On Fairy-Stories

Tolkien structures his essay around three questions, presented in the introductory paragraphs: “What are fairy-stories? What is their origin? What is the use of them?” (109). First, Tolkien uses ethos, or credibility based on expertise, to position himself not as an expert on fairy stories, but rather as an expert in philology. Given Tolkien’s academic expertise in this field, he chooses to rely on textual evidence—referencing other texts and works of art—and metaphor—giving one element the characteristics of another through word choice—as his primary rhetorical devices.

Tolkien begins his definition of fairy-story through counter-example, or, by asserting what fairy-stories are not. He claims that many believe fairy-stories to simply be stories about fairies for two reasons: although works such as Shakespeare’s A Midsummer Night’s Dream and Drayton’s Nymphidia are stories about fairies, Tolkien does not consider them “fairy-stories.” Similarly, he excludes beast fables and traveller’s tales—and several texts—The Monkey’s Heart, The Three Little Pigs, Brer Rabbit, and Gulliver’s Travels . Using these well-known texts as counter-examples, Tolkien immediately begins to share his definition of “fairy-story” with his audience, as its own genre with particular hallmark themes and tropes. It is important that the audience, or reader, is clear on this point in order for them to consider Tolkien’s argument within the correct frame of reference. Having established the boundaries of fairy-story, Tolkien then turns his attention to the Relationship Between Myth, History, Folklore, and the Fairy Story, wherein he argues that though each of these is a distinct form, they all find their origin in the same “Cauldron of Story,” a metaphor Tolkien employs to describe how myth, history, folklore, and fairy-story mix with one another throughout time (148).

The metaphor of the “Cauldron of Story” is a central image as Tolkien discusses the origin of fairy-stories, in addition to the “Tree of Tales.” In combination with these metaphors, Tolkien uses rebuttal, the systematic disproving of an opponent’s argument, to confront claims that fairy-story is unoriginal, derivative, or simply not as valuable as more factual histories or as sacred as myth. For example, Tolkien analyzes the origin of Thorr, the Norse god of thunder, demonstrating that while the story of Thorr is recognized as myth or even as history, the story is by necessity also a fairy-story because many of Thorr’s characteristics and adventures don’t correspond to a natural phenomenon (myth) or a historical event (history). Tolkien writes, “this element [fantasy or fairy-tale] does not rise or fall, but is there, in the Cauldron of Story, waiting for the great figures of Myth and History…for the moment when they are cast into the simmering stew” (127). Through his use of allusion, metaphor, and rebuttal, Tolkien has both defined fairy-story and begun to elevate the form higher in the minds of his audience. The second half of the essay concerns The Value and Function of Fantasy, and two other developed themes within that heading, Children and Fairy-story and Humans as Sub-creator.

Just as he does in the introduction, Tolkien uses a rhetorical question to begin his discussion of The Value and Function of Fantasy: “[W]hat, if any, are the values and functions of fairy-stories now?” (130). Tolkien immediately anticipates his audience’s response, if they could respond, which would be to point to fairy-stories as children’s tales. This leads Tolkien to ask a set of follow-up rhetorical questions: “Is there any essential connection between children and fairy-stories? Is there any call for comment, if an adult reads them for himself?” (130). Here, Tolkien takes up the claim made in the introduction of the essay about Children and Fairy-story—that adults have forced fairy-tales into the small confines of “immature” children’s literature because adults no longer find the tales useful, or at least, they don’t understand their importance. Tolkien provides a rebuttal to Andrew Lang, the namesake of the lecture, and his claim that children are better suited for fantasy because they are more easily fooled, or it is easier for them to “suspend disbelief” when interacting with fantasy elements (132). Instead, Tolkien argues that the reader, child or adult, can reasonably inhabit the Secondary World created by the author, engaging in “literary belief.” A core element of effective fairy-story, according to Tolkien, is this “inner consistency of reality,” or the way Secondary Worlds have a set of rules they follow, even if those rules are drastically different from those “in the real world” (Tolkien, J. R. R. “On Fairy-stories.” The monsters and the Critics, and other essays, edited by Christopher Tolkien, Houghton Mifflin, 1983, p. 138). Tolkien argues that there is nothing inherently childlike about literary belief, but that instead the experience of literary belief, and Humans as Sub-creator, is one that’s fundamental to adult growth and flourishing.

Tolkien first introduces the term “sub-creator” early on the essay when he describes “Faerie”—the realm of fairy-tales—as a place where “Man becomes sub-creator” and holds the power to “make immediately effective by the will the visions of ‘fantasy’ (122). Tolkien argues that one of the primary functions of fantasy is that it allows humans to exercise their right to create, as a reflection of their maker (for Tolkien, the Christian God). Creation here is directly tied to Tolkien’s concept of literary belief: Fantasy holds this higher value because to create a true sense of fantasy, a person must create a Secondary World that has its own internal logic—a second creation narrative. This is the first part of Tolkien’s claim regarding The Value and Function of Fantasy—he addresses the others (Recovery, Escape, and Consolation) in the final portion of the essay.

Elsewhere in the essay, Tolkien has commented on the fact that studying fairy-tales does not produce the same effect as reading them (as literature); the three additional functions of fantasy—Recovery, Escape, and Consolation—are functions that only come from reading, Tolkien argues. This is an important distinction, given that Tolkien originally presented this lecture to scholars and academics. By reiterating this claim at the start of his final section, Tolkien is reminding the audience of the higher purpose of fairy-stories, which is to be read. Tolkien uses the metaphor of “The Tree of Tales” and “The Forest of Days” to describe the many repeated tropes and plots found in fairy-tales. Tolkien argues that this is a valuable trait in fairy-tales because their repeated structure in a new setting or with new creatures and characters helps the reader recover, or “[regain] a clear view” of their own surroundings once they return from the Secondary World (146). To further illustrate this phenomenon, Tolkien refers to “Mooreeffoc,” a term coined by another author to describe how stories can make the familiar seem strange again (146); the time spent in the Secondary World changes the experience of the Primary World. Tolkien anticipates his audience’s reaction to Escape as a positive function and uses rebuttal and rhetorical questions to counter their (possible) arguments. Tolkien asks, “Why should a man be scorned, if, finding himself in prison, he tries to get out and go home?” to illustrate how escape can be a positive function of fantasy (148). Consolation is what fantasy offers when escape is not truly possible. Tolkien writes that “eucatastrophe” is the “consolation of fairy-stories, the joy of the happy ending” (153). According to Tolkien, fantasy provides the hope of a joyous turn for a reader who may not yet be able to change their circumstances.

In the Epilogue, Tolkien advances his final argument regarding consolation and eucatastrophe to claim that fantasy, when effective, is a reflection of the larger Gospel story, which he also labels as the ultimate fairy-story made real. By concluding his lecture with ethos, in this case, God and holy scriptures, Tolkien is invoking a higher power and endowing his arguments with spiritual authority, as well as logical and academic credibility. In his closing statements, Tolkien alludes to biblical narratives to cement the value of fantasy in the minds of his audience, the ultimate purpose of his lecture.