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Nieragden, Goran.
Poetics Today, Volume 23, Number 4, Winter 2002, pp. 685-697 (Article)
This short article suggests a revision of the hierarchical levels of focalization and narration. It argues that greater precision in distinguishing degrees of both
narrators and characters involvement in these distinct processes will result in a more
exible and more adequate typology. To achieve this purpose, the well-known systems of narrative situations in Bal , [] and of focalization in Genette
[] are reconciled with those of homodiegetic narration in Lanser and
Fger . A revised and comprehensive version of possible identity relations among
narrators and focalizers is suggested and briey exemplied through a number of
well-known Anglo-American novels.
Abstract
1. Homodiegetic Narration
Narrative theory has made impressive progress over the last decades. Its
theoretical tool kit has been constantly rened, adapted to both new
developments in ction writing and new insights into older works. Yet a
number of features in the models that are usually brought to the narratological analysis of storytelling display terminological and logical inconsistencies. In the main, I will, therefore, be making the point that the traditional dichtomoy of external versus internal focalization does not do
The arguments put forward in this article have proted from continued and stimulating
exchanges with Monika Fludernik, University of Freiburg; Manfred Jahn, University of
Cologne; and Ansgar Nnning, University of Giessen. Meir Sternbergs helpful comments
on an earlier version also are gratefully acknowledged.
Poetics Today : (Winter ). Copyright by the Porter Institute for Poetics and
Semiotics.
686
degree of autodiegeticity
medium
minor character
medium-low
witness-participant
low
uninvolved eyewitness
alterodiegetic
Subtypes of homodiegetic narrators according to their degree of autodiegeticity (adopted from Lanser : ).
high-medium
high
Figure 1
co-protagonist
sole protagonist
autodiegetic
688
from the evident shortcoming of the older point of view terminology. The
latter tends to blur the issue in combining questions about the source of
narration at the level of discourse with those about the center of perception/orientation that determines the perspective from which the narrated
events are presented.3 Genette (: ) quite rightly criticizes the traditional system for its
regrettable confusion between the question who is the character whose point of view
orients the narrative perspective? and the very dierent question who is the narrator?
or, more simply, the question who sees? and the question who speaks? 4
Bal aptly describes the specic position that the focalizing character occupies within the character constellation of a narrative text. This choice not
only bears on the texts reception; it also is a chief means of characterization: the way in which a subject is presented gives information about the
object itself and about the focalizer (ibid.: ). Convincingly arguing that
the narrator speaks the text whose content is the narrative; the focalizer
presents the narrative, whose content is the history; the history is acted out
by the actors (ibid.: ), she conceived of the relationship among narrator
(N), focalizer (F), and agent (A) in a by now famous system of equations,
which is shown in Figure . For the sake of clarity, I have taken the liberty
of restating each components position in greater detail, but I have left the
. For detailed criticism of the (chiey) Anglo-American concept of point of view, see Lanser
: ., Nnning , and Toolan : . Remarkably, quite a large number of new
explorations in theory still favor this concept over the more elaborate systematics of focalization (Simpson ; Calvo and Weber ).
. The verb to see functions only as a paradigmatic example of various perception processes.
Nieragden
Narr-SUBJ
. X relates that
. X relates that
. X relates that
. X relates that
. X relates that
Foc-SUBJ
Agency-SUBJ
(Narr-OBJ)
(Foc-OBJ)
Y sees that
X' sees that
X' sees that
Y sees that
Y sees that
Z does
Y does
X'' does
Y' does
X' does
689
Identity Relations
(N F; N A; F A)
(N = F; F A)
(N = F; F = A)
(N F; N A; F = A)
(N F; N = A; F A)
Figure 2 Identity Relations among Narrator (N), Focalizer (F), and Agent (A)
(after Bal : ).
690
Nieragden
691
narrator. Theoretically, these characters would then be in a position to perceive the narrator of their own lives and to reect on the act of narrating
by which they themselves are brought into being in the rst place. As a
realist text that keeps up the illusion of a narrated reality throughout,
such a novel would very likely prove unreadable.9 Though it is very likely
true that even character-focalizers often lay claim to authorial privileges
(Edmiston : ) and that, just as in heterodiegetic texts, genuine autodiegetic narrators seldom delegate the task of focalization (see Vitoux :
.; Lanser : ), personal identity of character-focalizer and narratorfocalizer is impossible in the case of a heterodiegetic narrative situation.
Thus, the equations and in Bals version have some infelicitous ambiguities, in that they hold true for both internal and external focalization of
certain types. This ambiguity can only be resolved by linking the model
more closely to the various types of narrative situation and by rearranging
the terminology.
External focalization is always heterodiegetic, I would therefore suggest,
and hence can only appear in heterodiegetic narrations; the focalizer in this
case is solely the narrator, and, accordingly, this variant can be renamed
heterodiegetic narratorial focalization. If the focalizer in a heterodiegetic narrative is not the narrator, but a character, this should be called heterodiegetic gural focalization. Internal focalization, by contrast, is possible in both heterodiegetic and homodiegetic narrations, as was explained above.10 If it is the
narrating character who focalizes, the result is homodiegetic narratorial focalization; if focalization is delegated to a character other than the narrator, it
is homodiegetic gural focalization.11 This last type is predominantly encountered in alterodiegetic texts, whereas homodiegetic narratorial focalization presupposes personal identity of character and focalizer and is quite typically
used in autodiegetic texts, such as autobiography. The options regarding
the number and targets of the delegated focalization types, the gural ones,
will be specied below.
. For a detailed scaling of the illusion mechanics of narrative ction, see the excellent system proposed in Wolf : ; for a brief discussion of examples from twentieth-century
English writing, see Nieragden : .
. ONeills remark (: ) that focalization is evidently a phenomenon of discourse
rather than story thus turns out to be problematic; the narrator (discourse level) can turn
various characters (story level) into focalizers, but their focalizations can only concern objects
on the same level.
. For related ideas see Bronzwaer ; Edmiston , ; and Nelles . This very
terminological indeterminacy seems to have elicited the severe criticism of traditional focalization theory in general in Chatman , Kablitz , and Jahn . It is shown here,
however, that the problem can be solved by linking the internal hierarchy of focalization
typology with the model of narrative situations.
692
Either form (hetero- or homo-diegetic) of gural focalization can be subdivided further by means of Genettes ( []) categories of frequency.
Monofocalization (xed focalization in Genette []: ) sticks to
one character as focalizer, whose perceptions determine the highly individualized orientation of the complete story. Miriam Henderson in Dorothy
Richardsons Pilgrimage () and Maisie Farange in Henry Jamess
What Maisie Knew () are often-quoted examples of this variant. Multifocalization (variable focalization in Genette []: ), on the other
hand, oers an alternation between several focalizers. This type displays a
number of realizations.
In the category of singulative multifocalization, each focalizer perceives
dierent objects. Virginia Woolf s novels often illustrate this technique.
Clarissa Dalloway focalizes other aspects of London than do Septimus Warren Smith and Peter Walsh in Mrs. Dalloway (); and Charles, James,
and Cam Ramsay focalize distinct features of nature in the third part of
To the Lighthouse (). Repetitive multifocalization (multiple focalization in
Genette []: ), nally, appears when identical objects are focalized by dierent focalizers. Robert Brownings The Ring and the Book (),
Samuel Richardsons Clarissa (), and Virginia Woolf s The Waves
() are prominent instances of this variant.12 The two latter works feature
interesting examples of establishing the internal power relationship among
characters through this subtype of focalization: protagonist (Clarissa Harlowe) plus accessory (Anna Howe) versus antagonist (Lovelace) plus
accessory (John Belford) in Clarissa; three male (Bernard, Louis, Neville)
versus three female (Jinny, Rhoda, Susan) focalizers with extremely divergent focalizations of one object, in particular, Percival.13
The last type, repetitive multifocalization, can in turn be split up into
autotelic versus alterotelic focalization, again drawing on Fger .14 When
dierent focalizers represent identical objects, they can concentrate on the
same (autotelic) aspects/features of it or on dierent ones (alterotelic). It
is especially this distinction that helps to establish the degree of a texts
. Genette ( []: ) correctly cites the epistolary novel in general as a subgenre that
makes frequent use of this subform of focalization (cf. also the detailed work on Richardsons
Pamela in Vitoux ). Epistolary novels that feature only one correspondent (homodiegetic
narrator), however, tend toward monofocalization. A recent example is Sarah Worth in John
Updikes novel S. ().
. In this context, Banelds () problematic category of collective focalization can be
neglected since it is more adequately covered by the suggested new system of internal focalization. For a detailed criticism of Banelds concept, see Fludernik (chap. ..).
. He uses the German terms iso- vs. autotelisch. Cf. note above.
Nieragden
693
monofocal
(F 1 ... O 1-n )
versus
multifocal (singulative)
(F 1 ... O 1 ;
F 2 ... O 2 ;
F n ... O n )
multifocal (repetitive)
(F 1 ... O 1 ;
F 2 ... O 1 ;
F n ... O 1 )
(F 1 ... O 1a ;
F 2 ... O 1a ;
F n ... O 1a )
(F 1 ... O 1a ;
F 2 ... O 1b ;
F n ... O 1n )
autotelic
versus
alterotelic
Figure 3
694
capable of highly personalized and independent selection as concerns their performed (and
written) focalizations.
. These equations correspond to the following in Bals version in Figure : = ; = ;
= ; = ; = ; a = ; b = ; = .
narratorial
X' sees that
narratorial
X' sees that
gural
Y sees that
gural
Y sees that
gural
Y sees that
. homodiegetic
(X relates that
. homodiegetic
(X relates that
a. homodiegetic
(X relates that
b. homodiegetic
(X relates that
. homodiegetic
(X relates that
isoperceptive
Y' does)
exoperceptive
X' does)
exoperceptive
Z does)
exoperceptive
Y does)
isoperceptive
X'' does)
isoperceptive
Y' does)
exoperceptive
Z does)
(C = N; N F; N = A)
(C = N; N F; N = A)
(C = N; N F; N A)
(C = N; N = F; N A)
(C = N; N = F; N = A)
(C N; N F; F = A)
(C N; N F; N A)
(C N; N = F; N A)
Identity Relations
medium
medium
low
medium
high
none
none
none
Autodiegesis
Rearranged Identity Relations among Character (C), Narrator (N), Focalizer (F), and Agent (A).
gural
Y sees that
. heterodiegetic
(X relates that
Figure 4
gural
Y sees that
. heterodiegetic
(X relates that
exoperceptive
Y does)
(Foc-OBJ)
(Narr-OBJ)
narratorial
X' sees that
Agency-SUBJ
Foc-SUBJ
. heterodiegetic
(X relates that
Narr-SUBJ
696
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