Tree and Leaf

by J. R. R. Tolkien

  The value of fairy-stories is thus not, in my opinion, to be found by considering children in particular. Collections of fairy-stories are, in fact, by nature attics and lumber-rooms, only by temporary and local custom play-rooms. Their contents are disordered, and often battered, a jumble of different dates, purposes, and tastes; but among them may occasionally be found a thing of permanent virtue: an old work of art, not too much damaged, that only stupidity would ever have stuffed away.

  Andrew Lang’s Fairy Books are not, perhaps, lumber-rooms. They are more like stalls in a rummage-sale. Someone with a duster and a fair eye for things that retain some value has been round the attics and box-rooms. His collections are largely a by-product of his adult study of mythology and folk-lore; but they were made into and presented as books for children.25 Some of the reasons that Lang gave are worth considering.

  The introduction to the first of the series speaks of ‘children to whom and for whom they are told’. ‘They represent’, he says, ‘the young age of man true to his early loves, and have his unblunted edge of belief, a fresh appetite for marvels.’ ‘ “Is it true?” ’ he says, ‘is the great question children ask.’

  I suspect that belief and appetite for marvels are here regarded as identical or as closely related. They are radically different, though the appetite for marvels is not at once or at first differentiated by a growing human mind from its general appetite. It seems fairly clear that Lang was using belief in its ordinary sense: belief that a thing exists or can happen in the real (primary) world. If so, then I fear that Lang’s words, stripped of sentiment, can only imply that the teller of marvellous tales to children, must, or may, or at any rate does trade on their credulity, on the lack of experience which makes it less easy for children to distinguish fact from fiction in particular cases, though the distinction in itself is fundamental to the sane human mind, and to fairy-stories.

  Children are capable, of course, of literary belief, when the story-maker’s art is good enough to produce it. That state of mind has been called ‘willing suspension of disbelief’. But this does not seem to me a good description of what happens. What really happens is that the story-maker proves a successful ‘sub-creator’. He makes a Secondary World which your mind can enter. Inside it, what he relates is ‘true’: it accords with the laws of that world. You therefore believe it, while you are, as it were, inside. The moment disbelief arises, the spell is broken; the magic, or rather art, has failed. You are then out in the Primary World again, looking at the little abortive Secondary World from outside. If you are obliged, by kindliness or circumstance, to stay, then disbelief must be suspended (or stifled), otherwise listening and looking would become intolerable. But this suspension of disbelief is a substitute for the genuine thing, a subterfuge we use when condescending to games or make-believe, or when trying (more or less willingly) to find what virtue we can in the work of an art that has for us failed.

  A real enthusiast for cricket is in the enchanted state: Secondary Belief. I, when I watch a match, am on the lower level. I can achieve (more or less) willing suspension of disbelief, when I am held there and supported by some other motive that will keep away boredom: for instance, a wild, heraldic, preference for dark blue rather than light. This suspension of disbelief may thus be a somewhat tired, shabby, or sentimental state of mind, and so lean to the ‘adult’. I fancy it is often the state of adults in the presence of a fairy-story. They are held there and supported by sentiment (memories of childhood, or notions of what childhood ought to be like); they think they ought to like the tale. But if they really liked it, for itself, they would not have to suspend disbelief: they would believe – in this sense.

  Now if Lang had meant anything like this there might have been some truth in his words. It may be argued that it is easier to work the spell with children. Perhaps it is, though I am not sure of this. The appearance that it is so is often, I think, an adult illusion produced by children’s humility, their lack of critical experience and vocabulary and their voracity (proper to their rapid growth). They like or try to like what is given to them: if they do not like it, they cannot well express their dislike or give reasons for it (and so may conceal it); and they like a great mass of different things indiscriminately, without troubling to analyse the planes of their belief. In any case I doubt if this potion – the enchantment of the effective fairy-story – is really one of the kind that becomes ‘blunted’ by use, less potent after repeated draughts.

  “‘Is it true?” is the great question children ask’, Lang said. They do ask that question, I know; and it is not one to be rashly or idly answered.26 But that question is hardly evidence of ‘unblunted belief’, or even of the desire for it. Most often it proceeds from the child’s desire to know which kind of literature he is faced with. Children’s knowledge of the world is often so small that they cannot judge, off-hand and without help, between the fantastic, the strange (that is rare or remote facts), the nonsensical, and the merely ‘grown-up’ (that is ordinary things of their parents’ world, much of which still remains unexplored). But they recognize the different classes, and may like all of them at times. Of course the borders between them are often fluctuating or confused; but that is not only true for children. We all know the differences in kind, but we are not always sure how to place anything that we hear. A child may well believe a report that there are ogres in the next county; many grown-up persons find it easy to believe of another country; and as for another planet, very few adults seem able to imagine it as peopled, if at all, by anything but monsters of iniquity.

  Now I was one of the children whom Andrew Lang was addressing – I was born at about the same time as the Green Fairy Book – the children for whom he seemed to think that fairy-stories were the equivalent of the adult novel, and of whom he said: ‘Their taste remains like the taste of their naked ancestors thousands of years ago; and they seem to like fairy-tales better than history, poetry, geography, or arithmetic.’27 But do we really know much about these ‘naked ancestors’, except that they were certainly not naked? Our fairy-stories, however old certain elements in them may be, are certainly not the same as theirs. Yet if it is assumed that we have fairy-stories because they did, then probably we have history, geography, poetry, and arithmetic because they liked these things too, as far as they could get them, and in so far as they had yet separated the many branches of their general interest in everything.

  And as for children of the present day, Lang’s description does not fit my own memories, or my experience of children. Lang may have been mistaken about the children he knew, but if he was not, then at any rate children differ considerably, even within the narrow borders of Britain, and such generalisations which treat them as a class (disregarding their individual talents, and the influences of the countryside they live in, and their upbringing) are delusory. I had no special childish ‘wish to believe’. I wanted to know. Belief depended on the way in which stories were presented to me, by older people, or by the authors, or on the inherent tone and quality of the tale. But at no time can I remember that the enjoyment of a story was dependent on belief that such things could happen, or had happened, in ‘real life’. Fairy-stories were plainly not primarily concerned with possibility, but with desirability. If they awakened desire, satisfying it while often whetting it unbearably, they succeeded. It is not necessary to be more explicit here, for I hope to say something later about this desire, a complex of many ingredients, some universal, some particular to modern men (including modern children), or even to certain kinds of men. I had no desire to have either dreams or adventures like Alice, and the account of them merely amused me. I had very little desire to look for buried treasure or fight pirates, and Treasure Island left me cool. Red Indians were better: there were bows and arrows (I had and have a wholly unsatisfied desire to shoot well with a bow), and strange languages, and glimpses of an archaic mode of life, and, above all, forests in such stories. But the land of Merlin and Arthur was better than these, and best of
all the nameless North of Sigurd of the Völsungs, and the prince of all dragons. Such lands were pre-eminently desirable. I never imagined that the dragon was of the same order as the horse. And that was not solely because I saw horses daily, but never even the footprint of a worm.28 The dragon had the trade-mark Of Faërie written plain upon him. In whatever world he had his being it was an Other-world. Fantasy, the making or glimpsing of Other-worlds, was the heart of the desire of Faërie. I desired dragons with a profound desire. Of course, I in my timid body did not wish to have them in the neighbourhood, intruding into my relatively safe world, in which it was, for instance, possible to read stories in peace of mind, free from fear.29 But the world that contained even the imagination of Fàfnir was richer and more beautiful, at whatever cost of peril. The dweller in the quiet and fertile plains may hear of the tormented hills and the unharvested sea and long for them in his heart. For the heart is hard though the body be soft.

  All the same, important as I now perceive the fairy-story element in early reading to have been, speaking for myself as a child, I can only say that a liking for fairy-stories was not a dominant characteristic of early taste. A real taste for them awoke after ‘nursery’ days, and after the years, few but long-seeming, between learning to read and going to school. In that (I nearly wrote ‘happy’ or ‘golden’, it was really a sad and troublous) time I liked many other things as well, or better: such as history, astronomy, botany, grammar, and etymology. I agreed with Lang’s generalised ‘children’ not at all in principle, and only in some points by accident: I was, for instance, insensitive to poetry, and skipped it if it came in tales. Poetry I discovered much later in Latin and Greek, and especially through being made to try and translate English verse into classical verse. A real taste for fairy-stories was wakened by philology on the threshold of manhood, and quickened to full life by war.

  I have said, perhaps, more than enough on this point. At least it will be plain that in my opinion fairy-stories should not be specially associated with children. They are associated with them: naturally, because children are human and fairy-stories are a natural human taste (though not necessarily a universal one); accidentally, because fairy-stories are a large part of the literary lumber that in latter-day Europe has been stuffed away in attics; unnaturally, because of erroneous sentiment about children, a sentiment that seems to increase with the decline in children.

  It is true that the age of childhood-sentiment has produced some delightful books (especially charming, however, to adults) of the fairy kind or near to it; but it has also produced a dreadful undergrowth of stories written or adapted to what was or is conceived to be the measure of children’s minds and needs. The old stories are mollified or bowdlerised, instead of being reserved; the imitations are often merely silly, Pigwiggenry without even the intrigue; or patronising; or (deadliest of all) covertly sniggering, with an eye on the other grown-ups present. I will not accuse Andrew Lang of sniggering, but certainly he smiled to himself, and certainly too often he had an eye on the faces of other clever people over the heads of his child-audience – to the very grave detriment of the Chronicles of Pantouflia.

  Dasent replied with vigour and justice to the prudish critics of his translations from Norse popular tales. Yet he committed the astonishing folly of particularly forbidding children to read the last two in his collection. That a man could study fairy-stories and not learn better than that seems almost incredible. But neither criticism, rejoinder, nor prohibition would have been necessary if children had not unnecessarily been regarded as the inevitable readers of the book.

  I do not deny that there is a truth in Andrew Lang’s words (sentimental though they may sound): ‘He who would enter into the Kingdom of Faërie should have the heart of a little child.’ For that possession is necessary to all high adventure, into kingdoms both less and far greater than Faërie. But humility and innocence – these things ‘the heart of a child’ must mean in such a context – do not necessarily imply an uncritical wonder, nor indeed an uncritical tenderness. Chester-ton once remarked that the children in whose company he saw Maeterlinck’s Blue Bird were dissatisfied ‘because it did not end with a Day of Judgement, and it was not revealed to the hero and the heroine that the Dog had been faithful and the Cat faithless’. ‘For children’, he says, ‘are innocent and love justice; while most of us are wicked and naturally prefer mercy.’

  Andrew Lang was confused on this point. He was at pains to defend the slaying of the Yellow Dwarf by Prince Ricardo in one of his own fairy-stories. ‘I hate cruelty,’ he said, ‘… but that was in fair fight, sword in hand, and the dwarf, peace to his ashes! died in harness.’ Yet it is not clear that ‘fair fight’ is less cruel than ‘fair judgement’; or that piercing a dwarf with a sword is more just than the execution of wicked kings and evil stepmothers – which Lang abjures: he sends the criminals (as he boasts) to retirement on ample pensions. That is mercy untempered by justice. It is true that this plea was not addressed to children but to parents and guardians, to whom Lang was recommending his own Prince Prigio and Prime Ricardo as suitable for their charges.30 It is parents and guardians who have classified fairy-stories as Juvenilia. And this is a small sample of the falsification of values that results.

  If we use child in a good sense (it has also legitimately a bad one) we must not allow that to push us into the sentimentality of only using adult or grown-up in a bad sense (it has also legitimately a good one). The process of growing older is not necessarily allied to growing wickeder, though the two do often happen together. Children are meant to grow up, and not to become Peter Pans. Not to lose innocence and wonder; but to proceed on the appointed journey: that journey upon which it is certainly not better to travel hopefully than to arrive, though we must travel hopefully if we are to arrive. But it is one of the lessons of fairy-stories (if we can speak of the lessons of things that do not lecture) that on callow, lumpish, and selfish youth peril, sorrow, and the shadow of death can bestow dignity, and even sometimes wisdom.

  Let us not divide the human race into Eloi and Morlocks: pretty children – ‘elves’ as the eighteenth century often idiotically called them – with their fairy-tales (carefully pruned), and dark Morlocks tending their machines. If fairy-story as a kind is worth reading at all it is worthy to be written for and read by adults. They will, of course, put more in and get more out than children can. Then, as a branch of a genuine art, children may hope to get fairy-stories fit for them to read and yet within their measure; as they may hope to get suitable introductions to poetry, history, and the sciences. Though it may be better for them to read some things, especially fairy-stories, that are beyond their measure rather than short of it. Their books like their clothes should allow for growth, and their books at any rate should encourage it.

  Very well, then. If adults are to read fairy-stories as a natural branch of literature – neither playing at being children, nor pretending to be choosing for children, nor being boys who would not grow up – what are the values and functions of this kind? That is, I think, the last and most important question. I have already hinted at some of my answers. First of all: if written with art, the prime value of fairy-stories will simply be that value which, as literature, they share with other literary forms. But fairy-stories offer also, in a peculiar degree or mode, these things: Fantasy, Recovery, Escape, Consolation, all things of which children have, as a rule, less need than older people. Most of them are nowadays very commonly considered to be bad for anybody. I will consider them briefly, and will begin with Fantasy.

  FANTASY

  The human mind is capable of forming mental images of things not actually present. The faculty of conceiving the images is (or was) naturally called Imagination. But in recent times, in technical not normal language, Imagination has often been held to be something higher than the mere image-making, ascribed to the operations of Fancy (a reduced and depreciatory form of the older word Fantasy); an attempt is thus made to restrict, I should say misapply, Imaginati
on to ‘the power of giving to ideal creations the inner consistency of reality’.

  Ridiculous though it may be for one so ill-instructed to have an opinion in this critical matter, I venture to think the verbal distinction philologically inappropriate, and the analysis inaccurate. The mental power of image-making is one thing, or aspect; and it should appropriately be called Imagination. The perception of the image, the grasp of its implications, and the control, which are necessary to a successful expression, may vary in vividness and strength: but this is a difference of degree in Imagination, not a difference in kind. The achievement of the expression, which gives (or seems to give) ‘the inner consistency of reality’,31 is indeed another thing, or aspect, needing another name: Art, the operative link between Imagination and the final result, Sub-creation. For my present purpose I require a word which shall embrace both the Sub-creative Art in itself and a quality of strangeness and wonder in the Expression, derived from the Image: a quality essential to fairy-story. I propose, therefore, to arrogate to myself the powers of Humpty-Dumpty, and to use Fantasy for this purpose: in a sense, that is, which combines with its older and higher use as an equivalent of Imagination the derived notions of ‘unreality’ (that is, of unlikeness to the Primary World), of freedom from the domination of observed ‘fact’, in short of the fantastic. I am thus not only aware but glad of the etymological and semantic connections of fantasy with fantastic: with images of things that are not only ‘not actually present’, but which are indeed not to be found in our primary world at all, or are generally believed not to be found there. But while admitting that, I do not assent to the depreciative tone. That the images are of things not in the primary world (if that indeed is possible) is a virtue not a vice. Fantasy (in this sense) is, I think, not a lower but a higher form of Art, indeed the most nearly pure form, and so (when achieved) the most potent.