced the self-effacing defense of being humble and
self-sacrificial did away with my need for that defense—hence, my loss
of enthusiasm for George Eliot’s Religion of Humanity when I had the
chance to talk about it in the classroom. By the time I wrote the analysis
of The Mill on the Floss that is contained in this book, I had arrived at a
very different perspective. I have told the full story of my shifting views
in Rereading George Eliot: Changing Responses to Her Experiments in
Life (2003).
I completed my dissertation in1959 and spent the next five years revis-
ing it and seeing it through the press. I was in therapy for much of that
Preface to the Transaction Edition xvii

time and kept changing too constantly to write anything new. I moved
to Michigan State University in 1960 and knew that I had to publish, but
writing my dissertation had been such an ordeal that I did not want to go
through that again. I had come out of graduate school with enough mate-
rial to give me some breathing space, but I was afraid that I would not be
able to write anything new unless I again had my back to the wall.
I went into therapy to get help with my difficulty writing but discov-
ered, of course, that I had many more problems that needed to be resolved.
Although my therapist was not a Horneyan, I kept reading Horney, who
seemed to be writing about me; but I made no connection between what
I was learning about human behavior and my professional activity as a
teacher and critic of literature.
Then in 1964 I had an “aha” experience that led to the writing of this
book and to all of my subsequent work. While teaching Vanity Fair from
a thematic perspective, I found it to be full of inconsistencies of which
I was unable to make any sense. In the process of preparing my notes,
I suddenly remembered Horney’s statement that inconsistencies are as
sure a sign of inner divisions as a rise in body temperature is of a physi-
ological disorder; and in the next instant I began to see that the novel’s
thematic contradictions do make sense as part of a system of psychologi-
cal conflicts. As I continued to ponder the novel, I realized that Becky,
Dobbin, and Amelia are brilliantly drawn characters whose motivations
and personalities are also illuminated by Horney’s theories.
While I was revising my dissertation for publication, I did not reread
George Eliot’s fiction because I did not want to take the chance of find-
ing that I no longer agreed with what I had written; but by1964 the book
was in press; and while teaching The Mill on the Floss, I read the novel
again. I found myself arguing with George Eliot’s rhetoric, which I had
embraced before, but being awe-struck by her mimetic portrait of Maggie,
which I had entirely missed in my earlier readings. At that time I was
teaching not only Victorian literature but also courses in comparative
fiction, involving novels from a variety of national literatures; and as I
saw the books I was teaching from my new psychological perspective,
the idea for this study began to form.
xviii Preface to the Transaction Edition

This book was a long time in the making—it was published nine
years after my first because I had to continue my education in order to
qualify myself to write it. I did a great deal of reading in psychological
theory and sat in on courses in the Psychology Department at Michigan
State. I consulted with Horneyan analysts and submitted drafts of my
chapters to them for comment. In the course of my reading, I discovered
a number of other theorists who are highly compatible with Horney and
who, together with her, belong to Third Force or Humanistic Psychol-
ogy. These include Erich Fromm, Carl Rogers, Ernest Schachtel, and
especially Abraham Maslow. I sent a draft of Chapter 2 of this book
to Maslow, who enthusiastically wrote back that it was “excellent and
accurate.” Given my lack of formal training in psychology, I needed
assurance that I knew what I was talking about. I deepened my study
of literary theory as well so that I could explore the implications of my
approach and place it in relation to others.
Once I began to look at literature from a Third Force perspective, I
felt that I should try out other modes of psychological criticism. I offered
courses in which I employed a variety of theories, as did colleagues with
whom I sometimes team-taught. I came to realize that while Third Force
psychology works really well with numerous literary texts, there are also
many with which other theories are a better fit; and I utilized whatever
theory seemed most appropriate for what I was teaching. Although I have
used a wide range of theories in the classroom, in writing I have confined
myself to the ones I feel that I understand best, both intellectually and in
terms of my own experience.
I have also confined myself to texts with which the theories I use seem
highly congruent. Many authors have intuitively grasped and mimeti-
cally portrayed the same patterns of thought, feeling, and behavior that
Third Force psychology helps us to comprehend conceptually. No theory
accounts for everything—the human psyche is too complex and multi-
faceted for that; but Horney and Maslow deal with major components of
human psychology and illuminate works from a wide variety of periods
and national literatures. Maslow’s hierarchy of basic needs manifests
itself differently in different times and societies, but it seems to be an
Preface to the Transaction Edition xix

essential feature of human nature. Horney’s interpersonal solutions are


highly evolved forms of the basic strategies of defense in the animal king-
dom—fight, flight, and submission. They, too, are to be found in various
forms in various cultures. Self-idealization and the pursuit of glory are
portrayed in literature from early times to the present, and every society
has many kinds of glory systems. Literature focuses on characters in con-
flict with themselves and each other, and the dynamics of such conflicts
are often clarified by Horney’s theories. As I have said, Horney has been
especially useful in helping me to make sense of inconsistencies that fre-
quently appear in literary works and to recover psychological intuitions
that are often obscured by authors’ interpretations and judgments.
One of the most splendid achievements of realistic literature is its
mimetic portrayal of character, but criticism tends to look through the
characters to their formal and thematic functions rather than at them in
all their human complexity and richness. Psychoanalytic critics analyze
characters’ motivations, of course; but their theories often require them
to account for the behavior of adults by positing infantile origins that are
not depicted in the text. Horney explains behavior in terms of its function
in the present structure of the psyche, its role in the individual’s defenses
and inner conflicts. Realistic fiction often provides the information we
need for such explanation in very great detail. There is no need to posit
originating events that are outside of the work.
In the concluding chapter of this book, I discuss the powers and
limitations of the approach it introduces. In my subsequent work, I have
continued to develop the applications of the approach. In my next book,
Character and Conflict in Jane Austen’s Novels (1978), I discuss not
only Austen’s wonderful mimetic creations and the tensions between
them and the formal and thematic components of her novels, but also
the authorial personality that can be inferred from all of her writings and
the defenses and inner conflicts of that personality.
Third Force Psychology and the Study of Literature (1986) is a col-
lection of essays by my students, colleagues, and me that explore issues
raised by the use of Third Force psychology, including the dynamics of
literary response. In addition to theoretical essays, there are discussions
xx Preface to the Transaction Edition

of works by Charles Dickens, Charlotte Brontë, Robert Browning, D.


H. Lawrence, Graham Green, William Faulkner, William Styron, Saul
Bellow, Tim O’Brien, and Jerzy Kosinski.
After completing my study of Jane Austen, I spent the next decade
immersing myself in Shakespeare, teaching his plays, and writing two
books on his works. Bargains with Fate: Psychological Crises and
Conflicts in Shakespeare and His Plays (1991) begins with an analysis
of the four major tragedies as plays about characters who are in a state
of psychological crisis as a result of the breakdown of their predomi-
nant strategy of defense. Each strategy Horney describes involves a
magic bargain in which if we live up to the dictates of our solution
(our “shoulds”), our claims will be honored; and we will receive what
we feel to be our just deserts from the world. When our bargains break
down as a result of the frustration of our claims or our failure to live
up to our inner dictates, we may experience a psychological crisis and
engage in destructive behavior in an effort to repair our defenses. This
is what happens, I argue, to Hamlet, Othello, King Lear, and Macbeth,
as well as to some other characters in these plays.
In the second half of Bargains, I analyze Shakespeare’s authorial per-
sonality by reading the entire corpus as though it were the expression of
a single developing psyche with its own bargains, crises, and conflicts.
The psychological traits of the authorial personality may or may not be
those of the historical person. In the case of Shakespeare, there is not
enough independent biographical evidence to enable us to be certain; but
I feel that my analysis of his authorial personality probably sheds light
on Shakespeare the man. Bargains with Fate has also been reissued by
Transaction Publishers and is once more in print.
In Character as a Subversive Force in Shakespeare: The History and
Roman Plays (1991), I argue that in most of these dramas Shakespeare
employs a powerful rhetoric that is designed to shape the moral, intel-
lectual, and emotional responses of the audience, but that this rhetoric
is frequently undermined by its own inconsistencies and by mimetic
characters who develop a life of their own and subvert their aesthetic and
illustrative functions. The conflicts of the rhetoric with itself and with
Preface to the Transaction Edition xxi

the psychological portraiture generate disagreements among interpreters,


since some respond to one set of signals, some to another, and some to
all of a play’s contradictory messages.
While I was working on Shakespeare, I was frequently asked why
I was using Horney instead of psychological theories more commonly
employed in literary criticism. This led me to write Karen Horney: A
Psychoanalyst’s Search for Self-Understanding (1994), which started out
as a case for the value of Horney’s thought and turned into a psychobi-
ography, a Horneyan analysis of Horney as it were. Bringing together
Horney’s personal history, her conflicts, and her evolving ideas, I examine
how her inner struggles both inspired her theories and are revealed by
them. Her personal problems induced her to embark on a search for self-
understanding, the record of which is contained first in her diaries and then
in her psychoanalytic writings. Horney’s insights arose from her efforts
to relieve her own pain, as well as that of her patients. If her suffering
had been less intense, her insights would have been less profound.
Imagined Human Beings: A Psychological Approach to Character and
Conflict in Literature (1997) emphasizes some things that my previous
books do not, such as plot and narrative technique; and it applies the ap-
proach to a wider range of literary texts, including works by Sophocles,
Chaucer, Shakespeare, Dickens, Flaubert, Charlotte and Emily Brontë,
Henrik Ibsen, Thomas Hardy, Kate Chopin, and John Barth. It explores
the tensions between form, theme, and mimesis in both education and
vindication plots and the ways in which conflicts between representation
and interpretation can be either exacerbated or reduced by the choice of
narrative technique.
In Rereading George Eliot: Changing Perspectives on Her Experi-
ments in Life (2003), I reexamine Middlemarch and Daniel Deronda from
my psychological perspective, much as I have done in the present volume
with The Mill on the Floss. I analyze why I saw George Eliot as I did in
my earlier book and try to account for my shifting attitudes. I use myself
as a case history in exploring the psychology of literary response.
In Conrad’s Charlie Marlow: A New Approach to “Heart of Dark-
ness” and Lord Jim (2005) and Dostoevsky’s Greatest Characters: A
xxii Preface to the Transaction Edition

New Approach to “Notes from Underground,” Crime and Punishment,


and The Brothers Karamazov (2008), I greatly expand the discussions
of Conrad and Dostoevsky in Chapters 6 and 7 of the present study and
analyze other works by these writers. The psychological perspective I
employ in these books makes them quite different from the existing body
of criticism on these authors. In the book on Dostoevsky, I show how
my approach differs from that of Bakhtin.
My most recent book is Heaven and Its Discontents: Milton’s Char-
acters in Paradise Lost, also published by Transaction. This book also
uses the psychological approach initiated here, though less systematically
than in some of my earlier work. It focuses on God, Satan, Adam, and
Eve as brilliantly drawn, inwardly motivated characters and explores their
inner conflicts, their relations with each other, and the ways in which
they tend to subvert their thematic roles. The main figures of the epic
almost always have been discussed primarily in terms of their illustra-
tive functions, and Milton’s genius in mimetic characterization has been
largely ignored. I argue that the poem has given rise to such persistent
critical controversy in part because Milton’s psychological portraits of
his characters have lead many readers to interpretations and judgments
different from his.
A Psychological Approach to Fiction opened a rich vein of inquiry for
me and for others as well. For more information about the Third Force
approach, and particularly the applications of Horney’s theories, please
visit my web site (at http://grove.ufl.edu/~bjparis) and the web site of
the International Karen Horney Society (http://plaza.ufl.edu/bjparis).
There is a review of the uses of Horney’s theories in the study of litera-
ture, biography, culture, and gender in Appendix A of Karen Horney:
A Psychoanalyst’s Search for Self-Understanding (1994), which was
updated and posted on my web site in 2004. There remains much room,
I believe, for further interdisciplinary applications of this powerful
analytic tool.

BJP
Gainesville, Florida
August 2009
Chapter I

The Uses of Psychology:


Characters and Implied Authors

Norman Holland finds it "hard to see how a psychology [can]


deal with a work of art qua work of art," and observes that in
practice psychoanalytic critics "do not." 1 Psychology cannot con-
sider works of art in themselves, he argues, because psychology
as such is concerned "not with literature, but with minds" (p.
293). "Any psychological system," therefore, "must deal, not
with works of art in isolation, but with works of art in relation to
man's mind" (p. 151 ). The "three possible minds to which the
psychological critic customarily refers" are the author's mind, a
character's mind, and the audience's mind. It is only the study of
the audience's mind, Holland feels, that can lead "to a bona-fide
method; the other two tend to confusion" (p. 294). I believe that
there are two kinds of minds within realistic novels that can be
studied in psychological terms: they are the minds of the implied
authors and the minds of the leading characters.
Holland argues that "we should use psychology on our own
real and lively reactions" to the work "rather than on the charac-
ters' fictitious minds" (p. 308). He feels that character study is
useful and legitimate only when it is incorporated into our analy-
sis of the audience's mind. Then it is seen to "identify 'latent
impulses' of the characters which may be considered as stimuli
2 A Psychological Approach to Fiction

to or projections of latent impulses of the audience" (p. 283).


Character study is not legitimate when, as in most psychological
criticism, it talks "about literary characters as though they were
real people" (p. 296). Holland's strongest argument in support
of this position is that "Homo Fictus and Homo Dramaticus do
not so much what Homo Sapiens would do in similar circum-
stances, but what it is necessary for them to do in the logical and
meaningful realities of the works of art in which they live" (pp.
305-306). The artist "hovers between mimesis, making like, and
harmonia, the almost musical ordering of the events he depicts .
. . . The psychoanalytic critic of character neglects the element
of harmonia, the symbolic conceptions that must modify the mi-
metic" (p. 306). Other critics of literature have learned to avoid
this mistake: " ... as a plain matter of fact, most literary critics
do not-any more-treat literary characters as real people" (p.
2g6). 2
Holland is participating in what W. J. Harvey calls "the retreat
from character" in modern criticism, a retreat which Harvey's
book, Character and the Novel, is intended to halt. "What has been
said about character" in the past forty years, Harvey observes,
"has been mainly a stock of critical commonplaces used largely
to dismiss the subject in order that the critic may turn his atten-
tion to other allegedly more important and central subjects-
symbolism, narrative techniques, moral vision and the like."3 In
the criticism of realistic fiction this has been especially unfortu-
nate, for "most great novels exist to reveal and explore charac-
ter" (p. 2 3). There are many reasons for this retreat, Harvey
continues, the most important of which is the rise of the New
Criticism:

The New Criticism was centrally concerned to apply close and


rigorous analytical methods to lyric poetry; it is noticeable how ill
at ease its practitioners have been when they have approached the
bulky, diffuse and variegated world of the novel. What we might
The Uses of Psychology: Characters and Implied Authors 3

expect is in fact the case; the new critic, when dealing with fiction,
is thrown back upon an interest in imagery, symbolism or struc-
tural features which have little to do with characterization. (p. 200)

The danger that the critic of novels must now be warned against
is not the neglect of harmonia, but the neglect of mimesis; for
harmonia has had its due of late, and "a mimetic intention" was,
after all, "the central concern of the novel until the end of the
nineteenth century" (p. 205).
No study of character should ignore the fact that characters in
fiction participate in the dramatic and thematic structures of the
works in which they appear and that the meaning of their behav-
ior is often to be understood in terms of its function within these
structures. The less mimetic the fiction, the more completely will
the characters be intelligible in terms of their dramatic and the-
matic functions; and even in highly realistic fiction, the minor
characters are to be understood more functionally than psycho-
logically. But, as Harvey points out, the authors of the great
realistic novels "display an appetite and passion for life which
threatens to overwhelm the formal nature of their art" (pp. 187-
188). There is in such novels "a surplus margin of gratuitous life,
a sheer excess of material, a fecundity of detail and invention, a
delighted submergence in experience for its own sake" (p. 188).
The result is "that characterization often overflows the strict
necessities ofform" (p. 188). This is especially true in the charac-
terization of the protagonists, of"those characters whose motiva-
tion and history are most fully established, who conflict and
change as the story progresses ... " (p. 56). What we attend to
in the protagonist's story "is the individual, the unique and
particular case . . . . We quickly feel uneasy if the protagonist
is made to stand for something general and diffused; the more
he stands for the less he is" (p. 67). Though such characters
have their dramatic and thematic functions, they are "in
a sense ... end-products"; we often feel that "they are what
4 A Psychological Approach to Fiction

the novel exists for; it exists to reveal them" (p. 56).


The retreat from character of which Harvey complains has
been in part a reaction against reading plays, stories, impres-
sionistic novels, and other tightly structured or basically symbolic
works as though they were realistic fiction. This has frequently
resulted, ironically, in the study of realistic novels as though they
were tightly structured or basically symbolic forms. In our avoid-
ance of what Northrop Frye would call a low-mimetic provincial-
ism, we have often failed to do justice to the low-mimetic forms
themselves.
Fortunately, the most recent trend in literary criticism has been
to emphasize the qualities that distinguish the literary modes and
kinds from each other. In the study of narrative art, we are learn-
ing to appreciate a variety of forms and effects; and this, in turn,
is enabling us to grasp the distinctive characteristics of each form
with greater precision. 4 We are coming to see, among other
things, that character is central in many realistic novels and that
much of the characterization in such fiction escapes dramatic and
thematic analysis and can be understood only in terms of its
mimetic function. A careful examination of the nature of realistic
fiction as modern criticism is coming to conceive it will show that
in certain cases it is proper to treat literary characters as real
people and that only by doing so can we fully appreciate the
distinctive achievement of the genre.

The diversity of aesthetic theories and of critical approaches is


in part a reflection of the multiplicity of values to be found in
literature and in part a product of the varying interests and tem-
peraments with which different critics come to literature. Not all
approaches are equally valid: the most satisfying kind of criticism
is that which is somehow congruent with the work and which
is faithful to the distribution of interests in the work itself.
The approach employed here attempts to stress values which
are inherently important in realistic fiction and to make these
The Uses of Psychology: Characters and Implied Authors 5

values more accessible to us than they hitherto have been.


The primary values of fiction can be described in a variety of
terms; I shall classify them as mimetic, thematic, and formal.
Fiction is mainly concerned with the representation, the interpre-
tation, and the aesthetic patterning of experience.5 In different
works and in different fictional modes the distribution of empha-
sis varies; and in some works one of these interests may be far
more important than the others. When a work concerns itself
seriously with more than one of these interests, it must bring its
various impulses into harmony if it is to be organically unified.
From the middle of the eighteenth to the beginning of the
twentieth century, the novel attempted, by and large, to realize
all of these values; but its primary impulse seems to have been
the mimetic one. Henry James is reflecting not only his own taste,
but the essential nature of the genre when he characterizes the
novel as "a picture" and proclaims that "the only reason for the
existence of a novel is that it does attempt to represent life."6 It
is not its interpretation of life or its formal perfection but its "air
of reality (solidity of specification)" that James identifies as "the
supreme virtue of a novel" (p. 14). Arnold Kettle distinguishes
between the moral fable, which is dominated by "pattern" or
"significance" and the novel, in which "pattern" is subordinate
to "life." Despite a frequently strong commitment to thematic
interests, the great realists, says Kettle, "are less consciously
concerned with the moral significance oflife than with its surface
texture. Their talent is devoted first and foremost to getting life
on to the page, to conveying across to their readers the sense of
what life as their characters live it really feels like. " 7
The view of realistic fiction that we are developing is confirmed
by such classic works on the subject as Ian Watt's The Rise of the
Novel and Erich Auerbach's Mimesis. Formal interests cannot be
paramount in a genre that, as Watt describes it, "works by ex-
haustive presentation rather than by elegant concentration." 8
Like E. M. Forster, Watt sees "the portrayal of 'life by time' as
6 A Psychological Approach to Fiction

the distinctive role which the novel has added to literature's more
ancient preoccupation with portraying 'life by values' " (p. 22).
The domain of the novel is the individual and his social relation-
ships, and it tends to present its subject less in terms of ethical
categories than in terms of chronological and causal sequences.
The distinctive characteristics of the novel are, for Watt, its em-
phasis upon the particular, its circumstantial view of life, and its
full and authentic reporting of experience (pp. 31-32).
To our statement that the novel's primary impulse is a mimetic
one, we must add the qualification that the reality imitated is not
general nature or the world ofldeas, but the concrete and tempo-
ral reality of modern empirical thought. The novel came into
being in a world dominated by secularism and individualism, a
world in which men were losing their belief in the supernatural
and institutional bases of life. "Both the philosophical and the
literary innovations," says Watt, "must be seen as parallel mani-
festations of a larger change-that vast transformation of West-
ern civilization since the Renaissance which has replaced the
unified world picture of the Middle Ages with another very differ-
ent one-one which presents us, essentially, with a developing
but unplanned aggregate of particular individuals having particu-
lar experiences at particular times and at particular places" (p.
31).
For Erich Auerbach the foundations of modern realism are,
first, "the serious treatment of everyday reality, the rise of more
extensive and socially inferior human groups to the position of
subject matter for problematic-existential representation"; and,
second, "the embedding of random persons and events in the
general course of contemporary history, the fluid historical back-
ground. "9 Throughout A1irnesis Auerbach is concerned with the
contrast between the classical moralistic and the problematic
existential ways of presenting reality. The distinction is basically
between the representation of life in terms of fixed canons of
style and of ethical categories which are a priori and static, and
Another random document with
no related content on Scribd:
— Salon poikain, salon poikain.
— Keiden kanssa?
- Salon tyttöin, salon tyttöin.
— Älä narraa!
— Narri itse, narri itse.

Näin ne käet kukkuvat. Vaan mitäpä yksin käen kukunnoista.


Tiedättehän tytöt, että salon pojat teistä pitävät, teitä rakastavat. He
teitä omikseen odottavat kuin odottaa maamies hyvää viljavuotta,
lapset mansikkasuvea, taikka nuoruus kevään tuloa, elämä
henkeänsä.

ENSIMÄINEN TYTTÖ:

Meitä pilkkaamaanko olette tulleet?

Salon lapsia. 2

ENSIMÄINEN POIKA:

Kuinka voitte tuommoista ajatellakaan! Kauvan, kauvan on


salonpoikain silmä tänne tähdännyt, sydän täällä asunut. Vaan he
eivät ole uskaltaneet, he ovat vaan loitolta katselleet kuin kukkaa
vinhan virran tuolla puolen. Vaan nyt he vihdoinkin ovat käen neuvon
mieleensä panneet ja tulleet varmuutta saamaan. (Laulavat):

Laulu u;o 9 sävel u:o 10.

Kunnahalla, kukkulalla
Ompi meidän majamme;
Tulkaa, tulkaa tyttö armaat
Jakamaan se kanssamme.
Iloks’ tulkaa äityellen,
Meille päivän paisteheks’;
Tulen tuojaks’ tupasehen
Valkeaisen vaalijaksi.

Korkea ei kotisemme,
Suuri myös ei sukumme,
Honkaseinä pirttisemme
Tehty järven rannalle.

Pirtin päässä petäjikkö,


Tuomi tuvan takana,
Pihamaalla pihlajikko,
Kankahalla kanerva.

TYTÖT (laulavat).

Laulu n:o 10, sävel u:o 11.

Ei ne vielä miehelähän
Nämä tytöt jouda,
Pitkät päivät miehelässä,
Pirtin nurkass’ routa.

Routa pirtin nurkkasessa,


Apen mieless’ halla,
Jospa sinne menisimme
Hupsut oltais vallan.

ENSIMÄINEN POIKA:
Jo nyt laskette leikkiä. Ette ole kuulleet kaikkea, mitä käki on
kukkunut.

ENSIMÄINEN TYTTÖ:

Ne teidän käet, hahhaa! No mitä ne vielä ovat olleet kukkuvinaan?

ENSIMÄINEN POIKA:

Näin ne kukkuvat:

— Yksin yksin
— Mitä yksin?
— Yksin neito kotonansa, kuni kulopetäjä palolla.
— Kaksin kaksin.
— Mitä kaksin?
— Kaksin kaunis olla, kaksin lintusten metsässä.

ENSIMÄINEN TYTTÖ:

Äläppäs! Olen minäkin käkiä kuullut ja niitä on tavallisesti kaksi ja


se toinen aina lisää jotakin jatkoksi. Kuules, näin ne kukkuvat:

— Ensimäinen käki: kaksin kaksin kaunis olla


— Toinen käki: Kun saa toistaan höyhennellä.

ENSIMÄINEN POIKA:

Joutavia! — Kaksin huuletkin kaunihimmat.

ENSIMÄINEN TYTTÖ:
Kun ovat eri paria.

ENSIMÄINEN POIKA:

Kaksin silmätkin somemmat.

ENSIMÄINEN TYTTÖ:

Päässä kierosilmäisen.

ENSIMÄINEN POIKA:

Kaksin aidanseipähätkin.

ENSIMÄINEN TYTTÖ:

Kumpikin omaan puoleensa punnistavi, sidevitsat katkaisevi.

ENSIMÄINEN POIKA:

Kutti, jo puhuit itsesi pussiin! Jos niin olisi, eipä sitte aidat pystyssä
pysyisi ja kun kaatuisi, niin kaatuisi kahtaanne päin. Vaan kuuleppas
sinä sanasutkija: sinunpa kanssasi minä haluaisin tulla saman
sidevitsan liittämäksi. Usko pois, en minä aivan pahoin puoleeni
punnistaisi.

ENSIMÄINEN TYTTÖ:

Vai et punnistaisi! Kyllä teidät tunnetaan: mesi kielellä kosijan.


Haluatko kuulla mitä tämä tyttö ajattelee? Näin (laulaa):

Laula u:o 11, sävel n:o 12,


Valkea ompi kesäpäivä,
Kesäpäivä, kevätpäivä,
Valkea ompi kesäpäivä
Frallala, lallallaa.
Kotona neito valkeampi,
Neitosen valta valkeampi
Emon armaan kodissa.

Kotona neito mansikkana,


Mansikkana, vaapukkana,
Kotona neito mansikkana
Frallala, lallallaa.
Pitempi paljon piha ompi,
Kynnyskin hirttä korkeampi
Miniänä miehelässä.

Nyt sen kuulit!

ENSIMÄINEN POIKA:

Kuulin kyllä, vaan sanotaan että lintu joskus laulaa kielensä


kerkeyttä, ei aina sydämensä syvyyttä.

TOINEN POIKA:

Ja mitä sanoo minun tyttöni?

TOINEN TYTTÖ:

Mitäpä minä sanoisin! Minähän olen niin nuori, tämmöinen tyttö


hupakko.
(Laulaa):
Laulu n:o 12, sävel 13, 14 ja 15.

(Sävel n:o 13.)


Oon kuin kasvava kataja
Tahi tuore tuomen latva;
(Sävel n:o 14.)
Isä kutsuu kuutamoksi,
Äiti päivän paisteheksi.
Puol’ on päätä palmikolla,
Puoli palmikoitsematta;
(Sävel n:o 15.)
Viel' on marjat poimimatta,
Kesken leikit leikkimättä;
Viel’ en jouda vierahalle
Tasaisesta taattolasta.

ENSIMÄINEN POIKA:

Taisimmepa saada rukkaset.

TOINEN POIKA:

Siltä kuulostaa.

ENSIMÄINEN POIKA:

Vaan minkäs sille; jätetään sikseen se asia. — Äiti käski


kertomaan teille paljo terveisiä ja sanomaan ettei tie salotorppaan
käy minkään ylipääsemättömän vuoren poikki.

ENSIMÄINEN TYTTÖ:
Kiitoksia, kiitoksia! Mitenkä jaksaa äitivanhuksenne? Emme ole
moniin aikoihin hänestä mitään kuulleet. Olen aivan utelias.

ENSIMÄINEN POIKA:

Kiitos kysymästä. Eipä niistä äidin jaksamisista kehuen ole, niin on


vointi kuin sammuva illanrusko tahi kuloheinän kuiva latva. Yksin on
äitiparka, aivan liiaks askaretta vanhuksella.

ENSIMÄINEN TYTTÖ:

Sen arvaa sanomatta. Meidän talossa on kolme naista, eikä


kukaan joutilaaksi jouda. Voi kuinka minun tekisi mieleni auttaa
äitiänne. Teidän äitinnehän on niin hyvä, aivan kuin meidän oma
äitimme.

TOINEN TYTTÖ:

Samoin minä niin kovin mielelläni auttaisin. Kantaisin vettä tahi


puita juoksuttaisin, ellen muuhun kykenisi.

POJAT:

Oikeinko totta?

TYTÖT:

Tietysti.

ENSIMÄINEN TYTTÖ:

Kuinka voitte epäilläkään?


ENSIMÄINEN POIKA:

No hei, sitte on kaikki hyvin! Sitähän me juuri äsken tarkoitimme:


avustajiksi äitivanhuksellehan me teitä pyysimme. Ja te tulette niin
mielellänne, niinkuin sanat kuuluivat — — —

TYTÖT:

Ei, ei! Nyt aijotte pettää meidät salakavalasti. Emme me sitä


tarkoittaneet; emme jouda kuin viikoksi, pariksi.

ENSIMÄINEN POIKA:

Eivätkö jouda ainaiseksi, äiti?

EMÄNTÄ (Nauraen):

Joutavat kujeilemasta.

ISÄNTÄ:

Samaa sanon minä.

TYTÖT:

Ei, ei; tämähän on petosta…

ENSIMÄINEN POIKA:

Eikös mitä, elkäähän nyt suotta kaarrelko selvässä asiassa.


Vanhempainne puolesta joudatte ja itse lähdette niin mielellänne
äitiämme auttamaan. Tässä käsi, vankka niinkuin tammi, vaikka vielä
hieman heiveröinen.
ENSIMÄINEN TYTTÖ:

(Vetää molemmat kätensä selän taakse.) Näen että se on siinä,


vaan minäpä jo äsken lauloin.

ENSIMÄINEN POIKA:

Niin lauloit, vaan — tässä se nyt on (saa salaa käden omaansa) ja


pysyy.

ENSIMÄINEN TYTTÖ:

(On riuhtovinaan irti.) Minkäs minä mahdan, en saa irti. — Vaan


viekkaudellapa otit!

ENSIMÄINEN POIKA:

Mitäs joutavista kiistelemme. — — —

TOINEN POIKA:

Ja me kai nyt minun tyttöni kanssa poimimme yhdessä ne marjat,


jotka vielä ovat poimimatta? Pian ne silloin ropehet täyttyy. (Tarttuu
käteen). Eikö niin?

TOINEN TYTTÖ:

(Puoli-itkussa.) Niin, mihinkäs minä tänne yksin jään, kun siskokin


menee. (Iloisemmasti.) Vaan se on siskon syy, sen minä sanon.

MUMMO:
Sepä kovin hauska päätös tälle tarinalle. Arvasinkin, arvasinkin…

KAIKKI (Laulavat, nuoret käsikkäin):

Laulu tuo 13, sävel n:o 16.

Kevään henki luonnoss’ humajaa,


Nyt joka lehti liikkuu,
Kukat keinuu, kiikkuu,
Metsän jättikannel kumajaa
Ja linnut livertävät la-la-la-la-la-laa.
Niinpä salon lasten mieli sykähtää,
Silmä silmään uppoo,
Yhteen yhtyy
Ja käsikkäin
He nyt laulaa näin:
La-la-la-la-la-la-Ia-la-la-la-la-laa
Luonnon jättikannel kumajaa
Ja salon lapset laulaa la-la-la-la-la-laa.

Onnen pilviä taivas nostattaa,


Nyt joka hattar leijaa,
Lemmen hohdett’ heijaa,
Toivon sinikaaria kasvattaa
Ja nuoret laulelevat la-la-la-la-la-Iaa.
Metsän peikot mustat kauvas kaikkoaa,
Meidän liitto nuori
Niinkuin vuori
Ja vierekkäin
Me astumme näin:
La-la-la-la-la-la-la-la-la-la-la-laa
Toivon kaaria taivas kasvattaa,
Ja salon lapset laulaa la-la-la-Ia-la-laa.

(Ulkoa kuuluu laulua).

EMÄNTÄ:

Mikä laulu se ulkona?

MUMMO:

Lapset kai ne lie, jotka palaavat juhannusseppeleitä sitelemästä.


Taisivat joutua seppeleet parempiin tarkoituksiin.

LAPSET (Tulevat seppeleitä päässään, kaulaessaan ja


käsivarsillaan.
Laulavat):

Laulu n:o 14, sävel n:o 17.

Nyt kesäkulta vallitsee


Ja nurmet vihannoivat,
Nyt linnut puissa laulelee
Ja paimenpillit soivat,
Nyt tuoksuavat kukkaset
Jo kankahilla, soilla,
Ja posket ompi punaiset
Nyt mäen mansikoilla.

Nyt kaikki uudet kasvot saa,


Myös pienet lapsukaiset
Nyt ruusupäisnä ruskottaa
Kuin maalla mansikaiset.
Kuin hauska silloin lapsien
On kankahilla olla!
Saa seppeliä sidellen
He käydä nurmikolla.

TOINEN POIKA:

Siinäpä peippospari!

EMÄNTÄ:

Mitä lienevät kujeilijoita. No lapset, kohta saatte seppeleillänne


koristaa häätupaa, tässä on sisartenne sulhaset.

PIENI TYTTÖ:

Sulhaset! Nuoko pojat?

EMÄNTÄ:

Niin, ja nyt joutuun kukkanne kihlautuneiden somisteeksi.

LAPSET:

Sepä hauskaa! (Antavat seppeleen kummallekin tytölle, pojat


asettavat ne tyttöjen päähän).

ISÄNTÄ:

Miten onnellista onkaan elää näillä rauhallisilla salomailla! Täällä


on kaikki niin kaunista ja sopusointuista, yksin köyhyys ja puutekin
on täällä kaunista. Täällä olemme kaikki kuin yhtä perhettä, yksin
salon kukat, ruohot ja kanervat ottavat vaiheisiimme osaa, tuovat
onnittelunsa. Toivokaamme etteivät nämä onnen päivät koskaan
haihtuisi eikä vaihtuisi.

KAIKKI (Laulavat):

Laulu n:o 15, sävel 6, 7 ja 8.

(Sävel n:o 6.)


Anna Luoja, suo Jumala
Anna paistaa päivän kehrän,
Helottaa kuun hopeaterän
Tälle maalle mairehelle.
(Sävel n:o 7.)
Paista vierut viljaviksi
Ahot niityt armahiksi,
(Sävel n:o 8.)
Sovun soinnut sydämiin,
Rakkautta rintoihimme,
(Sävel n:o 7.)
Anna Luoja, suo Jumala,
Anna onni ollaksemme,
(Sävel n:o 8.)
Hyvin ain' eleäksemme,
Kunnialla kuollaksemme
(Sävel n:o 6.)
Suloisessa Suomessamme,
Kaunihissa Karjalassa.
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