The Evolution of the English Novel Series: Horace Walpole's "The Castle of Otranto" and the Birth of Gothic Fiction

Foreword

The novel represents an enduring testament to human creativity and narrative resourcefulness, captivating readers across cultures and epochs with its unique combination of accessibility and profundity. Its remarkable capacity to connect diverse themes and perspectives renders it an indispensable foundation of literary discourse, transcending temporal and spatial boundaries. The English novel, specifically, stands as a pivotal cornerstone in literary history, its heavy influence reverberating across the expanse of global literature, shaping contemporary literary landscapes in profound and multifaceted ways. This series examines the genesis and evolution of the novel, with a particular focus on its emergence and development within English literature from the 17th to the 19th centuries. Through an interdisciplinary lens, the articles will delve into works by luminaries such as Austen and Dickens, enlightening the multifaceted landscape of narrative novelty and cultural commentary that defines this epochal genre.

The series is structured into six articles:

1. The Evolution of the English Novel Series: The Rise of the English Novel

2. The Evolution of the English Novel Series: Defoe's "Robinson Crusoe" and the Emergence of the Modern Novel

3. The Evolution of the English Novel Series: Horace Walpole's "The Castle of Otranto" and the Birth of Gothic Fiction

4. The Evolution of the English Novel Series: Jane Austen's "Pride and Prejudice" and the Bildungsroman Tradition

5. The Evolution of the English Novel Series: Sir Walter Scott's "Ivanhoe" and the Rise of the Historical Novel

6. The Evolution of the English Novel Series: Intricacies of Victorian Realism in Charles Dickens's "Bleak House"

The Gothic Revival

Gothic fiction stands in stark contrast to the novels discussed in the previous articles in this series, reclaiming and emphasizing the dimension of the irrational and the fantastical. This genre is conventionally believed to have originated with the publication of The Castle of Otranto by Horace Walpole in 1764. The emergence of this novel is one of the manifestations of a broader cultural phenomenon known as the Gothic Revival, which began to emerge particularly in the 1730s and 1740s. In fact, this phenomenon extends not only to literature, but also to art and architecture. It represents a revolution in taste that marks the decline of the classicist model of the Augustan age, which had prioritized the aesthetic categories of harmony and clarity. Conversely, the Gothic world represents the exact opposite, confirming the notion that artistic and cultural movements often arise with the purpose of dissenting from the preceding model.

The history of the term "Gothic" indicates a shift in the century. It is a term that began to be used by Renaissance art historians to refer to medieval architecture, encompassing everything related to the Goths. Initially associated with the Germanic, the term "Gothic" was later reinterpreted by Renaissance scholars, who shifted the focus to the historical dimension. This shift was consolidated in the 18th century when the term came to denote everything medieval, as opposed to classical. The Gothic embraced a semantic universe composed of chaos, lack of proportions, and elaborate and irregular forms. While the Classical was initially the positive pole, the Gothic was the negative — a contrast that later became a cultural project aimed at rediscovering the country's origins.

Figure 1: John William Waterhouse - The Lady of Shalott

Horace Walpole is probably the writer who most embodies the Gothic aesthetic. In 1747, he began the construction of a villa, Strawberry Hill. The Gothic Revival, which influenced literature, included the rediscovery of national geniuses such as Shakespeare and Spenser, as well as the rediscovery of medieval popular literature and ballads, which expressed the spirit of a people. In the 1760s, one of the key figures in this process, Bishop Hurd, wrote "Letters on Chivalry and Romance" (1762), in which barbarism was no longer a pejorative term but became a point of reference. The Gothic novel revived popular poetry and, by extension, Romantic poetry. This enthusiasm for Gothic architecture is also expressed by Horace Walpole in his work "Anecdotes of Painting in England" (1762), where he celebrates Gothic architecture for its emotional power.

The Gothic novel also manifests through the recovery of the emotional and irrational spheres that the classicist and Enlightenment traditions had repressed and removed. A new concept of nature also emerges, finding its most significant expression in garden architecture, which consists of an artificial nature constructed and organized by man, but intended to imitate nature as it is. Garden architects followed a different model from the French or Italian gardens, where elements were redesigned according to geometric forms. They took nature as a model, with architectural ruins covered in ivy or other climbing plants as fundamental elements. These ruins acquired symbolic value as evocations of the past.

Horace Walpole and the Genesis of the Novel

The first edition of The Castle of Otranto was published anonymously with the subtitle "A Story". The adjective "Gothic" was added in the second edition. Walpole employs the literary device of a discovered manuscript, presenting the novel as a translation by William Marshall of the original work of an Italian, Onuphrio Muralto (both fictional characters). The novel is described as having been supposedly written during the Crusades, printed in Italian in 1529, and discovered by Marshall in the library of an English Catholic family. This device serves several purposes, primarily to shield Walpole from potential criticism. He was aware that this novel inaugurated a new genre and knew that it might be met with public hostility. It also allows him to justify the mixture of the mundane and the supernatural by attributing it to a medieval text. As the translator, Walpole positions himself as a partial judge, but he is not blind to the text's flaws, including its overly simplistic moral that "the sins of the fathers are visited upon their children to the third or fourth generation." He doubts that the fear of such a remote punishment could effectively counteract ambition. The story's weak moral foundation suggests that the novel's interest outweighed the narrator's competence. Walpole identifies the text as a performance, explicitly linking it to the theater. The religiosity of the text exempts it from censorship. He describes his translation as a betrayal of the beauty of the original Italian text, both in style and in its ability to express emotion. Despite the fictional names and the setting in what appears to be a real castle, it seems that Walpole intended the text to be suitable for theatrical adaptation, possibly envisioning a real building, Strawberry Hill.

Figure 2: Turner, Salisbury: A Gothic porch in a garden

In the second preface, Walpole reveals his authorship and adds the adjective "Gothic". He explains the reasons for his initial anonymity: a lack of confidence in the public and the novelty of the text. As the novel was received with enthusiasm, he decided to reveal himself and to use the term "performance". He explains that the work is an attempt to combine two types of romance: ancient and modern. When Walpole wrote this novel, the genre was already well-established. Romance contains a constant love story and a heroic figure, featuring adventures that belong to the realm of the impossible and the marvelous, often involving knights. Novels, on the other hand, are more familiar in nature, depicting particular but not impossible events, and offering the reader a different kind of pleasure.

This debate solidified during the 18th century, and in 1785 Clara Reeve wrote The Progress of Romance, in which she reiterated the difference between realistic and gothic/fantastic novels. Reeve introduced an important characteristic of the novel: the contemporaneity of the story in relation to the time in which it was written. The novel's preface and structure are characterized by a degree of verisimilitude that induces self-identification in the reader, which constitutes the novel's pleasure. Scott also addresses this issue in Essay on Romance (1824), where he echoes Samuel Johnson. Scott argues that the term "romance" should not be limited solely to chivalric novels about love. The only common characteristic of any romance is that it narrates events that have never occurred and will never occur. In contrast, the fictional narrative of the novel adapts to the natural course of human events. In The Castle of Otranto, Walpole attempts to unite these two types of novels. The first adheres to common life and nature, though these characters exhibit a naturalness never seen before. The characters of earlier novels were mechanical, but Walpole's characters follow the rules of modality. He admits to introducing a novelty by combining the two genres. The simplicity of the characters is justified by the claim that it is natural. The servants behave only to emphasize the main characters. Digressions about secondary characters increase the anticipation of the resolution. Walpole strongly supports the idea of mixture, once again appealing to Shakespeare. In the second part of the preface, he begins a poetics against Voltaire, who adhered to the rules of classical theater.

The Castle of Otranto

Walpole introduces his work by quoting Horace, albeit with a slight modification of the phrase: "Vanae Fingentur species, tamen ut pes et Caput uni Reddantur formae" (Vain images will be formed, yet in such a way that foot and head will be rendered to a single shape). This phrase conveys the principles of a harmonious whole. Despite the parts being heterogeneous and disproportionate, they can be brought into a single form. Walpole carefully attends to the paratextual apparatus, which provides information about his project.

Figure 3: Fuseli; The nightmare

The narrative begins on the wedding day of Conrad, Manfred's only son, and Isabella. However, Conrad is unexpectedly murdered by a massive helmet that descends from above. This occurrence is linked to an ancient prophecy that states that the castle and title of Otranto will pass to the rightful heir when the current line of rulers dies out. In response to this tragedy, Manfred resolves to divorce his wife, Hippolyta, and marry Isabella himself. Isabella, horrified by Manfred's incestuous intentions and sudden aggression, escapes through the castle's subterranean passages. During her flight, she encounters Theodore, a peasant who helps Isabella escape, but is subsequently captured and sentenced to death. Father Jerome, however, intervenes and recognizes Theodore as his son through a distinctive birthmark, thereby revealing him as the heir to the title of Count of Falconara. Concurrently, both Isabella and Matilda, Manfred's daughter, develop an affection for Theodore. Isabella's father, Frederick, comes to rescue her. Manfred and Frederick arrange to marry their daughters, but Manfred accidentally kills Matilda, believing her to be Isabella. When Matilda dies, the castle crumbles, revealing the spirit of Alfonso the Good. The story ends with Theodore's recognition as the rightful heir and his marriage to Isabella.

From the very first paragraph, there is a reference to the fairy tale, which is one of the novel's key elements, along with the prophecy that initiates the dramatic action.

They attributed this hasty wedding to the Prince's dread of seeing accomplished an ancient prophecy, which was said to have pronounced that the castle and lordship of Otranto "should pass from the present family, whenever the real owner should be grown too large to inhabit it." It was difficult to make any sense of this prophecy; and still less easy to conceive what it had to do with the marriage in question. (Walpole, p.11)

The novel exhibits symmetries between spaces and symbolic relationships that connect the characters. Matilda and Isabella are both subjected to the authority of their father, Manfred, who embodies the villain. The narrative revolves around the theme of identity and employs anagnorisis, the recognition of one character by another. Matilda and Isabella are the persecuted heroines. Theodore falls in love with Matilda, but ultimately unites with Isabella. Isabella's flight represents the classic rescue by the hero. The servants also play a crucial role in the narrative, infiltrating themselves within the main characters and modifying the narrative. These elements, which hark back to chivalric romance, include anagnorisis, tortured love, adventure, and the interweaving of different codes and genres. The novel blends fantastic and realistic elements, creating a hybrid and innovative work.

The Influence of the Theatre

The text has a theatrical structure, being divided into five chapters that allude to theatrical acts. The importance of body language is emphasized. The servant, although silent, communicates through his physical actions.

The horror of the spectacle the ignorance of all around how this misfortune had happened, and above all, the tremendous phenomenon before him, took away the Prince's speech. Yet his silence lasted longer than even grief could occasion. He fixed his eyes on what he wished in vain to believe a vision; and seemed less attentive to his loss, than buried in meditation on the stupendous object that had occasioned it. (Walpole, p.13)

This use of body language enhances the text's theatricality. The novel also draws upon the tradition of the sentimental novel, in which emotions and feelings are at the center of the narrative. An individual's morality is dictated by his or her ability to feel and express respect. Sensitivity is expressed through both verbal and non-verbal language. In this novel, communication takes place through signs by which characters manifest their sensitivity. The Gothic novel incorporates elements of the sentimental novel. The servant is unable to verbally articulate what has occurred.

Figure 4: Pether, Moonlit river scene with a ruined Gothic church, and a stone bridge with an angler

The Gothic novel is built upon a triad: the motif of the villain threatening the heroine, which is also present in realist novels such as Pamela, where the libertine threatens the virgin. The sexual dimension of Manfred intertwines with the dimension of power. Sexuality and power are interwoven. Manfred justifies his infidelity by disowning his wife. A recurring motif is that whenever the villain attempts to commit an evil act, a supernatural element intervenes to save the heroine and thwart the villain's plans. There are also several references to Hamlet, such as the portrait that comes to life and stops Manfred from embracing Isabella: "At that instant the portrait of his grandfather, which hung over the bench where they had been sitting, uttered a deep sigh, and heaved its breast." (Walpole, p.25).

The enclosed space of the castle is contrasted with nature. Another contrast can also be observed regarding the geographical spaces in which the acts take place: the upper floors and the dungeons. The castle is presented on a vertical axis. Power is exercised in the upper spaces, while the heroine's escape takes place in the lower ones. The castle seems to emerge from the ground, with spaces that are never described in detail; there are staircases, galleries, and corridors that seem to vanish into nothingness. During the escape, the heroine, although frightened, maintains her lucidity; there is terror, but she never loses control.

Walpole's model in writing The Castle of Otranto is not a narrative one but a dramatic one, as evidenced by the division of the novel into five acts/chapters. The first chapter introduces the story and characters, the central chapters present the complications, and the final chapter resolves the narrative. Walpole explicitly declares the theatrical structure of this novel. The characters are well-defined, and terror is the main tool in the author's hands to ensure that the story does not weaken. Thus, the suspense is consistently maintained. In the preface, two key words emerge: "terror" and "pity," which underscore the theatrical framework of the text. These are the words Aristotle uses in Poetics to explain the purpose of tragedy, which is to provoke catharsis in the audience, a liberation from passions through terror and pity.

The tragic fear and pity may be aroused by the Spectacle; but they may also be aroused by the very structure and incidents of the play—which is the better way and shows the better poet. The Plot in fact should be so framed that even without seeing the things take place, he who simply hears the account of them shall be filled with horror and pity at the incidents; which is just the effect that the mere recital of the story in Oedipus would have on one. To produce this same effect by means of the Spectacle is less artistic, and requires extraneous aid.” (Aristotele, Poetics, Chapter XIV)

Walpole uses these terms to explain the effects the narrative has on the reader. "Terror" refers to the aesthetics of the sublime: the pleasure of the word is connected to the feeling of the sublime, which Burke defines as "sublime," a pleasure different from that produced by the beautiful.

Whatever is fitted in any sort to excite the ideas of pain, and danger, that is to say, whatever is in any sort terrible, or is conversant about terrible objects, or operates in a manner analogous to terror, is a source of the sublime; that is, it is productive of the strongest emotion which the mind is capable of feeling. (Burke, A Philosophical Enquiry into the OriginOf Our Ideas of the Sublime and Beautiful, SECT. VII: Of the SUBLIME.)

Figure 5: Millais, Ophelia

Conclusion

The Gothic novel represents a return to the exploration of emotions and the irrational, contrasting with the rationality of classicism and Enlightenment thought. This contrast highlights the importance of acknowledging and valuing emotional experiences both in literature and in daily life. The blending of fantastic and realistic elements in Gothic fiction can be interpreted as a form of social critique, addressing issues of justice, morality, and the consequences of human actions. Moral reflection, as demonstrated in Walpole's work, prompts readers to consider the ethical complexities within narratives. The use of terror and the supernatural as narrative devices in Gothic novels explores the depths of the human psyche and its vulnerabilities. This representation of fear reflects the anxieties and uncertainties of the time, rendering Gothic fiction relevant in the contemporary context. Furthermore, the emergence of the Gothic novel marks an evolution of literary genres in response to the cultural and social changes of the time. The Gothic novel, however, continues to exert a profound influence not only on readers of the past, but also on contemporary society. This genre is largely responsible for the emergence of horror, including in cinema, with adaptations of masterpieces such as Mary Shelley's Frankenstein. Moreover, the Gothic novel remains a rich source of inspiration for the creation of original television series, and its timeless appeal continues to captivate readers of all ages.

Bibliographical References

Aristotle. (2013). Poetics (A. Kenny, Trans.). Oxford University Press. (Original work published 335 C.E.)

Burke, E. (1767). A Philosophical Enquiry Into the Origin of Our Ideas of the Sublime and Beautiful.

Hume, R. D. (1969). Gothic versus romantic: A revaluation of the Gothic novel. PMLA, 84(2), 282–290. https://doi.org/10.2307/1261285

Hurd, R. (2005). Lettere sulla cavalleria e il romance (L. Bandiera, Introduzione, traduzione, & note). Monte Università Parma Ed.

Lake, C. B. (2013). Bloody records: Manuscripts and politics in The Castle of Otranto. Modern Philology, 110(4), 489–512. https://doi.org/10.1086/670066

Smith, A. (2013). Gothic Literature (NED-New edition, 2). Edinburgh University Press. http://www.jstor.org/stable/10.3366/j.ctt1g09zdb

Stein, J. M. (1934). Horace Walpole and Shakespeare. Studies in Philology, 31(1), 51–68. http://www.jstor.org/stable/4172224

Walpole, H. (2019). The Castle of Otranto. Middletown. (Original work published 1764)

Visual References