miscelánea

vol. 71

2025

I S C E E AL Á N

literature, lm and

cultural studies

language

and linguistics

vol. 71

2025

a journal of english

and american studies

miscelánea

Prensas de la Universidad

Literatura, cine

y estudios culturales

Lengua y lingüística

miscelánea

revista de estudios ingleses

y norteamericanos

vol. 71

2025

Miscelánea: A Journal of English and American Studies

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Prensas de la Universidad

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Universidad de Zaragoza

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Rosario Arias

Universidad de Málaga, España

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Jean-Michel Ganteau

University Paul-Valéry, Montpellier III, Francia

<https://orcid.org/0000-0002-3147-0430>

Terttu Nevalainen

University of Helsinki, Finlandia

<https://orcid.org/0000-0003-3088-4903>

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Universidad de La Rioja, España

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Dalarna University, Suecia

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Universidad Nacional de Educación a

Distancia, España

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Eva Alcón Soler

Universitat Jaume I, España

<https://orcid.org/0000-0002-2261-5378>

Bárbara Arizti Martín

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-8803-1308>

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Universidad de Zaragoza, España

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Antonio Andrés Ballesteros

González

Universidad Nacional de Educación a

Distancia, España

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Gerd Bayer

University of Erlangen-Nurenberg, Alemania

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Jesús Benito Sánchez

Universidad de Valladolid, España

<https://orcid.org/0000-0002-8819-3411>

Miguel Ángel Benítez Castro

Universidad de Zaragoza, España

<https://orcid.org/0000-0001-8514-5943>

Ana Bocanegra Valle

Universidad de Cádiz, España

<https://orcid.org/0000-0002-2856-0814>

Christoph Bode

Ludwig-Maximilian University of Munich,

Alemania

<https://orcid.org/0000-0001-5006-5804>

Ruth Breeze

Universidad de Navarra, España

<https://orcid.org/0000-0002-8132-225X>

Joseph Brooker

Birkbeck College, University of London, Reino

Unido

<https://orcid.org/0000-0002-9245-010X>

Gert Buelens

Ghent University, Bélgica

<https://orcid.org/0000-0002-2683-0059>

David Callahan

University of Aveiro, Portugal

<https://orcid.org/0000-0003-4183-6691>

Javier Calle Martín

Universidad de Málaga, España

<https://orcid.org/0000-0003-1040-5979>

Johan Callens

Free University of Brussels, Bélgica

<https://orcid.org/0000-0003-1506-5942>

Mónica Calvo Pascual

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-3846-468X>

Isabel Carrera Suárez

Universidad de Oviedo, España

<https://orcid.org/0000-0001-7121-6528>

Frederic Chaume Varela

Universitat Jaume I, España

<https://orcid.org/0000-0002-4843-5228>

María Rocío Cobo Piñero

Universidad de Sevilla, España

<https://orcid.org/0000-0003-3814-7799>

Francisco Collado Rodríguez

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-2922-9194>

Juan Camilo Conde Silvestre

Universidad de Murcia, España

<https://orcid.org/0000-0001-6985-0036>

Stef Craps

Ghent University, Bruselas, Bélgica

<https://orcid.org/0000-0002-6720-1689>

Maria Josep Cuenca

Universidad de Valencia, España

<https://orcid.org/0000-0001-8606-713>

Rocío G. Davis

Universidad de Navarra, España

<https://orcid.org/0000-0003-1417-9702>

Celestino Deleyto Alcalá

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-3087-4556>

Marc Delrez

University of Liège, Bélgica

<https://orcid.org/0000-0002-0817-8407>

Jorge Díaz Cintas

Imperial College, Reino Unido

<https://orcid.org/0000-0002-1058-5757>

Olga Dontcheva-Navratilova

Masaryk University, República Checa

<https://orcid.org/0000-0002-0378-7975>

Isabel Durán Giménez-Rico

Universidad Complutense de Madrid,

España

<https://orcid.org/0000-0002-6026-0184>

Maite Escudero Alías

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-3116-3641>

Gibson Ferguson

University of Shefeld, Reino Unido

<https://orcid.org/0000-0002-5748-577X>

Javier Fernández Polo

Universidad de Santiago de Compostela, España

<https://orcid.org/0000-0002-1657-9323>

María del Mar Gallego Duran

Universidad de Huelva, España

<https://orcid.org/0000-0001-5518-7667>

María Luisa García Lecumberri

Universidad del País Vasco, España

<https://orcid.org/0000-0002-8651-7558>

Luis Miguel García Mainar

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-3169-5920>

Cristina Garrigós González

Universidad Nacional de Educación a Distancia,

España

<https://orcid.org/0000-0001-8047-9733>

Rosa González Casademont

Universidad de Barcelona, España

<https://orcid.org/0000-0003-2038-0699>

Constante González Groba

Universidad de Santiago de Compostela, España

<https://orcid.org/0000-0002-0556-8362>

Pilar González Vera

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-4919-8113>

Maurizio Gotti

University of Bergamo, Italia

<https://orcid.org/0000-0001-7203-4830>

Ignacio Guillén Galve

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-5304-1290>

Christian Gutleben

University of Nice, Francia

Felicity Hand

Universitat Autònoma de Barcelona, España

<https://orcid.org/0000-0002-3766-6266>

Luc Herman

University of Antwerp, Bélgica

<https://orcid.org/0000-0001-6013-2900>

María Isabel Herrando Rodrigo

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-3895-5534>

María Dolores Herrero Granado

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-1363-0189>

Ana María Hornero Corisco

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-0000-2714>

Tamar Jeffers-McDonald

University of Kent, Canterbury, Kent, Reino Unido

<https://orcid.org/0000-0003-4905-2525>

Deborah Jermyn

University of Roehampton, London, Reino Unido

<https://orcid.org/0000-0001-9261-9887>

Jane Jordan

Kingston University, London, Reino Unido

<https://orcid.org/0000-0002-2129-6504>

Enrique Lafuente Millán

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-4783-3953>

Rosa Lorés Sanz

Universidad de Zaragoza, España

<https://orcid.org/0000-0001-5574-6182>

Hilaria Loyo Gómez

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-4933-2199>

Zenón Luis Martínez

Universidad de Huelva, España

<https://orcid.org/0000-0001-5228-7822>

María José Luzón Marco

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-0454-5457>

Ana Manzanas Calvo

Universidad de Salamanca, España

<https://orcid.org/0000-0001-9830-638X>

Belén Martín Lucas

Universidad de Vigo, España

<https://orcid.org/0000-0001-5660-1559>

Paula Martín Salván

Universidad de Córdoba, España

<https://orcid.org/0000-0001-8514-2670>

María Jesús Martínez Alfaro

Universidad de Zaragoza, España

<https://orcid.org/0000-0001-7335-7690>

Silvia Martínez Falquina

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-8054-095X>

Sergio Maruenda Bataller

Universitat de València, España

<https://orcid.org/0000-0002-3041-0110>

Paul McDonald

University of Nottingham, Reino Unido

Arsenio Jesús Moya Guijarro

Universidad de Castilla-La Mancha,

España

<https://orcid.org/0000-0002-6591-6680>

Laura Muresan

Academy of Economic Studies, Bucharest,

Rumanía

<https://orcid.org/0000-0002-5585-2863>

Silvia Murillo Ornat

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-1369-3590>

Marita Nadal Blasco

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-2902-7613>

Claus-Peter Neumann

Universidad de Zaragoza, España

<https://orcid.org/0000-0001-6950-9153>

Ana Luiza Pires de Freitas

Federal University of Health Sciences

of Porto Alegre, Brazil

<https://orcid.org/0000-0002-8285-6528>

Elena Oliete Aldea

Universidad de Zaragoza, España

<https://orcid.org/0000-0001-8197-1199>

Susana Onega Jaén

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-1672-4276>

Beatriz Oria Gómez

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-0663-0519>

Nieves Pascual Soler

Universidad Internacional de Valencia,

España

<https://orcid.org/0000-0002-8962-5298>

Viorica Eleonora Patea Birk

Universidad de Salamanca, España

<https://orcid.org/0000-0003-3291-5574>

Beatriz Penas Ibáñez

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-2418-4695>

Javier Pérez Guerra

Universidad de Vigo, España

<https://orcid.org/0000-0002-8882-667X>

Ramón Plo Alastrué

Universidad de Zaragoza, España

<https://orcid.org/0000-0002-1151-1661>

Juan Antonio Prieto Pablos

Universidad de Sevilla, España

<https://orcid.org/0000-0002-8912-2818>

Paula Rautionaho

University of Eastern Finland, Finlandia

<https://orcid.org/0000-0002-5239-8407>

Constanza del Río Álvaro

Universidad de Zaragoza, España

<https://orcid.org/0000-0003-3370-3020>

María Isabel Romero Ruiz

Universidad de Málaga, España

<https://orcid.org/0000-0002-8084-4865>

Miguel F. Ruiz Garrido

Universitat Jaume I, Castellón, España

<https://orcid.org/0000-0002-9647-1039>

Noelia Ruiz Madrid

Universitat Jaume I, Castellón, España

https://orcid.org/0000-0001-9800-5624

Manuela Ruiz Pardos

Universidad de Zaragoza, España

<https://orcid.org/0000-0001-9115-1020>

Dora Sales Salvador

Universitat Jaume I, Castellón, España

<https://orcid.org/0000-0002-6290-2013>

Lena Steveker

University of Luxembourg, Luxemburgo

<https://orcid.org/0000-0002-6234-6790>

Juan Antonio Suárez Sánchez

Universidad de Murcia, España

<https://orcid.org/0000-0001-8303-044>

Rubén Valdés Miyares

Universidad de Oviedo, España

<https://orcid.org/0000-0001-9564-595X>

Javier Valenzuela

Universidad de Murcia, España

<https://orcid.org/0000-0002-0007-7943>

Rafael Vélez Núñez

Universidad de Cádiz, España

<https://orcid.org/0000-0003-0405-7357>

Francisco Yus Ramos

Universidad de Alicante, España

<https://orcid.org/0000-0001-5276-3251>

Krystyna Warchał

University of Silesia, Polonia

<https://orcid.org/0000-0002-8422-4911>

Articles

MARÍA MERCEDES PÉREZ AGUSTÍN

(Universidad Complutense de Madrid)

ÁNGEL LUIS LAHOZ LEÓN

(CEIP Claudio Moyano, Madrid)

MACARENA PALMA GUTIÉRREZ

(Universidad de Córdoba)

YONAY RODRÍGUEZ RODRÍGUEZ

(CUD-AGM Universidad de Zaragoza)

table of contents

How to Implement a Picturebook in

Primary EFL Classrooms to Develop

Children’s Intercultural Competence

Cómo implementar un álbum ilustrado

en inglés como lengua extranjera en las

aulas de primaria para desarrollar la

competencia intercultural de los estudiantes

Compositional Argument Selection in

N+V Qualia Pairs within the Discourse

of Cooking: A Corpus-based Study

Selección argumental composicional en

pares de qualia N+V en el discurso

de la cocina: un estudio basado en

corpus

A Study of Beliefs about EMI

Programmes in a Galician University

Estudio de las creencias sobre

el aprendizaje de contenidos en inglés

en una universidad gallega

Articles

INMACULADA FORTANET-GÓMEZ

(Universitat Jaume I)

VIKTORIIA DROBOTUN

(Taras Shevchenko National

University of Kyiv, Ukraine)

SHADIA ABDEL-RAHMAN TÉLLEZ

(Universidad de Oviedo)

JUAN VARO ZAFRA

(Universidad de Granada)

CARLOS DAVID VÁZQUEZ PÉREZ

(Universitat de València)

113

133

151

Collaborative Online International

Learning (COIL) between Spanish and

Ukrainian Students: New Tasks and New

Relationships

Aprendizaje internacional colaborativo en

línea (COIL) entre estudiantado español y

ucraniano: nuevas tareas y nuevas

relaciones

The Medarchy: Medical Discipline

and the Panopticon in Caduceus Wild

La medarquía: disciplina médica

y el panóptico en Caduceus Wild

The Mise en Abyme in The Drowned

World by James G. Ballard

La mise en abyme en The drowned world

de James G. Ballard

Hacia la cubanidad a través

de la santería: influencia de la nostalgia

como instrumento mercantilizado en la

protagonista de la novela Soñar en

cubano (1992)

Towards Cubanness through Santeria:

The Influence of Nostalgia as a Marketed

Tool in the Protagonist of the Novel

Dreaming in Cuban (1992)

TOMAS MONTERREY

(Universidad de La Laguna)

ÁLVARO ALBARRÁN GUTIÉRREZ

(Universidad de Sevilla)

SARA VILLAMARÍN-FREIRE

(Universidad de Santiago de

Compostela)

169

189

209

The Transnational Formation

of the English Novel: The Case of

Madame de Villedieu’s The Annals of

Love (1672)

La formación transnacional de la novela

inglesa: el caso de The annals of love

(1672), de Madame de Villedieu

The Power of Fancy: Liberty

and Imagination in Philip Freneau’s

College Writings

El poder de la fantasía: libertad e

imaginación en los escritos universitarios

de Philip Treneau

Tainted by (White) Trash: Class,

Respectability and the Language of Waste

in Dorothy Allison and Bonnie Jo

Campbell

Corrompido por la basura (blanca): clase,

respetabilidad y el lenguaje de los

desechos en Dorothy Allison y Bonnie Jo

Campbell

David Roberts, Andrew Milner

and Peter Murphy (eds.):

Science Fiction and Narrative Form.

Bloomsbury, 2023

251 261

Notes for contributors Acknowledgements

VANESA LADO-PAZOS

(Universidade de Santiago de

Compostela)

Constante González Groba, Ewa Barbara

Luczak and Urszula Niewiadomska-Flis

(eds.):

Pathologizing black bodies: the legacy of

plantation slavery. Routledge, 2023

MIASOL EGUÍBAR HOLGADO

(Universidad de Oviedo)

Reviews 231

237

243

FLOR DE LIS GONZÁLEZ-MUJICO

(Universidade da Coruña) Mª Noelia Ruiz-Madrid & Inmaculada

Fortanet-Gómez (ed.):

Teacher Professional Development for

the Integration of Content and Language

in Higher Education. Routledge, 2024

Articles

miscelánea 71 (2025): pp. 15-41 ISSN: 1137-6368 e-ISSN: 2386-4834

MARÍA MERCEDES PÉREZ AGUSTÍN

Universidad Complutense de Madrid

mapere65@ucm.es

<https://orcid.org/0000-0002-9178-7405>

ÁNGEL LUIS LAHOZ LEÓN

CEIP Claudio Moyano, Madrid

angel.lahoz@educa.madrid.org

<https://orcid.org/0009-0008-4394-1915>

Abstract

The aim of this article is to meet the increasing need to develop the intercultural

dimension of communicative competence through an authentic resource, in this

case, picturebooks. An innovative pedagogical initiative was carried out with two

primary-level classes (5th and 6th) in a bilingual school in central Madrid (Spain).

The selected resource was the picturebook entitled Fry Bread: A Native American

Family Story, about a present-day Native American family preparing a traditional

post-colonial recipe. The resource was introduced through reading aloud as part

of a project in which 44 students were asked to write a recipe in English for a dish

that is special to them or their families, accompanying the text with an illustration.

The contributions of students, which were compiled in a recipe book composed

of 44 main courses and desserts, were analysed in accordance with the main

topics of focus in the intervention, identifying who was the recipe-keeper in each

family. It was determined that the most popular topic was family time, followed

by tradition. In most cases, the mothers were the keepers of the recipes, and the

illustrations reflected a highly collaborative family effort to prepare the dishes. To

HOW TO IMPLEMENT A PICTUREBOOK IN

PRIMARY EFL CLASSROOMS TO DEVELOP

CHILDREN’S INTERCULTURAL COMPETENCE

CÓMO IMPLEMENTAR UN ÁLBUM ILUSTRADO

EN INGLÉS COMO LENGUA EXTRANJERA EN LAS

AULAS DE PRIMARIA PARA DESARROLLAR

LA COMPETENCIA INTERCULTURAL

DE LOS ESTUDIANTES

https://doi.org/10.26754/ojs_misc/mj.202510148

María Mercedes Pérez Agustín and Ángel Luis Lahoz León

miscelánea 71 (2025): pp. 15-41 ISSN: 1137-6368 e-ISSN: 2386-4834

conclude, the recipes were analysed from the perspective of Byram’s (1997)

Intercultural Communicative Competence model, revealing that the dimension

of knowledge of self and other and discovery and interaction were the most

prevalent in the recipe book. This suggests awareness-raising among children of

the differences between countries and a willingness to familiarise themselves with

other cultures.

Key words: reading aloud, picturebooks, ESL/EFL (English as a Second

Language/English as a Foreign Language), Native American, interculturality,

Project-Based Learning (PBL), Intercultural Communicative Competence (ICC).

Resumen

El objetivo de este artículo es responder a la creciente necesidad de desarrollar la

dimensión intercultural de la competencia comunicativa a través de un recurso

auténtico, en este caso, los álbumes ilustrados. La experiencia pedagógica

innovadora se llevó a cabo con dos clases de primaria (5º y 6º) en un colegio

bilingüe del centro de Madrid. El recurso seleccionado fue el álbum ilustrado

titulado Fry Bread: A Native American Family Story que presenta a una familia

nativa americana actual que prepara una receta tradicional post-colonial. Este

recurso se introdujo a través de la estructura de lectura en voz alta dentro de un

proyecto en el que se pedía al alumnado que escribiera una receta en inglés

acompañada de una ilustración que fuera especial para ellos o sus familias. Como

resultado, ambas clases escribieron un recetario compuesto por platos principales

y postres, 44 en total, que fueron analizados teniendo en cuenta los principales

temas abordados en la intervención y quién era el guardián de las recetas en sus

familias. Se determinó que el tema más popular era el tiempo en familia, seguido

de la tradición. En la mayoría de los casos, las madres eran las guardianas de las

recetas reflejando también una alta colaboración para preparar los platos con sus

familiares mostrados en las ilustraciones. Para concluir, se analizaron las recetas

desde la perspectiva del modelo de Competencia Comunicativa Intercultural de

Byram (1997), lo cual reveló que la dimensión de conocimiento de uno mismo y

del otro y descubrimiento e interacción eran las más prevalentes en el recetario.

Esto implica que los niños y niñas toman conciencia de las diferencias entre países

y están dispuestos a familiarizarse con otras culturas.

Palabras clave: lectura en voz alta, álbumes ilustrados, ILE (Inglés como Lengua

Extranjera), nativos americanos, interculturalidad, aprendizaje basado en

proyectos, competencia comunicativa intercultural.

How to Implement a Picturebook in Primary EFL Classrooms

miscelánea 71 (2025): pp. 15-41 ISSN: 1137-6368 e-ISSN: 2386-4834

1. Introduction

This article presents a pedagogical experience carried out at the primary-school

level involving two 5th- and 6th-grade classes in a bilingual public school in

Madrid, Spain. The objective of the experiment is to develop intercultural

competence in a multicultural classroom and encourage students to instill

democratic values citizens through the use of authentic resources. This paper

reflects upon picturebooks as literary resources that foster interculturality in an

ESL (English as a second language)/EFL (English as a foreign language) context.

The selected resource is a picturebook entitled Fry Bread: A Native American

Family Story (2019), which, as Dolan (2014) stated, “bridges the gap between

geographically distant places and the lives of the children in the classroom” (3).

As explained below through a detailed account of all classroom sessions and

activities, the picturebook was introduced through the reading-aloud structure

within a Project-Based Learning (PBL) approach under the heading “Recipe

Book” as part of the project. This led to the final product, which consisted of

writing a recipe for a dish with special meaning for students because it is consumed

on special occasions or is part of their family’s heritage, with all recipes compiled

in a book entitled “Recipe Book”. The expected outcomes of this initiative, in

which students were prompted to create multicultural recipes inspired by the

picturebook, are in line with the United Nations Sustainable Development Goal

4 (Quality Education), whereby teachers foster global citizenship and value

cultural diversity. To highlight students intercultural competence, the recipes

were analysed from the perspective of Byram et al.’s (2002) Intercultural

Communicative Competence (ICC) model composed of knowledge, skills and

attitudes, and the descriptors of the Reference Framework of Competence for

Democratic Culture (RFCDC) (2013), taking into consideration the students’

cultural and linguistic background as well as the connection between these

features and the selected recipes.

The first section of the article will discuss the benefits of using picturebooks to

promote ESL/EFL learning and interculturality within the PBL methodology.

Next, the number of participants in the experiment will be presented together

with their familial-cultural background, with the purpose of bringing the reader

closer to a multicultural classroom model. The following section offers a detailed,

step-by-step explanation of the creative process, which followed the three phases

of reading aloud (pre-, while, post-), after which we offer an analysis of the final

“Recipe Book” based on six thematic blocks (1. Family time; 2. Tradition; 3.

Wish to carry on the tradition; 4. Identity; 5. Special occasions; 6. Any occasion)

based on the words used in the recipe book.

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2. State of the Art

2.1. Picturebooks as a Form of Literature

According to Barbara Bader,

A picturebook is text, illustrations, total design; an item of manufacture and a

commercial product; a social, cultural, historical document; and foremost an

experience for a child. As an art form it hinges on the interdependence of pictures

and words, on the simultaneous display of two facing pages, and on the drama of the

turning of the page. (1976: 1)

This resource is an item of manufacture designed to have between 24 and 48

pages which are composed of the front matter, the body of the book and the back

matter. According to Genette, these peritextual features are the parts of the text

that “surround it and extend it, precisely in order to present it” (1997: 1) and also

to generate dynamism, magic and suspense. The front matter provides a brief

description of the main topic of the book and the back matter contains a biography

and a synopsis of the story and occasionally an image of the author and illustrator.

Picturebooks break with the traditional reading conventions because texts are

short and illustrations are appealing. This requires an active and supportive reader

to bring these elements together. This description highlights one of the features

that have generated high interest, namely the bimodal link between text and image

(Nodelman 1988; Nikolajeva and Scott 2006) which could be redundant,

complementary or counterpoint (Bateman 2014). Generally, picturebook images

complement the information provided in the narration, as in Fry Bread: A Native

American Family Story. This form of literature has typically been used in the home

for bedtime reading, allowing parents to engage in an entertaining and enjoyable

experience. The gap between the text and the image leaves an interpretative space

for the reader where they can construct meaning by linking literary works through

intertextuality (Mendoza-Fillola 2001) or by means of a semiotic code such as

“interpictoriality” (Hoster et al. 2018). What makes a picturebook different from

a storybook lies in conceiving of it as “a unit, a totality that integrates all the

designated parts in a sequence in which the relationship among them —the cover,

endpapers, typography, pictures— are crucial to the understanding of the book”

(Marantz 1977: 151). Therefore, the final result is a product of viewing the

picturebook not just as a story to be told but as an object of discovery where all the

images and the elements within the object contribute to the final result.

2.2. Picturebooks for EFL/ESL and Interculturality

This section presents the multiple benefits of picturebooks for teaching EFL/

ESL and interculturality. Although there are various interpretations of the word,

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here we understand interculturality in the manner provided by the UNESCO,

which “refers to the existence and equitable interaction of diverse cultures and the

possibility of generating shared cultural expressions through dialogue and mutual

respect” (Article 4.8 of the Convention on the Protection and Promotion of the

Diversity of Cultural Expressions, UNESCO 2005). This definition not only

reflects the multiculturalism present in today’s classrooms but at the same time

gives different cultures equal importance. In line with Byram et al.’s (2002) ICC,

“the basis of intercultural competence is in the attitudes of the person interacting

with people of another culture” (11-13). This implies that learners should be

open and willing to learn from other cultures.

In many cases, the main challenge for teachers is to introduce different realities in

the classroom, which makes picturebooks an optimal resource because they can

act as a mirror in which students are reflected and also as a window through

which they can see other cultural experiences (Wu 2017). Furthermore, as Boyd

et al. (2014) stated, picturebooks, with their firm commitment to diversity, also

encourage students to accept people who are different from them and are works

of literature that are open to the imagination and require meaningful thoughts

and a capacity for deep reflection (Encabo Fernández et al. 2012). According to

Braid and Finch (2015), the debate and interaction that takes place while reading

aloud will foster intercultural education, also allowing students to perceive

cultural interactions and traditions in a positive way (Hancock 2016).

Picturebooks have been used as a rich and authentic source of meaningful input

in the field of foreign language education for over four decades (Mourao 2023).

High-quality picturebooks facilitate language acquisition by enhancing both

linguistic and interpersonal proficiency. According to Ghosn (2013), humanising

English teaching allows individuals to enhance their moral reasoning skills,

emotional intelligence and empathy. In this same vein, Fleta-Guillén and García-

Bermejo argue that “picturebooks not only help students to understand language

and content, but also to develop positive attitudes toward the target language”

(2014: 38). Furthermore, they expose language learners to a variety of cultures

and afford opportunities for “combining critical literacy with intercultural

learning, as an empowering process” (Bland 2013: 26). Despite the existence of

well-developed theories describing the advantages of picturebooks for intercultural

learning, empirical research is relatively scarce, especially with regard to modern

foreign language learning in classroom settings.

In the following sections the pedagogical experience will be thoroughly explained

(i.e., participants, methodology, sessions) to answer the following questions:

— To what extent did the picture book Fry Bread: A Native American Family

Story help students abandon stereotypes toward Native Americans in a

Spanish EFL context?

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— To what extent does composing recipes in EFL classrooms contribute to

raising students intercultural awareness?

2.3. Project-Based Learning for Intercultural Communicative Competence

As Thomas and Peterson (2014) state, PBL is an instructional approach that

engages students in authentic, inquiry-based projects designed to address real-

world problems or challenges. PBL is characterised by its emphasis on student

autonomy, collaboration, inquiry and application of knowledge and skills to solve

complex problems (Helle et al. 2006). Inquiry and investigation foster curiosity,

promote self-directed learning and cultivate skills that extend far beyond the

specific project at hand, as Blumenfeld et al. (1991) state.

It can be said that the main characteristics of this instructional approach meet the

requirements to develop ICC. According to Kramsch (1993), ICC involves

multiple components, including intercultural sensitivity, knowledge of cultural

norms and practices, communication skills, empathy and adaptability. In today’s

globalised world, ICC is essential for meaningful communication, collaboration

and cooperation across cultures in various personal, professional and academic

contexts. Together with this, PBL promotes active learning, critical thinking,

creativity and the development of 21st-century skills such as communication,

collaboration and problem-solving.

PBL provides authentic contexts for students to engage in meaningful interactions

with individuals from diverse cultural backgrounds (Helle et al. 2006). Projects

often require collaboration with peers from different cultures, which exposes

students to diverse perspectives and experiences, as in the pedagogical experience

shown in this article. In addition, PBL promotes cultural awareness by

encouraging students to explore and understand the cultural dimensions of the

topics or issues they are investigating (Thomas and Peterson 2014). This process

fosters an appreciation for cultural diversity and helps students recognise their

own cultural biases and assumptions.

Moreover, PBL enhances students’ communication skills by requiring them to

transmit their ideas, perspectives and findings to diverse audiences (Byram 1997).

Through collaboration and interaction with peers from different cultures,

students develop cross-cultural communication competencies, including empathy,

active listening and intercultural sensitivity. Furthermore, this methodology

challenges students to solve complex problems or address real-world issues that

may have cultural implications. By working collaboratively with peers from

diverse cultural backgrounds, as reflected in the picturebook through the topic

of identity, students learn to navigate cultural differences, negotiate meaning and

develop innovative solutions that are sensitive to cultural contexts.

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3. Method

3.1. Participants

The pedagogical experience was devised for a total of 44 primary-school participants

in the 5th (n=21) and 6th grade (n=23) in a public bilingual school located in

central Madrid. The general English level of the students ranges from A2-B1.

Regarding the origin of the students’ families (see Table 1), in half of the families

(50%) both parents are Spanish, which suggests a significant representation of

local or native Spanish-speaking families. In nearly one-third of the families

(27.3%), both parents originate from a country other than Spain, which

highlights a substantial level of cultural diversity within the classroom. Moreover,

nearly one-fifth of the families (18.2%) were composed of only one parent from

a country outside Spain, which adds another layer of diversity, bringing in

different cultural perspectives and backgrounds. In one of the two single-parent

families in the class, one had a parent from Spain and the other single parent was

from elsewhere.

(n=44) (%)

Both parents of Spanish origin 22 50

One parent from a country other than Spain 8 18.2

Both parents from a country other than Spain 12 27.3

Single-parent family in which the parent is from Spain 1 2.3

Single-parent family in which the parent is from a country other than Spain 1 2.3

Table 1. Students’ family origins

As can be seen in Table 2, in 61.4% of the families both parents’ mother tongue

is Spanish, which suggests a prevalent linguistic similarity among a significant

portion of the students’ families. About one-fifth of the families (20.9%) have at

least one parent with a mother tongue other than Spanish (i.e., Swedish, French,

Korean, English, Arabic) and a smaller percentage of families (14%) have both

parents with a mother tongue different from Spanish (Guaraní, Russian,

Romanian, Quechua), indicating a subset of students with a potentially richer

linguistic environment.

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(n=47) (%)

Both parents’ mother tongue is Spanish 27 61.4

One parent whose mother tongue is other than Spanish 9 20.5

Both parents’ mother tongue is other than Spanish 6 13.6

Single-parent family in which the parent’s mother tongue is Spanish 2 4.5

Table 2. Family’s mother tongue

It can be concluded that while Spanish remains the dominant language among

families, learners are exposed to different languages and cultures. This enhances

their linguistic and cultural awareness, but also shows the need to foster the

learners’ intercultural competence.

3.2. Creative Process

The aim of this pedagogical experience was to promote democratic values in the

students. Thus, we searched for an action-oriented approach (Piccardo and North

2019), promoting learning through realistic scenarios that lead up to a final

collaborative task. We also sought to achieve a number of objectives established in

the official curriculum for English in the third cycle of primary education, particularly

those regarding reception, production, interaction and mediation in the English

language as well as the development of the different Key Competences established in

the LOMLOE (Ley Orgánica 3/2020, 2020) and the Key Competences for Lifelong

Learning identified by the European Commission, Directorate-General for

Education, Youth, Sport and Culture (2019). In order to achieve these goals the

following methodologies (see Figure 1) were introduced in the classroom.

The transformative pedagogical approach of PBL was introduced through the

driving question, “Can you write a recipe in English that is special to you and

your family and share it with us?” This question aimed to encourage authenticity

and real-world learning, one of the core tenets of PBL. Thus, the pedagogical

experience intended to mirror a genuine challenge or problem present in the

Figure 1. Methodologies used in the pedagogical experience

Project-Based Learning

Reading aloud

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world whose authenticity not only engaged students by tapping into their intrinsic

motivation (Thomas 2000), but also ensured that the learning was applicable

beyond the classroom walls. Inquiry and investigation —two other characteristics

of PBL— were put into practice since students were encouraged to investigate a

recipe that was special for their family. In addition, the families were involved in

the process. Moreover, collaboration, or positive interdependence for the final

product, was present, as the collective success of the group depended on the

individual work of each student. Furthermore, students’ autonomy and decision-

making was fostered in this pedagogical experience as students could choose the

recipe that they wanted to write, and they had to make their own decisions about

their texts and illustrations. On top of this, the final product was a recipe book

that could be shared with their families, teachers and peers, adding authenticity

and accountability to the project.

Finally, the reading aloud technique (Ellis and Mourao 2021) was implemented

through mediation, which consists of selecting the picturebook according to the

students’ level, age, needs and interests, accompanied by scaffolded activities and

guidance through the various meanings that a multilayered picturebook may

offer. One of the main challenges EFL/ESL teachers face is using language

attached to a real and authentic context in a way that is engaging within a

multicultural setting. In this regard, the picturebook Fry Bread: A Native

American Family Story becomes an object of discovery due to its multilayered

text, which leads to multiple interpretations from the narrator’s and other

characters’ voices. Furthermore, from the reader’s perspective, the story opens up

necessary dialogue between two cultures that are so isolated from each other, the

Western and the Native American. The readers also become active learners when

they read about the 573 recognised tribes depicted in the endpapers, as well as

traditional Seminole pottery, basketry and dolls.

Kevin Noble Maillard is the author of Fry Bread: A Native American Family

Story. He belongs to the Mekusukey Seminole tribe, and by sharing ‘fry bread’, a

post-colonial recipe, he seeks to promote unity among all nations. The universal

topic of food and the call to readers to join in this feast with a racially diverse set

of characters not only foster intercultural understanding, but also help the reader

to challenge certain misconceptions, such as the belief that Native Americans

have red skin, wear feathers or ride horses. Consequently, this is more than a

book about food; it is a story of displacement, starvation and the struggle to

survive, subtly alluding to the historical event of The Long Walk, when between

1863 and 1864 hundreds of Navajo were forced to march 400 miles from Arizona

to eastern New Mexico and had to subsist entirely on rations of flour, salt and

water, that is, the ingredients to prepare fry bread.Summing up, this picturebook

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offers insights into other cultures that can be very beneficial to develop cognitive

and attitudinal skills for real-life experiences. In the following table we can see

the different stages of the reading aloud process.

Mediating a picturebook read-aloud

Stage 1: Before Stage 2: During Stage 3: After

Selection and preparation Use of expressive techniques:

— Body, eyes and voice

— Reading aloud

— Read-aloud talk

Follow-up and reflection

Table 3. Picturebook reading aloud structure (Retrieved from Ellis and Mourao (2021))

3.3. Sessions

Certain that Fry Bread could be a good trigger for promoting interculturality in

the classroom, a pedagogical intervention was designed, consisting of seven

sessions that followed the reading aloud structure, as can be seen in Table 4. In

the next section the activities carried out in each session will be explained

thoroughly, as the stages of the learning process are of utmost importance to

truly support intercultural competence.

Pre-reading aloud stage

Session 1: What is

fry bread?

Activity 1. See, think,

wonder. Activity 2. Where is

this bread from? Activity 3. Peritextual

features.

Reading aloud stage

Session 2: Close

reading of Fry

Bread.

Activity 1. Reading aloud

Fry Bread. Activity 2. Going

deeper into Fry

Bread.

Activity 3. Not this,

but that.

Post-reading aloud stage

Session 3: What makes this

recipe so special?

Activity 1. Speaking circles. Activity 2. Writing your

reasons.

Session 4: Recipe time! Activity 1. Reading Kevin’s

Fry Bread recipe. Activity 2. Specific content-

based language teaching.

Session 5: Can you write

your own recipe?

Activity 1. Writing my recipe. Activity 2. Typing up my

recipe.

Session 6: Talking

through pictures.

Activity 1. Analysing the

illustrations of Fry Bread. Activity 2. If I were

the illustrator… Activity 3: Let’s

draw!

Session 7:

Composing our

hymn.

Activity 1: Final reading

aloud of Fry Bread. Activity 2:

Rewriting Fry

Bread.

Activity 3. Reading

the new poem

together.

Table 4. Reading aloud sessions during the pedagogical experience

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3.3.1. Pre-reading Aloud Stage

At this point, the main aim was to spark students’ interest in the picturebook as

well as to support ICC by bringing the Native American culture to a European

context. As an ice-breaker activity, the teacher showed the students the front

page of the book and asked questions to help draw their focus to the title and

the illustration. They wrote a list of what they could see, what they thought of the

illustration on the front page, and what they would like to know about the book.

This routine encouraged students to make careful observations and thoughtful

interpretations and stimulated their curiosity, setting the stage for inquiry.

During the second activity, and in order to deepen their understanding of cultural

similarities and differences around the world, they were prompted to predict

where bread came from, guessing its name and origin. For example, pita bread is

from Syria or Greece, pretzels are from Germany, etc.

To conclude the pre-reading stage, the teacher showed students other peritextual

elements of the picturebook, such as the title page, the front and back covers, the

dedication page, the endpapers and awards. In this fashion, the picturebook was

presented as an aesthetic object, highlighting the importance of the illustrations.

Here are some examples of questions to be posed:

• “What do you think they are eating?”

• “Do you think these characters know each other?”

• “Why is the chosen food bread?”

• “What do you think fry bread symbolises?”

• “Can you think of important moments in your life where bread is present?”

• “What is the medal on the front cover?”

• “The book is dedicated to J.M.-N. and to K.N.M., who do you think they

are?”

3.3.2. Reading Aloud Stage

During the reading aloud stage, the teacher-narrator helped students to engage

more actively with the story through the use of rhythm, intonation, volume, body

language, gestures, etc. and by asking questions that helped the listeners to fill

the information gaps between the images and the text. This was accompanied by

some questions that helped students to understand the deeper layers of the story

and to develop into active and critical readers, such as

• “What do you think the mother is doing in this image?”

• “How do you think the characters are feeling in this image?”

• “Why are all the children looking at the grandmother telling a story?”

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In order to focus on words and their meaning, the following activity (“Not this,

but that”) consisted of retelling the story, but changing some words which

students had to identify. For example, the teacher said, “Fry bread is food. Flour,

salt, coke, …” The students had to stop the teacher and say: “Not coke, but water”.

3.3.3. Post-reading Aloud Stage

To begin with the post-reading aloud stage, the students were required to bring

a recipe that was special and meaningful for them or their family. During the first

activity, the students had to form two big concentric circles so that each student

had another student facing them. Then, the teacher projected a question on the

interactive whiteboard, and students were encouraged to share their answers.

Later, the teacher asked them to move clockwise and repeat this exchange of

experiences with a different pair and a different question. This activity helped

them to connect with the deep meaning of the recipe for their family and to learn

about recipes from other cultural backgrounds, fostering intercultural exchanges.

These were some of the proposed questions:

• “Which recipe did you choose?”

• “Who taught you this recipe?”

• “Who usually cooks it at home?”

• “Why is that person special to you?”

• “Where does this recipe come from?”

• “How is your family related to that place?”

• “When do you usually eat this dish?”

• “Why is this recipe so important for your family?”

The students were each expected to share their recipe, which is something personal,

authentic and intimate and something to be proud of. These speaking circles

created the necessary space for children to get to know themselves better, to

interpret and compare their culture and traditions to those of others, to exhibit

curiosity and openness and value the attitudes and beliefs of others, elements that

Byram (2008) identifies as necessary for the development of intercultural

competence. After sharing their ideas with their peers orally, the students had the

opportunity to write them down on paper, which were later used for the final

project. Some examples of this writing exercise appear in the results section below.

During the 4th and 5th sessions, the students wrote their special recipe. To model

this task, the teacher used the example of the fry bread recipe that the author,

Kevin Noble Maillard, shares in the author’s notes of the picturebook, where the

author explains that it is actually a recipe passed down from his aunt Maggie. This

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provided a real, contextualised recipe that helped students to learn about text

formats, parts of a recipe (ingredients, instructions), verb tenses, specific

vocabulary, quantities and the like.The students had previously received scaffolded

instruction on key words related to cooking (i.e., verbs, kitchen utensils, the most

commonly used ingredients) through images. At the same time, they were given a

recipe template that was divided into sections for ingredients and steps and were

taught how to explain the different steps using connectors.

Subsequently, each student had the chance to write down the special recipe that

was typical of their family. At this moment, the teacher’s role was to provide one-

to-one support to students when required. To finish this phase, the students had

to type out their recipe, explaining why it was special for them, and upload it to

a digital platform (Teams). The pedagogical aim behind this task was to foster

digital competence through the use of learning technologies in a confident,

critical and responsible way.

To promote the use of English and enhance the students’ creativity, during the 6th

session the teacher proposed that students create an illustration to accompany each

recipe. Before starting to think about their illustrations, the teacher helped them

analyse the illustrations of Fry Bread by Juana Martínez Neal, pointing out aspects

such as the colours used, the use of different sizes, the expression of each character

and the perspective chosen for some of the illustrations (Serafini and Reid 2022).

To lead the students to a decision-making process, the teacher asked them to

imagine the illustration they wanted to accompany their recipe, recalling that the

picturebook is also a piece of art. To help them with this process, the teacher

asked them to close their eyes and answer these questions in their minds:

• “Who appears in your illustration?”

• “What is the setting of your illustration?”

• “What details do you want to show in the illustration?”

• “What colours will you use?”

• “Which perspective do you want to choose: long shot, full shot, medium

shot or close-up?”

In the last part of this session, the students were provided with different materials

to use in their illustrations. This created a beautiful atmosphere of concentration

and work, and the results showed a deeper understanding of the picturebook and

what the students wanted to transmit with their illustration.

In the last session, the students were asked to rewrite the poem entitled Fry Bread

with the purpose of summarising the story and also celebrating the product

created, the recipe book. For this activity, the students formed pairs. Each pair

was inspired by one of the 12 headings that compose the picturebook. Then, they

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had to invent four new verses. At the end of the session, we put all the verses of

the poem together and the students read the new poem aloud, transforming it

into a hymn as seen in the Appendix.

4. Results

4.1. Data Analysis Procedure

The data collection process began by gathering information about students’

family origins and their corresponding native languages. The second step

consisted of collecting anonymised student recipes, which were coded as initial S

followed by the number of the recipe as it appeared in the book.

Firstly, the association of two variables was studied: the students’ multicultural

background and the origin of their recipes. The percentage of students who chose

a recipe related to their cultural background was calculated. Then, we calculated

the percentage of students with a multicultural background who had selected a

recipe associated with their family’s origin. In addition, we determined the

percentage of different relatives who acted as keepers of the recipe, the people

who cooked this recipe in the family and passed it down through generations.

The recipes were analysed thematically, and the most recurring themes were as

follows: 1) Family time, 2) Tradition, 3) Wish to carry on the tradition, 4) Identity,

5) Special occasions and 6) Any occasion. This analysis was based on the words and

expressions that appeared in the recipe book, as seen in Table 5.

Topics in the recipes Codes

1. Family time

Spending time together, good memories, all together, at home

together, everyone has their part, expressions of love toward their

relatives.

2. Tradition Passed from, remember, passed it on to me, continue, generation to

generation, heritage, connection to their roots.

3. Wish to carry

on the tradition

Would like for them to learn the recipe, would show it to them when

they are born.

4. Identity

Same country as my dad, belongs to that country, related to my

family, comes from my family’s place of birth, from here, sense of

pride and connection to the cultural and culinary aspects of their

home country and their love for it.

5. Special occasions Birthday, Holy Week, Christmas, Thanksgiving.

6. Any occasion Not on any special occasion, any moment, on any day, once a week,

once every two weeks.

Table 5. Most common topics when analysing the recipes

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Lastly, the recipes were analysed following Byram’s ICC model and the descriptors

of democratic citizenship appearing in the Reference Framework of Competence

of the Council of Europe (Council of Europe 2013).

4.2. Recipe Book Analysis

This section analyses the connection between the selected recipes and the students’

multicultural background. Simultaneously, the topics that make those recipes so

special will be examined as well as the role of the keeper of the recipes within their

families, as inspired by the author Kevin Noble Maillard, who was “the fry bread

lady” in his family. The most frequently mentioned topic was Family time followed

by Tradition and Identity.

A substantial majority of students (70.5%) indicated that the source of the recipe

was related to the origin of their family, as compared with 29.5% whose recipe is

not related to their family background On the one hand, this high percentage

reinforces the idea that there is a strong connection between cultural identity

and the food they choose. It suggests that students are consciously or

unconsciously drawing on their cultural backgrounds when engaging with the

topic of food. On the other hand, the percentage of students who chose a recipe

not related to their cultural background confirms the presence of intercultural

competence in the classroom, since for a significant minority, other factors such

as personal preferences or positive experiences with other countries and cultures

play a more prominent role in their choice of recipes.

In addition, 85.7% of students with a multicultural background presented

recipes from the countries associated with their family’s background whereas a

small subgroup of students with a multicultural background (14.3%) did not

show recipes from the countries associated with their family’s background. The

substantial majority of students with a multicultural background sharing recipes

from their family’s countries indicates a positive alignment between the student’s

cultural heritage and the content of their recipes. This outcome supports the

idea that the pedagogical intervention might have encouraged students to

express and share aspects of their multicultural background through their

choice of recipe. It can be highlighted that a minority of students with diverse

cultural backgrounds also chose to include recipes that are part of the Spanish

culinary tradition.

Another important area to be analysed concerns the reasons the students gave

when explaining why their recipe was special to them (Figure 2).

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Figure 2. Most commonly mentioned topics in the recipe book

The most frequently mentioned topic is Family time. It was mentioned by 35 out

of 44 of the students (79.54%). This suggests that Family time is a central theme,

encompassing various aspects of connection, union and shared experiences, as in

Fry Bread.

Statements referring to the topic Family Time

1. “It is a way to spend time with my father” (Arepas by S1).

2. “I have good memories with this recipe as we spend our weekend enjoying the dish

together” (Mixed rice by S4).

3. “But what really matters are not the days that we eat it. The important part is the time in

family” (Pasta Bolognesa by S6).

4. “I have good memories cooking this dish and eating it by the sea. It is delicious!” (Migas

by S10).

5. “This recipe is very special for me and my family, because it takes us all together around

one big table to prepare it, and everyone has their part to do from grandparents to

grandchildren, and we cook and talk and laugh, and then we eat all together” (Pelmeni

by S16).

6. “We usually bake it on weekends because on weekends we are all at home together”

(Lemon cake by S36).

Table 6. Statements referring to the topic Family Time in the recipe book

The next most notable theme is Tradition. Statements related to the topic of

tradition were written in 12 of the 44 recipes (27.27%). In addition, the Wish to

carry on with the tradition was expressed the same number of times (27.27%).

This theme reflects a strong sense of cultural continuity and the importance of

preserving family traditions.

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Statements referring to the topic of Tradition

1. “I love this recipe because it has passed from generations to my family. This recipe

reminds me of my grandparents” (Cookies by S42).

2. “My grandmother passed away, but I still can remember the pancakes” (Chocolate

pancakes by S38).

3. “The reason is that my grandmother taught my mother and my mother passed it to me

and I want to continue the tradition” (Chocolate kisses by S32).

4. “My dad taught me this recipe because it goes from generation to generation”

(Buñuelos by S28).

5. “It comes from my great grandmother and my great grandmother is special for me,

because she is very old and she is still living” (Turkey stew by S27).

Table 7. Statements referring to the topic of Tradition in the recipe book

Some students specifically expressed a desire to continue the culinary traditions

of their family and preserve the cultural heritage associated with their recipes.

Statements referring to the topic Wish to carry on the tradition

1. “I would like to explain this recipe to my kids but not only that, I will also explain that it

is a very important recipe for me and that it comes from our origin in Argentina”

(Argentinian corn pie by S2).

2. “If in the future I have kids, I would like for them to learn this recipe. I would explain that

it is important to us because we really liked Greece” (Greek salad by S13).

3. “If I had children, I would show it to them the first day they were born” (Crepes by S33).

Table 8. Statements referring to the topic Wish to carry on the tradition in the recipe book

Hereafter, the next most mentioned topic is the connection between the recipe

and Special occasions including family trips, celebrations (Christmas, New Year’s,

Thanksgiving, Holy Week, birthdays) because they are associated with memorable

moments they spend with their beloved ones. This category was mentioned by 23

of the 44 students (52.27%).

Statements referring to the topic Special occasions

1. “I usually cook this recipe at home for my birthday” (Three milk cake by S43).

2. “My family prepares it every Holy Week in Dominican Republic” (Sweet bean by S24).

3. “As I’m Jewish, I have to say that the turkey is not the most important thing of this day

(Thanksgiving), but a distraction” (Thanksgiving Turkey by S25).

4. “I eat it on Christmas night” (Seasoned carrots by S21).

Table 9. Statements referring to the topic Special occasions in the recipe book

Twenty-one students (47.72%) reflected upon their own identity as they mentioned

their love for their home country as a significant factor that makes their recipes

special. Though less frequently mentioned, some students specifically highlighted the

regional aspect of their recipes, connecting them to specific regions within Spain,

where their grandparents used to live. All these ideas have been labeled under Identity.

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Statements referring to the topic Identity

1. “My recipe comes from the same country as my dad: Venezuela. It connects me to my

Venezuelan roots” (Arepas by S1).

2. “My mother is from a different country called South Korea and this dish belongs to that

country. I get to enjoy authentic South Korean dishes at home” (Mixed rice by S4).

3. “Because when my family cooks it, we remember Morocco. This recipe is from Morocco.

My father is from Morocco and I usually visit this place with my family” (Cous cous by

S5).

4. “I have many good memories of this recipe related to my country, Ecuador, where I

grew up” (Salchipapa by S7).

5. “This recipe comes from my family’s place of birth: Extremadura” (Migas by S9).

6. “This recipe is special because it is my favorite food. This omelet is from here, from

Spain” (Tortilla de patata by S22).

Table 10. Statements referring to the topic Identity in the recipe book

A smaller but still notable theme is the idea that the recipe is special for Any

occasion (6). This suggests a versatility in the significance of the recipes, making

them suitable for various events and not tied to specific moments.

The diversity of topics mentioned by students indicates a rich tapestry of

experiences and feelings associated with the chosen recipes, highlighting the

multifaceted nature of the students’ connections to their recipes. These themes

align well with our pedagogical objectives of fostering intercultural competence

and showcasing the diverse cultural backgrounds of the students.

To conclude, this section refers to a topic which the picturebook author Kevin

Noble Maillard mentions at the end of Fry Bread, the one of the keepers of the

recipe. These findings are summarised in Figure 3.

Figure 3. Who is the keeper of the recipes?

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The data reflect a variety of family dynamics regarding the keepers of the recipes.

Mothers (45.5%) play a central role in preserving and passing down culinary

traditions within the family. Also, a notable percentage of students (20.5%)

mentioned that their fathers are the keepers of the recipe, which challenges

traditional gender roles in cooking and highlights the involvement of fathers in

the culinary aspects of family traditions. A considerable portion of students

(15.9%) mentioned their grandmothers as the keepers of the recipe (see Figure 2),

indicating the importance of the older generation in preserving family culinary

traditions. Some students (6.8%) noted that many relatives are involved in keeping

the recipe. This could suggest a collaborative effort or shared responsibility

within extended family networks. Nearly one-tenth of the students (9.1%) made

no reference to the keeper of the recipe. Finally, one student wrote about a

saleswoman in a creperie as the person who taught the recipe to him. This fact

exemplifies the idea that people from the neighborhood also enrich our collective

imagination.

4.3. Recipe Analysis from the Perspective of ICC

Through this section we will analyse to what extent creating recipes in English

has contributed to raising students’ intercultural awareness, following Byram’s

ICC model and focusing on the dimensions of knowledge (knowledge of self and

other), intercultural attitudes (exhibiting curiosity and openness) and discovery

and interaction (exploring cultures). We will also use the descriptors of the

Reference Framework of Competences for Democratic Culture, based on the four

dimensions of values, attitudes, skills and knowledge and critical understanding,

following the Council of Europe (2013), which states that “teaching and learning

practices and activities should follow and promote democratic and human rights

values and principles”. Through the creation of recipes, students became aware of

the multiple facets of their own culture, which allowed them to understand and

acknowledge the depth of others (Byram 2008).

Knowledge of self and the other and discovery and interaction are exemplified by

being aware of the difference between the countries and not being born or raised

in that culture and the willingness to explore other cultures. The following

statements are taken from the recipe book in English.

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Knowledge of self and others and Discovery and Interaction (Statements)

1. “This recipe comes from Greece. My family isn’t related to Greece” (S13).

2. “My recipe comes from the same country as my dad: Venezuela” (S1).

3. “This recipe is from Argentina and I am from Argentina” (S2).

4. “It is very important for the country because we love meat” (S20).

5. “This recipe is special because of my mother. She is from a different country called

South Korea and this dish belongs to that country” (S4).

6. “This recipe is from Morocco. My father is from Morocco” (S5).

7. “I have many good memories of this recipe related to my country, Ecuador, where I

grew up” (S7).

8. “Because it is very special in my country and my family prepares it every Holy Week in

the Dominican Republic” (S24).

9. “As I am Jewish, I have to say that the turkey is not the most important thing of this day,

but a distraction” (S25).

10. “This recipe comes from Romania because my family is from there” (S15).

11. “This recipe is special for me because it reminds me of my home country (Argentina)”

(S20).

12. “We are related to this place because we love Italian food” (S26).

Table 11. Statements related to knowledge of self and others and discovery and interaction from

the recipe book

The dimension of attitude is reflected through the openness and curiosity toward

other cultures and also the willingness to transmit this knowledge to the coming

generations.

Attitude (statements)

1. “If I have a kid I will share a recipe with them because to Romanian people and my

family this recipe is very important as a tradition” (S15).

2. “My family isn’t related to Greece. I would like to learn this recipe” (S13).

3. “This dish is also wonderful because you celebrate this day with other people, with

different religions and nationalities” (S25).

Table 12. Statements regarding attitude in the recipe book

The illustrations that accompany the recipe also display certain cultural elements

such as a Christmas tree (Figure 4) and a view of the great mosque of Casablanca

(Figure 5). Taking into account that the main topic is food, some traditional

ingredients that are less commonplace in Spain appear in some illustrations,

including sesame oil for the recipefor bibimbap (Figure 6) or Greek yogurt to

prepare tzatziki. Most illustrations display a traditional Western table with typical

cutlery (spoon, fork and knife) although most tables are rounded, likely influenced

by the illustrations that appear in the picturebook.

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Figure 4. Student’s illustration of roast chicken

Figure 5. Student’s illustration of couscous

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During this particular pedagogical experience, the teachers had a high impact on

students’ motivation by promoting self-confidence, openness to discussions and

critical thinking to help learners become more active citizens. This is also

interpreted through the 166 validated descriptors involving children below the

age of ten from the Reference Framework of Competences for Democratic

Culture (Council of Europe 2013), as mentioned above. In the dimension of

attitude, understood as openness to cultural otherness and other beliefs,

worldviews and practices, number 21 reflects the interest in learning about

people’s beliefs, values, traditions and worldviews through discovery and

interaction. The first step was to deconstruct stereotypes toward Native Americans

through the picturebook and the recipes become the object of discovery that

raises students’ interest toward other cultures (Korean, Romanian, Russian,

Ecuadoran, etc.) The dimension of attitude through civic mindedness is clearly

reflected in descriptor 33 through the expression of willingness to volunteer to

help people in the community. This can be seen when the children are very proud

of having these origins and really want to teach the future generations these

recipes, to preserve the tradition. Being active citizens is represented in descriptor

34 when the students participated in decision-making processes regarding the

affairs, concerns and common good of the community (in most cases helping

their mothers or grandmothers to prepare the recipe). To conclude, in the

dimension regarding knowledge and critical understanding, and more specifically

about how they understand the world, descriptor 159 refers to the ability to

describe basic cultural practices, in this case eating habits in one culture. This is

clearly reflected in the fact that it is the central topic of the project.

Figure 6. Student’s illustration of bibimbap

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5. Conclusions

During the intervention described here, students approached the Native American

culture through an authentic and current resource that allowed them to identify

with them and dispel stereotypes about these minorities. In creating recipes,

students were able to develop intercultural competence, specifically the knowledge

dimension, exemplified by the awareness of the differences between countries, as

well as discovering and interacting with other cultures. The multicultural reality

of the classroom is implicitly reflected in the recipes, since one-third of the families

come from countries other than Spain (Romania, Peru, Greece, USA, Morocco,

Dominican Republic, Argentina). In turn, some of the illustrations accompanying

the recipes refer to cultural elements such as a mosque or the Thanksgiving feast

or to unusual ingredients in Spain such as sesame oil. The attitudinal dimension

has also been represented through openness and curiosity toward other cultures

and the importance of passing on this tradition to future generations, as the theme

of tradition and the desire to pass traditions on is the second most recurring

theme after time spent with family. As in the picture book, women are central

figures as the caretakers of the recipes within the same family, as reflected in the

recipe book, where 45.5% of mothers are in charge of preserving the tradition.

According to the Reference Framework of Competencies for Democracy (Council

of Europe 2013), the students reflected an interest in other ways of thinking,

values, traditions and worldviews by taking an interest in the recipes made by

their peers. In some testimonies transcribed in the recipe analysis section, we can

see how the students are proud of their origins and feel responsible for transmitting

customs to the coming generations, as in the picture book. In turn, the need to

make decisions during the process, such as which recipe to choose in the first

place, as well as explaining why it is special to them, fosters student agency,

requiring them to seek the common good for the community, in this case helping

their mothers or grandmothers to prepare the recipe.

With respect to limitations, since the Native American culture depicted in the

storybook is so far removed from our own, it was essential to read the author’s

notes to learn more about the customs, food and history of the indigenous

peoples, as well as to interpret some of the symbols that appear in the illustrations.

In addition, it was the first time the students had written a recipe, making it

necessary to teach them the format, structures and vocabulary of the genre. The

students required teacher guidance in this process as well as for transcribing the

recipe in electronic format.

In general, it can be concluded that the selection of a quality picturebook

accompanied by guided and scaffolded activities guarantees more experiential

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and deeper learning that at the same time may turn the student into an agent of

change for society by being more aware of a multicultural world and showing a

greater openness to other realities different from their own, while improving

their linguistic competence.

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Appendix

THESE RECIPES ARE FOOD

Because they are delicious

Because they have nutrients

Because they have different ingredients

Because you can eat them

THESE RECIPES ARE SHAPE

Because they have many different shapes

They can be circles, squares, triangles

They can be flat, soft or large

THESE RECIPES ARE SOUND

The sound of the sugar

slowly falling in a bowl.

The sound of the flour

quickly mixing.

THESE RECIPES ARE COLOR

Red, yellow, green, blue and many other colors.

They have different colors and that’s fun

Because you are more excited

and enjoy more this experience.

THESE RECIPES ARE FLAVOR

Because they are made of ingredients.

There are a lot of types of flavors

in these recipes:

salty, sweet, sour, hot, …

THESE RECIPES ARE TIME

Because when you prepare them,

you are with your family.

Because they come from the past

and they will be in the future.

THESE RECIPES ARE ART

Art is passion

Passion is fun

When you have fun, you have everything

inside and outside.

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THESE RECIPES ARE HISTORY

They come from the past

They have stories inside

They are and they will be memories

They are our history

THESE RECIPES ARE PLACE

In the kitchen of my house.

In my grandma’s house

In my aunt’s restaurant

In a shop

THESE RECIPES ARE NATION

Because they are made in different nations

They transport us to those nations

Because is Peru, is Spain, Paraguay, Ecuador,

Korea, Venezuela, Extremadura, …

THESE RECIPES ARE EVERYTHING

The recipes feed you and make you have

a lot of fun with your family and friends.

These special moments are beautiful

when you think about them.

THESE RECIPES ARE US

THESE RECIPES ARE FOR YOU

Received: 20/01/2024

Accepted: 09/07/2024

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

miscelánea 71 (2025): pp. 43-66 ISSN: 1137-6368 e-ISSN: 2386-4834

Abstract

This paper aims to analyse the compositional argument selection process

represented by different syntactic alternations within the specialised domain of

cooking, thus contributing to the characterisation of this specialised discourse.

The syntactic alternations studied include canonical actives, passives, causative/

inchoative alternations, middles and Instrument-subject alternations. These

constructions allow the incorporation of cooking verbs (Levin 1993) and denote

divergent argument structure realisations. As indicated here through

compositional analysis, the constructions contain distinctive N+V qualia pairs. As

in Pustejovsky (1991, 1995), this paper follows a lexico-semantic approach and

applies a corpus-based methodology to examine and compare over 8,300

contextualised examples from two corpora (a specialised corpus on cooking and

a general corpus) using the Sketch Engine corpus tool. The results show that the

syntactic alternations examined follow related but distinctive underlying patterns

in semantic composition, and thus are construed with N+V qualia pairs that

characterise the specialised discourse of cooking.

Keywords: argument selection, compositional analysis, syntactic alternations,

discourse of cooking, qualia pairs.

MACARENA PALMA GUTIÉRREZ

Universidad de Córdoba

l82pagum@uco.es

<https://orcid.org/0000-0002-0558-9358>

COMPOSITIONAL ARGUMENT SELECTION IN N+V

QUALIA PAIRS WITHIN THE DISCOURSE

OF COOKING: A CORPUS-BASED STUDY

SELECCIÓN ARGUMENTAL COMPOSICIONAL

EN PARES DE QUALIA N+V EN EL DISCURSO

DE LA COCINA: UN ESTUDIO BASADO EN CORPUS

https://doi.org/10.26754/ojs_misc/mj.202510185

Macarena Palma Gutiérrez

miscelánea 71 (2025): pp. 43-66 ISSN: 1137-6368 e-ISSN: 2386-4834

Resumen

El objetivo de este trabajo es analizar el proceso de selección argumental

composicional representado por diferentes alternancias sintácticas en el ámbito

especializado de la cocina y, de este modo, contribuir a la caracterización de este

discurso especializado. Las alternancias sintácticas objeto de estudio son las activas

canónicas, las pasivas, las alternancias causativo/incoativo, las medias, y las

alternancias de sujeto instrumento. Estas construcciones permiten la incorporación

de verbos de cocinar (Levin 1993) y denotan realizaciones divergentes de la

estructura argumental y, en consecuencia, como se atestigua aquí, contienen pares

de qualia N+V distintivos en el análisis composicional. En línea con Pustejovsky

(1991, 1995), este trabajo sigue un enfoque léxico-semántico y una metodología

basada en corpus para analizar y comparar 8300+ ejemplos contextualizados de

dos corpus (un corpus especializado de cocina y un corpus genérico) mediante el

uso del software Sketch Engine. Los resultados muestran que las alternancias

sintácticas examinadas siguen patrones subyacentes relacionados pero distintivos

en la composición semántica y, por lo tanto, se interpretan con pares de qualia N+V

que caracterizan el discurso especializado de cocina.

Palabras clave: selección argumental, análisis composicional, alternancias

sintácticas, discurso de la cocina, pares de qualia.

1. Introduction

The language of cooking has been widely explored from a linguistic perspective

(e.g. Lévi-Strauss 1966; Lehrer 1969, 1972; Newman 1975; Bator 2014). This

paper contributes to the characterisation of this specialised domain by contrasting

data from two corpora: a specialised corpus of cooking and a general corpus of

English. Particularly, it focuses on the usage of N+V configurations and the most

productive syntactic patterns typically found in this specialised domain,

contrasting these patterns with those from the general corpus.

Scholars like Casademont (2014) and Durán and L’Homme (2020: 37) consider

verbs as ‘conveyances of knowledge’ that help characterise specialised discourse

because they specify information about argument structure in their corresponding

cultural domains. Unlike purely verb- or noun-centred approaches to

compositionality (Sager 1990; Hale and Keyser 2002), this study follows

Pustejovsky’s (1991, 1995) ideas, thus advocating a lexico-semantic approach

that spreads the semantic load across all the constituents of the utterance. Nouns

and verbs are both considered specialised units of language in specific domains

and as such contribute to the syntactic and lexico-semantic characterisation of a

specialised discourse.

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This study identifies typically-occurring N+V combinations in the discourse

of cooking as qualia pairs, that is, as linguistic elements that are paired

depending on the information predicated by a given verb about the meaning

of a particular noun. This linguistic connection, in fact, is triggered by our

basic knowledge about the nominal entity in question and our conceptualisation

of it in terms of its more inherent features, known as qualia roles (Pustejovsky

1991, 1995). A N+V qualia pair is “a combination in which the predicate

expresses one of the qualia values of the noun (like picture-paint, book-read, or

house-build)” (Pustejovsky and Jezek 2016: 13). The qualia relational structure

thus involves those lexico-semantic, syntactic and conceptual constraints that

are “based on the idea that there is a system of relations that characterises the

semantics of nominals” and “serves to specify the reading of a verb” (Yoshimura

1998: 115).

The hypothesis of this study is that there exists a correlation between the most

productive N+V qualia pairs and the most typically-occurring syntactic structures

in a given specialised domain, in contrast to those (qualia pairs and syntactic

structures) found in a general corpus. Therefore, there should be a correspondence

between the lexico-semantic and the syntactic features that characterise the

specialised discourse of cooking. For example, if corpus data confirms the N+V

qualia pair chef _cook as significantly productive, then it would follow that a

syntactic canonical transitive structure with an agentive subject and a patientive

object could be frequently found in this specialised discourse, thus revealing a

given pattern of qualia structure that specifies the meaning of the noun in relation

to the semantics of the verb.

This paper is organised as follows. Section 2 presents the analytical tools used

(namely, syntactic alternations with cooking verbs and notions of qualia and co-

specification phenomena). Section 3 describes the methodology employed.

Section 4 presents the main findings and a discussion of the results. Finally,

Section 5 offers some closing remarks.

2. Tools for Analysis

In this paper I examine the interaction between the lexico-semantic and syntactic

features that characterise the discourse of cooking. I analyse the frequency of

occurrence of different grammatical patterns and the most productive N+V qualia

pairs. To do so, Subsection 2.1 explores the different syntactic alternations that

appear with cooking verbs, and Subsection 2.2 examines the main principles of

qualia structure and co-specification phenomena.

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2.1. Syntactic Alternations with Cooking Verbs

Placing a particular nominal entity in subject position is anything but random,

since doing so requires a process of lexico-semantic and discourse-pragmatic

profiling. As stated in Palma Gutiérrez, “profiling is related to the specific

portrayal of the foregrounded domain of a given linguistic expression as the focus

of attention in discourse” (2024: 139). Depending on the profiling/defocusing

phenomena involved in each case, distinct portions of the action chain and

argument structure realisations are represented. This leads to the configuration

of different syntactic patterns where diverse energetic interactions occur among

the participants, that is, Agent, Patient and Instrument (Langacker 2013).

According to Levin’s (1993) typology, cooking verbs are classified by the distinct

methods or techniques of cooking they describe, such as baking, frying or

boiling. Their prominence and frequent use in the specialised discourse of

cooking reflects the centrality of these actions to this domain (cf. Levin 1993:

244). Following Levin’s classification, these verbs participate in the syntactic

patterns illustrated in Examples 1-5:1

(1) Jennifer baked the potatoes (with her new oven).

(2) The potatoes were baked (by the chef).

(3) The potatoes baked.

(4) Idaho potatoes bake beautifully.

(5) This oven bakes potatoes well. (Adapted from Levin 1993: 243-244)

The basic/canonical active form in Example 1 follows the SVO syntactic pattern:

it contains a +Animate agentive subject (Jennifer) which is profiled syntactically

and a -Animate patientive object (the potatoes), which is defocused. It also contains

an oblique Instrument. Therefore, the flow of energy within the canonical action

chain follows the sequence Agent-Patient(-Instrument). Traditionally, the

transitive active clause is considered the most basic/unmarked syntactic pattern.

As found in corpus studies by Givón, the assumption of the higher productivity

of transitive actives “is associated, among other things, with the predication that

the unmarked member of a binary distinction […] is more frequent in text”

(1993: 52). Additionally, as Stockwell claims, “a prototypical subject acts as both

topic and agent, and alternative clause-patterns represent a deviation away from

this norm” (2002: 35). Accordingly, syntactic patterns with a different argument

structure alignment, such as those illustrated in Examples 2-5, are considered

syntactic alternations to the canonical pattern, as detailed below.

The passive construction in Example 2 portrays the same situation as the canonical

pattern, but with the order of arguments reversed. It profiles a ±Animate Patient

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(the potatoes), and, when specified, the Agent occupies a defocused oblique object

position, introduced by a by-phrase (the chef). The causative/inchoative alternation

in Example 3 occurs with verbs of change of state/position to describe an eventive

situation (Levin 1993: 30). It follows the SV syntactic pattern since it only profiles

a -Animate patientive subject (the potatoes) and no Agent is coded. The middle

alternation in Example 4 follows the SVA syntactic pattern: it only profiles a

-Animate patientive subject (Idaho potatoes). It describes a potential/facilitative

(not an eventive) situation emphasised by the adverbial beautifully (26). Both

causatives/inchoatives and middles are intransitive counterparts of the basic/

canonical active form. In turn, the Instrument-subject alternation in Example 5 is

a transitive structure that follows the SVO syntactic pattern. However, it profiles

the oblique participant this oven (with an instrumental, not agentive, role) and a

patientive argument in object position (potatoes) (80). Here, the Instrument can

be understood as a metonymic extension of the Agent, paraphrased by the sequence

Agent-Patient-Instrument in Jennifer baked the potatoes with her new oven.

Following Pustejovsky’s ideas, patientive participants are classified by their

belonging to a natural or an artifactual kind (2001: 8; 2006: 54). The former are

described as naturally-occurring entities (e.g. water), whereas the latter are described

as artifacts, that is, objects created for a particular purpose (e.g. sandwich). Contrary

to artifactual objects, naturally-occurring entities lack an agentive value and denote

nominals that have not been created out of any intentional behaviour.

Table 1 summarises the features of the syntactic alternations examined in this paper

regarding the syntactic and semantic arrangement of their argument structures:

Canonical

actives

Passive

alternations

Causative/

inchoative

alternations

Middle

alternations

Instrument-

subject

alternations

Grammatical

roles at the

syntactic level

Subject and

Object

Subject (and

Oblique

Object) Subject Subject Subject and

Object

Subject’s

semantic role

(Profiled entity)

Agent Patient Patient Patient Instrument

Object’s

semantic role

(Defocused

entity)

Patient Agent X X Patient

±Animate

subject +Animate ±Animate -Animate -Animate -Animate

Table 1. Syntactic and semantic features of the alternations under examination

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2.2. Qualia Structure and the Process of Co-specification

The theory of qualia structure (Pustejovsky 1991, 1995) establishes a mechanism

to represent lexical meaning based on a system of four dimensions of meaning,

called qualia, whose main function is to “capture different properties of objects,

as they are represented in language” (Pustejovsky and Jezek 2016: 3).

A single quale indicates a particular aspect of a word’s meaning through the

relationship between the concept expressed by the word and another concept

evoked by it. Qualia roles rely on the conceptual relations that a word may activate.

The four basic qualia roles are as follows:

• Formal qualia (Qf) encode taxonomic information about a lexical item

(type-of relations), and they answer these questions: ‘What type of thing is

this?’ and ‘What is its nature?’

• Constitutive qualia (Qc) focus on partonomic information about the

constituent parts/material of an object (part-of/made-of relations), and

they address these questions: ‘What are its constituent parts?’ and ‘What is

it made of?’

• Telic qualia (Qt) capture information about the purpose/function of an

entity (used-for/functions-as relations), and they answer these questions:

‘What is its purpose?’ and ‘How does it function?’

• Agentive qualia (Qa) refer to information about the origin of an object

(created-by relations), and they address these questions: ‘How did it come

into being?’ and ‘What brought it about?’

Figure 1 illustrates the qualia structure of the lexical item house in terms of its

qualia roles:

Figure 1. Representation of the qualia structure of the lexical item house (adapted from

Pustejovsky and Jezek 2016: 8-9)

Even though this view of lexical meaning is basically decompositional,2 this

model also examines compositionality, that is, “how a word meaning may or may

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not compose with other meanings, and how it changes in the different contexts”

(Pustejovsky and Jezek 2016: 5). Consider the contextual modulation of word

meaning in Examples 6a- 6d below, paying special attention to how different

qualia roles are activated in the contexts provided:

(6) a. They have a three-story house.

b. Never forget to lock your house when you leave.

c. My cousin lives in a comfortable house.

d. It took four years to finish the house.

In 6a the lexical item house refers to a type of physical object, a building, thus

relying on a Qf relation between house and three-story. In 6b, the term house

metonymically evokes its most salient part (the door lock) in a Qc relation with the

predicate lock. In 6c the most salient feature of the house that is conceptually

activated in this context is its inhabitability and comfortability, that is, its function

(Qt). Finally, the conceptual relation between house and finish in 6d profiles a Qa

relation based on its process of creation/construction. Therefore, the meaning of

a lexical item adapts to the semantics of the elements surrounding it in a particular

context, thus profiling or activating the most salient features (qualia roles) evoked

in each case.

From this notion of contextual modulation of word meaning, it follows that

different elements in a grammatical construction can be paired in discourse in

accordance with their qualia structure to specify their meaning. In this study, I

concentrate on the relationship between nouns and verbs forming qualia pairs in

the specialised discourse of cooking.3 As proposed in Pustejovsky and Jezek, an

N+V qualia pair is a combination in which the verb promotes one of the qualia

values of the noun, as in book-read or house-build (2016: 13). This phenomenon is

known as co-specification. The results of this paper also show that metonymic

embedding can occur when certain qualia values are subsumed within others in

compositional analysis.

3. Data and Method

In this paper I conduct a corpus-based study of 8,385 instances to examine and

contrast the lexico-semantic and syntactic properties of four cooking verbs and

their syntactic alternations in a specialised corpus of cooking and a general corpus

(henceforth, SC and GC, respectively). I compiled 892 examples from the SC and

7,493 from the GC. Particularly, I examine those syntactic alternations that

involve productive N+V combinations in the domain of cooking.

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The data collection process and subsequent analysis was divided into different

phases. First, I used the Web search function of the Sketch Engine corpus tool

(Kilgarriff et al. 2004) to compile the SC using texts from the internet (e.g. food

blogs, cooking recipes, restaurant reviews). The resulting corpus contains

760,630 words. The GC used to contrast the data with the SC was the English

Web 2021 (enTenTen21) corpus, the largest English-language corpus available on

the platform (over 52 billion words).

The second step was to extract the most salient N+V qualia pairs in both corpora.

To do so, I used the Word Sketch function of Sketch Engine, which provides a list

of the most frequent collocates for a given target word in specific grammatical

relations. In this case, the target words were the four selected verbs (i.e. cook,

bake, boil, fry). I chose these four verbs for two reasons. First, as proposed by

Levin, these verbs “describe the basic methods of cooking”, and thus “are the

ones that show the widest range of properties” among their class (1993: 244).

The second reason was that these verbs proved to be highly frequent in the SC, as

demonstrated by the results displayed in the Wordlist function of Sketch Engine.

The Wordlist tool automatically generates frequency lists for the words in a

corpus. When a filter was applied to the SC, 2,241 items were found. In terms of

their frequency of occurrence, cook occupies the fourth position (3,273

occurrences), bake the ninth (2,243 occurrences), fry the twentieth (1,165

occurrences) and boil the twenty-third (1,100 occurrences).

I then manually coded the most frequent N+V collocates. Word Sketch collocates

are classified in terms of their association score with the target word4 and sorted

into categories depending on their grammatical relations. I analysed the collocates

in terms of the following two syntactic relations: ‘Words that serve as Subject of

the verb’ and ‘Words that serve as Object of the verb’. I selected the ten most

frequent collocates in each syntactic category in both corpora. As Sketch Engine

does not have the capacity to automatically filter out lexical/morphological

mismatches, these were discarded manually, removing the non-valid instances

that contained adjectives lemmatised as verbs (e.g. baking in baking soda) and

nominalised forms of verbs (e.g. fries in French fries).

Later, I sorted the Word Sketch results for both corpora by searching for those

nominals that co-occurred with the four cooking verbs and performed any of the

following semantic roles:

• Agents: [+Animate] entities relying on the value human

• Patients: [-Animate] entities associated with the value food

• Instruments: [-Animate] entities related to the value tool

Once the N+V combinations were retrieved, the contextualised instances in both

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corpora were then analysed and sorted according to their syntactic alternations.

In the case of the GC, I analysed the first 100 examples from each N+V

combination.

4. Results and Discussion

In this section, I discuss the main results of the corpus analysis. Firstly, I present the

most salient N+V combinations from both corpora, distinguishing the semantic

role of the nominal entities in each case. After this, I examine the modulation of

word meaning in some N+V qualia pairs and their co-specified values at the

lexico-semantic level. Finally, I explore the qualia patterns in compositional

argument selection phenomena that were most syntactically productive in both

corpora.

Table 2 shows the Word Sketch instances that were selected and thus identified as

the most frequent N+V qualia pairs in both corpora. To compare these results,

the pairs are ordered in terms of the raw frequency of occurrence of the nominal

entities with each verb (Nº) and their normalised frequency in number of hits per

million tokens (Freq).5 The semantic roles of the nominal entities (whether Agent

(A), Patient (P) or Instrument (I)) and the total number of occurrences (in both

subject and object positions) in both corpora are also provided:

VERB COOK

Specialised corpus (SC) General corpus (GC)

Subject position Object position Subject position Object position

Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq)

potato(P) 6/(6.68) chicken(P) 98/(128) chef(A) 4,132/(0.07) food(P) 78,933/(1.28)

rice(P) 6/(6.68) potato(P) 66/(89.05) chicken(P) 768/(0.01) meal(P) 65,691/(1.07)

egg(P) 6/(6.68) fish(P) 48/(58.99) pasta(P) 757/(0.01) meat(P) 26,132/(0.42)

chicken(P) 5/(5.57) egg(P) 45/(53.44) meat(P) 751/(0.01) dinner(P) 25,159/(0.41)

fish(P) 3/(3.45) rice(P) 40/(52.71) rice(P) 734/(0.01) rice(P) 24,245/(0.39)

-- -- pasta(P) 35/(51.77) potato(P) 654/(0.01) dish(P) 21,247/(0.34)

-- -- food(P) 25/(34.51) oven(I) 537/(0.01) chicken(P) 19,254/(0.31)

-- -- corn(P) 23/(28.94) bean(P) 457/(0.01) breakfast(P) 13,998/(0.23)

-- -- onion(P) 21/(25.62) onion(P) 415/(0.01) vegetable(P) 12,525/(0.2)

-- -- noodles(P) 18/(20.04) steak(P) 374/(0.01) pasta(P) 9,741/(0.16)

Total nº 26 Total nº 419 Total nº 9,579 Total nº 296,925

TOTAL Nº: 445 TOTAL Nº: 306,504

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VERB BAKE

Specialised corpus (SC) General corpus (GC)

Subject position Object position Subject position Object position

Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq)

oven(I) 6/(6.68) pie(P) 11/(12.24) bread(P) 5,696/(0.09) bread(P) 41,596/(0.68)

-- -- pastry(P) 8/(8.9) oven(I) 2,788/(0.05) dish(P) 32,684/(0.53)

-- -- fish(P) 8/(8.9) cookie(P) 2,567/(0.04) cake(P) 31,169/(0.51)

-- -- tart(P) 7/(7.79) cake(P) 2,437/(0.04) potato(P) 26,902/(0.44)

-- -- cake(P) 7/(7.79) pie(P) 1,410/(0.02) cookie(P) 22,328/(0.36)

-- -- bun(P) 6/(6.68) cupcake(P) 467/(0.01) bean(P) 20,099/(0.33)

-- -- cookie(P) 6/(6.68) pizza(P) 430/(0.01) pan(I*) 18,387/(0.3)

-- -- loaf(P) 6/(6.68) baker(A) 418/(0.01) pie(P) 10,299/(0.17)

-- -- chicken(P) 4/(4.45) pastry(P) 411/(0.01) apple(P) 5,040/(0.08)

-- -- biscuit(P) 3/(3.45) muffin(P) 322/(0.01) chicken(P) 4,373/(0.07)

Total nº 6 Total nº 66 Total nº 16,946 Total nº 212,877

TOTAL Nº: 72 TOTAL Nº: 229,823

VERB BOIL

Specialised corpus (SC) General corpus (GC)

Subject position Object position Subject position Object position

Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq)

water(P) 16/(17.81) potato(P) 29/(31.3) pot(I) 2,692/(0.04) water(P) 101,495/(1.65)

mixture(P) 6/(6.68) corn(P) 21/(23.62) kettle(I) 1,628/(0.03) egg(P) 26,026/(0.42)

-- -- mixture(P) 20/(22.26) water(P) 633/(0.01) potato(P) 10,461/(0.17)

-- -- turkey(P) 16/(17.81) mixture(P) 612/(0.01) rice(P) 4,823/(0.08)

-- -- cookie(P) 12/(13.36) liquid(P) 519/(0.01) milk(P) 3,117/(0.05)

-- -- ham(P) 9/(10.7) soup(P) 95/(0) pot(I*) 2,977/(0.05)

-- -- kettle(I*) 8/(8.9) wort(P) 95/(0) kettle(I*) 2,797/(0.05)

-- -- chicken(P) 6/(6.68) pasta(P) 87/(0) peanut(P) 1,776/(0.03)

-- -- wing(P) 6/(6.68) cook(A) 82/(0) pasta(P) 1,613/(0.03)

-- -- pierogi(P) 4/(4.45) potato(P) 65/(0) noodle(P) 1,390/(0.02)

Total nº 22 Total nº 131 Total nº 924 Total nº 156,475

TOTAL Nº: 153 TOTAL Nº: 157,399

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Table 2. Frequency of the most salient N+V qualia pairs in both corpora

Table 2 illustrates the N+V combinations and lexico-semantic features that

characterise each corpus. With the verb cook, the most frequent semantic roles in

subject position are the Patient potato (in the SC) and the Agent chef (in the GC).

Additionally, both corpora reveal the saliency of Patients in object position

(chicken and food, respectively). The two corpora differ in that the verb cook only

occurs with Patients (in both subject and object positions) in the SC, whereas in

the GC, other semantic roles are found in subject position (chef as Agent and oven

as Instrument).

In the case of bake, the most salient semantic roles in subject position are the

instrumental participant oven (in the SC) and the patientive entity bread (in the

GC). No other nominal entities in subject position were found in the SC with the

verb bake, whereas in the GC, three different semantic roles were found in subject

position: Patient (bread), Instrument (oven) and Agent (baker). In both corpora,

all the participants have a patientive nature in object position, with the exception

of pan in the GC, working as Instrument and conveying a metonymic value. To

illustrate this, consider Example 7 from the GC:

VERB FRY

Specialised corpus (SC) General corpus (GC)

Subject position Object position Subject position Object position

Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq) Entity(Role) Nº/(Freq)

-- -- onion(P) 113/(125.7) egg(P) 246/(0) egg(P) 4,872/(0.08)

-- -- shallot(P) 18/(20.04) bacon(P) 161/(0) chicken(P) 3,815/(0.06)

-- -- chicken(P) 17/(18.92) onion(P) 114/(0) onion(P) 2,869/(0.05)

-- -- egg(P) 16/(17.81) garlic(P) 76/(0) bacon(P) 1,986/(0.03)

-- -- mushroom(P) 12/(13.36) cook(A) 74/(0) potato(P) 1,782/(0.03)

-- -- gnocchi(P) 11/(12.24) turkey(P) 72/(0) rice(P) 1,150/(0.02)

-- -- potato(P) 11/(12.24) sausage(P) 35/(0) turkey(P) 897/(0.01)

-- -- garlic(P) 10/(11.13) chicken(P) 33/(0) tortilla(P) 620/(0.01)

-- -- bacon(P) 8/(8.9) burger(P) 19/(0) noodles(P) 620/(0.01)

-- -- pancetta(P) 6/(6.68) tofu(P) 14/(0) tofu(P) 457/(0.01)

Total nº 0 Total nº 222 Total nº 623 Total nº 19,068

TOTAL Nº: 153 TOTAL Nº: 19,691

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(7) Bake each pan 10-12 min.

Here, the term pan stands for the ingredients inside it, meaning ‘bake the

ingredients with the pan’. The conceptual metonymy underlying this process is

container for content.

Regarding boil, the most salient co-occurring semantic roles in subject position

refer to the Patient water (in the SC) and the Instrument pot (in the GC). Once

again, the GC presents the three different semantic roles found in subject position:

Instrument (pot and kettle), Patient (water) and Agent (cook). In the SC, the most

frequently co-occurring entities with boil have a patientive nature, either in subject

or object position. The only exception is kettle in object position (see Example 8

taken from the SC), which follows the same process as pan in Example 7:

(8) Boil the kettle.

Here, the term kettle stands for the water inside it, meaning ‘boil the water with

the kettle’. The conceptual metonymy underlying this process is container for

content as well.

In the case of fry, no statistically relevant nominal entities in subject position were

found in the SC, whereas two different semantic roles (Patient and Agent)

occurred in the GC, as illustrated by egg and cook, respectively. All the entities

found in both subject and object position in both corpora with fry have a

patientive nature (with the exception of cook in subject position in the SC).

The lack of nominal entities and variety of semantic roles in subject position

observed throughout the SC is due to the pervasive use of instructional

imperatives, where no agentive subject is syntactically coded, though semantically

recoverable as you. Consider the following instance in Example 9 taken from the

SC in this regard:

(9) Fry the onions.

Recipe texts commonly contain imperative structures that guide users in the

cooking process. The SC contains a higher concentration of this type of patterns

as compared with the GC. As detailed below in this section, the most productive

structure in both corpora is the basic/canonical pattern. The main difference is

that the GC tends to portray the whole action chain, including salient Agent and

Patient entities (in declarative patterns), whereas the SC focuses on patientive

participants (within imperative forms).

Below I discuss the corpus results by examining the subject-verb qualia pairs in

N+V combinations where we find the different semantic roles of the nominal

entity (Agent, Patient and Instrument). Figure 2 shows the qualia structure

representation of four lexical items and highlights the co-specified qualia values

of these nominal entities in subject position in combination with cooking verbs.

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The four lexical items and their semantic roles are chef (as an Agent), bread (as

Patient of the artifactual kind), kettle (as Instrument) and water (as Patient of the

natural kind).

Figure 2. Qualia structure representation of nouns with different semantic roles + cooking verbs

As illustrated in Figure 2, when these four nominal entities co-occur with cooking

verbs, they profile different qualia values depending on their semantic roles

(Agent, Patient and Instrument when in subject position) and the most

conceptually salient information they provide. The list below captures the main

principles of argument selection of these lexical items to form N+V qualia pairs in

the specialised discourse of cooking:

• Agentive participants (like chef) + cooking verb (like cook) = [Qt = ø = Qit]

• Artifactual patientive participants (like bread) + cooking verb (like bake) =

[Qa]

• Naturally-occurring patientive participants (like water) + cooking verb (like

boil) = [Qf/Qc]6

• Instrumental participants (like kettle) + cooking verb (like boil) = [Qt]

In the case of agentive and instrumental participants with cooking verbs, different

types of telic values are denoted, as represented by chef and kettle in Figure 2

above. The former refers to the ‘indirect telic’ (Qit) and the latter refers to the

‘direct telic’ (Qt) value. According to Pustejovsky and Jezek (2016: 30), the (Qt)

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characterises the entity as something used to perform a particular activity (as in

kettle_boil), whereas the (Qit) characterises the entity as something that has the

function of carrying out the action denoted (as in chef_cook).

Therefore, as stated in Pustejovsky and Jezek (2016: 29), even though the (Qt) is

mostly associated with instrumental objects (as in kettle_boil), a telic value is also

present in nouns that denote concepts such as professions (as in chef _cook),

agentive nominals (like runner_run) and functional locations (such as school_

learn).

As illustrated in Figure 2, chef denotes a person (Qf) having the ability (Qa) to

cook (Qit). Correspondingly, in the case of kettle, this nominal denotes a tool

(Qf) used to boil water (Qt). Hence, in N+V qualia pairs where the nominal entity

is an Agent, the cooking verb co-specifies the (Qit) of its argument (either in

subject or object position). Similarly, in those N+V qualia pairs where the nominal

entity is an Instrument, the cooking verb co-specifies the (Qt) of its argument,

either in subject or (oblique) object position.

The other N+V qualia pairs retrieved from the corpus analysis that also denote

the (Qit) relation between the Agent and a cooking verb are baker_bake, cook_boil

and cook_fry. These combinations only appear in the GC, since no salient Agents

were identified in the SC. However, a (Qt) relation is found in the following N+V

qualia pairs, where the nominal performs the semantic role of Instrument: oven _

bake (in both corpora), and oven_cook, oven_fry, utensil_cook and pan_bake (only

in the GC).

Regarding artifactual and naturally-occurring patientive participants with

cooking verbs, we observe different patientive entities (natural and artifactual

kinds) participating in cooking events, thus denoting divergent N+V qualia pairs.

This is represented by the lexical items bread and water, respectively, in Figure 2

above. Whereas artifactual Patient-oriented entities profile a (Qa) value, naturally-

occurring Patients rely on a (Qf/Qc) relation, as detailed below.

The patientive entity bread belongs to the artifactual kind since it has been

created intentionally through a baking event. In the field of cooking, artifactual

Patient-oriented entities denote specific types of food (Qf) that are meant to be

eaten (Qt) following a process of creation (Qa). Therefore, in N+V qualia pairs

where the nominal entity is an artifactual Patient, the cooking verb co-specifies

the (Qa) of its argument (either in subject or object position). The other most

productive N+V qualia pairs retrieved from the corpora analysis that also denote

artifactual patientive entities co-specifying a (Qa) value are potato _cook (in the

SC) and cake_bake and egg_fry (in the GC).

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Finally, the patientive participant water is a naturally-occurring entity. As

represented in Figure 2, the default value of (nil Qa) of this type of entities

captures “the primacy of a natural origin” (Pustejovsky and Jezek 2016: 34),

since they have not been created through any activity or intentional behaviour.

The only patientive entity of a natural kind found in the corpus is water, profiling

a (Qf/Qc) relation with the predicate boil. Thus, water denotes a type of liquid

that can boil due to its internal composition (Qf subsuming Qc); it is meant to be

drunk (Qt); and its origin possesses a naturally-occurring nature (nil Qa).

Therefore, in N+V qualia pairs where the nominal entity is a naturally-occurring

Patient, the cooking verb co-specifies the (Qf/Qc) values of its argument (either

in subject or object position).

So far, I have analysed modulation of word meaning in N+V qualia pairs and their

co-specified values at a lexico-semantic level, paying special attention to salient

lexical items in the discourse of cooking and focusing on the semantic roles of

these nominal entities with regard to a set of cooking verbs. Let us now further

explore the qualia patterns in compositional argument selection phenomena at

the syntactic level. Examples 10, 11 and 17 were retrieved from the GC, whereas

Examples 12 -16 were taken from the SC:

(10) The chef had never cooked vegan food before.

(11) The cook boiled the water for sterilizing.

(12) The fish fillets cooked through after 10min.

(13) The water boiled after 3-4min.

(14) Baked potatoes cook in about half the usual time in an air fryer.

(15) Water boils rapidly.

(16) This oven baked the salmon recipe perfectly.

(17) The oven cooks quickly and evenly.

Examples 10 and 11 represent canonical active transitives, whereas Examples 12-

15 represent intransitive alternations classified as follows: 12 and 13 are instances

of the causative/inchoative alternation, respectively incorporating an artifactual

and a naturally-occurring entity as Patients in subject position (fish fillets and

water). Examples 14 and 15 represent middles, which also incorporate an

artifactual and a naturally-occurring entity as Patients in subject position (baked

potatoes and water). Finally, Examples 16 and 17 represent, respectively, the

transitive and intransitive counterparts of the Instrument-subject alternation

(with oven).

Examples 10-17 are represented in Figure 3 to profile their qualia patterns in

compositional analysis at the syntactic level.

Macarena Palma Gutiérrez

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Figure 3. Qualia patterns in compositional analysis at the syntactic level

As shown in Figure 3, canonical actives within the field of cooking (as in

Example 10) are transitive constructions that typically consist of patterns in

which the cooking verb expresses the (Qit) of the subject. Depending on the

nature of the Patient (whether artifactual or naturally-occurring), the cooking

verb expresses a different pattern in qualia structure: in combination with

artifactual Patients (like vegan food), the cooking verb expresses the (Qa) of the

object, thus profiling the creation process that the entity undergoes. Alternatively,

N+V Qualia Pairs within the Discourse of Cooking

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in combination with a naturally-occurring entity (like water), the cooking verb

expresses the (Qf/Qc) value of the object, since no (Qa) is found in natural kinds.

Thus, canonical active structures with artifactual Patients involve a [Qit + Qa]

qualia pattern in compositional analysis, whereas canonical actives with naturally-

occurring entities as Patients profile the [Qit + Qf/Qc] qualia pattern.

Figure 3 further illustrates both causatives/inchoatives and middles as intransitive

alternations. They have a common syntactic one-argument structure with a

patientive subject. However, depending on the nature of the nominal entity

(whether artifactual or naturally-occurring), a different qualia pattern is profiled

in compositional analysis. In those structures with an artifactual Patient-oriented

subject (as illustrated in Examples 12 and 14, respectively), the cooking verb co-

specifies the (Qa) of the subject by conceptually implying its creation processes.

However, in those structures with a natural-kind Patient-oriented subject (as in

Examples 13 and 15, respectively), the cooking verb co-specifies the (Qf/Qc)

values of the subject, since no (Qa) is found in natural kinds. Thus, causatives/

inchoatives and middles with an artifactual Patient-oriented subject underlie the

[Qa] qualia pattern in compositional analysis, but with natural-kind Patient-

oriented subjects they undergo the [Qf/Qc] pattern. The main difference between

these constructions is that causatives/inchoatives involve a specific time reference,

whereas middles incorporate adverbial/modal modifiers (time-oriented adjuncts

in 14 and 15) that influence their aspectual properties and reinforce their non-

eventive nature (Palma Gutiérrez 2022: 44).

The same qualia analysis can be applied to the passive structure. Even though

Levin (1993) does not contemplate passives as possible alternations with cooking

verbs, this Patient-subject alternation has been found very frequently in the

corpora examined, as detailed below.7 The main difference between the passive

and the other Patient-oriented structures (middles and causatives/inchoatives) is

that the passive Agent is either defocused (in a by- clause) or omitted syntactically,

whereas in the other structures, the Agent is totally demoted.

Finally, the Instrument-subject alternations illustrated in Figure 3 capture both the

transitive and the intransitive syntactic counterparts (respectively shown in Examples

16 and 17). Semantically, both alternations contain Instruments in subject position

(oven), and thus, their cooking verbs express the (Qt) of these participants. The

main difference between these alternations is that the transitive counterpart

encodes the patientive object at the syntactic level, whereas the intransitive

counterpart conceptually evokes it via metonymy. As detailed below, in order to

analyse the intransitive counterpart, I examine the notion of conceptual

modulation of noun meaning (Pustejovsky and Jezek 2016: 12) based on the

predicate’s argument selection process through a metonymic operation.

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First, in the case of the transitive counterpart of the Instrument-subject alternation,

I observed the following. In the selectional context of the verb bake, the noun

salmon is used to explicitly denote the entity that undergoes the baking process

(Qa), thus profiling the [Qt + Qa] qualia pattern in compositional analysis.

However, in the intransitive counterpart, I explored the notion of conceptual

modulation of noun meaning via metonymy. In the selectional context of the verb

cook, the noun oven is used to implicitly denote the entity that undergoes the

cooking process (Qa) by means of the metonymic complex instrument for action

for result (Serrano-Losada 2015: 43). This metonymic complex implies a dual

analysis: first, a domain expansion metonymy whereby the instrumental entity

oven stands for the action denoted cooking (i.e. instrument for action), and then,

a domain reduction metonymy whereby the action of cooking stands for its resulting

product food (i.e. action for result). Therefore, intransitive alternations of the

Instrument-subject construction profile the [Qt[Qa]] qualia pattern in compositional

analysis, where the (Qa) value is metonymically embedded within the (Qt) of the

N+V qualia pair.

Yet, as observed in the corpora, another metonymic relation is possible with

intransitive Instrument-subject alternations like The kettle boiled. In this case, in

the selectional context of boil, the noun kettle is used to metonymically evoke a

container for content relation (‘kettle’ for ‘water contained in the kettle’). In

contrast to the analysis carried out in Example 17, where a (Qa) value is embedded

within the (Qt) relation between oven and cook ([Qt[Qa]]), in the case of The kettle

boiled, the embedded qualia values are (Qf/Qc) because the nominal water is of a

natural kind ([Qt[Qf/Qc]]). Exploring which type of nominal entity is most

frequently topicalised when in combination with these verbs demonstrates the

tendency of these N+V combinations to participate in certain syntactic alternations

more productively.

As shown in Table 3, the four verbs under study were more productive in the

canonical pattern in both corpora, despite their differences in size. The main

differences were found in the second most productive N+V pairs retrieved in

each case.

Specialised corpus (SC) General corpus (GC)

cook bake boil fry cook bake boil fry

Canonical 265 64 129 221 953 902 1042 975

Caus/Incho 20 0 18 0 661 499 436 500

Middle 2 0 4 0 139 296 208 38

Instr. Subj 2 6 0 0 99 213 206 0

Passive 156 2 2 1 115 69 32 110

Table 3. Frequency of the syntactic alternations with each verb in both corpora

N+V Qualia Pairs within the Discourse of Cooking

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The data displayed in Table 3 confirms the research hypothesis: there exists a

correlation between the most productive N+V qualia pairs and the most frequent

syntactic constructions found in the corpora. First, the N+V[cook] combinations

suggest the following: the most salient pairs are cook_chicken (in the SC) and

cook_food (in the GC), thus entailing a higher productivity of the basic/

canonical action chain with Patients in object position and Agents in subject

position (which can be elicited in the imperative form) in both corpora.

Additionally, other salient N+V[cook] combinations are potato_cook (in the SC)

and chef_cook (in the GC). The former indicates a higher productivity of

grammatical patterns containing patientive subjects (such as passives, causative/

inchoatives or middles) in the SC, whereas the latter implies a higher productivity

of Agent-subject structures, whether in the canonical form (i.e. also including a

Patient in object position) or in the unspecified object alternation (i.e. with no

object specified).

Second, the N+V[bake] combinations show that the most salient pairs are bake_

pie (in the SC) and bake_bread (in the GC), therefore pointing to a higher

productivity of the basic/canonical action chain with Patients in object position

in both corpora. Also relevant is the case of oven_bake, which is highly frequent

in both corpora and implies a higher productivity of the Instrument-subject

alternation (transitive and intransitive variants) in both corpora.

Third, the N+V[boil] combinations indicate that the most salient pairs are boil_

potato (in the SC) and boil_water (in the GC), thus revealing a higher productivity

of the canonical structure with Patients in object position in both corpora.

Additionally, the other most salient N+V[boil] combinations are water_boil (in

the SC) and pot _boil (in the GC). The former would lead to a higher productivity

of Patient-oriented subject (such as middles, passives or causative/inchoative

alternations) in the SC, whereas the latter would imply a higher productivity of

Instrument-subject alternations in the GC.

Finally, the N+V[fry] combinations show that the most salient pairs are fry_onion

(in the SC) and fry_egg (in the GC), therefore indicating a higher productivity of

canonical patterns with patientive objects in both corpora. Additionally, in the

GC we also observe another highly salient pair, egg_fry, therefore implying a

higher productivity of Patient-subject structures (like middles, passives or

causatives/inchoatives).

Therefore, the data provided in Table 3 above, together with the previous

discussion of the connections between the normalised frequency of occurrence of

certain N+V qualia pairs and certain syntactic patterns, demonstrate that these

correspondences are different in each corpus, and this contrast contributes to the

Macarena Palma Gutiérrez

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lexico-semantic and syntactic characterisation of the discourse of cooking. In

both corpora, the most frequent grammatical pattern is the canonical structure

with the four verbs. However, the second most salient syntactic alternations differ

in both corpora. In the GC, the second most productive structure is the causative/

inchoative alternation with the four verbs due to the saliency of N+V combinations

containing Patient-oriented subjects. On the other hand, in the SC, each verb is

more productive in different structures, either relying on the saliency of N+V

pairs with Patient- or Instrument-oriented subjects: cook is more frequent in the

passive form, bake in the Instrument-subject alternation, boil in the causative/

inchoative alternation and fry in the passive form.

5. Conclusions

This paper analyses naturally-occurring language by applying the principles of

argument selection phenomena to examine the motivating factors behind the

processes of qualia-pairing and co-specification in the specialised discourse of

cooking. To do so, I examined the selectional contexts of four cooking verbs

(cook, bake, boil and fry) and the most salient nominal entities (in subject/object

positions) in combination with these verbs in two corpora (a specialised corpus

and a general corpus). This led to the creation of different argument structure

realisations as well as distinctive syntactic alternations in which the N+V

combinations were found. The results of this corpus-based study shed light on

the lexico-semantic and syntactic characterisation of the specialised discourse of

cooking.

As demonstrated here, the type of nominal entity most frequently topicalised

with the cooking verbs examined shows the tendency of each N+V combination

to participate more productively in certain syntactic alternations. In both corpora,

the four verbs are more productive in the canonical pattern. Concerning the

remaining less prototypical syntactic alternations, there are different tendencies

depending on the nature of the most frequent N+V pairs with each verb. In the

GC, the most frequent non-prototypical alternation is the causative/inchoative

pattern with the four verbs. In contrast, in the SC, other grammatical structures

become salient.

Regarding the notion of qualia structure, I have also demonstrated that these

cooking verbs express a (Qit) value when combined with agentive subjects. This

is illustrated in the N+V qualia pairs chef_cook, baker _bake and cook_fry. These

cooking verbs express divergent patterns in qualia structure depending on the

nature of the patientive entities they accompany (whether artifactual or naturally-

N+V Qualia Pairs within the Discourse of Cooking

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occurring). Therefore, artifactual Patients (in both subject and object position)

with cooking verbs evoke a (Qa) relation in their qualia patterns. These nominals

co-specify the meaning of the predicates by conceptually implying their creation

process (Qa) and encoding the resulting outcome. This is illustrated in the N+V

qualia pair bread_bake, egg_fry and potato_cook. However, this relation is not

found in naturally-occurring Patients with cooking verbs, since natural kinds

have (nil Qa) and thus profile a (Qf/Qc) value in co-specification with the

predicates, as shown in the N+V qualia pair water_boil. Finally, the cooking verbs

examined here express a (Qt) value when combined with Instrument subjects in

both transitive and intransitive counterparts. This is illustrated in the N+V qualia

pairs pot_boil, oven_cook, oven_bake and kettle_boil.

When the above N+V qualia pairs are examined regarding the syntactic

alternations that these cooking verbs can undergo, the following patterns in

compositional co-specification are found:

(i) Canonical active structures represent one of these complex patterns

depending on the nature of the grammatical object: [Qit + Qa] or [Qit +

Qf/Qc].

(i) Causatives/Inchoatives, middles and passives illustrate one of these

simple patterns depending on the nature of the grammatical subject: [Qa]

or [Qf/Qc].

(iii) Instrument-subject alternations denote one of these qualia patterns

depending on the occurrence or not of a metonymically-based operation

on the grammatical subject: [Qt + Qa], [Qt[Qa]] or [Qt[Qf/Qc]].

This study has examined contextual modulation of word meaning by exploring

the process of compositional argument selection in N+V qualia pairs in the

specialised discourse of cooking. The significance of the present study for the

specialised domain of cooking is directly associated with its linguistic

characterisation in terms of its lexico-semantic and syntactic features, particularly,

when in combination with a usage-based approach. Future lines of research may

explore other syntactic alternations, as well as other metonymically-based

operations.

Acknowledgements

I would like to thank the anonymous reviewers for taking the time and effort to

review the manuscript. I sincerely appreciate all their valuable comments and

suggestions, which helped me in improving the quality of the paper.

Macarena Palma Gutiérrez

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Notes

1. Levin also presents other

alternations with cooking verbs (adjectival

passive participle alternations (e.g. a baked

potato), and resultative phrases (e.g. Jennifer

baked the potatoes to a crisp)) (1993: 244).

However, these were discarded because the

former have a lexical (not a syntactic) nature,

and thus, no transitivity alternations can be

examined, and the latter, because no instances

were found in the corpora consulted.

2. The process of lexical

decomposition follows the idea that words

can be decomposed into semantic primitives

annotated as (±) binary values. For example, the

word chair can be decomposed as [-Animate],

[+Countable], [+Concrete], [+Artifact].

3. As Pustejovsky and Jezek

explain, “[a] qualia pair may take the form of a

verb-noun pairing, and adjective-noun

pairing, or a compound” (2016: 31). This paper

focuses exclusively on N+V qualia pairs to

analyse the argument selection process

within the specialised discourse of cooking.

4. Association score uses

pointwise mutual information between the

target word and its collocate, multiplied by

the log of the pair frequency for the particular

grammatical relation examined. Association

score uses the so-called logDice statistical

measure to automatically identify collocations

and frequent combinations of words and is

not affected by the size of the corpus (Rychlý

2008).

5. In Table 2, both raw frequency

and normalised frequency are provided. Even

though the raw frequency in the SC is minimal

compared to that of the GC, the normalised

frequency is higher in the SC. This is so

because the N+V pairs are more productive in

the SC than in the GC, despite their size.

6. The qualia representation of the

naturally-occurring entity water merges Qf

and Qc values because we cannot separate

what this entity is (Qf) from what it is made of

(Qc). In fact, we could specify the Qc value

since each water molecule is identical and is

made up of one oxygen atom and two

hydrogen atoms, chemically represented as

H2O. However, its Qf value cannot be

separated from this established Qc condition.

7. Two syntactic patterns not

proposed by Levin (1993) as potential

alternations with cooking verbs were

identified in the GC (not in the SC), particularly,

with the verbs cook and bake, distributed as

follows: 26 instances with cook and 19 with

bake in the unspecified object alternation, and

seven instances with cook and two with bake

in the benefactive alternation.

N+V Qualia Pairs within the Discourse of Cooking

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miscelánea 71 (2025): pp. 67-89 ISSN: 1137-6368 e-ISSN: 2386-4834

YONAY RODRÍGUEZ RODRÍGUEZ

CUD-AGM Universidad de Zaragoza

yonay@unizar.es

<https://orcid.org/0000-0003-1969-7218>

A STUDY OF BELIEFS ABOUT EMI PROGRAMMES

IN A GALICIAN UNIVERSITY

ESTUDIO DE LAS CREENCIAS SOBRE

EL APRENDIZAJE DE CONTENIDOS EN INGLÉS

EN UNA UNIVERSIDAD GALLEGA

https://doi.org/10.26754/ojs_misc/mj.202510358

Abstract

The beliefs that learners hold are a key variable in language learning, and from a

socio-cultural perspective, learner beliefs are connected to the context in which

learning takes place. This study, which forms part of a more extensive project on

beliefs about English as a foreign language (EFL), explores the views of a group

of students and instructors at the University of Santiago de Compostela (USC)

regarding content learning in English. The beliefs of 373 students and instructors

were measured by means of a questionnaire and interview. Despite indicating a

generally positive predisposition towards EMI programmes, the responses varied

based on the academic field of the course content, students’ previous language-

learning experience and the type of English instruction used in teaching. In

addition, the data revealed a series of issues concerning the implementation of

EMI programmes at the USC. This study is the first of its type to be conducted

at this institution and one of the few in Galicia. Findings from the study

underscore the context-specific nature of beliefs in general while also drawing the

USC, together with other Spanish and foreign academic institutions, into a

broader assessment and discussion of EMI programmes.

Key words: beliefs, context, English as a Medium of Instruction (EMI),

programme implementation.

Yonay Rodríguez Rodríguez

miscelánea 71 (2025): pp. 67-89 ISSN: 1137-6368 e-ISSN: 2386-4834

Resumen

Las creencias del estudiantado son una variable importante en el proceso de

aprendizaje de un idioma, y desde un enfoque sociocultural, guardan una estrecha

relación con el contexto donde se aprende. Como parte de un proyecto más

extenso acerca de las creencias sobre el Inglés como Lengua Extranjera (ILE), en

este estudio se exploraron las ideas preconcebidas de un grupo de estudiantes y

profesores de la Universidade de Santiago de Compostela (USC) sobre el

aprendizaje de contenidos en inglés. Para ello se recopiló información de 373

participantes mediante un cuestionario y una entrevista. Los datos indican que, a

pesar de que los participantes mostraron una predisposición favorable hacia los

programas EMI, el área académica del alumnado, su experiencia previa en el

aprendizaje de idiomas, y el tipo de instrucción en inglés del profesorado marcaron

algunas diferencias. Además, se identificaron una serie de cuestiones relacionadas

con la implementación de estos programas en la USC. Al ser el primero de su tipo

que se realiza en esta institución y uno de los pocos en Galicia, este estudio

refuerza el carácter contextual de las creencias y ubica a la USC, junto a otras

universidades españolas e internacionales, en la evaluación de los programas EMI.

Palabras clave: creencias, contexto, instrucción en inglés, implementación de

programas.

1. Introduction

In recent decades, research has focused on the different ways in which beliefs are

formed and how beliefs relate to the actions, emotions and identities of learners

and instructors within the social and political contexts in which the teaching-

learning process takes place (Ellis and Tanaka 2003; Kalaja et al. 2015). Several

studies conducted in Spain have addressed the ways in which beliefs are related to

different language-learning variables (Roothooft and Breeze 2016; Doiz et al.

2019; Rodríguez-Izquierdo et al. 2020). However, few have been carried out in

Galicia, a region in northwestern Spain. One study, conducted by Cal Varela and

Fernández Polo (2007), explored self-perceptions of English proficiency among

the teaching staff at the University of Santiago de Compostela (USC) and the

ability of these academics to carry out activities related to their work. However,

students were not included as participants in the study. Another study, by Loredo

Gutiérrez et al. (2007), surveyed the attitudes of Galician students toward

multilingualism. The present study intends to fill the research gap by exploring

the views of 373 USC students and faculty members regarding English as a

medium of instruction (EMI).

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As part of a process of internationalisation, Galician universities have enacted

various initiatives to enhance their curricula in order to attract more students

from outside the country. At the USC, where the present study was carried out,

the last decade has seen the introduction of a wide range of extracurricular

courses offered in different foreign languages (FLs) and an increasing number of

for-credit courses in English. In addition, universities have taken measures to

apply the Regulation for Quality Teaching in FLs (LEDUS in Galician), which

demands that all university teaching staff demonstrate a CEFR C1 proficiency

level if they are to teach a subject in English; to enrol in these courses, students

are required to have a B2 level. This expanded course offering in FLs has had a

direct impact on the beliefs and attitudes that students and faculty hold about

English as a language of instruction for learning course content, and this is the

dimension of EFL learning that this project sets out to explore. Evaluating how

students and instructors perceive the implementation of academic programs such

as EMI is necessary to make informed decisions that have implications for future

educational initiatives of this kind.

2. Theoretical Background

2.1. Content Learning through English Instruction in Higher Education

The presence of EMI programmes in higher education curricula has expanded in

recent times in step with the process of internationalisation. Yet, findings from

studies on their effectiveness for learning have been rather ambiguous. On the

one hand, EMI programmes are generally welcomed by students and educators

(Doiz et al. 2011; Aguilar 2017; An and Thomas 2021) and have been associated

with significant improvements in all four main English skills (Rogier 2012).

Students have also acknowledged that EMI-based teaching has certain

advantages, such as high student motivation due to the instrumental role of

English, as EMI increases students’ opportunities to practice their linguistic

skills, thus making them better prepared for mobility and more competitive

within the job market (Avello et al. 2016; Fernández-Costales 2017; Serna

Bermejo and Lasagabaster 2023). University faculty also report that EMI

programmes help them develop their linguistic competence, giving them an

added feeling of accomplishment and satisfaction; additionally, these programmes

are often tied to certain administrative and/or financial incentives (Dearden and

Macaro 2016; Macaro et al. 2019).

On the other hand, several common issues surrounding the implementation of

these programmes have been identified, mainly concerning the English

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proficiency of learners and the preparedness and attitudes of instructors, together

with issues relating to policy implementation and the involvement of other

stakeholders. Regarding linguistic competence in English, much concern has

been voiced about the ability of learners to assimilate content and develop

linguistic skills through EMI (Doiz et al. 2011; Murata 2019; Wang 2021). In

addition, challenges related to the development of disciplinary literacy and the

distribution of EMI subjects across the curriculum are also seen as problematic

(Airey 2011; Dearden 2018; Dafouz and Smit 2020).

The introduction of EMI programmes also leads to a change in the role of

lecturers and professors. Different studies (Doiz et al. 2013b; Kirkgöz and

Dikilitaş 2018; Murata 2019; Bowles and Murphy 2020) have identified both

positive and negative aspects of EMI in this regard. The disadvantages include,

for example, the general tendency for instructors who teach through EMI to

sidestep linguistic issues in their practice (Doiz et al. 2011; Dafouz 2014; Aguilar

2017), largely because they are not English specialists. In addition, merely

possessing linguistic expertise in English does not make an instructor qualified

to deliver this type of teaching (Dearden and Macaro 2016; Akincioğlu 2024).

Other issues such as the need for effective EMI assessment tasks, educators’

concerns about the additional responsibilities and workload that EMI entails and

the lack of administrative and financial support from other stakeholders (Aguilar

2017; Mede et al. 2018; Shohamy 2019) have also been detected.

Most of the concerns identified thus far in research seem to point to problems

stemming from inconsistencies in policy implementation, which results in limited

or incongruent procedures that hamper successful teaching and learning. This,

coupled with the need to monitor and assess these programmes, plus the need for

more human and financial resources, are pressing concerns in many institutions

of higher education today (Roberts and Palmer 2011; Doiz et al. 2013a; Ekoç

2018), including the USC, as the present study seeks to show.

2.2. The Concept of Beliefs

In simple terms, a belief can be understood as a strong opinion about what is

considered right, good or appropriate. In EFL, the beliefs of students and

instructors are central to their approaches to and expectations about the learning

process (Ellis 2008; Sadeghi and Abdi 2015). Beliefs have been found to play a

key role, for instance, in the mismatch between the aims and behaviour of

students and educators in the classroom, in the way students choose and deploy

learning strategies, in levels of student anxiety, and in the degree of autonomy in

the learning process (Barcelos and Kalaja 2006; Dafouz et al. 2016; Sydorenko et

al. 2017; Doiz and Lasagabaster 2018; Moncada-Comas 2022). Woods (1996)

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showed that teachers’ beliefs about knowledge (BAK) were closely linked to

their decisions when organising and delivering the course and also to their

professional identity, which has been supported by more recent studies (Huang

et al. 2021; Er 2024).

According to Vygotsky’s socio-cultural theory (SCT), beliefs change under the

influence of significant others (Barcelos and Kalaja 2011), that is, individuals or

conditions relevant to the learner, such as other learners, friends, teachers,

advisors and academic programmes. These sources provide varied interpretations,

experiences, or circumstances related to the learning event, which learners and

teachers assimilate and act upon. Among these significant others, scholars have

identified, for example, the language-learning context (ESL vs EFL), classroom

instruction, institutional policies, socio-cultural factors and new situational

experiences (e.g. university transfer due to changing cities, migration or Erasmus

programmes) (Orduna-Nocito and Sánchez-García 2022; Sato and Storch 2022;

Cots and Mancho-Barés 2024).

In the Spanish context, in their analysis of different learning environments (EFL

formal instruction, Study-abroad (SA) and English as a Medium of Instruction

(EMI)), Pérez Vidal et al. (2018) reported on more pragmatic benefits and more

self-confidence for EMI students as compared to students with SA experience. In

addition, Doiz and Lasagabaster (2018) and Serna Bermejo and Lasagabaster

(2023) found a relationship between L2 motivation and EMI contexts among

Spanish learners. More recently, interest has focused on the socio-academic

context and perceptions of students and teachers (Pérez-Llantada 2018; Rubio-

Cuenca and Perea-Barberá 2021; Velilla Sánchez 2021) to identify issues and

implement initiatives to improve the quality of EMI programmes.

3. The Study

EMI programmes are a type of significant other according to SCT and discussed

above. That is, they are a learning environment which will inevitably affect the

beliefs of students and instructors. In turn, their beliefs about these courses will

influence their choice of learning and teaching strategies, as well as their

motivation and attitude towards the learning process. With this in mind, the

present study focused on two main research questions:

RQ1. What are the beliefs of USC students and instructors from different

academic disciplines about learning course content in English?

RQ2. How do USC students and teaching staff evaluate the implementation

and functioning of EMI programmes?

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3.1. Participants

Of the 649 USC informants who participated in the main study about beliefs,

57% (n=373) provided data about their beliefs regarding content learning in

English, 338 of whom were students and 35 were instructors. Table 1 below

outlines the main demographic characteristics of this population sample.

STUDENTS (n=338)

Academic level Sex Nationality Academic areas

1st year

n=124 (37%) Females

n=238 (70%) Foreign

n=32 (10%)

English Studies n=99 (29%)

Other lang and lit n=20 (6%)

Cultural studies n=7 (2%)

2nd year

n=75 (22%) Males

n=100 (30%) Spanish

n=306 (90%)

Chemistry n=78 (23%)

Physics n=16 (5%)

Double degrees (Nat Sc) n=9 (2%)

3rd year

n=70 (21%)

Engineering n=17 (5%)

Journalism and AdV Comm n=6 (2%)

Criminology and Law n=19 (6%)

4th year

n=61 (18%)

Odontology n=27 (8%)

Educational Sciences n=40 (12%)

Master P.

n=8 (2%)

INSTRUCTORS (n=35)

Level taught Sex Nationality Type of English instruction

Undergraduate

n=17 (48%) Females

n=17 (49%) Foreign

n=4 (11%) EMI programmes

n=16 (45%)

Under- and

postgraduate

n=17 (48%)

Males

n=18 (51%) Spanish

n=31 (88%)

General English programmes

(Philology, ESP)

n=19 (55%)

Postgraduate only

n=1 (3%)

Table 1. Demographic characteristics of the USC population sample

3.2. Methodology

A total of 338 students completed an online questionnaire on beliefs, of whom 56

were also interviewed. Meanwhile, 35 faculty members responded to the

questionnaire, 22 of whom participated in an interview. The student questionnaire

was a 39-item inventory based on the Beliefs About Learning Language Inventory

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(BALLI) for FL students (Horwitz 1988). It included four items on beliefs about

EMI programmes, of which one close-ended question (36) was an opener to

another three (37-39). The 34-item questionnaire version for instructors included

two items related to EMI programmes. To tailor the study to the USC context,

the two questionnaires were available in multilingual format (Galician, Spanish,

English) and included a final section for open comments. The reliability of each

tool, which was measured using Cronbach’s alpha, ranged between 0.6 and 0.7.

Face-to-face semi-structured interviews were carried out with students and

instructors, using a set of 16 questions for students and 12 for instructors; each

set included one question and a number of prompts about EMI programmes. The

shortest conversations with students lasted about 27-30 minutes, and 31 of these

shortest conversations were held individually. The longest interviews lasted

approximately 52 minutes, six of them were held with two students and three of

them with focus groups of 4-5 students. Meanwhile, the instructors discussed

EMI programmes during individual interviews that lasted about 37 minutes. The

interviews were also offered in multilingual versions, and all answers were

transcribed orthographically for analysis.

As stipulated by the ethical guidelines of the USC (Código de Boas Prácticas Na

Investigación 2018: 11-12), consent was obtained from all participants prior to

collecting the study data, and informant anonymity was guaranteed through data

coding. Quantitative data were analysed using a variety of statistical tests available

in the Statistical Package for the Social Sciences (SPSS) with an alpha level set

at.05, while NVivo software was used for thematic analysis of the interview data.

Based on the research questions, three variables were used to contrast each group

of participants, that is, the students’ field of study, their foreign language

experience, and their sex; in the case of instructors, the variables used were years

of professional experience, type of English instruction, and sex.

4. Results and Discussion

4.1. The Pattern of Beliefs of Students and Instructors about EMI

As regards the student questionnaire, three main statements (STs) were used to

explore their perceptions about learning through EMI.

ST37. My level of satisfaction about learning English through another subject

is (very low /low/a bit low/a bit high/high/very high).

ST38. When I learn other subjects in English, my English skills develop (not a

bit/very little/a bit/moderately/much/very much).

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ST39. When I learn a subject in English, I learn the content of this subject (I

can’t learn it/with much difficulty/with difficulty/with some difficulty/

easily/very easily).

Concerning the first research question, the findings show a generally homogenous

pattern of beliefs both among students and teaching staff about EMI, with differences

emerging based on variables such as disciplinary area and the type of instruction.

4.1.1. Quantitative Data from Students’ Questionnaire Responses

The reported level of satisfaction with learning content through English among

students was rather minimal (M=3.7). Whereas the informants expressed that

they are capable of learning the content of the academic subjects relatively well

(M=4.21), they believed the development of their language competence in English

to be limited (M=4.05). As one of the informants commented,

…having other subjects in English serves to learn specific vocabulary rather than to

develop skills, in my opinion and personal experience. (QtSt282)

The analysis of the variables confirmed this general belief pattern, while certain

contrasts also became evident.

4.1.1.1. Variable 1: Learners’ Area of Study

Regarding the areas of study in which learners were enrolled, a comparison of

responses across three main discipline areas yielded significant statistical

differences. As expected, responses to ST37 by Humanities and Social Sciences

students contrasted with those of the other groups in all three items related to

EMI (Table 2).

GROUPS: G1 HUMANITIES AND SOCIAL SCIENCES (n=126)

G2 NATURAL SCIENCES (n=103)

G3 APPLIED SCIENCES (n=109)

Questionnaire statement (ST) Mean value Significant differences

ST37. My level of satisfaction with learning

English through another subject is…

G1 (M=4.03)

G1-G2 (p<.001)G2 (M=3.28)

G3 (M=3.74)

ST38. When I learn other subjects in English,

my English skills develop…

G1(M=4.48) G1-G2 (p<.001)

G2 (M=3.63)

G3 (M=3.94) G1-G3 (p<.001)

ST39. When I learn a subject in English, I learn

the content of this subject…

G1(M=4.47) G1-G2 (p=.01)

G2(M=4.13)

G3(M=3.99) G1-G3 (p< .001)

Table 2. Statistically significant differences in responses across the three main disciplinary areas

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To obtain a more detailed account of students’ beliefs across specific academic

fields, the questionnaire responses were also organised into 11 different academic

subgroups containing one or two related degrees. The statistically significant

differences found are shown in Figure 1 below.

Figure 1. Statistical differences in responses across the 11 academic areas (n=338)

As can be observed, the responses to ST37 varied across the different disciplinary

fields. The learners who reported the strongest dissatisfaction with the EMI

experience were those enrolled in chemistry (M=3.21) and educational sciences

(M=3.08). However, fewer significant differences were found for statements 38

and 39, and the pattern described in Table 2 above was confirmed, with students

in English studies acknowledging greater development of their language skills

(M=4.56) and more effective learning of the course content (M=4.53). All in all,

the informants reported that they learned the content of their respective academic

subjects relatively well, while they perceived their language learning was limited.

These results mirror the unbalanced EMI learning scenario in terms of content

and language-learning outcomes in higher education (HE) that Airey describes

(2016: 73). He explains that, when enrolling in EMI courses, students are

expected to have already acquired sufficient linguistic competence in pre-

university education. Yet, as we shall see throughout this section, not only are the

student informants affected by this imbalance in EMI programmes, but also by

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insufficient linguistic preparation before starting them. Other research has also

pinpointed the different issues that this imbalance may cause for students’

learning (Arnó-Macià and Aguilar-Pérez 2021; Pun and Jin 2021; Zhang and

Pladevall-Ballester 2021).

4.1.1.2. Variable 2: Language-Learning Experience (LLE)

This variable comprised three sub-variables: the number of languages that

students knew other than their L1 —here called extra languages (ExL)—, the

number of foreign languages they had learnt through formal instruction (LFI),

and their SA experiences. The results for this variable, as shown in Table 3,

confirm that those students who have learnt more languages and those with some

SA experience hold different beliefs about EMI learning.

Sub-variable 1: Extra

Languages (ExL)

ST37 My level of

satisfaction...is…

ST38…my English skills

develop…

1ExL (n=106) (M=3.37) (M=3.72)

2ExL (n=151) (M=3.79) (M=4.04)

3ExL (n=59) (M=4.08) (M=4.61)

Significant differences 3ExL and 1ExL (p=.01) 3ExL and 1ExL (p<.001)

3ExL and 2ExL (p=.02)

Significant correlations - -

Sub-variable 2: Languages

learnt by FI (LFI)

1LFI (n=171) (M=3.50) (M=3.91)

2LFI (n=150) (M=3.89) (M=4.15)

3LFI (n=14) (M=4.36) (M=4.64)

Significant differences 3LFI and 1LFI (p=.02) -

Significant correlations - Positive [r (338) = .13, p=.015]

Sub variable 3: SA

experience

SA (n=93) (M=3.89) (M=4.30)

No SA (n=245) (M=3.64) (M=3.96)

Significant differences - t(336) =-2.28,p=.02

Significant correlations - Positive [r (338) = .12, p=.023]

Table 3. Significant differences and correlations for ST37 and ST38 based on LLE (n=338)

These results mirror past investigations that clarify the cognitive benefits of

increasing the linguistic repertoire and spending time in environments where

English is the native language (Kristiansen et al. 2008; Fox et al. 2019). In

addition, SA experiences in combination with formal instruction increase

students’ instrumental and integrative motivation and trigger belief changes as

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regards learning strategies and autonomous learning (Serrano et al. 2016;

McManus 2023).

4.1.1.3. Variable 3: Sex

Female students reported more English linguistic growth (M=4.16) through

EMI lessons than males (M=3.79, p=.01), and they also reported more effective

learning of course content (M=4.29) than their male counterparts (M=4.02,

p=.01). Possible explanations for these findings include higher motivation and a

more effective use of learning strategies by females as identified in previous

research. They have been found to use, for example, more strategies for general

study, for practicing formal rules and for conversation than their male counterparts

(Dörnyei and Ryan 2015; Montero-Saiz Aja 2021).

4.1.2. Quantitative Data from Instructors’ Questionnaire Responses

Data related to the opinions of instructors about learning academic content in

English was elicited through questionnaire statements 29 and 32 and explored

in greater depth through the interviews. The wording for these items was as

follows:

ST29. In Galicia students who start their university degree have a good level of

English (a B1 at least). (Strongly disagree…Strongly agree)

ST32. I think they should include more subjects in English as part of the

university curriculum/programmes. [Yes, but only if they are optional

subjects / Yes, either as optional, compulsory or core subjects / No (…

please…comment…on the reasons.)]

Concerning student English proficiency on enrolment in university studies, 80%

of the teaching staff (n=28) concurred that this level is below the required

standard for HE (M=2.57). As for ST32, more than half of the instructors (57%,

n=20) supported the introduction of more EMI courses in the curriculum only if

these were offered as elective courses. Based on the variables of sex and years of

experience, no significant statistical differences were found. However, regarding

the type of instruction (i.e. GE or EMI), it seems that the EMI instructors are

more enthusiastic about the further implementation of EMI courses (M=2.75)

than the GE instructors (M=2.26; p=.02). As language specialists, it seems more

natural for the latter to identify implicit or secondary aspects, whether linguistic

and/or pedagogical, that may impinge on students’ learning and development. In

contrast, EMI instructors seem to be more positive based on the utilitarian value

of the language and the gratifying experience of teaching in a FL, as they attested

in the interviews.

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4.1.3. Qualitative Data from the Interviews

In terms of motivation and attitudes towards EMI programmes, about 89% of the

students (n=50) welcomed further implementation of these courses due to the

instrumentality of English, in that it guarantees preparedness for future

employment (8 ref),1 a variety of social opportunities (6 ref), better access to post-

graduate studies and research materials (7 ref) and enriched disciplinary and

language learning (2 ref). For their part, the instructors acknowledged the

usefulness of the language as a professional tool, not only for their students, but

also for themselves (4 ref). In addition, EMI instructors acknowledged that their

role grants them advantages regarding their teaching timetable and provides a

good opportunity to practice the language (4 ref).

Some lecturers and professors considered the students’ insufficient level of

English a hindrance to the learning of specific academic subjects (4 ref), and that

content learning is easier in a student’s mother tongue (2 ref). In addition, some

argued that EMI should not be imposed since there are other foreign languages

to learn as well (2 ref). Other instructors expressed their disapproval of EMI,

indicating that the challenge it poses for learners might lead to negative attitudes

towards the language. Indeed, some comments by EMI students also show

evidence of this issue:

In any case, to have to study a subject in a language that you cannot use proficiently

is always a challenge. (QtSt252)2

I don’t think I have upgraded my…language skills…in English at the USC. I think

my skills have improved very little compared to the level I had when I finished high

school, which is disappointing. (QtSt420)

The informants broadly agreed that learning English is different from learning

other subjects. Based on this belief, it is understandable that acquiring and teaching

content through EMI is very challenging, in that students and educators must

learn and teach, respectively, while engaged in course content that requires different

processes of learning. This issue has also been noted in previous studies (Cots

2013; Doiz et al. 2013b; Dafouz 2014; Pérez Vidal 2015; An and Thomas 2021).

4.2. Evaluation of EMI Programmes

In relation to the second research question regarding the implementation of these

programmes, the interviews revealed diverse sets of concerns.

4.2.1. Student and Instructor Proficiency

The comments of some instructors made clear that low levels of English

proficiency of beginning students at the USC were an issue:

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Another problem is the uneven level of the students; for instance, some of them

want an exam in English but some others don’t. (EMI-IntT13)3

According to the official regulations, students are expected to have a B2 level… but it

is unrealistic. So… this means I’m forced to build basic language skills while trying to

force the programme as much as I can… The official regulations describe multilingual

students, and they say their level is high when it is really low. (GE-IntT16)

For their part, the students also acknowledged that their levels of proficiency, as

well as those of professors and lecturers, were not good enough for effective EMI

learning (5 ref). Pre-service instructors noted having received very little training

in English as future primary school teachers (2 ref), which echoes findings

reported by Loredo Gutiérrez et al. (2007) about a group of teachers in training

of whom less than 50% perceived their competence in English to be high. Apart

from their previous language-learning experiences in secondary education, this

also reflects the different levels of exposure to learning in English because of the

uneven distribution of courses across USC faculties and schools. For example, at

the beginning of the present study, only four subjects were taught in English in

the Faculty of Education, whereas 13 subjects were taught in the language in the

Faculty of Chemistry. An additional issue that underlies the negative opinions of

pre-service teaching staff seems to be the quality of the teaching they experience.

When asked if more courses in English should be included in the curriculum,

they stated:

What should be established is that if we have a good foundation at the secondary and

high school levels, we can have courses taught in English at the university. (IntSt18)

Yes, they [courses in English] should be included. We only had one subject over

three months taught by three teachers, none of whom spoke in English. And they

just focused on the basic grammar as usual. (IntSt21)

Furthermore, most of the participating instructors (95%, n=21) commented on

the preparation and attitudes of students and staff on EMI programmes. As the

following comments illustrate, the instructors themselves pointed out the need

for better training:

As to the teacher… they should allow us to take some lessons in English, for example,

for a better preparation. (EMI-IntT12)

I have a C1 level and would like to continue learning… I think all EMI teachers have

language limitations… Some students are way better than me in English because

they have lived abroad, or they are Erasmus students. (EMI-IntT13)

In the case of the other faculties, I see the advantages of EMI only if the teachers are

well prepared to deliver the lessons in English. As to the students…the level is so

unequal that perhaps it would be best to teach them English as a separate subject and

not… through the degree subjects. So, I think there’s more will to internationalize

the degrees than to have the students learn. (GE-IntT22)

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They [instructors] need to prepare themselves to teach specific language, for

instance, in a subject like English for law, the new ESP teacher needs to become

familiar with areas such as civil law and criminal law…general English teachers do

not normally learn terms related to law, business or science… thus, it’s necessary to

spend extra-time preparing lessons. (GE-IntT2)

These findings suggest a positive predisposition of EMI instructors to improve

their language competence in English, which aligns with the results reported by

Cal Varela and Fernández Polo (2007) about the motivations and beliefs of the

USC staff. In addition, an imbalance was found in the skill levels of the teaching

staff. On the one hand, while GE instructors have high linguistic proficiency,

they lack solid preparation to teach in ESP areas. On the other hand, pre-service

teaching staff are given good pedagogical training, but linguistic training in their

degree programmes is lacking. As regards the EMI instructors, although they are

specialists in their respective content areas, they also seem to require more solid

professional development, both pedagogically and linguistically. In this regard,

different initiatives have been set in motion in Spain and beyond, such as EMI

professional development and training programmes (Arnó-Macià and Aguilar-

Pérez 2021; Dafouz 2021; Webster and Herington 2021; Morell et al. 2022; Gil

and Mur-Dueñas 2023) which could serve as a blueprint to design solutions

customised to the needs of students and faculty at the USC.

4.2.2. Instructors’ Attitudes and Pedagogical Practice

Some comments by the EMI teaching staff illustrated that their teaching practice

was rather intuitive and based on their beliefs about teaching in English, thus

revealing a lack of pedagogical cohesion across the faculties and schools:

In terms of materials, I give my master students everything in English just as it is

stipulated in the programme. We are not allowed to give them any materials in

Spanish or Galician… It is also true that sometimes if they come across a word they

don’t know, I translate it for them. (EMI-IntT12)

So, I make clear from day one that I don’t teach English, but I won’t assess their

English either… In the case of the materials I give them out in English. (EMI-IntT15)

We should always be clear about the content, for instance, in the use of PowerPoint

slides I include illustrations to accompany the meaning of new words, we use a

combination of materials in English and Spanish… I don’t assess their language skills

but... What I don’t do is to give them the translated word or to accept questions in

Spanish or Galician. I [try] to force them to repeat [the question] in English. So, it’s

a mutual understanding that it is not an English class, but we try to understand each

other in English. (EMI-IntT18)

In terms of methodological approaches when teaching classes through EMI, the

instructors also attempt to use translanguaging,4 albeit inconsistently, as can be

gathered by some of their comments:

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In chemical engineering… students can take the same subject in Spanish/Galician

or in English… In the case of the materials, I give them out in English… but via

the forums they have access to the materials in Spanish… They could do without the

English materials and use the Spanish ones, but I don’t think they do because

reading is one of their best skills. (EMI-IntT15)

Because the level of my students is not homogenous, I would usually use my

presentation slides in Spanish for those low-level students so that they may have a

better chance to follow the content but in fact there are more materials and

bibliography in English… so I give them terminology translated into Spanish

(practically a literal translation). In a one-to-one interaction, I usually use Spanish if

I see they don’t understand the explanation in English or if they can’t formulate

questions clearly. But to address the whole class I usually use English. (EMI-IntT19)

These inconsistent pedagogical practices and assessment criteria are detrimental to

the effectiveness of EMI programmes. The fact that students receive little or no

feedback about their linguistic performance runs contrary to the aims of EMI to

develop or reinforce their language skills. This means that some learners must

assimilate course content in English despite poor linguistic competence attained in

pre-university years. Along these same lines, the issue of the development of

academic English skills for their future professions should also be addressed. As

regards pedagogy, the compartmentalisation of languages, i.e. the use of English or

Spanish rather than the full available language repertoire, creates what Doiz et al.

refer to as “the hegemony of the monolingual mindset” (2013b: 215). In the case

of the current study, based in the region of Galicia, such a monolingual approach is

also detrimental to the use of the Galician language since it serves to foster the use

of the more dominant L1 (Spanish) as a counterpart to English. Moreover, whereas

team-teaching might not be feasible at the present time at the USC due to a shortage

of teaching staff, it is an alternative worth exploring in the future.

4.2.3. Curricular Organisation of EMI Programmes

Other EMI implementation-related issues voiced by the faculty members involved

the placing of EMI subjects in the most appropriate academic years or levels

throughout the curriculum, which increases the difficulty of teaching these

programmes (4 ref), as stated by one interviewee.

They [students] may find these subjects difficult because they are normally placed in

the last years of their degrees and some years have gone past since students last

studied English. Hence, on the one hand, it would seem feasible for this type of

English subject to be present at the beginning of their degree; however, on the other

hand, at the beginning stages of a degree students are not familiar with some

important concepts for their degrees and thus, it may seem useless to teach them

some terms in English before they even know what they are in their native language(s)

(GE-IntT2).

Yonay Rodríguez Rodríguez

miscelánea 71 (2025): pp. 67-89 ISSN: 1137-6368 e-ISSN: 2386-4834

Additional suggestions regarding the implementation of this methodology

included consistent need analysis and monitoring (1 ref), effective decision-

making and support by stakeholders and local authorities, and sufficient academic,

human and economic resources (7 ref). All these aspects impinge on the quality

of EMI programmes, that is, on “the level of excellence at which the institutional

EMI policy is reflected in instructional practices…, learning outcomes and

alumni performance” (Akincioğlu 2024: 146).

4.2.4 Linguistic Friction of EFL and L1s

Finally, the data also showed the linguistic friction that can arise from the process

of internationalisation in multilingual contexts (Doiz et al. 2011, 2014; Cots

2013). This is reflected in the ideological approach of two interviewees, the first

of whom wondered, “Why do we have to give up Spanish as a LF and surrender

to English?” (GE-IntT3). In a similar vein, a second instructor explained that

EMI subjects widen the gap between those students with high and lower levels of

proficiency. “It harms, consequently, those students whose skills are not

linguistic” (GE-IntT5). Other participants also consider English as a form of

imperialism, as these comments show:

Although foreign languages are very important, I think it is more important to know

your mother tongue very well. In the case of Galician people, it is sad when I hear

them speak proficiently in English, Spanish, or other foreign languages but they

can’t produce a full correct sentence in Galician, the language of our land. (QtSt238)

Forced linguistic colonialism has a negative impact on the recipient cultures. The

educational, personal, and developmental benefits deriving from the learning of a

foreign language are present regardless of the language learned. The impossibility of

choosing beyond the English language is inadequate, and it leads students to think

they are not good at languages since they cannot achieve a high level of competence

in English in particular. (GE-QtT4)

This linguistic tension cannot be overlooked when implementing EMI programmes

in multilingual regions since monolingual practices in English undermine the

multilingual identities of the learners and teachers. Thus, EMI pedagogies should

favor more inclusive, multilingual practices (Doiz et al. 2019; Akincioğlu 2024).

5. Concluding Remarks

In this study I have addressed two main research questions about EMI programs

at the USC. The first one aimed to identify the beliefs of the participants about

content learning in English in the different academic areas. The data reported

here indicate that they share positive views about the implementation of EMI

A Study of Beliefs about EMI Programmes

miscelánea 71 (2025): pp. 67-89 ISSN: 1137-6368 e-ISSN: 2386-4834

courses, mostly due to the utilitarian use of English. A key finding in this study,

however, is that the academic field of the students, as well as their linguistic

experience, had a bearing on responses, as did the type of English instruction the

teachers delivered. The primary implication of these findings is the need for

customised pedagogies in EMI programmes at the USC.

As regards the second question, the perceptions of students and teaching staff

about the EMI experience revealed various issues regarding the implementation

of this methodology, such as inadequate linguistic preparation, inconsistent

pedagogical practices and organisational difficulties. These data mirror the

results of previous studies conducted both in Spain and abroad (Dafouz et al.

2016; Kirkgöz and Dikilitaş 2018; Pérez-Llantada 2018; Doiz et al. 2019; Arnó-

Macià and Aguilar-Pérez 2021; Akincioğlu 2024). Thus, further evaluation and

adjustment of the implementation policies of these programmes at the USC is

required to tackle these issues.

The findings of this study not only contribute to the existing body of knowledge

about learning through EMI but also carry significant implications since they

could inform the process of curricular adaptation or design of EMI programmes

to better align them with the learners’ and educators’ needs. In addition, these

results could also provide insights for teacher-training initiatives and for more

effective policy implementation including, for example, more resource allocation

and better instruction and assessment practices. Within the classroom context,

these findings could also be used by instructors to implement interventions to

foster motivation, to use more effective pedagogies and to design materials that

are better adapted to the students’ learning needs.

While this project provides valuable insights regarding EMI programmes at the

USC, it also has some limitations such as its exploratory character and the lack of

participation of actors other than students and teachers. To overcome these

limitations, future research should comprise a more in-depth analysis of the

impact this methodology has on students’ learning, and further examination of

the implementation policies involving other stakeholders such as administrators

and university councils. Finally, this study could be replicated in other institutions,

thereby permitting the emergence of evolving solutions and fostering increased

cohesion and functionality in EMI programmes across the Galician region and

more broadly in Spain.

Acknowledgements

Funding from the following institutions is highly appreciated: Regional

Government of Galicia (grants GPC2015/004, ED431D 2017/09, ED431B

Yonay Rodríguez Rodríguez

miscelánea 71 (2025): pp. 67-89 ISSN: 1137-6368 e-ISSN: 2386-4834

2018/05, ED431B 2021/02), the Spanish Ministry of Economy and

Competitiveness (grant FFI2015-64057-P) and the Spanish State Research

Agency (grants PGC2018-093622-B-I00 and PID2021-122267NB-I00).

Notes

1. In NVivo, a reference (ref) is the

number of times an answer or argument was

repeated.

2. Questionnaire-Student # (QtSt252).

3. GE or EMI Interview-Instructor #

(GEIntT12 or EMI-IntT12).

4. Translanguaging: the use of the

full linguistic repertoire of communicative

strategies that speakers possess from the

various languages that they know (Taken and

adapted from www.dicenlen.eu).

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ZHANG, Mengjia and Elisabet PLADEVALL-BALLESTER. 2021. “Discipline-Specific Language Learning

Outcomes in EMI Programs in the People’s Republic of China”. Language and Education 35 (4):

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Received: 22/03/2024

Accepted: 29/10/2024

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

miscelánea 71 (2025): pp. 91-112 ISSN: 1137-6368 e-ISSN: 2386-4834

INMACULADA FORTANET-GÓMEZ

Universitat Jaume I

fortanet@uji.es

<https://orcid.org/0000-0001-8981-565X>

VIKTORIIA DROBOTUN

Taras Shevchenko National University of Kyiv, Ukraine

v.drobotun@knu.ua

<https://orcid.org/0000-0002-5628-6381>

COLLABORATIVE ONLINE INTERNATIONAL

LEARNING (COIL) BETWEEN SPANISH

AND UKRAINIAN STUDENTS: NEW TASKS

AND NEW RELATIONSHIPS

APRENDIZAJE INTERNACIONAL COLABORATIVO

EN LÍNEA (COIL) ENTRE ESTUDIANTADO ESPAÑOL

Y UCRANIANO: NUEVAS TAREAS

Y NUEVAS RELACIONES

https://doi.org/10.26754/ojs_misc/mj.202511126

Abstract

Nowadays, our professional lives face challenges that inevitably require a quick

reaction and a shift in the field of education. Moreover, globalisation and the

ongoing war in Ukraine motivate teachers to look for new opportunities to

communicate across cultures. This research aims to analyse students’ perceptions

of the effects of collaborative online international learning (COIL). The study

participants were 12 fourth-year Ukrainian students from Taras Shevchenko

National University of Kyiv who were taking the course on Academic English

within the Languages, Literature and Translation program and a group of 20

Spanish fifth-year students from Universitat Jaume I who were enrolled in the

Business English course as part of the dual degree in Business Administration

and Law. The methodology consisted of three stages. Firstly, participants used

online communication tools to establish contacts with partners. Secondly,

students discussed the topic of corporate sustainability on Zoom. Thirdly, each

group used online collaborative teaching (OCT) to write an opinion essay.

Results from the final questionnaire after the COIL experience confirmed that,

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despite the difficulties due to the ongoing war in Ukraine, students’ perceptions

of their experience of COIL were positive. They were more motivated and

believed the activity had helped them to improve their writing and speaking skills

as well as their intercultural competence.

Keywords: collaborative online international learning, online collaborative

teaching, IT tools, intercultural competence, students’ learning self-perception.

Resumen

Actualmente, nuestra vida profesional se enfrenta a retos que inevitablemente

requieren una rápida reacción y un cambio en la educación. Además, la

globalización, y la guerra en curso en Ucrania, motivan al profesorado a buscar

nuevas oportunidades para la comunicación intercultural. Esta investigación

pretende analizar los efectos que produce en el estudiantado una experiencia de

aprendizaje internacional colaborativo en línea (COIL por sus siglas en inglés).

Los participantes en el estudio fueron 12 estudiantes ucranianos de la Taras

Shevchenko National University of Kyiv (Ucrania) de una asignatura de Inglés

Académico en el cuarto curso del programa de Lenguas, Literatura y Traducción,

y 20 estudiantes españoles de la Universitat Jaume I matriculados en Inglés para

los Negocios en el quinto curso del doble grado de Administración de Empresas

y Derecho. La metodología constó de tres fases. En primer lugar, los participantes

se comunicaron en línea para establecer un primer contacto. En segundo lugar,

debatieron sobre sostenibilidad corporativa en Zoom. En tercer lugar, cada grupo

redactó un ensayo de opinión en colaboración. Los resultados del cuestionario

final confirmaron que, a pesar de las dificultades debidas a la guerra en Ucrania,

la percepción del estudiantado sobre su experiencia con COIL fue positiva.

Estuvieron más motivados e indicaron que esta actividad les había ayudado a

mejorar sus destrezas orales y escritas, y su competencia intercultural.

Palabras clave: aprendizaje internacional colaborativo en línea, enseñanza

colaborativa en línea, herramientas informáticas, competencia intercultural,

percepción del aprendizaje por los estudiantes.

1. Introduction

COIL (collaborative online international learning) is considered to be “a new

teaching and learning paradigm that promotes the development of intercultural

competence across shared multicultural learning environments” (Rubin and

Wilson n.d.). COIL requires the engagement of a global network to provide a

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context for virtual communication and collaboration among participants. This

type of online learning gathers at least two groups of representatives from

different cultural backgrounds and educational programs located in another city,

country, continent and even time zone. Furthermore, participants in COIL

initiatives may study different subjects, which means that an interdisciplinary

approach is also one of the components of COIL. This type of collaborative

learning can be synchronous or asynchronous, and language is the aspect that

unites the participants. The beneficial outcomes of participation in COIL appear

to be intercultural information exchange and practice with both previously and

newly gained skills (Hackett et al. 2023).

Another valuable point is the opportunity to receive information about the world

through eyes, senses, emotions and understanding directly from those who

experience them. In such a way, we can form images and perceptions of the world.

That is why COIL can promote students’ intercultural awareness and foster their

curiosity and motivation to learn more.

After gaining the experience of working outside the classroom during the two

years of the COVID-19 pandemic, educators and students have become more

acquainted with a wide range of educational IT platforms and tools. COVID-19

forced teachers to understand that the world, which was previously perceived as a

‘small global village’ where people had a great number of opportunities to travel,

work, study and actually explore, may at a certain times force us into isolation,

causing us to become unreachable.In this setting, teachers, now equipped with

the skills to work online, feel more confident and ready to gain new experience in

implementing the COIL methodology in their classrooms.

COIL fosters communication and collaboration across cultures without requiring

physical border-crossing and can broaden students’ awareness of cross-cultural

communication and foster multicultural literacy. Students may participate in

activities abroad, not only by acquiring new knowledge and improving skills

developed previously, but also by sharing ideas, knowledge and experiences while

staying at home and attending classes at their university. Moreover, this kind of

activity requires the involvement of modern means of communication that are

tightly connected with IT programs, platforms and applications, thereby enhancing

students’ digital literacy. In other words, COIL may help to raise a generation of

technologically savvy global citizens with profound knowledge of others.

2. Literature Review

In the search for new angles and approaches for teaching and learning foreign

languages, growing attention is being given to COIL (O’Dowd 2016; Marull and

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Kumar 2020). Virtual exchange is considered to be an umbrella term for COIL

(O’Dowd 2018), which is broader. There is a wide range of terminology used to

denote technology-based learning and collaboration: online intercultural

exchange (O’Dowd 2016), telecollaboration (Sonnenwald et al. 1999; Lee and

Markey 2014; O’Dowd 2016), globally networked learning (Crabtree et al. 2008;

McNair and Paretti 2010), internet-mediated intercultural foreign language

education (Belz and Thorne 2006) and e-tandem (O’Rourke 2007) or teletandem

(Telles and Leone 2016). The authors of this research agreed to use the term

COIL, as for us, such notions as internationalisation and online learning are of

central importance.

As great attention is paid nowadays to global citizenship education around the

world, COIL approaches can be employed to foster “a flexible body of issues,

skills, attitudes, and sensitivities that enable individuals to be thoughtful,

responsible, participatory citizens of their local community, state, nation, and

world” (Cruz 1998: 28). This means that by applying COIL, instructors may

engage participants in meaningful interactions, such as dialogues between

students from different cultures. This approach fosters cross-cultural awareness

and helps students discover common ground while also encouraging an

appreciation of the uniqueness of their own and others’ perspectives. To reach

this goal, classroom discussions about messages or problems depicted in videos or

articles are beneficial, as they encourage students to draw on their knowledge and

share experiences. Furthermore, the received knowledge, which is the product of

collaboration with peers, could be a valuable source for further assignments, both

oral and written (O’Dowd 2016). Thus, this type of online collaboration and

communication has become vital for researchers and language learners as,

through partnerships and networks, students perform various tasks and improve

both their language skills and background knowledge of the topic.

O’Dowd (2016) delves into the tendency to involve university students in

collaboration exchanges in many ways. For instance, the use of English, French,

Spanish or other languages as a lingua franca can successfully build and develop

students’ intercultural and sociocultural competence and awareness of the role of

a language in intercultural communication. Such activities enable the development

of critical reflective skills of primary importance in our modern world, as they may

help sustain peace and the principles of democracy or build cultural and economic

contacts. Recognising COIL approaches helps improve soft skills and professional

knowledge in the younger generation, which in turn might contribute to mitigating

or preventing future economic crises and armed conflicts.

Moreover, King de Ramirez (2019) provides COIL project results among students

enrolled in universities located in the Arizona-Sonora Megaregion. Using various

platforms such as Facebook, Skype, WhatsApp, Gaming, Snapchat and Instagram,

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participants collaborated in communication to discuss the political debates held

due to the renegotiation of the North American Free Trade Agreement (NAFTA).

The aim of the project was to understand whether international online

communication could increase students’ awareness of intersections between local

and global communities. In this research, COIL was intended to remedy a general

lack of knowledge and communication between students who live in the Arizona-

Sonora Megaregion within 70 miles of the United States-Mexico Border in either

one or the other country. This can be considered an example of how collaborative

initiatives can foster the development of essential global competences, including

the ability to analyse international relations, critically appraise media and

recognise the intricate connections that shape global interdependence. All of the

aforementioned experiences demonstrate that COIL enhances global citizenship

and language skills (Marginson and Sawir 2011).

The successful implementation of COIL encourages educators to conduct

research and analyse the merits of COIL in different fields of science, as shown in

the research conducted by Rubin (Center for Innovation in Teaching and

Learning 2017), who implemented a four-credit COIL course on video

production for university students from Belarus and the US. The purpose of the

course was to identify and improve cross-cultural and professional competence.

As part of the research, each team of students produced a 4-minute film on the

theme chosen and later emailed the final video to the members of the second

team. The outcomes reflected an improvement in professional skills and

meaningful international experiences that enhanced cross-cultural sensitivity,

comprehension and perception of the different images of the world (Center for

Innovation in Teaching and Learning 2017).

Similarly, another group of educators implemented technology-based learning in

a virtual exchange project between the Pereiaslav-Khmelnytskyi Hryhorii

Skovoroda State Pedagogical, Ukraine, and Trakia University, Bulgaria

(Rzhevskaya et al. 2020). The researchers found that students enrolled in non-

engineering fields of study used well-known tools for their collaboration, resulting

in a positive impact on their outcomes and gained further appreciation for

learning new IT skills for successful cooperation and communication. Therefore,

alongside improving language skills and communicating across cultures, students

acquired new knowledge in the field of digital literacy.

The study carried out by Orsini-Jones and Lee (2018) provides an account of a

COIL project dealing with the integration of global citizenship education into

the curriculum and assessment of language courses provided at Coventry

University, in the United Kingdom, and the Université de Haute-Alsace, in

France. Students from both institutions used a common learning management

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system, where they participated in activities related to developing strategies for

intercultural pragmatics and netiquette.

Previous research has highlighted that students perceive COIL as an excellent tool

to boost language skills, raise cross-cultural awareness, enhance professional

knowledge and skills and develop critical thinking and IT literacy (Nguyen et al.

2024). It allows educators to engage at least two groups of students from

universities in different counties or even continents to participate in discussions on

socially relevant topics and to work collaboratively through an online platform

using a lingua franca. Nguyen et al. (2024) found different ways in which students

perceived an improvement of English as a lingua franca. On the one hand, they

made an effort to make themselves understood and to understand their interlocutors

by means of the resources available in online communication. As other authors

(Çiftçi and Savaş, 2018) point out, in telecollaboration, learners’ abilities to

communicate and adapt interculturally can be boosted through problem-solving.

Furthermore, Nguyen et al. (2024) showed that students believed COIL had

helped them develop not only their English skills but also their attitudes, awareness,

knowledge and intercultural skills, making them more confident to use English.

3. Objectives and Research Questions

Though previous studies have explored the use of COIL, to our knowledge none

has dealt with COIL between Spanish and Ukrainian students, especially in

wartime. This research aims to determine whether students perceive that COIL

can create advantages for learning the English language and make them aware of

cross-cultural communication, while they learn new content and cultural aspects.

In order to reach this objective, the following research questions will be answered:

RQ 1. What is the students’ perception on how COIL affects English language

learning in interdisciplinary settings?

RQ 2. What additional benefits for global education do students report after

the implementation of COIL?

4. The Study

4.1. Participants and Context

The study participants comprised 32 students from two groups: one consisting of

fourth- and fifth-year students enrolled at Universitat Jaume I (UJI), Spain, and

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another from the Educational and Scientific Institute of Philology, Taras

Shevchenko National University of Kyiv in Ukraine (KNU). The students in the

first group belonged to the dual degree in Business and Law who took the English

for Specific Purposes (ESP) course titled Business English at UJI. The second

group consisted of 12 students enrolled in a degree in Turkish, Persian, Chinese

and English language and literature, and took a course in academic English at

KNU. Although the special circumstances of Ukrainian students (most located in

a country at war) were not taken into account for the development of the COIL

activity and the research study, they inevitably affected participants’ performance

in several ways.

In November 2022, the second author of this article was a visiting professor at

the UJI, teaching online at KNU, and together with the first author organised a

series of COIL activities between students of the two institutions. Firstly, the

students communicated online to establish contacts and find out information

about the other country’s customs and traditions as well as the university itself.

For this purpose, students at both universities were divided into 12 groups and

provided with the email addresses of their interlocutors to conduct the first online

meeting outside the classroom. Then, all students had an online class (Google

Meet) as part of their coursework. In the case of the KNU students, it was based

on the course book Global: Level Advanced, 2nd edition by Lindsay Clandfield and

Amanda Jeffries, Macmillan, 2016, and Academic Writing, A Handbook for

International Students, 3rd edition by Stephen Bailey, Routledge, 2011. Regarding

the students at the UJI, the class was about the specific disciplinary discourse of

business in English. In both groups, the goal was to introduce the characteristics

of academic discourse and to learn the strategies of source-based writing, the

ways scientists integrate their ideas into their written texts, using paraphrasing,

citations and stylistic devices to express different points of view; and rules for

organising a list of references according to the APA, 7th edition.

4.2. The Task: Instruments and Procedure

The task was divided into 3 parts. First, the students in each group were assigned

a partner from the other institution. As the number of students was not the same

in both institutions, some Ukrainian students were assigned 2 Spanish students.

The first part of the task consisted of establishing contact.

To facilitate this, all students were provided with a guide for the first virtual

40-minute interview, which included a list of 13 open-ended questions (see

Appendix 1). The file was published on Google Classroom (for Ukrainian

students) and Moodle (for Spanish students). This questionnaire was designed so

that students could collect information about their counterparts’ academic

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background, personal interests and perspectives on their studies. Students’

responses provided their partners with insights on the country and its culture and

traditions. Additionally, in order to foster successful academic collaboration, it was

essential for them to know more about their partners’ study habits and learning

preferences as well as their attitude toward time management and responsibility.

The aim of the second and third parts of the task was to learn about the discussion

topic of corporate sustainability and the norms of written and spoken academic

English. As preparation, students were provided with some instructions on the

conventions of academic English and two scientific articles on corporate

sustainability (Montiel and Delgado-Ceballos 2014; Michie 2018) which they

had to read during the following week. Then, as a second part of the task, they

were asked to participate in a live discussion on the topic, for which UJI students

were in the classroom and connected online through Google Meet with KNU

students, who were online and outside the classroom setting. To stimulate this

discussion, they were provided with some questions to answer:

1. What do you think “corporate sustainability” is?

2. Are many companies committed to it?

3. Why? Why not?

4. Which aspects of corporate sustainability do companies mainly pay attention

to: governance, product, economic and social impact, environment, energy

saving?

5. Do big and small companies implement corporate sustainability measures in

the same way?

6. How do you see the future of corporate sustainability?

After the discussion, students were given two more weeks to asynchronously

prepare a collaborative academic research-informed opinion essay on corporate

sustainability and then submit it as a Google Doc, as the third part of the task. In

order to fulfill this task, they were provided with the instructions appearing in

Appendix 2. Although an assessment of the quality of the essays is out of the

scope of this research, it should be pointed out that they were assessed according

to a rubric made known to the students and shared by both instructors, and the

mark received for this thask counted for 15% of the final grade.

Before concluding the collaborative writing task, the students were asked to

voluntarily fill in an anonymous questionnaire in a Google Form to analyse the

outcomes of their collaboration (see Appendix 3). All the respondents gave their

express consent to the processing of their data, and all personal and private

information was anonymised and treated confidentially. The questionnaire

consisted of 13 multiple-choice, open-ended and linear-scale questions, which

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were designed to evaluate students’ experience and perception of their collaborative

online learning.

In order to achieve the study aims and answer the research questions, we analysed

the anonymous answers provided voluntarily by students in the final questionnaire:

their perception on the contribution of COIL to their English language learning

and what it had meant as an intercultural and personal experience. Although 32

students participated in the COIL activities, the number of respondents to the

second questionnaire was 27 (18 Spanish students and 9 Ukrainians). The

answers were coded as Sp and Uk and assigned a number indicating the order in

which the response was received. In the next section, the responses to this

questionnaire will be analysed in order to answer the research questions.

5. Results and Discussion

Before answering the research questions, there are some data about the participating

students that need to be highlighted. It was essential to know whether the students

had any experience in participating in COIL activities; the answers to questions 1

and 2 would help predict obstacles and barriers to participating successfully. In the

case of UJI students, 90% acknowledged it was their first COIL experience, and for

56% of them, this was the first time they communicated with someone for whom

English was not their native language. In the case of KNU students, it was

surprising that for all of them it was the first time they had contacted foreigners

with whom they could only speak in English, even though for only 60% of the

students it was their first COIL experience. The explanation is that some students

had participated in previously organised virtual telecollaborations between Turkish

and Ukrainian students who majored in Turkish linguistics. That is why the

language of their communication was mainly Turkish; however, if

miscommunications happened, they applied their knowledge of English.

It was revealing to learn the participants’ preferences for communicating with each

other: they communicated using online video meetings, email or texting on social

networks. Unfortunately, the time chosen for the COIL activities in 2022

coincided with electricity outages throughout the territory of Ukraine, thus raising

the researchers’ concern about the impact of technical obstacles, which could cause

frustration and disappointment with the COIL experience for students. As a

result, the researchers did not insist on synchronous spoken communication.

However, students overcame these difficulties, communicating mainly by email or

texting, with about 50% successfully holding video communication on Zoom,

Meet or WhatsApp (questions 3-6). To meet the requirements of the thask, the

Ukrainian students tried to find cafes, restaurants or offices which had generators

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100

to produce electricity and cope with power cuts. That is why 90% of all participants

had a fluent exchange of messages, in which they shared information and organised

their work, especially the collaborative writing task.

The analysis of the questionnaire data (question 7) revealed similarities and

differences in the topics discussed. For instance, 100% of the Ukrainian students

concentrated their attention on exchanging information and organising

collaborative writing, followed by 89.9% who discussed the task performance and

77% who addressed personal matters (Figure 1). Similarly, 100% of the Spanish

students prioritised the topics on organising collaborative writing, while 88.9%

concentrated on exchanging information and 83.3% addressed attention to task

performance issues, whereas only 66.7% of Spanish students showed interest in

discussing personal matters (Figure 2).

7. What were the messages about?

9 answers

7. What were the messages about?

18 answers

Figure 1. Topics of messages by Ukrainian students

Figure 2. Topics of messages by Spanish students

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101

These findings indicate that participants from both universities recalled having

placed equal importance on the task-related discussion and collaborative writing,

in particular. However, the Ukrainian students reported placing greater emphasis

on information exchange and personal issues than their Spanish counterparts.

This highlights the importance of addressing both professional and interpersonal

aspects to foster collaboration in cultural contexts.

5.1. Students’ Reported Effect of COIL on Language Learning in

Interdisciplinary Settings

Based on the responses to the second questionnaire (Appendix 3), we found that

students evaluated the COIL activities very highly: 78% of students gave the

initiative a score of 5 out of 5 points, and 22% gave it 4 points (questions 8 and 10).

Students claimed that the COIL activities carried out were successful and fruitful,

prompting them to employ previously received knowledge and experience and to

focus on new knowledge gained from reading and listening tasks. The Ukrainian

students learned about the topic of corporate sustainability, which Spanish students

were familiar with, but they were not. On the other hand, Spanish students learned

about academic writing, a skill which was not new for the Ukrainian students.

Therefore, interdisciplinary settings, in our case Business English and Academic

English courses, created a fruitful environment where participants delved into

business approaches and modern concerns to save the planet. The process of

broadening their subject knowledge was not only undertaken through reading

articles, but also through oral communication. The topic of corporate sustainability

provided a context in which to receive and convey ideas in English (questions 9 and

11), according to the views of some Ukrainian students:

I deepened my knowledge in this field, listened to different points of view and

learned something new. [Uk_2]

It was interesting to hear foreign students’ opinions on corporate sustainability.

[Uk_4]

The live classroom discussion motivated students to practise their speaking skills.

Spanish students appreciated their partners’ active participation during the

discussion and valued the wish to sincerely express themselves on the topic, thus

finding whether the points of view coincided, as some of their opinions reflect:

It was interesting to hear the Ukrainian students and their opinions. Thanks to this

discussion, I could learn about their opinion. [Sp_7]+

I saw that many people think like me about corporate sustainability. Also, I saw that

Ukrainian students participated every time, unlike us, and I liked that. [Sp_3]

It was also at this time when participants of COIL could check and practise their

comprehension skills and learn that a different accent is not a barrier to understand

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a speaker if the participants in the conversation can negotiate meaning by asking

questions to check they have understood the message.

While performing COIL activities, participants completed exercises to learn new

vocabulary and discourse and practised its usage by asking and answering

questions in the discussion, which demonstrated the ability to use new vocabulary

and discourse, along with the subject knowledge of the topic of corporate

sustainability. More specifically, students explained in English the meaning of the

term “sustainability” and its growing importance in the modern world. In the

words of a Ukrainian student, the COIL classes equipped them with the

background knowledge on the topic, gave them information about the researchers

who carried out studies, and also further details about the main components of

corporate sustainability:

I have learned that corporate sustainability consists of 3 parts and that Adam Smith’s

economic theory does not require entrepreneurs to make positive social and

environmental impact on the world. [Uk 7]

Students reported that reading the articles, watching the video, and later

participating in the online discussion helped them to develop different language

and cognitive skills (Appendix 3 - question 13). One of the main learning

objectives of COIL was to encourage students to analyse and synthesise the

information from texts and use the knowledge gained in their essays. Thus,

students signified and conveyed in their essays the idea that entrepreneurs are

concerned about corporate responsibility and the implementation of its main

principles to make our world better.

According to the results of the questionnaire (Appendix 3 - questions 11 and 13),

both Spanish and Ukrainian students indicated that they had opportunities to

improve their academic writing skills by practising and using formal vocabulary

easily, as they expressed:

On an academic level, I think it has prepared us for future, because nowadays in

most companies you have to be fluent, and you are going to have to interact with

people from all over the world. [Sp 10]

It has helped me to learn English and have new experiences communicating with

new persons. [Sp_5]

I have applied the essay writing requirements that we received during our English

class. [Uk_3]

The whole topic of corporate sustainability was new to me, so I learned quite a lot

about it and at the same time practiced my academic English. [Uk_6]

Since English was the only language of their communication, students were

provided with a rich opportunity to share their knowledge and develop fact-based

arguments in English:

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103

I have learned to work with people who don’t speak the same language as me. To do

an opinion essay with another person only speaking English. [Sp_8]

As explained by the students, during their online conversations, cross-cultural

pronunciation differences sometimes required some clarifications and at the same

time forced them to rephrase and explain their ideas to avoid misunderstanding.

That is why the communication was natural and effective. What is more, in both

groups there were students who considered themselves introverts and for whom

speaking up in the classroom setting was a common source of tension. For these

subjects participating in COIL was a way of facing these challenges, and they

overcame communicative difficulties (question 13).

It helps us to get loose and it helps us to lose the embarrassment of talking to people

who don’t speak our language. [Sp_12]

Any communications with English speakers give you lots of skills. It is a great

opportunity to get out of comfort zone. [Uk_8]

All in all, students reported having learned about both the language and a relevant

topic for society such as corporate sustainability. They acknowledged the benefits

of collaborative writing and also those of speaking in English as a lingua franca

with other students.

5.2. Additional Student-Reported Benefits of COIL

Students acknowledged that by performing language-learning tasks, their soft

skills, which are of great importance in the modern workplace, had been boosted

(questions 11 and 13 in Appendix 3). In their answers to these questions, both

Spanish and Ukrainian students highlighted an important benefit of COIL: the

opportunity to work as a team, as the task required them to collaborate and

produce an outcome from their joint work — an informed opinion essay. Similarly,

students acknowledged the difficulties they had faced and how they had learned

time management skills, while arranging online meetings with a partner, making

plans and setting deadlines.

Then, some more soft skills they seem to have acquired are adaptability and

problem-solving, as can be gathered from their answers to question 13. Being in

different countries, having time differences and facing problems related to

internet connectivity and electricity, the students quickly adapted their timetables

and coped with the challenges they were faced with:

I learned that even tasks which seem impossible can be completed in time. [Uk_9]

The necessity to activate communication skills helped them to broaden their

knowledge about cultural aspects of both countries, Ukraine and Spain, everyday

lifestyle and the current state of life and business, as they acknowledged in their

answers to question 12.

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Analysing the feedback, we can state that, after finishing COIL activities,

participants of both universities seem to have become more cross-culturally

competent inasmuch as they have learned the characteristics of people in the other

country. Spanish students considered Ukrainian students brave, strong, very

intelligent and hard-working. Spanish students also mentioned that Ukrainians

put much effort to continue their studies in spite of the war in their country, with

the circumstances they must overcome every day and the suffering involved:

I didn’t have any specific ideas about how Ukrainian people were, but now I think

that they are very motivated and hard-working. Feeling this through the experience

was really motivating for me also. [Sp 15]

I think they are having a very bad time, and it is a situation, I would not wish to

anyone. Despite this, they are very predisposed and kind people. In addition, they

are very friendly for the situation in which they find themselves. I don’t think I

would take it so well. [Sp 12]

Then, they noticed that, though Ukrainian students majored in languages, they

could also show some competence to discuss business issues. Likewise, Ukrainian

students defined their Spanish peers as kind, friendly, sociable, open-minded,

easy to work with and they made a positive impression for being punctual and

respectful of deadlines:

Spanish students turned to be very open-minded, sociable, and easy to work with.

After this project I was left with a nice impression of Spanish culture and people. [Uk 5]

As for me, it was very interesting to communicate with Spanish students. During the

online meeting, it was interesting to observe how they communicate, how they

behave, what emotional state they have. [Uk1]

In addition, COIL aroused self-awareness. Students seem to have understood the

importance of appreciating and valuing their everyday life, and that the best way

to receive true information is by engaging with witnesses:

After this experience I realised that they are struggling much more with the Ukrainian

war than of what it is shown on TV. Despite of this, I think that all of them wanted

to work with us and were motivated, so for me it is very appreciated. [Sp 2]

The students’ answers reveal how they have developed intercultural competence

by learning about how their counterparts in the other country behave. All

participants reported in the anonymous questionnaire that they had a positive

and invaluable experience of collaboration with students from another country.

6. Conclusion

This paper studies COIL, an educational approach that connected university

students from two countries to collaborate in asynchronous and synchronous

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formats during four weeks. A final product of the initiative was a collaborative

academic opinion essay conducted by students of the UJI in Spain and KNU in

Ukraine.

The objective of this research was to find out if students perceived that COIL

could make them aware of cross-cultural communication and its advantages for

learning language, content and culture. In order to reach this objective, the study

tried to unveil, on the one hand, students’ attitudes regarding the way COIL can

affect English language learning, especially in interdisciplinary settings, as the

Spanish students belonged to an ESP course, while the Ukrainian students were

studying Linguistics. On the other hand, the research study sought to depict

additional benefits of COIL for global education recognised by students.

The implementation of COIL in these two universities proved that it can be an

extension of classroom learning and teaching in a virtual setting where

collaborative learning and peer guidance prevail. This study enabled active

learning and a constructive process in which the instructors’ influence on task

performance was limited to setting the goals, forming groups and choosing

learning materials, while participants sought ways to perform the task successfully.

Answering the first research question, students reported that the COIL approach

helped them to create multicultural learning environments and to apply English

to support communication in the virtual classroom. Live discussions and having

English as the only language to interact with their partners seem to have

compensated for artificial language learning and created the environment to

build content knowledge and individual accountability in students.

The English language became the bridge to connect students from the two

participating universities, countries and cultures. The relevant COIL activities

seem to confirm their efficacy in times of uncertainty, as in some cases participants

successfully maintained their collaboration asynchronously through texting

despite power outages in Ukraine. Students perceived that performing the tasks

had allowed them to improve their academic oral skills in the discussion sessions

and meetings, their reading skills by reading two scientific articles, and their

writing skills through the collaborative writing of an opinion essay which involved

text structuring, citation and referencing. As noted by the participants through

an anonymous questionnaire, COIL activities seem to have upgraded both their

oral and written English language skills. In addition, these activities were effective

in making them aware of their different English language levels, accents and use

of English, and made them realise the importance of learning in authentic

situations in which English is the only lingua franca for communication. In

addition, for most students, the COIL experience was the first occasion they had

to establish a relationship exclusively through the English language, and they

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gained self-confidence in its use, as previously noted by other researchers (Çiftçi

and Savaş 2018; Nguyen et al. 2024). Moreover, this activity seemed to motivate

students to learn new vocabulary and discourse to be active participants in

discussions and in studying the interdisciplinary content, in this case, corporate

sustainability.

As for the answer to the second research question, the results show that

participants felt they had developed soft skills such as the ability to collaborate.

Collaborative writing made them organise themselves to complete pairwork with

students from a geographically remote setting in order to create a single document,

a very useful skill nowadays. In the business world, organisation and negotiation

are essential and the perceptions gathered from students by means of a post-task

questionnaire showed that COIL could develop these skills. Majoring in different

disciplines (Linguistics and Business), the participants had different types of

subject knowledge and they were required to help and complement each other,

which developed tolerance and respect.

Another valuable outcome of the COIL activities was that they contributed to

developing cross-cultural competence. Students learned about another culture by

meeting students who were almost their same age. They appreciated the

opportunity to meet each other and eventually some of them might continue

their relationship.

Finally, using online tools in a creative way can be motivating for students. Most

of them appreciated the activity of writing an academic essay collaboratively, in

spite of the fact that, especially for the Ukrainian students, due to the war

situation it was not an easy task to keep in contact with the Spanish students and

carry out the activity.

Although sharing war experiences was not one of the aims of the activity, some

students held conversations about it. For Spanish students, it was a way to learn

first-hand from their fellow students what it means to live in the middle of a war

and maybe to avoid conflicts in the future, if ever they are in a position to do so.

For the Ukrainian students, it was a way to share their situation and to raise

awareness of the problems they have. In the case of the Ukrainian students, COIL

acted as a substitute for physical mobility, something that is not possible at the

moment due to ongoing war in the country and economic downturn.

This study shows some limitations. It involved the attitudes and perceptions of

students regarding one COIL activity held in a single subject. In the future, it

would be very interesting to conduct further research in order to compare

students’ perceptions with their actual improvement in English language

competence and in intercultural communication skills. In addition, it would also

be relevant to analyse the effect of a continuous plan of COIL in these courses,

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how effective it could be for language, content and the development of

intercultural communication.

To conclude, as other researchers have done before (Çiftçi and Savaş 2018;

Nguyen et al. 2024), we want to invite other English as a Foreign Language and

English for Specific Purposes instructors to introduce COIL activities in their

courses to allow their students to enjoy an international intercultural experience

using English as a lingua franca. It may be especially relevant and motivating for

those who cannot travel due to their personal circumstances, or restrictions

imposed in times war, as was the case in this research.

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Appendix 1.

Initial Questionnaire: Building Rapport with your Partner

1. Student’s name.

2. What is the name of your university?

3. When was your university founded?

4. What does its name mean?

5. How many students / departments are there at your university?

6. What do you study?

7. Why did you decide to major in Business Administration and Law/Linguistics? What

are the benefits and drawbacks of your specialization?

8. Tell me about some of the courses you are taking. Which is your favorite?

9. How long have you been studying English?

10. Do you prefer to work independently or as part of a team?

11. Have you ever missed a deadline? Why, and what was the outcome?

12. What are your interests and hobbies?

13. Where do you see yourself in 3 years?

14. What are your favorite national holidays?

15. What is your favorite national dish?

16. Any other questions

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Appendix 2.

Guidelines for the Collaborative Writing Task

COLLABORATIVE WRITING TASK: CORPORATE

SUSTAINABILITY

Directions

The following assignment requires you to use information from two sources (see

a list of references below) to discuss concerns that relate to a specific issue. When

paraphrasing or quoting from the sources, cite each source used by referring to

the author’s last name and the year of publication, and page, if you quote. Try to

paraphrase, summarise, or synthesise the ideas of other authors.

Assignment:

Read the selected articles carefully and then write an essay in which you identify

the most important concerns regarding the issue and explain why they are vital.

Your text must draw on information from several sources. In addition, you may

draw on your own experiences, observations, or readings. Be sure to CITE

sources whether you are paraphrasing or directly quoting.

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Appendix 3.

Final Questionnaire. Assessment of Collaborative Work

The anonymous answers to these questions will be used for research purposes and to

improve the international collaborative task you have carried out. Please tick if you agree

that these data are used for research.

I agree

1. Has this been your first communication experience with somebody with whom you

can only speak in English?*

Yes

2. Is this your first academic international telecollaboration experience?*

Yes

3. How did you communicate with your partner?*

Online video meetings

Texting

Other:

4. How many online meetings did you have with your Ukrainian/Spanish partner?*

One

Two

Three

Other:

5. How many email exchanges did you have?*

One

Two

Three

Other:

6. How many texting exchanges?*

One

Two

Three

Other:

7. What were the messages about?*

Exchange of information

Personal matters

Organisation of collaborative writing

Task performance of collaborative writing

Other:

8. How much did you like the discussion held on Corporate Sustainability on the 14th of

November?*

Very little 1 2 3 4 5 Very much

9. Did you learn something new from this Discussion? What?*

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10. How did you like the collaborative writing task on Corporate Sustainability?*

Very little 1 2 3 4 5 Very much

11. What did you learn from this task?*

12. How has your idea about Ukraine and the people who live there changed after this

experience? *

13. Reflect on the whole telecollaboration experience: personally, methodologically,

content knowledge, etc.*

THANK YOU VERY MUCH FOR YOUR ANSWERS

Received: 15/10/2024

Accepted: 4/03/2025

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

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SHADIA ABDEL-RAHMAN TÉLLEZ

Universidad de Oviedo

abdelshadia@uniovi.es

<https://orcid.org/0000-0002-9546-9965>

THE MEDARCHY: MEDICAL DISCIPLINE

AND THE PANOPTICON IN CADUCEUS WILD

LA MEDARQUÍA: DISCIPLINA MÉDICA

Y EL PANÓPTICO EN CADUCEUS WILD

https://doi.org/10.26754/ojs_misc/mj.202510413

Abstract

This article explores the paradoxical nature of biopower when social, political and

economic interests clash with individuality and autonomy. Special emphasis is placed

on the Foucauldian concept of the panopticon to examine the mechanisms of (self-)

surveillance as the most effective instruments of social control. Taking the recent

pandemic as the starting point for critical reflection, this article raises questions about

the purview of biopower through the analysis of the speculative novel Caduceus Wild,

published in 1959 by Ward Moore with Robert Bradford. This analysis first focuses

on the panopticon as the main instrument of discipline to contain the global health

crisis provoked by the coronavirus. Secondly, it examines the particularities of

healthcare dystopias. Finally, it explores the potential of the discourses of biopower to

transform the institutional authority of medicine acting in the name of public health

into an oppressive system of social control by adopting the form of a totalitarian

medical regime, as described in the fictional world imagined by Moore and Bradford.

Keywords: medicine, Panopticon, power, speculative fiction, discipline.

Resumen

El presente artículo explora la naturaleza paradójica del biopoder cuando los

intereses sociales, políticos y económicos entran en conflicto con la individualidad

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y la autonomía. Se presta especial atención al concepto foucaultiano del panóptico

para contemplar los mecanismos de (auto)supervisión como los instrumentos más

efectivos de control social. Tomando la reciente pandemia como punto de partida

para una reflexión crítica, este estudio plantea cuestiones sobre los límites y

jurisdicción del biopoder mediante el análisis de la novela especulativa Caduceus

Wild, publicada en 1959 por Ward Moore junto con Robert Bradford. El presente

análisis se centra, en primer lugar, en el panóptico como el instrumento disciplinario

más importante para atajar la crisis de salud global provocada por el coronavirus.

En segundo lugar, se examinan las particularidades del género de distopía sanitaria.

Finalmente, se explora el potencial de los discursos del biopoder para transformar

la autoridad institucional de la medicina para actuar en nombre de la salud pública

en un sistema opresivo de control social que adopta la forma de un régimen médico

totalitario, como el descrito en el mundo ficticio imaginado por Moore y Bradford.

Palabras clave: medicina, panóptico, poder, ficción especulativa, disciplina.

1. Introduction: Discipline and Illness

Amidst the unprecedented global crisis posed by the COVID-19 pandemic,

governments worldwide took urgent action to protect their citizens and responded

with homogenous security policies, ranging from lockdowns and travel restrictions

to vaccination and testing campaigns (Holst and van de Pas 2023). Yet this

consensus reaction was not purely political, but rather guided by a single voice,

that is, the voice of the “biomedical empire”, as Barbara Katz Rothman puts it

(2021: 2). During this public health catastrophe, medicine reinforced its status as

an institution of power, influencing societal norms and behaviours. The new health

policies, albeit urgent and necessary, cannot be considered neutral or exceptional

protocols. This conflation of medicine and control seems to invoke the Foucauldian

concept of biopower, which extends beyond hospitals to target individual bodies

and the general population (Foucault 1978: 139). As this public health catastrophe

proved, the implementation of biopower is intimately linked to the principle of

panopticism, which sees constant surveillance as a characteristic of modern societies

aiming to incite individual or collective self-discipline. The concept of the

panopticon is not new. Yet in the face of modern health crises, of which COVID-19

is one in a series of such catastrophic diseases that include malaria, Ebola or mpox,

it is necessary to explore the implications of the control and regulation of everyday

life by biopower. This authority exerts control over fundamental aspects of human

life —including birth, fertility and death— and is manifested in various policies and

regulations, like the legalisation of abortion and euthanasia or the implementation

of one-child policies.

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Oscillating between the enforcement of authority and the intention to protect the

citizenry, the ambivalence of biopower has inspired the creation of fictional worlds

where medicine becomes systematic to the point in which it adopts a dystopic

tenor. The nature of the control performed by biopower becomes even more

complicated when we consider literary expressions that provide a critical perspective

to explore the power relationships and factors that regulate societies and individuals.

Representations of biopolitics and the panopticon in speculative and science fiction

include works like Margaret Atwood’s The Handmaid’s Tale (1998) and The Heart

Goes Last (2015), Kazuo Ishiguro’s Never Let Me Go (2005), or Ninni Holmqvist’s

The Unit (2008), among others. However, a lesser known novel that imagines a

world under an explicit medical totalitarianism needs to be considered for critical

examination to understand the relationship between biopower, the panopticon

and health. Although lacking the literary quality of mainstream speculative

literature, Caduceus Wild, first published in 1959, offers a space to investigate the

discipline and normalisation exercised by medicine as an institution of power. This

article therefore aims to establish a correlation between the meaning of medicine in

both our (post-)pandemic reality and the fictional world of Caduceus Wild,

addressing the mechanisms and discourses used by biomedical power to enact

panoptic measures that restrict individuality and freedom. Considering the recent

pandemic as the starting point for critical reflection, this analysis focuses firstly on

the history of the panopticon as the main instrument of biopower; secondly, on the

particularities of the speculative genre of healthcare dystopias and stories about

medical totalitarianism; and finally, on the potential of the discourses of biopower

to transform the institutional authority of medicine acting in the name of public

health into an oppressive form of social control as Moore and Bradford depict in

their novel. This critical analysis of Caduceus Wild aims to explore the onset of

this fictional dystopic world controlled by medical power, paying special attention

to the forces that constitute the panoptic system of control of the public body, as

well as the counterforces that struggle to reclaim the individuality and autonomy

of citizens.

2. Panopticism and Medicine

In Discipline and Punish, Michel Foucault abstracted the substance of the

panopticon devised by Jeremy Bentham and used it as a metaphor of “a mechanism

of power reduced to its ideal form” (1995: 205), that is, the disciplinary authority

that governs modern societies. This utilitarian model was originally designed to

instil a feeling of being under constant surveillance, even if such surveillance does

not actually occur, encouraging self-discipline and self-regulation as a result of the

Shadia Abdel-Rahman Téllez

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internalisation of the mechanisms of external control. Inspired by Bentham’s

work, Foucault adopted the principle of panopticism, which was especially

relevant in the clinical context, explaining that the medical eye inherently has a

ubiquitous power to control individuals: “The medical gaze is a controlling,

dissecting gaze and it is made possible by an institution — the clinic” (Svenaeus

2000: 26-27). The birth of the clinic, in Foucault’s historical archaeology, is

intimately related to the transformation of the medical knowledge and the

prioritisation of the gaze in clinical practice, allowing a new level of control of

individuals and populations favoured by biopower, defined as the “power over

life”, which is articulated around “the anatomo-politics of the human body” and the

“biopolitics of the population” (1978: 139, emphasis in the original). In other

words, biopower demands the “precise control and comprehensive regulations”

of both the individual body and the population (1978: 137). Historically, the

emergence of biopower coincided with “the multiplication —and expansion— of

the human sciences, which are made to serve as the legitimating discourses of this

new form of power” (Cisney and Morar 2015: 4). Biomedical sciences have been

particularly pivotal in the articulation of biopower in the individual and collective

regulations and normalisations.

Irving Kenneth Zola noted the increasing consolidation of modern medicine as an

institution of social control achieved by “‘medicalizing’ much of daily living, by

making medicine and the labels ‘healthy’ and ‘ill’ relevant to an ever increasing

part of human existence” (1976: 210). In this context, Marshall Marinker’s article

“Why Make People Patients?” is relevant to the discussion about medical authority,

revealing the opposition between personhood and patienthood and the implication

that “patients are created by doctors” (1975: 81). The doctor’s ability to create

patients also indicates that diseases are creations of the medical practice, or, as

Foucault states, “fabricated” by medical discourse: “The sign [symptom] […]

assumes shape and value only within the questions posed by medical investigation.

There is nothing, therefore, to prevent it being solicited and almost fabricated by

medical investigation” (2003: 162). In a way, medicine has become a producer of

healthy bodies, enabling individuals to adhere to the social and moral standards of

well-being. As Zola also claims, the institutionalisation of medicine has become an

instrument of transformation of social practices and attitudes: “Medicine has

become an institution of social control and has led to increasing application of the

labels ‘health’ and ‘illness’ to social problems, as well as to widening areas of

everyday life” (1986: 213). The institution of medicine in fact imposes a disciplinary

power over the body:

Sickness is a threat to rationality, for it threatens social life and erodes self-control

[…]. Western medicine is thus directed towards controlling the body, keeping it

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from subsiding into the chaos and disorder threatened by illness and disease.

(Lupton 2012: 24)

In the medical paradigm, the transformation of the ill subject into a patient involves

the creation of the medicalised body, understanding medicalisation as any treatment

or remedy, invasive or not, that entails prescriptive instruction by a health

professional. However, medicalisation has been extended to several practices, even

those that are not even pathological nor a threat to the social order.

By presenting itself as objective, rational and beneficial to the well-being of the

population, the biopower embodied by the institution of medicine reinforces its

own legitimacy. Biopower, in this sense, reflects the Foucauldian concept of

power/knowledge, that is, the dynamic process of mutual legitimation, where

knowledge is not simply used by power but is also the means through which power

is exercised and maintained. According to Cisney and Morar, “No longer does

power emphasize the law as the product of an arbitrary dictate of the sovereign”,

but rather “functions under a different type of rule, one located in the natural

realm, a norm, legitimated by the sciences” (2015: 4, emphasis in the original).

Medicine, in this sense, is regarded as a “repository of truth” (Zola 1976: 210),

for it creates its own body of knowledge in order to justify its intervention in the

way individuals approach their bodies, health and habits. Biopower is normally

implicit and unobtrusive in everyday life, as it operates through norms, practices

and institutions without overtly appearing as a form of control. Yet, during the

COVID-19 health crisis, the biopower enacted by the medical institution

implemented an explicit system of control over individual bodies through

exceptional public health measures based on the surveillance of the general

population.

As Danielle L. Couch, Priscilla Robinson and Paul A. Komesarof argue, the

COVID-19 crisis precipitated the establishment of a disciplinary regime to ensure

compliance with the restrictions by the implementation of new surveillance

methods —namely smartphone apps— to improve “symptom tracking and contact

tracing” (2020: 810), which, together with the law enforcement, aimed to protect

the public order for the sake of public health. These surveillance measures were

quickly internalised by the population, who started to show “self-disciplinary

practices” like “handwashing, the maintenance of physical distance, new ways of

in-person greeting, a sense of revulsion or danger associated with personal contact,

mask-wearing and the protocols and good manners associated with Zoom

meetings, virtual parties, and on-line professional conference”, among many

others (Couch et al. 2020: 812). This power to dictate the response to the global

crisis was reinforced by the new knowledge continually produced by the biomedical

sciences since the outbreak of the pandemic, as the main awareness-raising measure

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among the general population was persistently spreading information about the

particularities of the coronavirus, routes of infection, symptoms, recovery and self-

isolation periods or the sequelae of the disease. The influence of biopower on

individual and public behaviour proved the ubiquity of the gaze and control of

institutions of power, including medicine. For that reason, this situation raises

questions about the limits and extent of biopower not only in the scenario of a

pandemic, but in everyday individual and collective life. Is it possible to imagine a

world where biopower is the main form of power and medicine is the only

institution of social control?

3. The Healthcare Dystopia

No pandemic or global health crisis, regardless of its severity, could ever precipitate

a world governed exclusively by biopower. However, despite the improbability of

this scenario, it is worth exploring the implementation of a disciplinary regime of

social control based on this form of power, where the authority of the medical

institution to act for the common good is regarded as unquestionable and supreme.

In speculative and science fiction, the subgenre of healthcare dystopias opens a

space to question the limits of individual freedom, rights and privacy as the price

for health. As in other dystopic stories, authors pessimistically imagine “the very

worst of social alternatives” as a reflection of the current situation in the

contemporary world (Baccolini and Moylan 2003: 6). Additionally, from a

rhetorical perspective, as Rob McAlear explains, new critical dystopias rely on a

“‘fear appeal’ in an attempt to persuade their readers of the necessity of intervention

in the present to avoid the possible horrors of the future” (2010: 24). Most

dystopias describe a disciplinary society where the body is under constant control

and regulation, like Yevgeny Zamyatin’s We (1924) or Aldous Huxley’s Brave New

World (1932), which reflect “pronatalist and eugenic” concerns related to the

mechanisms of biopower to exert such control in a more explicit or oblique way

(Falcus 2020: 68). Health has been a major theme in dystopian literature, especially

in those stories where health has been used as a means of societal control. Health

dystopias, especially those that describe health dictatorships, provide new

perspectives on the balance between public health and personal freedom. In this

context, the concept of “healthism” —coined by Robert Crawford— gains

importance, as it works “as dominant ideology, contributing to the protection of

the social order from the examination, critique, and restructuring which would

threaten those who benefit from the malaise, misery, and deaths of others” (1980:

369). This healthist scheme has a strong social component, since “like racism or

sexism”, it is based on “the idea that one’s health is a measure of one’s value”

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(Welsh 2022: 12). Although the concept of healthism emphasises individual

responsibility for one’s health, it also encourages blaming individuals whose

choices go against what is considered acceptable healthy behaviours according to

medical and social expectations. From this viewpoint, the idea that subjects are

empowered to decide over their own health is illusory.

Either by blaming individuals for their health-related “choices” or imposing

prescriptive models of health, healthism shows that health can be used as a tool for

social control. Healthism can lose its individualistic nature in situations like the

COVID-19 pandemic, which illustrates how collective health can override individual

choice. This is precisely the premise of Corpus Delicti (2009) by the German writer

Juli Zeh —translated into English as The Method— the story of a totalitarian health

dictatorship called “Methode” established in Germany in an unspecified future. In

this fictional world, every aspect of citizens’ bodily and private life is controlled,

“from the regulation of fitness to the criminalisation of alcohol, caffeine, or tobacco

consumption to the administration of a compulsory dating service based on

immunological compatibility” (Smith-Prei 2012: 110). This novel portrays the

interrelationship between the panopticon, medical authority, healthism and social

control, that is, concepts that have been the object of critical inquiry in the last five

decades. Healthcare dictatorship, albeit uncommon, is not a new topic in dystopian

literature. Even before Foucault’s panopticism, Zola’s medicalisation or Crawford’s

healthism, a speculative novel written in the late 1950s questioned the social control

exerted by medical power over individual bodies.

Written by Ward Moore with Robert Bradford and originally published in four

instalments in The Original Science Fiction Stories magazine in 1959, Caduceus

Wild redefined the concept of “Big Brother” conceived by George Orwell in

Nineteen Eighty-Four (1949) by describing a totalitarian medical regime. Following

the tradition of dystopic fiction that “opens in media res within the nightmarish

society” (Baccolini and Moylan 2003: 5), Caduceus Wild is set in an alienating

world governed by the “medarchy”, described as the ruling of the “sane and

healthful society where the doctor’s prescription was the law” (Moore and Bradford

1959a: 6). The novel follows the story of three rebels, Cyrus (a fifty-year-old

man), Victoria (a twenty-four-year-old woman) and Henry (Victoria’s younger

brother), who consider the medarchy an oppressive system and struggle to escape

the U.S. for England, where falling ill or not conforming to the normative model

of well-being is not a crime. Along their journey these characters face several

obstacles imposed by the medical dictatorship that enforces constant control on

citizens, who must carry their medical records with them at all times to prove their

compliance with health edicts. The novel juxtaposes the law of the caduceus

dictated by the medarchy and this group of “mallies”, or maladjusted, a minority

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committed to overturning this “cradle-to-grave regulation of a person’s life, in the

name of ‘health’” (Moore and Bradford 1959a: 6). Thus, instead of a welfare state,

the world described in Caduceus Wild is a “healthfare” state that prioritises health

and well-being as a central aspect of governance. It is important to note, however,

that the medarchy was not actually a political system:

It [the medarchy] governed, but it was not government. The 86 States of the Pan-

American Union were still sovereign. Legislators still enacted laws; policemen

arrested, courts tried, jailers executed sentences. Only now there was something

above the law, above the government, and aside from it. Laws were laws but medical

regulations were paramount. (Moore and Bradford 1959c: 83)

The medarchy is institutionalised in “the Ama” (a term that goes unexplained in

the novel, but which may stand for the American Medical Association (AMA), an

institution founded in 1847), whose rulings govern not only life and death, but

also more mundane affairs, such as approving marriage licenses or procreation.

It is important to note that Caduceus Wild was revised and re-published as a book

by Moore in 1978. The original story and the novel should be considered two

different texts. As Moore explains in the foreword to the book, given the new

expectations about the future arising in the almost two decades since the publication

of the initial story, “an effort has been made to build the new novel upon the

ideological armature of the original, and to use, wherever possible, material

conceived for the original work” (1978, Author’s Note). Re-written after the

publication of Foucault’s The Birth of the Clinic in 1963, the novel may be

interpreted as a response to the growing interest in exploring the societal concerns

of its era regarding authority, power and the loss of autonomy, which historically

coincided with the proliferation of the civil rights movements in the U.S. In

medical and sociological contexts, Foucault’s archaeological work also opened up

a critical space for new discourses regarding medical knowledge and practice.

Published in 1975, Ivan Illich’s Medical Nemesis examines the limitations and

legitimacy of medical practice, exploring “what happened socially and culturally to

communities when their previous independence in matters of suffering and healing

is transformed to dependence on the medical system” (Downing 2011: 53). The

anti-psychiatry movement also gained prominence during the heyday of American

counterculture in the 1960s for denouncing paternalistic medicine as a

manifestation of patriarchal control, expressed through the medicalisation of non-

medical aspects of life that have social origins or the imposition of psychiatric

treatments against the patient’s will (Gere 2017: 197). It seems that in Moore’s

second novel these fears and anxieties were decisive in recreating his nightmarish

vision of a future ruled by an oppressive medical authority. In terms of the quality

of its social critique, therefore, the novel may be considered more mature than the

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original stories. Yet, although the differences between both texts call for a

comparative study, the purpose of this analysis is to explore the genesis of the

world initially imagined by this author, paying close attention to the agents and

institutions that make up the panoptic system of this healthcare dystopia.

Since the original stories of Caduceus Wild predate the formulation of the concepts

discussed in the first sections of this essay, an asynchronous interpretation will be

presented in order to engage critically with this text, for it can be considered a

fictional precursor to the critical discourses that emerged in the subsequent decades,

proving the prescience of speculative fiction. Therefore, instead of focusing on the

critical and theoretical discourses that may have influenced Caduceus Wild, it is

pertinent to contextualise the interpretation of this novel within the specific

sociopolitical situation in which it was written. The implicit reference to the

American Medical Association reflects the power wielded by the institution during

the 1940s and 1950s to suppress “those who questioned American medicine’s

status quo”, as these decades saw the rise of activism among medical students

defending a nationwide system of government-funded health insurance as well as

demands for training on the socioeconomic dimensions of medical care

(Chowkwanyun 2019: 127). During the period, the AMA was the most influential

institution in national health politics, a situation that is mirrored in the world of

Caduceus Wild. This health dystopia exemplifies the dangers of weaponising health

by paradoxically creating a universal healthcare system in which all citizens become

patients with no power, but the obligation to comply with the prescriptions of the

State, represented in the centralised control of the Ama. This universalisation

involves the homogenisation of the population and the creation of a discriminatory

system that punishes those who do not fit the normative (physical and ideological)

model of health. The dystopian tone of the novel establishes a correlation between

reality and a hypothetical dictatorial future, using fear to warn about the importance

of resistance and change. Unlike Corpus Delicti, which initially presents the

“Methode” in a utopic light as a benevolent dictatorship but is later contested by

the main character driven by an opposing utopian “impulse for corporeal freedom”

(Smith-Prei 2012: 114), the “ideal” society created by the medarchy in Caduceus

Wild is seen as unequivocally oppressive by the main characters. Nonetheless, it is

necessary to emphasise that both dystopic and utopic stories work under the same

principle, as both imagine “a future space within the text in an attempt to negate

the status quo and open critique” (McAlear 2010: 32). The three protagonists of

Caduceus Wild offer a counter-narrative that challenges the status quo of the

contemporary reality of the text, representing the struggle to resist authoritarianism

and reclaim freedom and autonomy. However, as will be seen in the following

section, this confrontation is only discursive, for the main characters do not bring

about change in the society they want to escape.

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4. The Rule of the Caduceus

The medarchy, as the expression of biopower, emerged out of the consolidation of

the sciences, which favoured the transformation of medicine from a “healing art”

into a discipline with unlimited potential:

‘Science’ in upper case, ‘The Age Of’, pulling medicine to its pinnacle. If science

could invent a breechloading rifle to kill a man a mile away, the Science could save

his life. If Science could wipe out whole cities, it established a right to rule those

spared. The doctor could perform a caesarean section and rip MacDuff untimely

from his mother’s womb; didn’t this give him authority to prescribe which wombs

should bear, and whose seed was unfit for procreation? (Moore and Bradford

1959a: 15-16)

Knowledge is the basis of the medarchy, as it served to legitimise the ubiquitous

medical authority. This system thus points to a change in the paradigm of power,

as Cyrus ponders: “A few hundred years ago, all you needed was numbers or muskets.

Now you needed knowledge. Lack of it keeps us under their [the health professionals’]

thumbs. More than that, it makes it ever harder to convince Patients that the Ama

could ever be wrong about anything” (Moore and Bradford 1959a: 13, emphasis in

the original). Under the rule of medicine, knowledge, rather than military force,

becomes critical in shaping power. The control of knowledge therefore conveys

the power to control everything else, for only medicine can determine what is

accepted as truth. A branch of science based on the assumption that valid

knowledge can only be acquired by means of empirical methods, medicine

constructs the reality of disease, which is accepted as the only valid way to regard

human experience, as Michael Bury argues: “Modern medicine’s ‘positive

knowledge’ about disease is merely the product of the power which the medical

profession has to determine what is, and what is not, ‘true’ about disease” (2005:

20). This power/knowledge binomial sustains the myth of the infallibility of

medicine that characterises modern medical culture, as the systems of knowledge

of medicine and its operations of power are co-constructed and mutually

legitimised. Additionally, the monopolisation of knowledge by the medical

establishment reinforces the hierarchical nature of the doctor-patient relationship,

as it is based on the intellectual superiority of the healthcare professional, as Cyrus

suggests: “The philosophy of the Ama has only one: its subjects must be made and

kept physically healthy, intellectually quiet […] and socially adjusted. We are here

now because we’ve rejected those concepts” (Moore and Bradford 1959d: 93).

Paternalism in clinical practice is expressed in the dominance of the doctor

imposing therapeutic intervention over the patient, who is expected to be silent,

passive and compliant, showing blind trust in the doctor’s expertise. This fictional

account manifests the essence of the culture of modern medicine, which circulates

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not only in the hospital, but also in the social discourses of sickness, reinforcing the

superiority of the doctor’s knowledge over the patient’s voice. Yet this dominance

is enacted in acknowledgment of the good intentions of medicine: to cure the

patient and restore health.

The nature of modern medicine reflects the foundation of the medarchy in

Caduceus Wild, where the supremacy of this disciplinary regime was based “on the

acquiescence of the Patients, on acquiescence based on the assumption that the

Ama was purely benevolent — that those who opposed it were hurting themselves”

(Moore and Bradford 1959a: 27). This statement reflects the essence of Marinker’s

intention when investigating why doctors make people patients since, as the author

concluded, ill subjects transform themselves into patients to “establish a healing

relationship with another [the doctor] who articulates society’s willingness and

capability to help” (1975: 84). Yet, a clarification is required here, for, although ill

subjects voluntarily enter the medical paradigm and become patients, they do not

always consent to becoming a passive and depersonalised object of the medical

gaze and surveillance. In this sense, it is important to note that being ill is a mode

of experience, while being a patient is the role assigned in a specific context. In this

sense, the answer to Marinker’s question about “why make people patients?” relies

on the fact that the doctor’s authority and knowledge are elicited by the patient’s

need for help to restore health. In fact, when describing the origins of the

medarchy, Moore and Bradford picture a setting where only medicine could save

humanity in the aftermath of a global disaster:

Most people like to be doctored, to be told what to do and what not to do. Saves

thinking. Like the army used to be. Remember, that’s how the Medarchy happened

in the first place: we begged them to take over when responsibility got too much for

us, with all the radiation sickness and bacteriological warfare. (1959a: 41)

The passivity inherent to patienthood indicates that patients, in some way, are

“expected to give up his or her jurisdiction of the body over to the doctor”, who by

means of their knowledge about diseases make decisions to cure and fix the diseased

body, imposing diets, medication or new habits (Lupton 2012: 24). The priority of

medicine, thus, is to restore health and well-being, two notions that are regarded

strictly in biopsychosocial terms, as “something which could be produced by a fully

developed technology in a perfect society” (Mordacci 1998: 28, emphasis in the

original). In Caduceus Wild medicine is the enabler of that utopian society, as it acts

as a technology aimed at improving health and producing healthy bodies. However,

as the novel reflects, there is ambiguity regarding what constitutes the “good”

pursued by medicine:

only for the good of mankind, of course — only to make people healthier, happier,

longer-lived. If in the process the doctor became an object of veneration […], no

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harm was done; patients recovered more quickly when they had perfect faith in the

physician. So who took fright or even noticed when the kindly, overworked healer

became priest and despot? (Moore and Bradford 1959a: 16)

In the disciplinary regime imposed by the medarchy, personal freedom and the

role of the individual in facing illness is suppressed, proving the risks of reducing

the experience of illness to a purely clinical event. The power of medicine to

control the body is oriented to the production of medicalised bodies that are no

longer perceived as a threat to social stability. Preventive and protective health

behaviours, thus, are promoted by both medicine and society to encourage bodily

control and surveillance. In Caduceus Wild these measures reflect not only the role

of medicine in the conservation of health, but also the social and cultural models

of corporeality, such as the prohibition of “all hair below the eyelashes as

unsanitary”, enforcing “the use of depilatories on the entire body” (Moore and

Bradford 1959a: 30). The duty of the medarchy is to both force and help citizens

accommodate to the norms of this utopian society also by using medicine to

impose social control:

Performing ‘indicated’ hysterectomies, sterilizations, abortions. Adjusting Patients

to a society that may not be to their taste, conditions they might improve, handicaps

they could overcome. Quieting the indignant with psycho-pharmacology and the

outraged with electro-tranquilization. Forcing the dissident to testify against

themselves with parapentathol. Killing those who have ‘outlived their social

usefulness’, or suffer prolonged pain — or perhaps have maladies they are

incompetent to diagnose. (Moore and Bradford 1959a: 37)

It is necessary to note that in this medical regime medical knowledge and power is

restricted, despite the social expectations regarding the biomedical sciences as

infallible and unambiguous. Yet, regardless of the extent of the social control

medicine can exert, even in fiction, this form of power presents structural limits,

for, despite modern medicine’s pursuit of “technical-scientific approach to illness”,

the belief of unending progress and the promise of perfection is only a myth

(Mordacci 1998: 28).

In Caduceus Wild, medicine promises health, but in exchange patients must accept

control by medical rule. However, it is important to note that despite the

dominance of the medical sciences over society, in the medarchy the medical

profession seems to be decentralised, for the actual control of the population is

exercised by different disciplinary agents:

When the doctors took over, it was just because they were needed. But you can’t run

a society with just doctors and nurses and laboratories. You have to have discipline,

if only to keep the Patients in line. Hence the orderlies. But the orderlies were no

good for checking charts, spotting non-cooperative individuals, cranks. So we got

the trained Medical Police. But what could MPs do about mallies who conspired,

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propagandized, actively resisted? Answer: the subcutes. (Moore and Bradford

1959a: 39)

The healthfare state depicted in the novel certainly retains the original connotations

of the panopticon described by Bentham in the context of the penal institution,

where disciplinary officers were responsible for the surveillance and control of

prisoners. Thus, “those who become orderlies, MPs or subcutes — they’d have

been cops or prison guards” (1959a: 38). The “orderlies” were the forces in

charge of maintaining the social order by inspecting and identifying those suspected

of non-compliance with medical laws. The Medical Police were agents identified

by wearing a black pin with a caduceus. The term “subcute” is an acronym of

“Surgical - Bactericidal - Custodial Technicians”, described as “more dangerous

than orderlies”, for they act undercover agents of sorts, as they do not wear

uniforms or pins, as their name suggests —probably referring to the medical term

“subcutaneous”— meaning that they are beneath the surface of the medarchical

system. With these representatives of the medarchy, the panopticon becomes

tangible for the Citizen-Patient. As Cyrus notes, “[n]ot caduceus, but the

ophthalmoscope ought to be the ubiquitous symbol of the medarchy. Sees all, knows

everything, peers into insides. Big Brother, MD” (1959a: 8, emphasis in the original).

The ophthalmoscope, however, does not solely represent the everywhereness of

the clinical gaze, but also knowledge, control and the ability to see hidden truths.

Despite the parallelism with the penal panopticon mentioned above, the medical

panopticon in Caduceus Wild has its own particularities. Unlike the penitentiary

system, the medarchy is depicted as a form of dictatorship where the rights of

patients were restricted, as their only obligation was to get well and remain healthy:

Laws were laws, but the lawbreaker was no longer a criminal, able to hold some

remnant of pride, to pay a debt to society by serving a sentence. Now he was just

another maladjusted individual, protected by no legal presumption of innocence,

but having testimony wrenched from him by a medical examiner whose opinion

carried the ultimate weight with judges and juries, even in the face of old-fashioned

evidence. (Moore and Bradford 1959c: 83)

The aim of the medarchy, thus, is to produce socially useful subjects. This approach

echoes Talcott Parsons’ structural-functionalist model of health developed in the

1950s. According to this model, illness is conceived as a social deviance in which

subjects temporarily adopt the “sick role”, a status that exempts them from social

obligations and expectations regarding normal roles (Williams 2005: 124). The

normative expectations related to the sick role are a form of social control, since

ill subjects are forced to abandon their other roles in order to focus on the goal

of re-establishing health. Following Varul’s ideas, “substituting the multiplicity of

everyday roles, the sick role bridges periods of incapability by establishing a single

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role that enabled conformity within the deviance of illness” (2010: 76). In the

medarchy, the adoption of the patient role, not as negotiated between the

individual and society but as imposed by the medical establishment, ensures that

subjects accommodate to the social expectations and behaviours as a preventive

mechanism to maintain social stability. This necessarily involves the loss of

individuality and autonomy of patients, tipping the scales in favour of public health

over personal freedom. Additionally, in contrast to the sick role, which is only a

transitory status before the restitution of normality, the patient role in Caduceus

Wild is actually the representation of the Parsonian “health role”, which is ongoing,

for the healthy person is expected to be “adhering to a regime and deferring to

competent authority for the definition of that regime” (Frank 1991: 208). From a

contextual perspective, it is also important to remark that Parsons constructed the

notion of the sick role upon the coalescence of the Calvinist and capitalist North

American scheme of thought that emerged at the turn of the 21st century, which

is also tangible in Moore and Bradford’s novel. The characters live in a society

where “youthfulness, activism, and independence” are the most valued attributes

of citizenship (Turner 2001: 261). This model thus conjures an archetype of

normality and health as the foundation of “the world of strength, the positive

(valued) body, performance and production, the non-disabled, and young adults”

(Wendell 1996: 40). Since the world is made bearing in mind an able-bodied,

male, young subject, it can be said that deviations from health are certainly social

constructions. In other words, it is society which produces maladjusted individuals.

In the medarchy this is expressed in the pathologisation of behaviours considered

as deviant. As Dr Tree, defender of the medarchy, explains to Cyrus, the Ama has

the moral obligation to protect collective well-being by controlling and guiding

every aspect of the individual’s life:

You can’t afford to let the sentimentalist keep his deformed child, or grieve

excessively over his poor old mother who ought to have been euthanized years ago,

or worry himself into a breakdown over the possibility of being cuckolded — because

every one of these ‘private’ concerns touches the general welfare somewhere.

Suffering, discontent, maladjustment, can be spread as surely as typhoid or smallpox.

And carriers must be isolated and cured. Or at least have his malady arrested. It’s the

only ultimately humane course. (Moore and Bradford 1959a: 69)

Patients are in a constant state of control, as the main task of the orderlies, subcutes

and MPs is to identify, capture and cure the maladjusted, that is, “those who

refused to adjust themselves to the sane and sanitary regimen of the medarchy”

(Moore and Bradford 1959b: 62). The three main characters, Cyrus, Victoria and

Henry, were part of the subgroup of mallies, who “could do little more than rebel,

and try to convince the majority that the rule of caduceus wild robbed man of all

dignity” (Moore and Bradford 1959b: 62). Yet, apart from the mallies, another

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group named “mercifuls” are also targeted by the medarchy. The mercifuls were

always “on the lookout for suffering people they could ‘help’”, as they believed

that euthanasia was the only way to relieve some patients of their misery, a stance

that they regarded as a way to oppose the Ama, but which in reality only reflected

the acceptance of the actions of the medarchy by only “palliating it, instead of

removing the cause” (Moore and Bradford 1959c: 102). The mercifuls, in a

certain sense, consider that subjects can recover their dignity through death, seen

as a way of escaping the disciplinary medical system. The mallies, in contrast,

aimed to destroy the medarchy by not complying with its rules and prescriptions.

Despite their ideological differences, however, if captured by the forces of order,

both mercifuls and mallies were not jailed but “cured, robbed of their memories

and individualities” (Moore and Bradford 1959a: 6). In this sense, like other forms

of dictatorial regimes, the medarchy, by imposing a normative model of behaviour

and health, has the power to depersonalise citizens:

Angers, passions, ideals, hopes, determinations, fears. All urgency, all the inner

burning, all caring wiped out by an impersonal current carried in an impersonal

electrode manipulated by an impersonal technician employed by a benevolent and

compassionate society. Because you were part of that society, and if you were diseased

the entire body was afflicted. (Moore and Bradford 1959a: 26)

In this dystopic world, to be cured, necessarily involves being stripped of one’s

individuality, something not different from the situation undergone by patients in

modern medical practices. The hierarchical relationship in the clinical setting

provokes the anonymisation, or even the dehumanisation, of the patient, regarded

not as a subject, but rather as a body needing treatment. As authors of the positivist

medical discourse, doctors are able to establish a relationship of power with

patients, which is clearly reflected in the symbolism in the clinical context noted by

Erving Goffman in his essays on the medical practice in mental institutions: “First,

you can certainly tell the players by the uniforms they wear, with varying insignia

(some subtle, like in certain institutions the not wearing of a uniform) distinguishing

the ranks. Patients, on the other hand, are, in all senses of the word, often stripped

of their identity”, which is hidden under a hospital gown (Zola 1986: 214). This

dichotomy between the identifiable roles of the staff and the anonymised status of

patients is mirrored in Caduceus Wild, where the agents of the Ama are recognised

by their uniforms or their pinned caduceus, whose colours indicate their rank. Like

in the reality of modern medical practice, this visual differentiation helps to identify

the agents within the system, fostering a sense of order and hierarchy and

reinforcing the subordination of the patient to medical power.

The medical panopticon in Caduceus Wild also reproduces the religious

connotations of the original panopticon penitentiary. Bentham’s surveillance

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system was based on a “hierarchy of three stages” with “a secular simile of God,

angels and man” (Evans 1971: 22). In the medarchy, the same hierarchical system

is tangible, with medical professionals being considered demigods; the MPs,

subcutes and orderlies as guardians (a title the mercifuls aimed to supplant by

being “compassionate” to patients in suffering); and the patients as mortals

needing guidance and salvation after a global catastrophe. In fact, the medarchy is

grounded in the same principle of Bentham’s ideation of the panopticon, defined

as a “system that provides the basis for a rational order of things in a situation that,

without such careful circumscriptions, was often rendered into a diabolical chaos

by the irrationally disposed passions of men” (Evans 1971: 22). The mallies and

their rebelliousness against the medical establishment, thus, were not considered

“merely subversive — they were virtually blasphemous” (Moore and Bradford

1959a: 14). In the fictional world ruled by the Ama, the medarchy transcends the

system of power to become the object of religious devotion with the foundation of

the “Church of the Caduceus”, a consequence of the idolisation of the medical

profession by patients who “had been enamored of medicine as an ultimate end

and implemented their worship by annoying doctors beyond normal expectation”

(Moore and Bradford 1959a: 25). The transformation of this hierarchical social

and political system into a theological system reflects the internalisation of the

discipline or dogmas of the Ama in a fraction of the population, the self-proclaimed

“Caduceans”. Thus, “[w]ith spiritual strength added to the medarchy’s material

appeals, the healthfare state would be just about invincible” (Moore and Bradford

1959a: 25). The supreme object of worship for this congregation was the spiritual,

immortal and unchanging figure of the “Great Physician”, to whom Caduceans

prayed. This veneration of the medical profession is clearly a projection of the

imprint that religion has left on modern medical culture, for “Great Physician” is,

in fact, a title popularly attributed to Jesus by Christians to praise his role as a

healer of both physical and spiritual sickness. More recently, fictional religious

discourses have been articulated around doctors, who are seen as the only providers

of health and well-being. This sense of devotion is the subject of religious hymns

about the myth of infallibility and unlimited knowledge of the medical practice:

“There is only one way,/ There is only one way/ To be healthy and happy:/ ‘See the

doctor’, we say” (Moore and Bradford 1959a: 48, emphasis in the original); “Rock

the surg’ry prescribed for me/ Heal me like the Great MD;/ Heal my bone and

insides;/ All health in Medicine resides” (Moore and Bradford 1959a: 49, emphasis

in the original). These hymns also served to reinforce the indisputability of the

power of the medarchy: “When the charts are read up yonder, I’ll be there;/ Vaccines,

antitoxins, x-rays everywhere./ When my chart is read up yonder, let the Great

Physician ponder./ I’ll be healthy, I’ll be happy” (Moore and Bradford 1959a: 52,

emphasis in the original). Additionally, these chants aimed to reflect the very

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nature of the disciplinary power of the medical profession, whose actions were

justified by their authority to act in the name of health: “Shots will help me, this I

know,/ Because the doctor tells me so;/ He is wise and kind and strong;/ He will cure

me all life long.// Shots will help me,/ Checks will guard me,/ Pills will cure me —/

Doctor tells me so” (Moore and Bradford 1959a: 65, emphasis in the original).

Caduceus Wild highlights the connection between medicine and religion; even

today the medical profession is believed to be a response to a “calling” like

clergymen’s vocation — or nuns’ vocation in the case of nurses. Considering

doctors as objects of worship, in this sense, may point to a change in the perception

of medical practice, confronting the pragmatic vision of medicine as a purely

mechanical or technical science and the belief that “medical treatment should

entail a nearly mystical bond of healing accompanied by exalted human sentiments”

(Osmond 1980: 555). Yet, in Caduceus Wild, the deification of doctors, the

devotion for their workings and the reverence paid to their tools to heal are not

contradictory or incompatible, as the hymns quoted above express. The idealisation

and idolisation of the medical profession fuelled by the myth of infallibility seems

to be based on the patient’s blind trust or, as this novel suggests, faith in healers.

Contemplating these forms of social control and (self-)discipline that transcend

the clinical space, the three main characters struggle to elude the rule of the

caduceus in a world where the line between healing and control becomes

ambiguous. The ending of the story, however, fails to encourage real social change

in the real world, as the three main characters reclaim their freedom by fleeing the

medarchical system rather than dismantling it. Yet, despite its straightforward plot,

Caduceus Wild encourages readers to question the extent of surveillance necessary

for societal well-being or the cost of enforcing biopower. This story invites readers

to reflect on the balance between authority and individual agency, echoing

Foucault’s timeless theorisations about power dynamics. More importantly, this

work of fiction questions the meaning of the role of the patient, traditionally

regarded as a passive recipient of medical decisions. The determination of the main

characters to reject this system by not trusting medicine blindly points to the

importance of the re-humanisation of medical practice, which should regard

patients as individuals rather than as sites of (social) control.

5. Conclusions: Speculative Realities

Caduceus Wild encourages readers to question the nature of biomedical authority

by imagining a world where medical prescriptions are law. The counter-narrative

presented by the main characters, particularly Cyrus, challenges the

conceptualisation of medicine as a supreme science and the idealisation of the

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medical profession, pointing to the potential dangers of a system governed by an

unruly or wild —as the title of the novel suggests— medical power. As part of the

dystopic genre, this speculative novel relies on the power of fear to encourage

resistance to the status quo. Yet, although this fictional story portrays Moore’s

interpretation of the anxieties that dominated North American society in the late

1950s, the reading of this text in the post-pandemic era reveals that the essence of

those tensions rooted in biopower are ever-present.

In this context, the genre of speculative fiction serves as an instrument to explore

alternative realities where societal norms are subverted by characters who reveal

the injustice and oppression exerted by power structures presented as normalised

and beneficial. As seen in this critical analysis, Moore captures this collision

between utopianism and dystopian resistance, two stances embodied, respectively,

by the defenders of the medarchy as the ideal form of government, and the main

characters who rebel against this system. Readers navigate the world of the

medarchy through the eyes of three mallies who represent the disruption of order

and stability in a society that fears individuality. This novel, in this regard, confirms

the value of the dystopian genre, as the view of the rebellious main characters

counterbalances the utopian reality presented as benign and inoffensive. Dystopia,

as McAlear notes, “prevents Utopia from becoming totalitarian spatially”, for it

creates “the possibility of redescribing any system as fearful” (2010: 37). Caduceus

Wild certainly accomplishes its dystopian purpose, situating a fictional utopian

system in America, where dystopian resistances emerge within a totalitarian regime

that transforms the mallies into marginalised insiders that threaten the dominant

ideology. Despite its lack of popularity and influence in the literary and academic

world, Caduceus Wild ignites a debate about the impact and limits of biopower,

proving that dystopian fictions function as political allegories that forewarn of

darker futures and call for action and agency.

Acknowledgements

This work has been supported by the post-doctoral fellowship programme

“Margarita Salas” for the training of young PhD holders within the framework of

grants for the requalification of the Spanish university system, awarded by the

Ministry of Universities of Spain and financed by the European Union

(NextGenerationEU) to conduct a research stay at the University of Málaga. The

author of this essay also wants to acknowledge her participation in the funded

research project Illness in the Age of Extinction: Anglophone Narratives of Personal

and Planetary Degradation (2000-2020) (Ref. PID2019-109565RB-I00/

AEI/10.13039/501100011033).

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Received: 02/04/2024

Accepted: 20/11/2024

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

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JUAN VARO ZAFRA

Universidad de Granada

juanvaro@ugr.es

<https://orcid.org/0000-0001-6966-2158>

THE MISE EN ABYME IN THE DROWNED WORLD

BY JAMES G. BALLARD

LA MISE EN ABYME EN THE DROWNED WORLD

DE JAMES G. BALLARD

DOI: https://doi.org/10.26754/ojs_misc/mj.202510824

Abstract

At the beginning of the 1960s, the New Wave of British science fiction sought to

revitalise the genre by incorporating more contemporary themes (drugs, sex,

criticism of consumerist society and the media) as well as new narrative and

expressive formulas, with the aim of entering the mainstream. James G. Ballard

was a forerunner of this trend thanks to a series of stories and experimental novels

that embraced the worldviews of surrealism, situationism and nouveau roman.

The mise en abyme, a recurring technique in this new body of work, was

incorporated into the early novels by Ballard, a process which culminated with

The Drowned World, in which the technique became highly complex. This article

examines the three cases of mise en abyme in the novel, beginning with a

theoretical discussion of this literary device, adding a certain Heideggerian

approach related to the image of the world in art. The article then goes on to

analyze in detail the paintings that operate as mises en abyme in the novel,

classifying them and reflecting on their relationship with the work as a whole and

the reader, as well as the significance in the renewing context of science fiction of

the decade.

Keywords: Ballard, mise en abyme, The Drowned World, science fiction.

Juan Varo Zafra

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Resumen

A comienzos de los años sesenta, la New Wave de la ciencia ficción británica

pretendió renovar el género incorporando nuevos temas acordes con la época

(drogas, sexo, crítica a la sociedad de consumo y a los medios de comunicación) y

nuevas fórmulas narrativas y expresivas con el objetivo de incorporarse a la

literatura mainstream. James G. Ballard se situó a la cabeza de este movimiento

con una serie de relatos y novelas experimentales que hacían suyos los postulados

del surrealismo, el situacionismo y el nouveau roman. La mise en abyme, técnica

recurrente en las nuevas narrativas, se incorporó a las primeras novelas ballardianas

y especialmente a The Drowned World, en la que adquirió un alto grado de

complejidad. Este artículo examina los tres casos de mise en abyme de esta novela,

a partir de la discusión teórica sobre esta figura a la que se ha añadido un cierto

enfoque heideggeriano relativo a la imagen del mundo en la obra artística. El

artículo analiza pormenorizadamente las pinturas que operan como mises en

abyme en la novela, las clasifica y reflexiona sobre su relación con el conjunto de la

obra y frente al lector, así como su significación en el contexto renovador de la

ciencia ficción de la década.

Palabras clave: Ballard, mise en abyme, The Drowned World, ciencia ficción.

1. Introduction

In the 1960s, the work of author James G. Ballard not only consolidated him as

a writer of science fiction, but also, along with Michael Moorcock, a leading

figure of the New Wave movement. New Wave writers such as these were

committed to revitalising the genre, mainly through the magazine New Worlds.

Moorcock and Ballard, accompanied by authors such as Brian Aldiss, John

Brunner, Thomas M. Dish, Judith Merril and John Sladek, brought science

fiction into the hedonistic and troubled atmosphere of the sixties, in which

anxieties surrounding the Cold War, the Space Race, consumerism, psychedelic

drugs, pop culture and sexual liberation were recurring themes. They regarded

the era as acutely science-fictional, in which the future had become present,

exciting and terrifying at the same time (Greenland 2012: 180-195).New Wave

writers opted for an experimental style akin to postmodern fiction (McHale

2004: 59-72; Peregrina 2015) in reprising the avant-garde (Huyssen 2011: 10)

and a desire to conflate elite and popular art, formalism and kitsch (Compagnon

1990: 112). In short, the movement espoused some of the hallmarks of the so-

called second postmodernism: i) The affirmation, as values, of catastrophe, as

non-programmed difference and nomadism, as an uncompromising voyage

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135

through all territories, including the past, with no sense of the future; ii) A break

with technological optimism; iii) The critique of the media; and iv) The blending

of popular art with the modern tradition, without temporal, historical or

hierarchical categories (Compagnon 1990: 163-166).

Between 1962 and 1966, Ballard published four novels1 which, on the one hand,

echoed post-war British dystopian and catastrophist sensibilities and, on the

other, laid the foundations of a disturbing and Dionysian literary world of his

own, which would reach its pinnacle in the following decade. First, these novels

acted as an extension and counterpoint to the works of John Wyndham (Oramus

2016) in the context of Cold War paranoia —the natural or cosmic catastrophe as

a transcript of the consequences of a nuclear conflict— and the crumbling of the

British Empire (Hammond 2017: 50, 65, 116; and concerning Western civilisation

in general, Oramus 2015). Second, Ballard’s novels and short fiction of the 1960s

are metaliterary exercises that critically update the genre from the aforementioned

postmodern consciousness (Broderick 1995) that questions the being of the

world, and in which disaster is a rhetorical resource that enables a vision of human

nature with a characteristic ferocity that remains unsettling even today. In this

way, catastrophe allows Ballard’s passive and disoriented characters2 to emerge

from the inauthenticity, in the Heideggerian sense, of everyday life and embrace

an existence marked by solitude, inner exploration and universal entropy as the

axes of the recreation of the world3. Ballard forms what Fredric Jameson has

called “an ideological myth of entropy, in which the historical collapse of the

British empire is projected outwards, in an immense cosmic deceleration of the

universe itself as well as its molecular components” (Jameson 2005: 321).

Strangely, Jameson makes no reference in this analysis to inner space, an essential

concept in Ballard’s work of the time. For what is decisive in the Ballardian

panorama brought about by disaster is not so much the allegorisation of the

frustration of loss of empire as the savage liberation of inner space now fused with

outer reality, opened up by catastrophe, in what amounts to a return to an Adamic

world in which paradise and hell have lost their exclusive meaning. In this very

personal way, Ballard enters the realm of thought which, in the second half of the

twentieth century, makes disaster a dark, anti-Enlightenment epitome of

modernity, where authenticity emerges in the post-catastrophic world, after the

abolition of the past (Huyssen 2011: 53):

Each one of those fantasies represents an arraignment of the finite, an attempt to

dismantle the formal structure of time and space which the universe wraps around us

at the moment we first achieve consciousness […] in the cataclysm story the science

fiction writer joins Company with them [infant and madman], using his imagination

to describe the infinite alternatives to reality which nature itself has proved incapable

of inventing. The celebration of the possibilities of life is at the heart of science

fiction. (Ballard 1997: 209)4

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These differences from the preceding disaster novels were accompanied by a

formal revolution that associated the New Wave with the historical avant-garde

and the narrative techniques of the nouveau roman. According to Brian Aldiss,

the connection between 1960s science fiction and the avant-garde was first forged

when Penguin Books, following the idea of art editor Germano Facetti, launched

a new collection of novels in the genre, using works by Max Ernst, Pablo Picasso,

Roy Lewis, Yves Tanguy and Paul Klee, among others, to illustrate the covers

(Aldiss 1973: 245-246).

Bearing these ideas in mind, in this paper I aim to address one of the most

fruitful aspects of this convergence of sources in James G. Ballard’s disaster

novels: the mise en abyme. In adopting this technique, Ballard seemed to pursue

the following objectives: i) To delve into the previously mentioned assumptions

concerning the projection of the interior space onto fictional reality with surrealist

painting; ii) To provide the story with a metafictional dimension that makes The

Drowned World an acerbic commentary on the genre; and iii) To highlight the

artificial and performative nature of catastrophe as a celebration of vital liberation

that Ballard associates with science fiction. I hope to demonstrate that Ballard

finds in the mise en abyme a subtle way of communicating with the reader by

creating a metalepsis of discourse (Cohn 2012: 105-106) that allows the narrator

to enter the diegetic world and break the illusion of reality (Genette 2004: 27).

However, he does so tacitly by using surrealist paintings and without addressing

the reader directly. Exposing the artificiality of diegesis, the Ballardian mise en

abyme reveals the carnivalesque and liberating nature of catastrophe. In this way,

the author breaks with both the pessimistic inclination of the genre and the

conservative conception of the “cosy catastrophe”, just as Aldiss describes John

Wyndham’s Day of the Triffids (Aldiss 1973: 335).

2. Abyss in the Inner Space: A Theoretical Overview

The extensive body of theory around the mise en abyme reveals the complexity of

the figure and the difficulty of establishing its meaning in a way that clarifies all

the ambiguities attached to the term since Gide’s intuitive description at the end

of the nineteenth century. Gide pointed to a figure by which the subject of the

play was transposed on the scale of the characters, and served as its frame (Snow

2016: 18). Its relation to heraldry allows us to consider the mise en abyme as a kind

of emblem, in the sense that it exposes the deeper meaning and purpose of the

work in iconic form.5 In this way, the mise en abyme creates an instantaneous

symbolic alliance between a passage inserted in the text frame —in the case of

literature, the one which concerns us here— and the whole, in which the passage

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provides the image that allows the reader to reflect on the work. At the same

time, it interrogates the characters as to the reality and circumstances in which

they are located, hence, perhaps, its value in the field of postmodern writing and

its ontological dimension, establishing a link between two universes belonging to

different levels of reality: “Mise-en-abyme, wherever it occurs, disturbs the orderly

hierarchy of ontological levels —worlds within worlds— in effect short-circuiting

the ontological structure, and thus foregrounding it” (McHale 2004: 14).

Contrasting with the heraldic metaphor, in 1977 Lucien Dällenbach proposed

the metaphor of the mirror, defining mise en abyme as “any internal mirror in

which the whole of the story is reflected by simple, repeated or specious

reduplication” (Dällenbach 1991: 49). The mise en abyme, as a reflection, brings

together in condensed form the whole or part of the work, according to a broad

criterion of similarity, with the resulting ontological effects. However, it also

becomes an authorial commentary or note that reveals the work’s theme or some

significant aspect. In this sense, the mise en abyme is, in my opinion, a figure of

thought that forms a hyponoia, or a re-reading of the main text or framework by

the author. Since he is an instance that guarantees the anomalous nature of mise

en abyme concerning the work as a whole. This intentional dimension makes it a

peculiar kind of narrative metalepsis (Genette 1989: 288-289) in that it can be

considered an interference in the diegetic world by the author in the form of an

allegorical commentary addressed to the reader. Thus, if for the characters it can

be an exemplum of their fictional reality (Bal 1978: 120), for author and reader it

is an allegory that, given its specular nature, turns the frame text into another;

because if the mise en abyme is an icon that reveals the immediate meaning of the

work, this, conversely, becomes an allegory that encloses or unfolds the hidden

meaning revealed by the mise en abyme. Jean Ricardou rightly wonders the

following: if mise en abyme reveals certain major aspects of fiction of which it is

part, would not it be so because the plot has been constituted at the referential

level according to its demands? In this case, the mise en abyme would be the matrix,

and the macro-history the mise en périphérie of a micro-discourse (Ricardou 1990:

65). In some cases, the unfolding may offer a counterpoint or contradict the

framing narrative, to the point of establishing an ironic or paradoxical relationship

with it (Ricardou 1990: 83-85) as a form of the specious mise en abyme suggested

by Dällenbach. Snow relates the mise en abyme antithétique to the antimimetic

tendencies of the nouveau roman, a movement to which Ricardou mostly refers in

his examination of the figure (Snow 2016: 49-50).

A particularly fitting case of mise en abyme is produced through an artistic work,

which exists in the empirical world and is inserted into the fictional text. This is

the case of The Drowned World and its metaphorical use of surrealist paintings.

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This is an intermedial phenomenon in which the figure is broken down into a

symbolic ekphrasis that juxtaposes the world of the artwork and the framing

literary work, and the real world of the author and reader. But this symbolic link

elaborates on an anomalous circumstance: an object from the real world also

exists in the fictional world and has in this world, in addition to its own aesthetic

value, the function of reflecting the world of the work and commenting on it in

the empirical world of the author and reader, which brings them back to the

world of the work, which is presented under a new guise. The work of art inserted

into the text operates as a quotation, that is, a statement that, divorced from its

original context, is repeated in the new one, but no longer as a statement but as a

sign (Compagnon 2020: 85), and imposes on it a recognizable symbolic reading

that excludes or defers others. This was the subject of discussion between Bal and

Dällenbach. Bal considered that Dällenbach appealed to an external consciousness

that directed the reading and imposed an interpretation, which would be an

allegory. In Iddo Dickmann’s view, the intent is to avoid the substantialism of

those who are obsessed with this notion and intend to find it everywhere,

subordinating the text to its substances, applying prior categories of similarity

between the reflection and the reflected (Dickmann 2019: 17-18). In my view,

this is an essential feature of the mise en abyme, which elevates it above the

common quotation. Even in the case of a partial mise en abyme affecting a certain

aspect of the story as Tena Morillo (2019: 483) points out, the commentary it

imposes affects the text as a whole. In this case, I find that the metaphors of the

heraldic shield and the mirror give way to a new metaphor: that of the Moebius

strip in which the inner reality of the work is transformed without breaking the

continuity with the outer reality and, on its return, back into it.6

It seems obvious, on the other hand, that the fact that the object operating as a

reflection of fictional reality is presented as an artistic work (Dällenbach 1991:

88) is sustained only because author and reader —not necessarily the characters—

share an idea of artistic representation that goes beyond the ornamental dimension

of the object. An idea of art as an event must be shared for such a specular function

to be possible. In this manner, the aesthetic comprehension of the artistic work

enables it to be transformed into an object of experience and, furthermore, into

an expression of human life. This globalising extension of the image is based, as

Heidegger points out, on the way the thing appears as a system before the

spectator (Heidegger 1998: 63-90). The systematic conception of the image of

the world turns the artistic mise en abyme into an epistemological model insofar

as it conceives of the world in its totality as a reflection. Therefore, if the reader

understands the epistemological value, concerning the work as a whole, of the

artistic piece located in the fictional reality, it is because he understands that

the being of the entity is found in representability (Heidegger 1998: 73), which

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is examined by the inner eye of the subject and compared with the external reality

(Rorty 2001: 50-51). In this sense, I explained above the enunciative nature of

the artistic work. When the reader compares the relation between the reality of the

work and the artistic image that operates as mise en abyme, they do essentially

the same as when they compare the images printed on the retina and the entities

whose models are these images. At the same time, understanding becomes a

mirror and an inner eye; in the same way, the image placed in an abyss unfolds

before the reader into a mirror of the fictitious reality and an eye that examines

and judges it. Now, the aesthetic dimension of the duplicated work of art —the

literary text and the piece inserted in it— adds value to this epistemological

approach insofar as it makes it possible to establish the relationship between both

realities in the iconicity or symbolic value of both representations, based not on

the reliable reflection, but on analogy, contradiction or irony by a systematic

apprehension that justifies the explanation of apparently incompatible things

(Gadamer 2001: 164-165). I argue that it is the symbolic capacity of the object

inserted in the work that allows the process of semantic overload of the reflex to

which Dällenbach alludes, by virtue of which the object functions on two levels:

that of the narrative, where it continues to signify, the same as any other utterance;

and that of the reflex, where it enters as an element of a meta-signification thanks

to which the narrative can take itself as a subject, reflecting the utterance itself,

the enunciation or the code (1991: 57-59).

From the moment that the mise en abyme operates as an instrument linking the

author to the reader, but is totally or partially alien to the characters, who lack the

distance (because they are within the fiction) to understand its nature, it becomes

an ironic parable of sorts, since fiction reveals its frames, and shows its otherness

in the face of unfathomable reality:

As a second sign, in fact, the mise en abyme not only brings out the signifying

intentions of the first (the story that conveys it), but also makes it clear that this

(not) is (but) sign and that it proclaims as such any trope, albeit with a vigour

increased a hundredfold by its size: I am literature; I, and the story that contains me.

(Dällenbach 1991: 74)

The work speaks to the reader, thus breaking its fictional isolation. But it is this

same ironic potential that makes the turn from the epistemological to the

ontological possible by questioning fictional reality through the symbolic erasure

of the work of art which, inserted in fiction, crosses it until it reaches the reader;

and, therefore, that of the world of reference, insofar as it questions, by reproducing

it, the epistemological system of the image of the world in its dual function of eye

and mirror. Yet this is not always the case: sometimes the mise en abyme does not

produce this ontological anxiety in the reader, but rather can operate as an

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instrument that reveals the fictionality of the work, showing its codes and

artifices, thus reinforcing the ontological difference between the empirical world

and the fictional world. Parabasis generates a distance, it does not suppress it. In

these cases, the breaking of the boundary between fiction and the author’s world

has the aforementioned satirical anti-idealistic character that questions the scope

of mimesis (Alter 1975: 3-4, 11).

3. Multiple Reflections of Disaster: The Setting in the

Abyss in The Drowned World

Mise en abyme was incorporated into the rhetorical uses of the New Wave as a

fundamental element of the commitment to style advocated by Moorcock and

Ballard (Greenland 2012: 166), in the search for an entropic text, voluntarily

disorganised, which eluded structural unity by resorting to diverse dialects and

approaching cubism in the representation of a reality formed by the juxtaposition of

multiple planes. The problem was posed as a search for rhetorical strategies to make

this contemporary science-fictional reality plausible. The mise en abyme, with its

disruptive character of narrative continuity, its ontological ambiguity, and,

sometimes, its intermedial nature, became a privileged instrument in the shaping of

a style that allowed the re-reading of the science-fictional tradition to be incorporated,

fusing it with the exploration of new roots in surrealism and psychoanalysis.

In her study on surrealism in the work of James G. Ballard, Jeannette Baxter

(2008) has explained in depth how the British author assimilated the ethos of

surrealism from the Situationism of the 1950s and 1960s. From the former, he

adopted not only the psychoanalytical dimension as a way of exploring inner space,

but also its political aspect, seeking to destabilise and discomfort the reader

through the proclamation of the death of affection and the exhibition of its

Dionysian consequences of sex, violence and annihilation; and, finally, the

recreation of dreamlike landscapes in the post-apocalyptic world of his works,

often expressed through avant-garde techniques such as collage, with the dual

influence of Paolozzi and Burroughs. From Situationism, he took the concept of

derivé, which expressed the constant change in the landscape that harasses the

subject and forces them to interact actively with the environment, transforming it.

These elements enabled him to develop a landscape technique that foregrounded

tormented and allegorical spaces in his apathetic and solipsistic characters. Ballard

constructs variants of works by William Shakespeare, Samuel Taylor Coleridge,

Joseph Conrad and William Golding, which serve as foundations on which to

deploy a vision of space that is problematic in its relationship with time from

which the science-fictional component of these novels is derived. Ballard’s disaster

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novels are representations of the same assumption: global catastrophe. This

generates natural and psychic forces that are as terrible as they are liberating,

affecting the categories of time and space, as well as that of the human being in

the physical realization of his inner space.7

Each of these novels deals with a specific time and focal element:8 The Drowned

World, the past and water; The Drought, the future and sand; The Crystal World,

the present and glass (Wilson 2017: 61). If The Drowned World proposes a natural

involution that returns the world to the Palaeocene, in what is a radical alternative

to the already exhausted theme of time travel in science fiction, The Drought

presents a desert world that is also a journey to a desolate and hellish future;

finally, The Crystal World recreates a world in which the present is eternally

crystallised as a consequence of an ambiguous space disaster.

The Drowned World was published by Penguin in 1965, with a cover reproducing

Yves Tanguy’s Le Palais aux Rochers, which foreshadowed the content of the

work: disaster breaks down the boundaries between the physical and psychic

worlds, generating landscapes that are a projection of the characters’ mental state.

Thus, Chapter 5, “Descent into the Deep Time”, analyses dreams as organic

memories of millions of years (2008: 74), recovered in the regression that affects

the world and human beings:

Just as the distinction between the latent and the manifest of the dream had ceased

to be valid, so had any division between the real and the superreal in the external

world. Phantoms slid imperceptibly from nightmare to reality and back again, the

terrestrial and physic landscapes were now indistinguishable, as they had been

Hiroshima and Auschwitz, Golgota and Gomorrah. (Ballard 2008: 73-74)

The use of surrealist painting as a representative icon for the physical and mental

landscapes of the novel is effected by the double parallelism between exterior and

interior space, on the one hand, and between these landscapes and those of the

bleakest historical catastrophes, which, in turn, refer to the settings of surrealist

painting, on the other. For Jeanette Baxter, The Drowned World is Ballard’s most

pictorial novel, a collage of surrealist images that takes the form of a palimpsest

of visual geographies, among which Europe after the Rain (2008: 17-27) is

decisive. Although Max Ernst’s painting is not quoted in the novel, the

description of London after the waters that had turned it into a lagoon have been

pumped out undoubtedly evokes its landscape. Indeed, the list of painters cited

in the novel includes Delvaux, Ernst and an anonymous painter “of the school of

Tintoretto”. The two surrealist painters appear in Chapter 2, “The Coming of

the Iguanas”: Kerans, the protagonist, discovers in the house of Beatrice Dahl,

a typically Ballardian female character, two paintings by Delvaux and Ernst

hanging opposite each other:

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Over the mantelpiece was a huge painting by the early 20th-century Surrealist,

Delvaux, in which ashen-faced women danced naked to the waits with dandified

skeletons in tuxedos against a spectral bone-like landscape. On another wall one of

Max Ernst’s self-devouring phantasmagoric jungles screamed silently to itself, like

the sump of some insane unconscious. (Ballard 2008: 29)

Baxter claims that Delvaux’s painting is The Worried City of 1941 (2008: 32).

However, although the painting is reminiscent of The Worried City, I believe it is

nothing more than an invented combination of recurring motifs of the Belgian

painter: skeletons, naked women and dreamlike landscapes. Baxter’s painting

does not depict skeletons in formal dress dancing with women but does include

other important elements that Ballard would have mentioned, such as the

presence of an enigmatic figure dressed in black in the center of the composition

and naked men in various poses. Baxter interprets Beatrice Dahl’s painting

following the episode narrated in chapters 10-12 of the novel, to which it

undoubtedly has a mise en abyme relationship. Nevertheless, he follows a reverse

order in his reading: he does not recognise in the events the elements of the

painting but rather completes the description of the painting with those elements.

Consequently, he makes an a fortiori interpretation of the painting by placing not

contemplated elements in it in order to complete the concordance with these

events. Thus, in her reading of Chapter 11, she identifies the character in black in

Delvaux’s real painting with Strangman, the aviator and pirate who imposes

himself on the rest of the characters from his appearance in Chapter 7.9 Strangman

is another Ballardian archetype that Dominika Oramus interprets to be a variant

of Kurtz from Heart of Darkness (Oramus 2015: 196).10 The skeleton in Ballard’s

painting is a reflection of Strangman, but Strangman is not the embodiment of

the character in black in The Worried City. For the painting described by Ballard

is neither The Worried City nor any other painting by Delvaux that I have been

able to identify. It is a picture painted by the Delvaux of this fictional world, not the

real one. The significance of the painting as a mise en abyme is revealed in chapters

11 and 12, entitled “The Ballad of Mistah Bones” and “The Feast of Skulls” in

which Kerans is tortured on Strangman’s orders in a mock-up of Delvaux’s

fictional painting. This is a prospective particularising fictional mise en abyme

(Dällenbach 1991: 76, 78, 120): it anticipates later events as part of an isotopy

resulting from an exercise of condensation and displacement similar to dream

processes (Dällenbach 1991: 75).

The painting, also an unidentifiable work by Max Ernst and which hangs in

Beatrice Dah’s flat, represents the future. Baxter (2008: 34-35) explains that the

painting proleptically foreshadows the end of the novel: the southern jungles to

which Kerans heads at the end and where he will die. Only the landscape survives,

although the imprint of the protagonist’s unconscious, the inner space, will

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remain imprinted on it. It is a generalising mise en abyme that expands the

meaning of the context to a level it would not reach on its own (Dällenbach 1991:

76). Contemplating the painting yields a first level of recognition:

For a few moments, Kerans stared quietly at the dim yellow annulus of Ernst’s sun

glowering through the exotic vegetation, a curious feeling of memory and

recognition signaling through his brain [...] the image of the archaic sun burned

against his mind, illuminating the fleeting shadows that darted fitfully through its

profoundest depths. (Ballard 2008: 29)

This recognition, despite its psychoanalytic formulation, is rooted in the aesthetic

experience of the work of art as an experience.11 But its full meaning is achieved

in the last chapter of the novel, “The Paradises of the Sun”, when Kerans enters

the jungle on his way south. The reader then realises that Ernst’s painting explains

not only the protagonist’s mental confusion but also the landscape resulting from

the catastrophe. The work of art becomes the link between the individual and the

world. Kerans does not recall the painting in this chapter, because his commentary

is not addressed to him, but to the reader. In Heideggerian terms, the mise en

abyme of the painting reflects the totality of the world once the internal and

external dimensions have been placed on equal footing: the reader identifies the

world with its representation.

It is a generalising and metatextual mise en abyme, which broadens the semantic

framework of the work and reveals its code, “since it makes intelligible the way

the story works [...] without copying the text that fits it” (Dällenbach 1991: 120):

it reveals how the novel is an expression of the projection of inner space in a post-

apocalyptic scenery. The painting fulfills the condition of the metatextual mise en

abyme: its elements must be assumed by the text indubitably so that the

reflection can serve as instructions for use, “so that the text can fulfil its task:

to redo, as in a mirror, what its symmetrical reverse did before: to take the work

for what it wishes to be taken for” (122). For this same reason, the painting is also

a transcendental mise en abyme or mise en abyme of the code because it creates it,

finalises it, founds it, unifies it and fixes for it, a priori, the conditions of possibility

(123).12 Ernst’s painting thus meets the conditions set out by Dällenbach (123)

for this figure: i) It does not point to the original metaphysical reality but regards

it as a fiction that, within the text, acts as an origin: the post-apocalyptic physical

landscape is at the origin of the destroyed consciousness of the character with

whom it is confused; ii) This substitutive fiction is always both cause and effect of

the writing that actualises it. Thus, the painting of the sun and jungle points to

the material realization of inner space, which is the feature of catastrophe that

really interests Ballard in his disaster novels; and iii) Metaphor and writing

correspond in such a way that metaphor is the sublimated double of writing: the

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novel behaves as the narratively unfolded mise en abyme, and the latter, in turn, as

the non-narrative concentration of the text. Both depend on how the text

establishes its relation to truth and the concept of mimesis, a condition that is

accredited by Ballard’s relation to surrealism and the nouveau roman and his

move away from realism as a way of renewing the discourse of science fiction.

Ballard believed he found in this procedure a valid formula for representing inner

space in those years of strong surrealist and psychoanalytic influence. Therefore,

in his next novel, The Drought, he repeated the exact same strategy. As in The

Drowned World, in Chapter 2, “Mementoes”, he introduces a painting that will

serve as a transcendental mise en abyme, although on this occasion it is a real

painting, the photograph of which decorates the protagonist’s house, Jours de

lenteur by Yves Tanguy, and of which the following is said: “With its smooth,

pebble-like objects, drained of all associations, suspended on a washed tidal floor,

this painting had helped to free him from the tiresome repetitions of everyday

life. The rounded milky forms were isolated on their ocean bed like the

houseboat on the exposed bank of the river” (Ballard 2012: 24). And, as in The

Drowned World, the last chapter is titled like the painting, Jours de lenteur, in

which the ending is similar: the death of the protagonist in a landscape that is

both the realization of his inner world and the material projection of Tanguy’s

painting.

The third mise en abyme in The Drowned World lacks the transcendental scope of

Ernst’s painting, but is interesting for its complexity of meaning and the

dynamism of its relationship to the fictional reality of chapters 10 to 12 of the

novel. It is the painting The Marriage of Esther and King Xerxes that Strangman

has on his boat. The painting appears in Chapter 10, “Surprise Party”. Strangman

invites Kerans and Beatrice to his ship. The plunderer has carefully prepared a

party in a setting that plays out his desire. Among the treasures he has plundered

is the aforementioned painting:

Its title was The Marriage of Esther and King Xerxes, but the pagan treatment and

the local background of the Venetian lagoon and the Grand Canal palazzos coupled

with the Quinquecento décor and costume, made it seem more like The Marriage of

Neptune and Minerva, no doubt the moral Strangman intended to point out. King

Xerxes, a wily, beak-nosed elderly Doge or Venetian Grand-Admiral, already seemed

completely tamed by his demure, raven-haired Esther, who had a faint but none the

less perceptible likeness to Beatrice. As he cast his eyes over the crowded spread of

the canvas with its hundreds of wedding guests, Kerans suddenly saw another

familiar profile — the face of Strangman among the hard cruel smiles of the Council

of the Ten [...] The marriage ceremony was being celebrated aboard a galleon

moored against the Dogo’s Palace, and its elaborate rococo rigging seemed to

merge into the Steel hawsers and bracing lines of the depot ship. (Ballard 2008: 118)

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Ballard superimposes the biblical and mythological scenes in his fictional

painting, tacitly alluding to the annual festival of the Sensa, which celebrates the

alliance between the Republic of Venice and the sea, describing the galleon in the

painting in terms that unmistakably identify it with the Bucintoro, the Republic’s

gold-covered galley used in that celebration. Ballard’s imagined painting shares

features of Tintoretto’s Esther before Ahasuerus, Tiepolo’s Neptune Offering Gifts

to Venice and Canaletto’s The Bucintoro, as well as various invented motifs.

In this mise en abyme, the characters are aware that the painting reflects them.

Kerans explains the meaning of the painting and Strangman corroborates his

interpretation: Beatrice must pacify the waters, just as Esther must pacify the

Persian emperor and Venice must pacify the sea. However, Beatrice refuses to play

that role (2008: 118), causing The Marriage of Esther and King Xerxes to be

revealed not as a frustrated mise en abyme but as a misinterpreted mise en abyme

by the male characters: the reflection occurs, but it is deceitful. In the first

instance, Beatrice/Minerva/Esther symbolically removes the waters, but it is

all an illusion, not a mise en abyme but a mise en scene by Strangman, with the

careful preparation of the set, the dinner and the surprise effect of the descent

of the waters of the lagoon. For in the trompe l’oeil prepared by Strangman, the

water level drops, not because of Beatrice’s magical presence, but because he

makes the water pump to the astonishment of his guests. The darkness of the

night erases Xerxes/Neptune, the false motifs of the allegory in abyme, from

the painting, leaving Esther/Minerva and the Venetian counselor/Strangman, the

real actors in the drama invented by Strangman, illuminated. Now the mise en

abyme is realised with the true reflection of the actors in the play, or so it seems.

The fading diegetic light of dusk has revealed the true meaning of the painting

with regard to the balance of power of the characters in this chapter: Xerxes/

Neptune, who in the following chapter will be identified with Kerans, is

obscured by his passivity, and Beatrice/Minerva/Esther and Strangman/

Venetian counselor, the real characters in conflict, are illuminated against the

shadowy background of the painting.

In the second instance, the painting will show the reader its deeper meaning. The

title of the following chapter, “The Feast of Skulls”, contains a new reference to

Delvaux. However, it is the fake Venetian painting that takes on new and

unpredictable value as a mise en abyme. If in Chapter 10 Ballard had used the change

of light in the diegetic temporality to highlight the characters in the painting that

interested him at the time (the counselor and Esther, as transcripts of Strangman

and Beatrice), now he recomposes the image, staging the other motif evoked in

the painting: the submission of Neptune. Strangman’s men disguise Kerans as

Neptune and torture him in a carnivalesque procession that parodies the sea

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god’s submission to a city that has been stolen from him: “almost as if he [Kerans]

were an abducted Neptune forced against his will to sanctify those sections of the

drowned city which had been stolen from him by Strangman and reclaimed”

(2008: 140). He is finally left in the sun to die. His resistance instils fear in the

pirates, who see him as an incarnation of the god. This is an intuition that points

to the change experienced by Kerans in the process from apocalyptic catastrophe

to the frustrated but symbolic sacrifice that will liberate the inner space and

redeem him as a new man after the global disaster. After a series of vicissitudes,

Kerans returns to Strangman’s ship and hides behind the painting. The two

realities seem to merge: Strangman’s lieutenant sees him but believes him to be

one of the figures in the painting. From here, he will emerge as a man of action.

Later, in chapter 14, “Grand Slam”, he will flood the city again, as the Neptune

released out of the painting. In this way, the Venetian painting that superimposed

two images, the real one —Esther/Jerxes— and the evoked one —Minerva/

Neptune— is also the bearer of two meanings with respect to the novel-frame:

Neptune’s submission to Minerva/Beatrice, which responds to Strangman’s

mixtification, as betrayed by the evening light; and, ironically, the revenge of

Neptune/Kerans who recovers the city for the waters, while resolving its state

of prostration and passivity by pushing it toward its final decision.

4. Conclusion

The Drowned World contains three different examples of mise en abyme based on

pictorial works either invented or left ambiguous by the author. Each corresponds

to a different type of mise en abyme, that is, the particularising fictional, the

transcendental metatextual and the generalising fictional. In the latter, which

concerns the “painting of the school of Tintoretto”, Ballard incorporates a series

of dynamising elements that develop the iconic relationship between painting and

fictional reality. The images unfold in a series of deformed reflections that in their

multiplicity fragment the narrative, breaking down the invisible wall between the

artistic work and the world that frames it. Regarding the particularising fictional,

the painting represents a biblical scene but evokes a mythological one, which is,

in turn, a symbol of a Venetian festival. This multiplication of meaning affects the

characters represented in it, favoring an initial interpretation that is not the one

that will later be shown to the reader: the association of Beatrice with Esther and

Minerva; and the waters of the lagoon that have flooded London with those of

Venice. However, the diegetic light illuminates a relevant aspect: Strangman’s

intervention, which is a crossover between fictional (the painting) and real

elements in the fictional world (the evening light). This commentary is beyond

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the comprehension of the characters. Secondly, the mise en abyme of the painting

breaks the boundary with the real world of the novel, with a character, Kerans,

who seems to enter and leave the painting, assuming the physical incarnation of

Neptune, a figure evoked but not represented in it. Ballard aims to show a

fictional world that folds in on itself, with few links to the empirical world: the

pictures are fictional and their operability in the fictional world comes at the

expense of their relationship with the world of reference. Finally, this structure

must be seen in the context of the revival of science fiction in the 1960s and the

acceptance of generalised instruments by the nouveau roman, in an effort to

endow the genre with a literary status of high literature.

Notes

1. The Wind of Nowhere (1962),

The Drowned World (1962), The Drought

(1964) and The Crystal World (1966). During

this period he also published the following

collections of short stories: The Voices of Time

(1962), Passport to Eternity (1963), The

Terminal Beach (1964) and The Impossible

Man (1966), as well as articles and reviews in

various publications.

2. Brian Aldiss has pointed out

how Ballard broke with both the heroes of the

pulp and adventure novels in the vein of

Joseph Conrad by opting for protagonists

without initiative or hope (Aldiss 1976: 42-44).

3. Thus we read the end of The

Drowned World: “So he left the lagoon and

entered the jungle again, within a few days was

completely lost, following the lagoons

southward through the increasing rain and

heat, attacked by alligators and giant bats, a

second Adam searching for the forgotten

paradises of the reborn sun” (Ballard 2008: 175).

4. The text is from the 1977 article

“Cataclysms and Dooms”.

5. I concur with Mieke Bal’s

description of the mise en abyme as a kind of

icon insofar as it appears as a discrete whole

within the work in which it is inserted and to

which it points, constituting an interruption or

a temporary change in the discourse (Bal

1978: 124).

6. In a similar vein, Dickmann

speaks of Klein’s bottle to refer to the

mutability of narrative levels of mise en

abyme (Dickmann 2019: 33).

7. This is how he puts it in the first

chapter of The Drowned World: “Sometimes

he wondered what zone of transit he himself

was entering, certain that his own withdrawal

was symptomatic not of a dormant

schizophrenia, but of a careful preparation for

a radically new environment, with its own

internal landscape and logic, where old

categories of thought would merely be an

encumbrance” (Ballard 2008: 14).

8. I leave aside the early and not

very satisfactory The Wind of Nowhere.

Ballard would later disown it.

9. However, it is clear that

Strangman, who always wears white, neither

fits the character in The Worried City, nor is he

a skeleton, as Ballard describes him and as he

is metaphorically referred to in Chapter 11

(“Mistah Bones”).

10. Surprisingly, Ballard stated in

an interview with James Goddard and David

Pringle that at the time of writing The

Drowned World he had not yet read Conrad

(Goddard and Pringle 1976: 16). On the other

hand, the character of the aviator is a constant

in Ballard’s work, always representing a

powerful and enigmatic presence that attracts

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and disturbs the protagonist (this is the case

in The Atrocity Exhibition, and in the stories

“News from the Sun”, “One afternoon at Utah

Beach” and “Low-Flyng Aircraft”), an unfolded

alter ego that from the late 1970s onwards

often merges with the protagonist (see The

Unlimited Dream Company and the stories

“Notes toward a mental breakdown”, “Myths

of the Near Future”, “Memories of the Space

Age”, “The object of the attack” and “The Man

who walked on the Moon”).

11. The work of James G. Ballard is

rooted in psychoanalysis. Critics have

explained the meaning of catastrophe through

a Jungian lens in their first novels: “The

Modern division of the conscious and

unconscious is explicitly seen in terms of

catastrophe, for a suppression of the

unconscious means its return in distorted

forms” (Luckhurst, 1997: 52). Regarding The

Drowned World, the author would confess in a

1971 interview: “I wanted to look at our racial

memory, our whole biological inheritance, the

fact that we’re all several hundred million

years old, as old as the biological kingdoms in

our spines, in our brains, in our cellular

structure”. It is interesting to note that this

confidence in the memory of the species is

also present in other New Wave novels, such

as Hothouse (1962) by Brian Aldiss. On the

other hand, it is true that Ballard resorts to

what he calls “intertextual landscapes” to

reinforce the meaning of the characters’

actions by exploring the psychological

meaning of their geographies (Luckhurst,

1997: 54). Now, in the case of the works of art

that articulate the mise en abyme in these

novels, this procedure is only possible due to

the particular consideration of the work of art

as an aesthetic experience. For a broader

discussion of Jung’s theories in The Drowned

World, see Francis (2011: 68-77).

12. Mieke Bal notes that this

category is a variant of the fictional mise en

abyme: since the object, the origin, and the

end of the text and its writing are located

outside the text, this object can only be

fictionalised, that is, replaced by a diegesis

that symbolises it. This fictionalisation

maintains a circular relationship with the

object of the fictional mise en abyme (Bal

1978: 122). Ballard maintains this relationship

between the painting and the conclusion of

the novel: painting and landscapes

correspond. However, the explanation of this

correspondence is only partially exposed; and

it is surely necessary to know Ballard’s texts

on inner space and its relation to surrealist

painting in order to grasp the full meaning of

the figure.

The myse en abyme in The Drowned World by James G. Ballard

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ALDISS, Brian W. 1976. “The Wounded Land: J.G. Ballard”. In Goddard, James and David Pringle

(eds.) J.G. Ballard. The First Twenty Years. Brad’s Head Books: 38-48.

ALTER, Robert. 1975. Partial Magic. The Novel as a Self-Conscious Genre. University of California

Press.

BAL, Mieke. 1978. “Mise en abyme et iconicité”. Littérature 29: 116-128.

BALLARD, James G. 1997. A User’s Guide to the Millennium. Essays and Reviews. Harper Collins.

BALLARD, James G. 2008. The Drowned World. Fourth Estate.

BALLARD, James G. 2012. The Drought. Liveright.

BAxTER, Jeannette. 2008. J.G. Ballard’s Surrealist Imagination. Ashgate.

BRODERICK, Damien. 1995. Reading, by Starlight. Postmodern Science Fiction. Routledge.

COHN, Dorrit. 2012. “Metalepsis and Mise en Abyme”. Narrative 20 (1): 105-114.

COMPAGNON, Antoine. 1990. Les cinq paradoxes de la modernité. Seuil.

COMPAGNON, Antoine. 2020. La segunda mano, o el trabajo de la cita. Acantilado.

DäLLENBACH, Lucien. 1991. El relato especular. Visor.

DICKMANN, Iddo. 2019. The Little Crystaline Seed. The Ontological Significance of Mise en Abyme

in Post-Heideggerian Thought. State University of New York.

FRANCIS, Samuel. 2011. The Psychological Fictions of J.G. Ballard. Continuum.

GADAMER, Hans G. 2001. El giro hermenéutico. Cátedra.

GENETTE, Gérard. 1989. Figuras III. Lumen.

GENETTE, Gérard. 2004. Metalepsis. De la figura a la ficción. Fondo de Cultura Económica.

GODDARD, James and David PRINGLE. (eds.) 1976. J.G. Ballard. The First Twenty Years. Brad’s Head

Books.

GREENLAND, Colin. 2012. The Entropy Exhibition. Routledge.

HAMMOND, Andrew. 2017. Cold War Stories. British Dystopian Fiction, 1945-1990. Palgrave

Macmilllan.

HEIDEGGER, Martin. 1998. La época de la imagen del mundo. In Caminos de bosque. Alianza: 63-90.

HUYSSEN, Andreas. 2011. Modernismo después de la Posmodernidad. Gedisa.

JAMESON, Fredric. 2005. Arqueologías del futuro. El deseo llamado utopía y otras aproximaciones

de ciencia ficción. Akal.

LUCKHURST, Roger. 1997. “The Angle Between Two Walls”. The Fiction of J.G. Ballard. St. Martin’s

Press.

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MCHALE, Brian. 2004. Postmodernist Fiction. Routledge.

ORAMUS, Dominika. 2015. Grave New World. The Decline of The West in the Fiction of J.G. Ballard.

The Terminal Press.

ORAMUS, Dominika. 2016. “J.G. Ballard, John Wyndham and the English Disaster Story Tradition”.

In McGrath, Rick (ed.) Deep Ends. The J.G. Ballard Anthology 2016. Terminal Press: 52-67.

PEREGRINA, Mikel. 2015. “La ciencia ficción y la narrativa posmoderna: hacia la convergencia”.

Alambique. Revista académica de ciencia ficción y fantasía / Jornal acadêmico de ficção

científica e fantasia 3 (1). Article 2. <http://dx.doi.org/10.5038/2167-6577.3.1.2>.

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IntoTheAbyss.pdf>.

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intertextualidad. Aproximación a una tipología”. Actio Nova: Revista de Teoría de la Literatura y

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Received: 16/05/2024

Accepted: 28/11/2024

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

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CARLOS DAVID VÁZQUEZ PÉREZ

Universitat de València

carvazpe@alumni.uv.es

<https://orcid.org/0009-0005-3505-517X>

HACIA LA CUBANIDAD A TRAVÉS

DE LA SANTERÍA: INFLUENCIA DE LA NOSTALGIA

COMO INSTRUMENTO MERCANTILIZADO

EN LA PROTAGONISTA DE LA NOVELA

SOÑAR EN CUBANO (1992)

TOWARDS CUBANNESS THROUGH SANTERIA:

THE INFLUENCE OF NOSTALGIA AS A MARKETED

TOOL IN THE PROTAGONIST OF THE NOVEL

DREAMING IN CUBAN (1992)

DOI: https://doi.org/10.26754/ojs_misc/mj.202510510

Resumen

Maya Socolovsky afirma que “la nación cubana en las novelas de García es un

asunto altamente individualizado y personal” (Socolovsky 2013: 133, traducción

mía).1 Este estudio, sirviéndose de la descripción de nostalgia como método para

“desarrollar, sostener y recrear la identidad de las personas” (Sierra y McQuitty

2007: 100, traducción mía),2 entiende la santería como una práctica nostálgica,

capaz de habilitar el reclamo de la identidad nacional (cubanidad). En este artículo

se analiza un extracto de la novela de Cristina García, Soñar en Cubano (1992),

centrándose en el uso de esta práctica como vehículo para que la protagonista,

Pilar, genere una conexión tangible con su identidad y tradiciones cubanas,

incluso a pesar del desarraigo físico que siente hacia su tierra natal. Finalmente, se

pretende demostrar que, a través del poder transformador de los rituales y

creencias de esta religión sincrética, Pilar reconecta con su identidad nacional y

étnica, y, asimismo, con sus sentimientos de arraigo, que había intentado ignorar

durante todos sus años como inmigrante latina en los Estados Unidos.

Palabras clave: literatura cubano-americana, ficción, nostalgia, santería, Cristina

García.

Carlos David Vázquez Pérez

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Abstract

Maya Socolovsky asserts that “the Cuban nation in García’s novels is a highly

individualized and personal matter” (Socolovsky 2013: 133). This study, drawing

on the description of nostalgia as a method “used to develop, sustain, and recreate

individuals’ identities” (Sierra and McQuitty 2007: 100), conceptualizes Santeria

as a nostalgic practice that enables the assertion of national identity (Cubanness).

This literary analysis of an excerpt from Cristina García’s novel Dreaming in

Cuban (1992) delves into Santeria’s role as a conduit for the protagonist Pilar to

forge a tangible connection with her Cuban identity and traditions, even amidst

her physical displacement from her homeland. Ultimately, this article attempts to

demonstrate that, through the transformative power of the rituals and beliefs of

this syncretic religion, Pilar rediscovers a deep feeling of rootedness towards her

national and ethnic identity, a feeling that had previously evaded her during all

her years as a Latina immigrant in the United States.

Keywords: Cuban American literature, fiction, nostalgia, Santeria, Cristina García.

Every day Cuba fades a little more inside me, my

grandmother fades a little more inside me. And there’s

only my imagination where our history should be.

Cristina García, Dreaming in Cuban

I certainly would have taken a moment to look out from the

Malecón, to measure the emptiness from the rough shore to the

horizon. I would have wanted the time to consider how many

darkening butterfly lilies, how many revolutionary triumphs

and drowned balseros it would take to fill the gap.

Achy Obejas, Days of Awe

1. Introducción: La huella nostálgica en la mayor de las

Antillas y su impacto en la comunidad cubano-americana

La nostalgia siempre ha sido parte integral de la identidad cubana, un hilo que

entreteje su historia desde que Cristóbal Colón pisara por primera vez la isla,

declarándola “la tierra más hermosa que ojos humanos jamás hayan visto” (Colón

1959: 414). La novela de Cristina García Soñar en Cubano (1992), considerada

por Philip Herter del Tampa Bay Times como “la historia definitiva de los exiliados

cubanos” (Herter 1992, traducción mía),3 retrata a Doña Inés de Bobadilla,

primera gobernadora de Cuba, mirando perpetuamente hacia el mar con la mirada

fija en el horizonte y esperando el regreso de su marido, Hernando de Soto, quien

se había aventurado a conquistar Florida, para no volver jamás. El inicio de la

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Revolución, el uno de enero de 1959, marcó el comienzo de un éxodo masivo de

cubanos. Éxodo que ha sido un catalizador fundamental para el canon literario

cubano-americano, como lo afirmó Alfred López: “hay literaturas cubano-

americanas porque hay cubano-americanos” (1996: 203, traducción mía).4 Según

Ada Ferrer, “en la Cuba revolucionaria, la posibilidad de irse —o quedarse atrás—

se convirtió en parte de la vida cotidiana” (2021: 401, traducción mía).5

Para los innumerables cubanos que salieron de la isla tras el triunfo de la

Revolución en 1959, el término ‘nostalgia’, acuñado por un médico del siglo

XVII que combinó las raíces griegas ‘nostos’ (regreso a casa) y ‘algia’ (dolor) para

describir las formas extremas de añoranza que exhibían los mercenarios en servicio

lejos de su hogar (Kandiyoti 2006: 82), adquirió una connotación distintiva.

Siguiendo a John J. Su, un creciente número de críticos y académicos del ámbito

cultural argumentan que la nostalgia es uno de los rasgos definitorios de la era de

posguerra (Su 2005: 3) a nivel global. Svetlana Boym explora las complejidades

de la nostalgia en The Future of Nostalgia (2001), y sugiere que el auge de la

nostalgia en la política y la cultura desde la década de 1960 refleja no solo un

anhelo por el pasado, sino también un impulso utópico. Su observación de que el

siglo XX comenzó con una utopía futurista y terminó con nostalgia (Boym 2001:

12) refleja acertadamente la experiencia cubana durante la segunda mitad del siglo.

La definición de nostalgia que se sigue en este artículo fue acuñada por Sierra y

McQuitty en 2007. La definen como “un anhelo del pasado, o un cariño por

posesiones y actividades tangibles o intangibles vinculadas con el pasado” (Sierra

y McQuitty 2007: 99, traducción mía).6 Esta definición permite que “no solo

productos tangibles, sino también actividades” (Ray & Mccain 2012: 978,

traducción mía)7 “señalen y refuercen la identidad personal de los consumidores”

(Sierra y McQuitty 2007: 99, traducción mía).8 En los últimos años ha ganado

popularidad entre los académicos la corriente de pensamiento que sostiene que la

compra de bienes materiales o la participación en prácticas culturales sociales

pueden generar un cierto sentido de pertenencia a una identidad. Ya en el año

2000, Marilyn Halter sugirió que los consumidores buscaban conectar con sus

identidades raciales o étnicas a través del consumo de productos. Este fenómeno

fue clasificado por Arjun Appadurai como una especie de manufacturación del

pasado. Además, bell hooks argumenta que esta nostalgia convertida en mercancía

es una forma por la cual las comunidades marginadas se protegen de la cultura

blanca dominante (hooks 2014: 21). El panorama social contemporáneo revela

que esta teoría ha trascendido el ámbito del discurso teórico y se ha materializado

en una realidad tangible.

Una prueba de esto es el estudio sociológico de Nina M. Ray y Gary McCain de

2012, titulado “Personal Identity and Nostalgia for the Distant Land of Past:

Carlos David Vázquez Pérez

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Legacy Tourism”, el cual demostró que la ‘identidad personal’ es la razón principal

por la que los consumidores participan en la genealogía y el turismo de legado

(Ray y McCain 2012: 977). Se encuentra evidencia adicional de este fenómeno en

el libro Beyond the Synagogue: Jewish Nostalgia as Religious Practice (2021),

donde, centrándose en el contexto judío, Rachel B. Gross postula que actividades

como comprar un sándwich de pastrami, embarcarse en una búsqueda genealógica

o sumergirse en las exhibiciones del Museo en Eldridge Street están inspiradas en

la nostalgia judía, y, a su vez, la alimentan. Esta nostalgia, según argumenta

Gross, ha servido durante mucho tiempo como una práctica religiosa para las

comunidades judías en Estados Unidos. De acuerdo con la autora, “muchos

judíos estadounidenses están comunicando cada vez más valores e ideas judías a

sus hijos al interactuar con los productos de museos, tiendas de regalos,

restaurantes, editoriales, fabricantes de juguetes, organizaciones filantrópicas y

otras instituciones aparentemente seculares” (Gross 2021: 6, traducción mía).9

En conjunto, coincidiendo con las ideas de los académicos mencionados

anteriormente, este artículo sostiene que “la nostalgia se utiliza para desarrollar,

sostener y recrear la identidad de las personas” (Sierra y McQuitty 2007: 100,

traducción mía).10 En el contexto de este marco teórico surge entonces la siguiente

pregunta: ¿Participan también los cubano-americanos en estas prácticas como

una forma de reafirmar su identidad cubana? Este artículo trata de explorar,

sirviéndose de la interacción del personaje de Pilar con la práctica religiosa

conocida como ‘Regla de Osha-Ifá’, cómo los personajes cubano-americanos

utilizan prácticas nostálgicas para construir una identidad conectada a su tierra

natal, tal y como se ejemplifica en la novela Soñar en Cubano de Cristina García.

De esta manera, este estudio se posiciona como uno de los pocos en su tipo en

analizar y relacionar la Regla de Osha-Ifá como una práctica perteneciente al

espectro de actividades nostálgicas utilizadas entre la diáspora cubana en Estados

Unidos como viaducto para desarrollar cierto nivel de identidad nacional.

Se busca determinar si esta práctica conduce a un desarrollo de la identidad

nacional entre los individuos que la practican (en este caso mediante el personaje

de Pilar). Esta investigación reviste de un importante interés social, cultural y

literario, ya que aporta conocimientos sobre la evolución de la relación de los

cubano-americanos con su tierra natal y sobre su representación en la literatura.

Además, los hallazgos podrían brindar luces a la hora de intentar comprender o

predecir la evolución de otras comunidades diaspóricas. Este análisis literario de

un fragmento específico de la novela Soñar en Cubano (1992) de Cristina García

pretende demostrar que los cubano-americanos han practicado, y practican

consistentemente, la Regla de Osha-Ifá como elemento nostálgico, con intención

de fortalecer su sentido de cubanidad. Por cubanidad entendemos “la conciencia

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de ser cubano y la voluntad de querer serlo” (Ortiz 1940: 166). Para fundamentar

esta afirmación se proporcionará evidencia, profundizando, a través del personaje

de Pilar, en la práctica de esta religión como medio para explorar la identidad

nacional.

2. Breve introducción al contexto de la autora y de la

novela

Nacida en La Habana el 4 de julio de 1958, la vida de Cristina García dio un giro

total a la corta edad de dos años cuando emigró a los Estados Unidos junto a sus

padres. Sumergiéndose en la diversidad de Queens (Nueva York), García comenzó

una trayectoria académica que culminó en una licenciatura en Ciencias Políticas

en el Barnard College en 1979. Dos años más tarde, amplió su formación

académica, obteniendo una Maestría en Relaciones Internacionales en la Escuela

de Estudios Internacionales Avanzados de la Universidad Johns Hopkins. Entre

sus obras más destacadas se encuentran sus tres primeras novelas: Dreaming in

Cuban de 1992 —una obra que, junto con la ganadora del Pulitzer de 1990, The

Mambo Kings Play Songs of Love, podría decirse que inauguró el canon literario

cubano-americano—, The Agüero Sisters de 1997 y Monkey Hunting de 2003. Su

último trabajo, Vanishing Maps, fue publicado en 2023. Su obra ha sido traducida

a más de 15 idiomas y su primera novela, Dreaming in Cuban, fue finalista del

National Book Award.

Soñar en Cubano forma un rico tapiz narrativo que entrelaza las vidas de tres

generaciones de mujeres de la familia del Pino. La estructura narrativa de la novela

se desvía de una progresión lineal y cronológica, empleando en su lugar un

movimiento fluido a través del tiempo, que nos va ofreciendo fragmentos de las

distintas etapas de la vida de los personajes. Mediante el uso de múltiples

perspectivas, el lector obtiene un acceso íntimo a los pensamientos y emociones

de los diversos miembros de la familia, y de aquellos estrechamente conectados a

ellos, como Herminia. A través de las diferentes experiencias de los personajes, la

novela nos muestra un retrato vívido de la tumultuosa historia de Cuba, junto con

las complejidades que vive la diáspora cubana en los Estados Unidos.

La novela comienza con Celia del Pino vigilando la costa de Cuba en espera de

una posible invasión estadounidense. Antes de casarse con Jorge del Pino, quien

está sometiéndose a un tratamiento para el cáncer, en Nueva York; y de tener a sus

dos hijas, Lourdes y Felicia, y a su hijo, Javier, Celia tuvo una relación romántica

con un revolucionario español llamado Gustavo, a quien escribe cartas (que nunca

envía) durante 25 años, detallando los momentos más cruciales de su vida. Es a

través de estas cartas que los lectores se familiarizan íntimamente con su historia.

Carlos David Vázquez Pérez

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Después de completar su habitual patrullaje costero (Celia es una ferviente

comunista), su hija Felicia llega para darle la noticia de que Lourdes ha llamado

desde Estados Unidos anunciando que Jorge ha fallecido. Para aliviar el dolor de

Felicia por la muerte de su padre, su amiga Herminia la insta a visitar a una santera

con la intención de que pueda hacer las paces con su fallecido padre. Felicia acepta

con la condición de que no haya sacrificio de animales, pero cuando llegan, un

santero sacrifica una cabra para Elegguá, y Felicia se desmaya.

Al otro lado del estrecho, la hija mayor de Celia, Lourdes Puente, vive con su

marido Rufino y su hija Pilar en la ciudad de Nueva York. Aunque Lourdes se ha

establecido como una próspera empresaria en los Estados Unidos, dirigiendo una

exitosa panadería, las cicatrices psicológicas de sus duras vivencias en Cuba

perduran, especialmente su experiencia como víctima de violación a manos del

soldado encargado de la expropiación de la finca de la familia de Rufino. Como

relata García, en marcado contraste con las firmes convicciones comunistas de su

madre Celia, Lourdes pronuncia la palabra “comunistas” de la misma manera que

algunas personas dicen “cáncer”, “lenta y rabiosamente” (García 1994: 45).

Lourdes alberga una relación compleja y difícil con su hija Pilar, quien aparece

como una adolescente artística, de espíritu punk. A pesar de haber vivido en

Brooklyn la mayor parte de su vida, Pilar dice no sentir “que aquello fuera mi

patria. Tampoco estoy muy segura de que Cuba lo sea, pero quisiera averiguarlo”

(1994: 87). Es este sentimiento, la necesidad de descubrir a dónde pertenece, y el

descubrimiento de que su padre tiene una aventura con otra mujer, lo que la lleva

a intentar escapar a Cuba, fallando en el intento. En última instancia, consigue

llegar solo hasta Florida, pero durante el viaje en autobús tiene un sueño en el que

un colectivo de santeras la corona ante su abuela, con quien se comunica

telepáticamente.

De vuelta a Cuba, descubrimos que Celia se ha dedicado completamente a la

Revolución, pasando una temporada fuera de casa para ayudar a cortar caña de

azúcar, y sirviendo como jueza en juicios públicos. Por otro lado, su hija Felicia se

ha vuelto mentalmente inestable después de pasar por un primer matrimonio

abusivo. Como resultado de este matrimonio, Felicia tiene tres hijos: las gemelas

Luz y Milagro, e Ivanito. Mientras tanto, en Estados Unidos, el fantasma del

fallecido Jorge se le aparece a su hija Lourdes, y le promete mantenerse en

contacto. Más tarde, aprendemos que, después de la boda de Jorge y Celia, éste

emprendió un largo viaje de negocios como respuesta rencorosa a los celos que

sentía hacia Gustavo, dejando a Celia aislada con su madre y su hermana, quienes

la sometieron a graves maltratos (especialmente al enterarse de su embarazo),

llevándola al borde de la locura. Cuando nació Lourdes, Celia tuvo que ser

hospitalizada en un manicomio, y Jorge fue quien cuidó a la recién nacida.

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El primer matrimonio de Felicia terminó después de que intentara asesinar a su

esposo Hugo Villaverde, prendiéndole fuego. Después de este suceso, Felicia

descendió completamente a la locura, y su madre Celia se ofreció a llevarse a los

niños con ella. Luz y Milagro, que despreciaban a su madre, aceptaron irse con su

abuela, pero el joven Ivanito se negó a dejarla sola. Felicia pasaba sus días encerrada

en casa con Ivanito, hasta que un día decide suicidarse y llevarse a Ivanito con ella,

triturando pastillas en la comida, pero Celia, que había tenido una premonición,

corre con la amiga de Felicia, Herminia, para salvarlos. Tras este incidente,

Felicia es asignada a una milicia guerrillera, junto a otros parias sociales, mientras

que Ivanito es enviado a un internado. Mientras tanto, Celia pasa su tiempo

pensando en su hijo Javier, que actualmente reside en Checoslovaquia, donde ha

formado una familia. La separación familiar pesa mucho sobre Celia, que

reconoce la escasez de conexión genuina que comparte con sus hijos.

A medida que avanza el tiempo, la historia se traslada a los años 1975 y 1976.

Mientras “Lourdes disfruta patrullando las calles con sus zapatos negros de suela

gruesa” (García 1994: 173) como policía auxiliar, su relación con Rufino, que no

ha podido adaptarse al nuevo país, y ha fracasado en sus emprendimientos; y con

su hija Pilar está tensa. Pilar se ha integrado completamente en la cultura

estadounidense, tiene opiniones políticas contrarias a las de su madre, y ha

empezado a salir con alguien. Cuanto más abraza la vida estadounidense, más

siente que “Cuba se desvanece un poco más dentro de mí” (García 1994: 187).

Un momento crucial en la relación de Pilar con su madre se produce cuando ésta

última planea abrir una nueva panadería y solicita un cuadro para la celebración

del día de Independencia de Estados Unidos. La decisión de Lourdes de conceder

a su hija completa libertad artística lleva a Pilar a crear una versión punk de la

Estatua de la Libertad. Cuando se desvela el cuadro, el público reacciona

negativamente, y, a pesar de la desaprobación inicial de Lourdes, ésta finalmente

defiende la creación de su hija delante de todos, lo que lleva a Pilar a reconocer el

amor de su madre.

Han pasado dos años, y, al regresar a Cuba, se nos presenta la inquietante

revelación de que Felicia ha contraído dos matrimonios posteriores, ambos

culminando en la muerte de sus respectivos cónyuges; el primero, un desafortunado

accidente, mientras que el segundo, como lectores, sospechamos que pudo haber

sido orquestado por la propia Felicia. A estas alturas, Javier ha regresado a Cuba

desde Checoslovaquia. Su condición es deplorable y su vida se está deteriorando a

medida que sucumbe al alcoholismo. Celia renuncia a sus esfuerzos revolucionarios

y se dedica de lleno al cuidado de su hijo. Al notar su estado de deterioro, “con la

ayuda de algunos amigos de la microbrigada de la capital, Celia localiza a la santera

del este de La Habana que la había tratado en 1934, cuando se moría de amor por

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el español” (García 1994: 216). Sin embargo, cuando llega la santera, ya es

demasiado tarde. Javier ha huido, destinado a encontrar la muerte.

En la sección final de la novela, aparece por primera vez una narradora que no

forma parte de la familia del Pino. Ésta es Herminia Delgado, la mejor amiga de

Felicia. Herminia cuenta cómo a Felicia nunca le importó la diferencia racial entre

ellas o que otros miembros de la sociedad temieran a su padre, un babalawo, o

sumo sacerdote de la Regla de Osha e Ifá. También, habla de cómo se ha retratado

la raza en la historia de Cuba, y cómo antes de la revolución “cuanto más blanco

fueras, mejor lo tenías” (García 1994: 247). Aunque algunas cosas habían

cambiado, en última instancia observa que un aspecto ha permanecido

prácticamente inalterado, “los hombres aún continúan ejerciendo el poder”

(García 1994: 248). Herminia cuenta como, después de regresar de la milicia

guerrillera, Felicia se interesa cada vez más por el culto a los orishas, llegando a

iniciarse como santera.

Aunque Herminia no puede asistir al asiento de Felicia, ya que “la ceremonia ha

sido secreta desde el tiempo en que los primeros esclavos llegaron a la isla para

trabajar en las plantaciones de caña” (García 1994: 250), Felicia le cuenta sobre el

ritual y le pide que le diga a Celia, su madre, que no hay razón para tener miedo.

A pesar de seguir todos los pasos de un iniciado, la salud de Felicia se deteriora y,

finalmente, muere en manos de su madre. La voz del fallecido Jorge vuelve a

aparecer ante su hija Lourdes para informarle de que su hermana ha muerto y de

que es hora de que regrese a Cuba y se reconcilie con su pasado. Las causas de este

regreso a Cuba, principalmente desde la posición de Pilar, son las que se analizan

en la siguiente sección.

3. “¿Y qué tú quieres que te den?”: La Regla de Osha-Ifá

como elemento de supervivencia y puente hacia la

identidad nacional11

Méndez argumentó en su artículo “Like a Dialect Freaked by Thunder” (2011)

que las mujeres cubanas históricamente han utilizado los rituales de la Regla

de Osha-Ifá como una forma de desafiar al patriarcado y como un mecanismo de

supervivencia, permitiéndoles lidiar con las experiencias traumáticas que han

marcado sus vidas. Además, destaca cómo las personas transnacionales pueden

sentir cierta resistencia hacia sus identidades culturales y su ascendencia en el

nuevo entorno, lo que puede llegar a generar sentimientos de alienación. En este

sentido, Méndez argumenta que los cubano-americanos se han resistido a estos

sentimientos de alienación participando en prácticas asociadas estrechamente a la

santería. La Regla de Osha-Ifá, también conocida como el camino de los santos,

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o más popularmente como santería, nació como una práctica sincrética que

mezclaba elementos de la religión Yoruba con el catolicismo romano y el

espiritismo francés. Los esclavos se dieron cuenta de que sus orishas eran similares

a los santos católicos, ya que ambos actuaban como puentes hacia un poder

superior. De esta manera, “bajo las restricciones de su opresión, los esclavos

comenzaron a fusionar a los intermediarios de las dos religiones, identificando a

un orisha concreto con un santo específico correspondiente” (Lefever 1996: 319,

traducción mía).12

Académicos como Kali Argyriadis han afirmado que la legitimación de la Regla

de Osha-Ifá va más allá de “la dimensión religiosa”, explicando que “lo que

está en juego es la cuestión de la cubanía” (Argyriadis 2005: 85). Según

Argyriadis, la antropología cubana ha dedicado una gran parte de sus esfuerzos

a categorizar y definir las prácticas religiosas de origen africano en la isla,

convirtiendo la cuestión de si estas prácticas pueden considerarse una parte

integral de la identidad cultural cubana en un debate central y continuo durante

más de un siglo. Para la etnóloga Lydia Cabrera no cabía duda de este aspecto,

pues afirmó que el estudio y la observación de la religión afro-cubana son

indispensables para captar la esencia misma de Cuba, y que “no nos adentraremos

mucho en la vida cubana, sin dejar de encontrarnos con esta presencia africana

que no se manifiesta exclusivamente en la coloración de la piel” (en Castellanos

y Castellanos 1992: 5).

De hecho, la Regla de Osha-Ifá ha jugado un papel central en la configuración

de la historia de la isla, actuando como un faro de resistencia y subversión para

los africanos esclavizados durante siglos, y ejerciendo una profunda influencia en

el tapiz cultural de la nación a través de la música, el arte y la danza. Las profundas

supersticiones arraigadas entre la población cubana pueden haber exacerbado el

impacto de estos eventos. Por ejemplo, muchos santeros practicantes aclamaban

a Fidel Castro como una figura mesiánica luego de que una paloma blanca

aterrizara en su hombro durante un discurso público. Otros han atribuido la

tumultuosa trayectoria del país a una forma de castigo divino por su negativa a

otorgar asilo a los refugiados judíos que huían de la persecución nazi a bordo del

SS St. Louis en 1939.

La presencia perdurable de la Regla de Osha-Ifá dentro de las comunidades

cubano-americanas en Estados Unidos es un testimonio de su profundo

significado cultural. Para los cubano-americanos, participar en este tipo de

prácticas funciona como un poderoso mecanismo para combatir la asimilación,

salvaguardar su identidad cultural distintiva y preservar su rica herencia cubana

del riesgo de erosión. En esencia, es un medio vital para mantener su cubanidad.

Estos rituales y ceremonias no sólo tienden un puente sobre su brecha física y

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emocional, sino también fomentan un sentido de comunidad entre los cubano-

americanos que comparten una misma herencia.

Méndez describe el uso histórico de la Regla de Osha-Ifá por parte de las mujeres

cubanas como método de supervivencia al entorno, desafío al patriarcado y

resistencia a la pérdida de la identidad cultural propia. El ejemplo vivo de esta

teoría fue la artista Ana Mendieta,13 a la cual se debe mencionar por sus similitudes

con el personaje ficticio de Pilar — ambas son artistas cubano-americanas, que

emigran a una edad temprana, y que en un momento dado recurren a la ‘santería’

como medio de resistencia al sistema y conexión con la tierra natal. De hecho, se

puede afirmar que Pilar tiene mucho de Mendieta. Inmersa en los movimientos

feministas de los años setenta, el repertorio artístico y diverso de Mendieta, que

abarca piezas como Dolor de Cuba, Cuerpo soy y Sudando sangre, se centró

constantemente en temáticas de esa índole. Sentía un particular respeto por las

mujeres taínas que perecieron durante la colonización de Cuba, por Olokun-

Yemayá, la diosa del mar en la religión de los orishas; y por la Venus Negra, que

surgió como símbolo antiesclavista y que representaba la “afirmación de un ser

libre y natural que se negaba a ser colonizado” (Cabañas 1999: 14, traducción

mía).14 De acuerdo con Cabañas, esta exploración de antiguas figuras femeninas

de la mitología e iconografía prehistóricas pretendía revitalizar la noción de las

matriarquías como símbolo del empoderamiento femenino y recuperación

cultural.

La profunda fascinación de Mendieta por la santería se evidencia en la naturaleza

ritualística de su obra, que a menudo incorpora elementos como fuego, sangre,

agua y tierra (Baker 2016: 24). Además, la costumbre de ejecutar sus obras en

reclusión, buscando espacios privados para llevar a cabo el proceso artístico, y,

posteriormente, documentando los rituales en vídeo para su exhibición en galerías

de arte, subraya aún más la conexión entre su arte y las prácticas o rituales

intuitivos (Baker 2016: 24). En la escena de Soñar en Cubano, que se analizará en

el apartado siguiente, Pilar refleja la visión de Mendieta de “que los rituales más

simples, los que están relacionados con la tierra y sus estaciones, son los más

profundos” (García 1994: 265). La afirmación de Baker de que el ritual “actúa

para Mendieta como un conector con Cuba” (Baker 2016: 25) sirve como otro

testimonio más del papel de las prácticas religiosas como conectores nostálgicos

para los cubano-americanos.

Para Mendieta, cultivar una conexión profunda con su tierra natal a través de su

arte era una búsqueda indispensable, como lo evidencia su afirmación en el

documental Ana Mendieta: Fuego de Tierra de 1987: “Yo siempre me he sentido

de que… Cuba para mí es una relación personal que yo tengo con Cuba, en ese

sentido, muy real” (García-Ferraz et al. 1987). Así como el ritual actuaba para

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Mendieta como conector entre ella y Cuba, en Soñar en Cubano el ritual se

presenta como una práctica nostálgica que conecta a Pilar con su herencia cultural

y sus raíces ancestrales, proporcionándole un medio para hacer frente al

desplazamiento y la pérdida. La novela examina el ritual como un medio por el

cual Pilar puede mantener un sentido de continuidad cultural, a pesar del

desplazamiento físico de su tierra natal.

4. Pilar, hija de Changó: Rompiendo el fukú, buscando la

cubanidad

La escritora cubano-americana Cristina García se ha convertido con el paso de los

años en una voz poderosa en el panorama literario norteamericano. Comparándola

con autoras como Gloria Anzaldúa y Cherríe Moraga, Méndez afirma que la obra

de García extiende el análisis crítico de las prácticas espirituales en la comunidad

latina/o norteamericana (Méndez 2011: 127). La autora ha hecho uso de la Regla

de Osha-Ifá en sus novelas como un medio directo para reclamar la identidad y

fomentar una narrativa descolonial. En Soñar en Cubano (1992), la Regla de

Osha-Ifá juega un papel central en la vida de los isleños. Por ejemplo, en el caso de

Celia, el personaje “recurre primero a la Santería siendo joven, y la práctica asegura

su supervivencia” (Méndez 2011: 135, traducción mía)15 durante el sufrimiento

por la partida de Gustavo. A su vez, tras su experiencia en la brigada miliciana, y la

pérdida de sus dos últimos maridos, la segunda hija de Celia, Felicia, encuentra

refugio en la práctica espiritual de la Regla de Osha-Ifá, introducida por su mejor

amiga, Herminia, como método de empoderamiento (Méndez 2011: 137). Tras

iniciarse como sacerdotisa o santera, el rostro de Felicia se describe como sereno,

como el de una diosa (Méndez 2011: 137). Tomando como base la idea de Méndez

de que García demuestra que la Regla de Osha-Ifá sirve como medio de

empoderamiento y como una forma de mantener un sentido de identidad racial y

étnico (Méndez 2011: 124), a continuación, se demuestra cómo la odisea personal

de Pilar la lleva a abrazar el ritual con este fin. Finalmente, a través del ritual, Pilar

entra en contacto por primera vez con un sentido de pertenencia desconocido

hasta el momento para ella.

Nos situamos en el año 1980, en la previa de lo que es la parte final de la novela,

cuando la historia está cerca de alcanzar su desenlace final. La fecha en sí está

plagada de simbolismo, ya que marcó el inicio del éxodo del Mariel. Como

lectores tenemos la sensación de que el destino de los personajes acabará

entrelazado con los de sus respectivas naciones. Paseando por Park Avenue, la

joven Pilar de 21 años reflexiona sobre cómo es posible que siendo tan joven

sienta nostalgia de su propia juventud. Mientras pasea decide entrar en una

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botánica (una tienda de temática espiritual con elementos santeros y de otras

prácticas religiosas) en la cual nunca había entrado, a pesar de haber pasado otras

veces por delante. Pilar nos informa de que “hoy, al parecer, no tengo otro sitio

mejor a donde ir” (García 1994: 265). Una vez dentro, se coloca un collar rojo y

blanco, y toma un bastón de madera de ébano, “que lleva tallada una mujer

blandiendo un hacha de doble filo” (266). García procede a explicar el significado

de estas dos acciones cuando el propietario de la tienda se dirige a Pilar diciéndole:

“Ah, una hija de Changó” (266), relacionándola directamente con el orisha del

trueno.

En un momento crucial y cargado de simbolismo, el señor aconseja a Pilar que, si

se somete a nueve noches consecutivas de baños a base de ciertas hierbas

específicas, sumado a un ritual con agua bendita y velas, obtendrá la claridad y la

guía que busca. Cuando Pilar intenta sacar la cartera para pagar, éste le declina

cortésmente el pago, asegurándole que “es un obsequio de nuestro padre Changó”

(García 1994: 267). Acto seguido, mientras se apresura a regresar a su habitación

universitaria, Pilar narra cómo de niña en Cuba tuvo varias niñeras que habían

tenido miedo de ella, ya que creían que poseía poderes sobrenaturales. Las niñeras

se quejaban a Lourdes de que su hija les robaba las sombras, y de que por culpa de

la pequeña se les caía el pelo, o sus maridos les eran infieles. Sin embargo, un día

llegó una nueva niñera que no se inmutó ante una tormenta eléctrica, y compartió

con Pilar la historia de cómo Changó una vez le pidió a una lagartija que le

entregara un regalo a la amante de un dios rival:

La lagartija puso el presente en su boca y corrió a casa de la mujer, pero en el camino

tropezó y se cayó, tragándose la preciosa alhaja. Cuando Changó se enteró, siguió

las huellas de su inepto cómplice hasta el pie de una palmera. El atemorizado reptil,

incapaz de decir palabra alguna, subió corriendo por el tronco y se escondió entre las

hojas, llevando todavía el regalo alojado en su garganta. Changó, creyendo que la

lagartija se estaba burlando de él, lanzó un rayo contra el árbol, intentando reducir

a cenizas a la penosa criatura. Desde entonces, según Lucilda, Changó de vez en

cuando descarga su rabia contra las inocentes palmeras, y hasta hoy, la garganta de

las lagartijas permanece muda e inflamada por culpa del regalo del dios. (García

1994: 268).

Antes de llegar a la residencia universitaria, tres jóvenes adolescentes abusan

sexualmente de Pilar. Logrando sobrevivir a la situación, y una vez en su

habitación, Pilar se dispone a hacer los preparativos necesarios para llevar a cabo

el ritual:

Enciendo mi vela. Con las hierbas, el agua de baño adquiere una tonalidad verde

claro. Tiene el aroma intenso de un prado en primavera. Cuando la dejo caer sobre

mi pelo siento un frío pegajoso, como si fuera hielo seco, y luego un calor soporífero.

Camino desnuda como un destello de luz por caminos de ladrillo y plazas cubiertas

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de césped, fosforescente y limpia. A medianoche me despierto y pinto un gran lienzo

encendido de rojos y blancos, cada uno de los colores traicionando al contrario.

Hago lo mismo durante ocho noches más. (García 1994: 270)

Pasadas las nueve noches, Pilar sabe con total seguridad qué es lo que tiene que

hacer: “llamo a mi madre y le digo que nos vamos a Cuba” (García 1994: 270).

La importancia y el sentido de que Pilar incluya a su madre Lourdes, con la cual

mantiene una difícil relación, en su decisión de viajar a Cuba es trascendental en

lo que concierne a la conexión del personaje con su identidad nacional.

A través del concepto de postmemoria, Marianne Hirsch conceptualizó la

transmisión intergeneracional del trauma histórico como la transferencia de una

experiencia traumática de una generación a otra de forma consecutiva. En

“Projected Memory: Holocaust Photographs in Personal and Public Fantasy”,

Hirsch define esta experiencia traumática, que afecta con especial ímpetu a los

individuos de segunda generación, como el fenómeno en el que “las propias

memorias de la segunda generación quedan en un segundo plano, o existen a la

sombra de las memorias traumáticas de las que solo tienen un acceso limitado y

altamente cargado de emociones” (Hirsch 1999: 8, traducción mía).16 Junot Díaz

llevó este concepto a un terreno más caribeño al bautizarlo como fukú en su obra

La maravillosa vida breve de Óscar Wao (2007), describiéndolo como una

maldición que habría entrado en América con la llegada de Cristóbal Colón. Díaz

sugiere que para los dominicanos “el trauma histórico de la esclavitud, la violencia

sexual, el gobierno tiránico y la diáspora es tan dañino que es heredado por cada

generación” (Richardson 2018: 24, traducción mía).17

Tal y como observa Richardson sobre la novela de Díaz, la ruptura iniciada por la

diáspora influye negativamente en los hijos de Felicia, Oscar y Lola (Richardson

2018: 34). La negativa de Felicia a comunicar su historia y experiencias traumáticas

a sus hijos, eligiendo silenciar su pasado y ocultárselo, crea estas brechas

comunicativas que Richardson denomina ‘páginas en blanco’. A su vez, estas

páginas en blanco “crean una desconexión entre sus hijos y su tierra natal caribeña,

dejándolos sin un punto de apoyo estable o una identidad completa al crecer en

Estados Unidos” (Richardson 2018: 34, traducción mía).18

De manera similar, en Soñar en Cubano encontramos exactamente estas mismas

páginas en blanco, que crean una brecha en el vínculo entre madres e hijas de la

familia del Pino, comenzando por Celia y Lourdes, y continuando en la siguiente

generación con Lourdes y Pilar. El primer ejemplo de esta brecha se observa en

la separación emocional e ideológica entre Celia, una comunista convencida, y

su hija Lourdes, anticomunista acérrima, sumado además a la distancia física

que las separa (Lourdes forma parte de la diáspora cubano-americana, mientras que

su madre vive en Cuba). Asimismo, el hecho de que Lourdes nunca le cuente a

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su hija Pilar acerca de su violación en Cuba y que, a su vez, Pilar nunca le cuente

a su madre sobre su episodio de abuso sexual, constituye otro ejemplo de fukú.

Esta maldición transgeneracional podría considerarse la tragedia dramática

esencial de la novela, sobre todo si tenemos en cuenta las palabras de la activista e

intelectual Adrienne Rich, quien describió “la pérdida de la hija para la madre, la

madre para la hija” como la tragedia femenina esencial (Rich, 1976: 225,

traducción mía)19 — una de las principales tragedias femeninas, podríamos decir,

que suceden en esta novela.

Dentro de La maravillosa vida breve de Óscar Wao (2007), los actos de resistencia

contra el fukú, así como la empatía de Óscar hacia sus familiares femeninas, o el

potencial de Isis para dar voz a la narrativa familiar se desarrollan a través de un

retorno físico a República Dominicana. El regreso a casa de Óscar y Lola sirve

como génesis del “proceso de sanación y superación del legado traumático de su

familia” (Richardson 2018: 45, traducción mía).20 “Al cerrar la brecha de la

diáspora” (45, traducción mía),21 los hijos de Felicia comienzan a curar sus heridas

y a desenterrar recuerdos que eran cruciales para el desarrollo de su propia

identidad (45). Del mismo modo, en la novela de García, el regreso de Pilar y

Lourdes a Cuba, juntas como madre e hija, funciona como un acto intencional

para romper el ciclo de la maldición generacional y hacer las paces con la historia

familiar, con el fin de lograr un desarrollo de identidad más profundo. Es a través

de la práctica de la Regla de Osha-Ifá, después de completar los nueve días de

baños con hierbas, que Pilar llega a una profunda comprensión de que debe

regresar a la patria (convenciendo a su madre en el camino). Como señala Méndez,

es la práctica espiritual de la santería la que le brinda a Pilar “la capacidad de

tomar decisiones que nunca creyó posibles” (Méndez 2011: 150, traducción

mía),22 viajando finalmente a Cuba “con la esperanza de resolver la nostalgia que

los productos culturales cubanos no pueden satisfacer del todo” (Sáez 2005: 137,

traducción mía).23

Jacqueline Stefanko, inspirándose en la afirmación de Amy Kaminsky en Reading

the Body Politic: Feminist Criticism and Latin American Women Writers (1993)

de que “el lugar del exilio está definido por lo que falta, no por lo que contiene”

(Kaminsky 1993: 30, traducción mía),24 sostiene que, como consecuencia de su

desplazamiento, el sentido de desarraigo de Pilar al principio de la novela se ve

agravado por la ausencia de su abuela Celia, convirtiendo Nueva York en un

entorno inhóspito para ella (Stefanko 1996: 65). Sin embargo, al final de la

novela, además de volver a conectar con un sentimiento de identidad nacional

(cubanidad), Pilar se da cuenta de que el lugar al que realmente pertenece es

Nueva York: “Pero tarde o temprano tendré que regresar a Nueva York. Ahora sé

que es allí adonde pertenezco (y no en vez de a Cuba, sino más que a Cuba”

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(García 1994: 311, énfasis en el original). Por lo tanto, se puede decir que su

búsqueda por encontrar su propia cubanidad la conduce, también, a descubrir

una americanidad que nunca antes había experimentado.

5. Conclusión

El estudio de 2001 “Cuban Identity: A Preliminary Study” exploró la noción de

‘paraíso perdido’ a través de las vivencias de estudiantes cubano-americanos. Al

indagar en su construcción identitaria, y en cómo experimentaban esta sensación

de pérdida, se buscó comprender los patrones que unían y diferenciaban sus

relatos. Para Delia, sentirse cubana era como vivir en un “qué hubiera sido si…”.

Al confesar que “nunca llegó a estar allí” (Alvarez et al. 2001: 3, traducción

mía),25 la estudiante evidenciaba la complejidad de construir una identidad

nacional cuando ésta se basa en un lugar al que nunca se ha pertenecido

físicamente. La afirmación de Filler de que hay “una sensación de ‘lugar

inalcanzable’ que permanece viva en la conciencia de aquellos cubano-americanos

de generaciones posteriores que nunca han visto Cuba” (Filler 2019: 11-12,

traducción mía)26 captura de manera sucinta la relación compleja y multifacética

entre los exiliados cubanos y su patria.

El análisis de los ejemplos expuestos subraya el papel de la Regla de Osha-Ifá,

tomada como práctica nostálgica, como elemento que permite a Pilar, en su

búsqueda por resistir las presiones del nuevo entorno y mantener su identidad

cultural, reforzar su conexión personal con su tierra natal y su sentido de

cubanidad. La afirmación que se ha articulado a lo largo de este artículo queda

reforzada por el argumento de Sáez de que la nostalgia “funciona como la ruta

que Pilar emprende para recuperar sus recuerdos familiares, así como su propio

sentido de identidad y pertenencia” (Saéz 2005: 131, traducción mía).27

Finalmente, se observa que viajar a la isla se convierte en el paso culminante para

cerrar la brecha, reafirmar la propia identidad étnica (cubanidad) e, incluso,

descubrir una identidad nacional ligada a los Estados Unidos, hasta entonces

desconocida para la protagonista. Haciendo eco de las palabras del escritor

camagüeyano Severo Sarduy, “ir más allá es un regreso” (1986: 14), el retorno de

la autora Cristina García a Cuba en 1984 se convirtió en una experiencia necesaria

a la hora de entender su propia identidad como cubano-americana. Un volver

atrás necesario para saber continuar hacia adelante en la sociedad norteamericana

con un mayor sentido de pertenencia a su identidad étnica. Reflejando su propia

vivencia en el personaje de Pilar, regresar a casa (la tierra natal) no admitía

discusión alguna.

Carlos David Vázquez Pérez

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166

Notes

1. “the Cuban nation in García’s

novels is a highly individualized and personal

matter”.

2. “develop, sustain, and recreate

individuals’ identities”.

3. “the definitive story of Cuban

exiles”.

4. “there are Cuban-American

literatures because there are Cuban

Americans”.

5. “in revolutionary Cuba, the

possibility of leaving —or being left—

became part of everyday life”.

6. “a yearning for the past, or a

fondness for tangible or intangible

possessions and activities linked with the

past”.

7. “not only tangible products, but

activities”.

8. “signal and reinforce

consumers’ self-identity”.

9. “many American Jews are

increasingly communicating Jewish values

and ideas to their children by engaging with

the products of museums, gift shops,

restaurants, publishing companies, toy

manufacturers, philantropies, and other

ostensibly secular institutions”.

10. “nostalgia is used to develop,

sustain, and recreate individuals’ identities”.

11. “¿Y qué tú quieres que te

den?”: La Regla de Osha-Ifá como elemento

de supervivencia y puente hacia la identidad

nacional”. Hace referencia al título de la

popular canción de Adalberto Álvarez y su

Son lanzada en 1995 como parte del álbum

Caliente, Caliente. Este homenaje musical a

los orishas no solo ayudó a dar visibilidad a

la religión Yoruba dentro y fuera de Cuba,

sino que también contribuyó a su aceptación

y reconocimiento como parte integral de la

identidad cultural cubana.

12. “under the constraints of their

oppression, the slaves began to fuse the

intermediaries of the two religions and to

identify a specific orisha with a

corresponding specific saint”.

13. Fallecida en 1985 en

situaciones sospechosas a la corta edad de

36 años.

14. “affirmation of a free and

natural being who refused to be colonized”.

15. “first employs Santería as a

young woman, and the practice proves to

ensure her survival”.

16. “the second generation’s own

memories take a back seat to or exist in the

shadow of traumatic memories to which

they have only limited and highly charged

access”.

17. “the historical trauma of

slavery, sexual violence, tyrannical

governance, and diaspora is so damaging

that it is inherited by each generation”.

18. “create a disconnection

between her children and their Caribbean

homeland that leaves them without stable

footing or a complete identity growing up in

the US”.

19. “the loss of the daughter to

the mother, the mother to the daughter”.

20. “process of healing and

moving past their family’s traumatic legacy”.

21. “bridging the gap of the

diaspora”.

22. “the agency to make decisions

that she never thought possible”.

23. “in hopes of resolving the

nostalgia that the Cuban cultural products

cannot ultimately satiate”.

24. “the place of exile is defined

by what is missing, not by what it contains”.

Inuencia de la nostalgia como instrumento mercantilizado en la novela Soñar en Cubano

miscelánea 71 (2025): pp. 151-168 ISSN: 1137-6368 e-ISSN: 2386-4834

167

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files.eric.ed.gov/fulltext/ED454316.pdf>

ARGYRIADIS, Kali. 2005. “Religión de indígenas, religión de científicos: construcción de la

cubanidad y santería”. Desacatos 17: 85-106.

BAKER, Elizabeth Ann. 2016. “To Be Magic: The Art of Ana Mendieta Through an Ecofeminist

Lens”. Trabajo Fin de Grado. University of Central Florida.

BOYM, Svetlana. 2001. The Future of Nostalgia. Basic Books.

CABAñAS, Kaira M. 1999. “Ana Mendieta: ‘Pain of Cuba, Body I Am’”. Woman’s Art Journal 20 (1):

12-17.

CASTELLANOS, Jorge e Isabel CASTELLANOS. 1992. Las religiones y las lenguas. Ediciones Universal.

COLóN, Cristóbal. (1492) 1959. Diarios de Colón: Primer Viaje. Edición de Luis Arranz Márquez.

Imprenta Nacional.

FERRER, Ada. 2021. Cuba: An American History. Scribner.

FILLER, Andrew. 2019. Through a Glass, Darkly: Collective Memory in the Works of Cristina García

and Ana Menéndez. Tesis de Máster. University of Georgia.

GARCÍA, Cristina. 1992. Dreaming in Cuban. Ballantine Books.

GARCÍA, Cristina. 1994. Soñar en Cubano. Traducido por Marisol Palés Castro. Ballantine Books.

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Women Make Movies.

GROSS, Rachel B. 2021. Beyond the Synagogue: Jewish Nostalgia as Religious Practice. New York

U . P.

HALTER, Marilyn. 2000. Shopping for Identity: The Marketing of Ethnicity. Schocken.

HERTER, Philip. 1992. “Voices of Cuba”. Tampa Bay Times.

HIRSCH, Marianne. 1999. “Projected Memory: Holocaust Photographs in Personal and Public

Fantasy”. En Bal, Mieke, Jonathan Crewe y Leo Spitzer (eds.) Acts of Memory: Cultural Recall in

the Present. University Press of New England: 3-23.

HOOKS, Bell 2014: Black Looks: Race and Representation. Routledge.

25. “was never there”.

26. “some sense of an

unobtainable place remains alive in the

consciousness of later-generation Cuban-

Americans who have never even seen Cuba”.

27 . “consequently serves as the

route Pilar travels in order to recuperate her

family memories as well as a sense of her

own identity and space of belonging”.

Carlos David Vázquez Pérez

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168

Joe Rogan Experience Clips. 2018. “Joe Rogan - Joey Diaz Explains Santeria”. YouTube (27

marzo). <https://www.youtube.com/watch?v=s_PdXJoPEKM&t=90s>

KAMINSKY, Amy K. 1993. Reading the Body Politic: Feminist Criticism and Latin American Women

Writers. University of Minnesota Press.

KANDIYOTI, Dalia. 2006. “Consuming Nostalgia: Nostalgia and the Marketplace in Cristina García

and Ana Menéndez”. MELUS 31 (1): 81-97.

LEFEVER, Harry G. 1996. “When the Saints Go Riding In: Santeria in Cuba and the United States”.

Journal for the Scientific Study of Religion 35 (3): 318-330.

LóPEZ, Alfred. 1996. “Of Home and Remembrance: Two Recent Works of Cuban-American

Literature”. The Iowa Review 26 (1): 202-206.

MÉNDEZ, Susan C. 2011. “Like a Dialect Freaked by Thunder: Spiritual Articulations of Survival and

Identity in Cristina García’s Dreaming in Cuban and Monkey Hunting”. Chicana/Latina Studies

11 (1): 124-157.

OBEJAS, Achy. 2007. Days of Awe: A Novel. Ballantine Books.

ORTIZ, Fernando. 1940. “Los factores humanos de la cubanidad”. Revista Bimestre Cubana 21:

161-186.

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Legacy Tourism”. International Business & Economics Research Journal 11 (9): 977-990.

RICH, Adrienne. 1976. Of Woman Born: Motherhood as Experience and Institution. Norton.

RICHARDSON, Jill Tolliver. 2018. The Afro-Latin Experience in Contemporary American Literature

and Culture: Engaging Blackness. Palgrave Macmillan.

SÁEZ, Elena Machado. 2005 “The Global Baggage of Nostalgia in Cristina García’s Dreaming in

Cuban”. MELUS 30 (4): 129-147.

SARDUY, Severo. 1986. “Otro Daiquirí”. Vuelta 117: 13-14.

SIERRA, Jeremy J. y S. MCQUITTY. 2007. “Attitudes and Emotions as Determinants of Nostalgia

Purchases: An Application of Social Identity Theory”. Journal of Marketing Theory and Practice

15 (2): 99-112.

SOCOLOVSKY, Maya. 2013. Troubling Nationhood in US Latina Literature: Explorations of Place and

Belonging. Rutgers U.P.

STEFANKO, Jacqueline. 1996. “New Ways of Telling: Latinas’ Narratives of Exile and Return”.

Frontiers: A Journal of Women Studies 17 (2): 50-69.

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Received: 10/05/2024

Accepted: 15/01/2025

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

miscelánea 71 (2025): pp. 169-187 ISSN: 1137-6368 e-ISSN: 2386-4834

169

TOMAS MONTERREY

Universidad de La Laguna

jmonterr@ull.edu.es

<https://orcid.org/0000-0002-7741-4741>

THE TRANSNATIONAL FORMATION

OF THE ENGLISH NOVEL: THE CASE OF MADAME

DE VILLEDIEU’S THE ANNALS OF LOVE (1672)

LA FORMACIÓN TRANSNACIONAL DE LA NOVELA

INGLESA: EL CASO DE THE ANNALS OF LOVE

(1672), DE MADAME DE VILLEDIEU

DOI: https://doi.org/10.26754/ojs_misc/mj.202510935

Abstract

In the late 1660s and 1670s, Madame de Villedieu (née Desjardins) made a

substantial contribution to the evolution of prose fiction, moving the genre

from the heroic romance to the nouvelle in France, and thus in England. Her

Annales Galantes (1670), translated as The Annals of Love (1672), is a landmark

work within the development of the genre. The twenty-one “amorous

adventures” that make up this collection contain an impressive array of characters

and psychological portraits of individuals enmeshed in a multiplicity of romantic

relationships and situations. Drawing from chronicles and historical records and

set in Europe and Asia in periods ranging from the early Middle Ages to the

modern era, the author presents these stories as factual accounts through her use

of sources and reinforces her narrative authority with calculated digressions and

metanarrative commentary. This article examines Villedieu’s innovative

experiment in history and narrative technique in the literary context of the

transition to the nouvelle (and the novel) in England. It studies the ways in which

narration in The Annals abandons the unreliable voices and human-like points of

view that characterised the English heroic romances, making use of authorial

privilege, literary techniques and discourses associated with truth-telling, such

as omniscience, biography and history, while constantly reminding readers of

her imaginative reconstruction of the stories.

Tomas Monterrey

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170

Keywords: Restoration fiction, Desjardins/Villedieu, nouvelle galante, history,

omniscience, literary metanarration.

Resumen

Madame de Villedieu (nacida Desjardins) contribuyó sustancialmente al género de

ficción en su evolución desde el romance heroico a la nouvelle en Francia —y por

ende en Inglaterra— a finales de los 1660s y principios de los 1670s. Su Annales

Galantes (1670), traducido como The Annals of Love (1672), marcó ese proceso.

Comprende veintiuna “aventuras amorosas” que despliegan una impresionante

galería de personajes y retratos psicológicos, envueltos en todo tipo de relaciones y

situaciones amorosas basadas en crónicas y registros históricos, tanto en Europa

como en el ámbito Oriental, del siglo X a la Edad Moderna. Villedieu intentó

infundir veracidad en sus relatos incluyendo una lista de fuentes históricas, y

reforzó su autoridad narrativa con digresiones calculadas y comentarios

metanarrativos. Este artículo estudia el innovador experimento de Villedieu con la

historia y la técnica narrativa en el contexto literario de la transición del romance

heroico a la nouvelle (y la novela) en Inglaterra. Se analiza cómo la narración de The

Annals abandona voces no-fidedignas y focalizadores humanos propios de los

romances heroicos ingleses, y utiliza técnicas y discursos autoriales asociados con

la verdad, tales como la omnisciencia, la biografía y la historia, al tiempo que no

deja de recordar al lector la esencia imaginaria de sus reconstrucciones.

Palabras clave: Ficción del período de la Restauración, Desjardins/Villedieu,

nouvelle galante, historia, omnisciencia, metanarración literaria.

1. Introduction

Throughout the 1660s and 1670s, English fiction underwent a transformation

that has yet to be fully apprehended, especially its transnational dimension.

During this time, a variety of new forms and subgenres were imported from the

Continent, largely from or via France, which markedly influenced production in

the vernacular language.1 In the early 1660s, British writers such as George

Mackenzie, John Dauncey, Percy Herbert and Samuel Pordage endeavoured to

naturalise French heroic romances by incorporating domestic politics and using

the English literary heritage. However, the genre had become outdated by the

end of the decade and was superseded by the short nouvelle, introduced in France

in the late 1650s by writers as different as Paul Scarron (translated in 1665) and

Madame de La Fayette, whose The Princess of Monpensier was published

anonymously in 1662 and translated in 1666.

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The achievements of Marie-Catherine-Hortense de Villedieu, née Desjardins

(1640?-1683) have been overshadowed by the prominence given to La Fayette,

another eminent salonnière. Until 1668, Villedieu authored her books under the

nom de plume Mademoiselle Desjardins; but, according to DeJean, “When a

young man of a superior rank who had promised to marry her (once again secretly)

refused to do so, she simply took his name: in the late 1660s she began to be

known as ‘Madame de Villedieu’” (1991: 130), though many of her works were

published anonymously in both periods. She began her career around 1659

publishing poetry, prose and drama, and was a leading figure in the transition

from the heroic romance to the nouvelle. She is attributed the creation of the

pseudo-memoirs genre in The Memoires of the Life and Rare Adventures of

Henrietta Silvia Moliere (1672) and, in the words of Ros Ballaster, is “best known

for instituting the nouvelle galante, short sequences of stories concerned with

amorous adventures” (2017: 392). She embraced the nouvelle galante in 1667

when, in the preface to Anaxandre, she announced that the adventures of the

novel “are more gallant than heroic” (Desjardins 1667: n.p., my translation).2

Cléonice, subtitled Le roman galant (1669), marks a transition towards the

nouvelle (Sale 2006: 35). As Giorgio Sale has argued, the piece ushered in a

period of Villedieu’s literary experimentation with genres, forms and styles that

she would carry over from work to work (2006: 43).

The scope and subject matter of Annales Galantes (1670), translated into English

as The Annals of Love (1672), are consistently —and explicitly— reflective of the

nouvelle galante. It is thus an excellent text to investigate the impact of the new

genre in England and explore the transition from the heroic romance to the nouvelle

(and the novel) or, to use McKeon’s terminology, the move from writing

verisimilitude (vraisemblance) to true-to-fact accounts — or claim to historicity

(1988: 54; see also McKeon 1985: 165). Villedieu produced a mature, highly

entertaining work in which she describes the features of the nouvelle galante as she

blends history and imagination, and in which she avoids the overwrought style of

the heroic romance and its use of unreliable storytellers. Instead, she reinforces her

narrator’s skills or “competence” (Lanser 1981: 171), and authorial privilege

through narrative techniques and discourses associated with authenticity and truth.

2. Restoration Fiction: Romances, Life-Writing and the

Nouvelle

English prose fiction of the early years of the Restoration presents an extraordinary

variety of genres and hybrid, innovative texts, “though no major English novels

appeared” (Turner 2017: 73). It was an age “dominated by experimentation and

Tomas Monterrey

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lack of coherence [out of which] comes coherence and certain stability” (Bayer

2017: 6), a time when the distinction between popular romance, historical text

and novel differed from our current notions (McKeon 1985: 162-163). To

understand the extent of Villedieu’s innovative storytelling in England, it is

necessary to survey the production of fiction in England, specifically high

romances and (auto)biography, since the former was superseded by the shorter,

more realistic nouvelle, while the latter endeavoured to offer factual life accounts

of notorious characters, mainly criminals.

During the Commonwealth, as Victoria Kahn has argued, “in Herbert’s […]

Princess Cloria (1653-1661), […] Richard Brathwaite’s Panthalia (1659), and

William Sales’s unfinished Theophania (1655), we find considerably more

scepticism about the arcadian dimension of the romance. Instead, it becomes an

analytical tool for reflecting on the causes of the war and the contemporary crisis

of political obligation” (2002: 627). In the early 1660s, though Mackenzie’s

Aretina (1660) also reflected upon legislation and politics, English high

romances explored less serious matters, mostly related with conflicts of love and

loyalty. For example, Pordage’s Eliana (1661) debates the nature of friendship

and love, and Bulteel’s unfinished Birinthea concentrates on Cyrus’s dilemma

between his love for the slave princess and his loyalty to his uncle Cyaxares, King

of the Medes. Yet the genre, which drew heavily on verisimilitude and analysed

the characters’ psychology, was firmly established among readers and writers

alike, as shown by the numerous successful reprints and translations of French

heroic romances, and, especially, by John Dauncey’s The English Lovers (1661-

1662), which novelises Thomas Heywood’s two-part play, The Fair Maid from the

West. Characteristic of heroic romances, Dauncey structured the narrative using

an in-medias-res approach and a multiplicity of narrators instead of reproducing

the play’s linear plot and single, heterodiegetic narrator — two of the main

structural features that would come to distinguish the nouvelle. Strikingly,

however, by the end of the decade, high romances fell out of fashion. Only Roger

Boyle, at the request of Queen Henrietta Maria, published the sixth instalment

of Parthenissa in 1669; however, he tactfully put an end to the series on the

grounds that “I did once design to have Ended Her story in this Book” (Orrery

1676: Xxxx4r), even though the romance (808 folio-pages long) was left

unfinished. Nonetheless, unlike in France, the fascination for this genre and its

royalist ideals lingered in England long after 1670.

The 1660s saw the creation of several imaginative texts within the life-writing

genres, blurring the boundaries between reality and fiction by combining factual

events with persuasive styles and techniques meant to reinforce credibility, or at

least convey the impression of factuality. Perhaps because of prejudices

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surrounding gender or honour, or both, the (male) narrator in The Life and Death

of Mrs. Mary Frith (alias Mal Cutpurse, and the model of Middleton and Dekker’s

Roaring Girl) told the adult life of this peculiar picaresque hic mulier (c.1584-

1659) by using the editor-narrator technique, whereby he pretends to be

publishing a “diary”, which he claims to be “of her own” (1662: 26-27). The

author of Youth’s Unconstancy (1667, attributed to Charles Croke) chose to call

himself Rodolphus and tell the story of his life in the third person, thus distancing

himself from his younger, roguish self. Only John Bunyan seems to anticipate the

style of the nouvelle when he claims that the truth and sincerity of his spiritual

autobiography, Grace Abounding to the Chief of Sinners, were more fittingly

rendered in “plain and simple” (1666: A5v) than adorned or elevated language.

Unreliability haunts the narrators of criminals’ biographies, who claim to have

witnessed certain events and to have obtained documents and reports from

creditable informants, as if they were engaged in a kind of (proto-)journalistic

activity. These narrators also discuss the truthfulness of dubious accounts and

hearsays, whereby the ‘I’ of the narrators may show up at any time throughout.

For example, an account of the case of James Turner was printed not only in the

minutes of the court proceedings, but also in two short chapbooks. Issuing a

warning about the fate awaiting thieves, The Triumph of Truth aimed to

distinguish fact from rumour and calumny. The narrator, for example, tells of two

letters in an attempt to reinforce his credibility, and addresses certain rumours

such as this one suggesting cannibalism: “one thing is known to many for a truth

[…], his preserving some of the Fat or other parts of the Corps of divers persons

lately executed for Treason, […]” (The Triumph of Truth 1663: 31). As a postscript,

the author refers to a forthcoming publication about Turner, warning readers

about the falsehoods it may spread (1663: 32). Likewise, the narrator of the new

version, The Life and Death of James Commonly Called Collonel Turner, has the

same purpose and also discredits the previous one (1664: 13-14).

Lastly, William Winstanley’s The Honour of the Merchant-Taylors, about

condottiero Sir John Hawkwood (c. 1320-1394) in Italy, may illustrate the

transition from the romance to the historical novel in England, even though Paul

Salzman fittingly classified it as a piece of “popular non-chivalric fiction” (1985:

378). Indeed, literary conventions that characterise the romance pervade the

portrayal of the hero, while the story, based on chronicles, is presented as “a real

truth, though imbelished with such flowers of Poesy as I could gather out of

Apollo’s Garden, that thou mightest be won with delight in the reading thereof”

(Winstanley 1668: A4v).

In England, the nouvelle historique and nouvelle galante emerged —and eventually

took hold— in this context of the decline of the heroic romance and the rise of

Tomas Monterrey

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life-writing. These two kinds of nouvelle are often treated indistinctly, as their

main concern is love and their setting a relatively recent past. Notwithstanding

their similarity, Paul Salzman has argued that the nouvelle galante places more

emphasis on intrigue and love affairs, and less on the characters’ psychology than

the nouvelle historique (1985: 309-310). La Fayette’s The Princess of Monpensier is

traditionally regarded as the pioneer of the historical and the psychological novel

both in France and England. Since the name of the heroine was the same as a

high-profile public figure, the French bookseller remarked in the prefatory note

to the reader that the story was not the publication of a manuscript from historical

times but rather an invention of the author, who preferred to name “his [sic]”

protagonists after historical people instead of romance characters (1666: A4v,

A5r). The English translator, however, made the story ambiguously authentic

when, in his note preceding that of the French bookseller, he claims to have

begun work on the translation only when the original publisher assured him that

it was not fiction but a factual account; and many readers may have believed it to

be biographical. The Princess of Monpensier was not published in English again

until the twentieth century, which suggests a modest reception, probably owing

to La Fayatte’s radically innovative method that, as Esmerin-Sarrazin explains,

“combines history and fiction and overlaps them so much that it becomes

difficult to distinguish one from another; […] thus offering a redefinition of the

concept of vraisemblance” (2016: 87). It, however, paved the way for the variety

of prose fiction genres that emerged in the last three decades of the seventeenth

century. Amorous adventures and scandalous histories, among others,

contributed positively to the transition from the romance to the novel in

England, thus widening the existing stream of realistic fiction brought into

being by the picaresque genre, moral short stories such as John Reynold’s highly

popular The Triumph of God’s Revenge (1621-1635), Spanish and Italian tales,

and the novels of Scarron, who, in addition to his own production, appropriated

stories authored by Alonso de Castillo Solórzano, Alonso Jerónimo de Salas

Barbadillo and María de Zayas.

3. The Annals of Love

As had happened in France, the English version of Annales Galantes (Paris:

Claude Barbin, 1670. 12º) appeared anonymously, although Villedieu

acknowledged that the book was hers in 1671 in the prefatory note to the fifth

part of Journal amoureux (Grande and Keller-Rahbé 2006: 16), which was not

translated into English. The Annals of Love, Containing Select Histories of the

Amours of Divers Princes Courts, Pleasantly Related was translated by Roger

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L’Estrange (Cottegnies 2022: 52) —genuinely rendering the narratives, tone and

style of the source text— and published in London by John Starkey in 1672, in

octavo (Wing reference D1187A; ESTC reference R11570). All eight parts are

included in a single volume comprising the twenty-one stories (or sections),

“containing only matters of Courtship”, as she states at the beginning of the second

part (1672: 53). Unlike the heroic romances, neither the character nor the country

names are coded, and none of the events are from ancient times. The spatial-

temporal scope of the collection spans Europe, North Africa and the Middle East,

from the tenth century to the early modern period.3 Not only does Villedieu

superbly accomplish a kind of textual cabinet of curiosities of courtship, seduction,

love affairs and situations recorded or suggested in post-classical chronicles and

history books until that time, but also produces an astonishing typology of

psychological —especially female— portraits of royal and aristocratic lovers, most

of them ancestors of seventeenth-century European sovereigns.

Villedieu’s book marks a significant innovation in English prose fiction in terms

of the source and nature of her stories and characters, her historian-like stance,

language style and narrative technique. If verisimilitude or realism are considered,

The Annals of Love brought to English fiction a convincing illusion of factual

storytelling and truth, partly because “the historical basis is much more accurate

and becomes far more reliable” (Grande 2021: 71, my translation).4 The fact that

most of her characters were both real people and the subject of history books

establishes a crucial ontological difference with the realistic fictional characters in

picaresque narratives or in John Reynolds’ stories of homicides in his Triumph of

God’s Revenge. At the beginning of the preface, Villedieu insists on the authenticity

of her accounts and explicitly attacks certain contemporary “intrigues” that

blatantly misrepresent history, perhaps referring to narratives such as The Princess

of Monpensier or her own Loves Journal (1671), when she asserts that her stories

“are no witty and facetious Inventions, exhibited under true Names (of which

kind I have seen lately an ingenious Essay) but faithful touches taken out of

History in general” (1672: A2r). In addition, by narrating post-classical historical

events featuring members of Mediterranean and other European royalty and

related stately dignitaries, she not only establishes a radical opposition to the

romances of La Calprenède and Scudéry, which were mostly set in ancient times,

but also contends that her new type of narrative takes an altogether different

stance in selecting the ‘adventures’ and ‘accidents’ for the plots, and modulating

the style of the narrative voice. In the story of “Constance, the Fair Nun”, for

example, when the protagonist and her lover (Frederick Barbarossa’s son) must

take their leave, Villedieu marks a key difference between her literary style and

that of the heroic romance by maintaining the neutral, historical tone when she

makes reference to heroic romances in explaining her refusal to describe her

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characters’ emotional storms: “This place would make a marvellous Ornament for

a Romance, and I should have a great care how I past it over in silence, were this

a Romance, and not a History; but the style of Annals do not suit with Rhetorical

Ornations, and therefore I shall refer my curious Reader to the passionate partings

in Cirus or Clelia” (1672: 96). In statements such as these, Villedieu not only

explains the features of her “annals” as a distinct genre, but also aims to elucidate

what pertains to the heroic-romance effects of verisimilitude and what to the

purported authenticity of her stories of gallantry. Such narratives of courtship are

obviously not devoid of picaresque elements. These features are most conspicuous

in the series of García Fernández stories, in which a pilgrim seduces his wife and

both escape to Paris, and in “The Fraticelles” when the friars, “Seeing then this

Clutter and publick Ostentation of Love [in the streets of Rome all night long],

had been the cause of so much disorder, […] resolved to carry on theirs privately,

and à la Sourdine, without giving any more occasion of Jealousie than needs

must” (1672: 114). This picaresque spirit resonates with the narrative tone that

Grande has described as deliberately light: “the tone is deliberately light and

meant to please a complicit readership that knows how to appreciate the game of

historical distortion and delights in it” (2021: 70, my translation).5

3.1. History and The Annals of Love

To a certain degree, The Annals of Love could be compared to the work of

Henry Fielding, who was convinced that he was practising and exploring new

ways of novel writing. Like Fielding, Villedieu explains the nature and

characteristics of her work —the annals and, by extension, the nouvelle galante—

both in the preface and the body text. The preface, called a “true manifesto of the

nouvelle historique” by Keller-Rahbé (2010: 127, my translation),6 opens by

explaining the nature and sources of the content. She states that “these Annals of

Love are really History, whose Fountains and Originals, I have on purpose

inserted in the ensuing Table” (1672: A2r). Although containing several

inaccuracies (Keller-Rahbé 2010: 132), this table of bibliographical references at

the end of the preface reveals the intertextual link between the stories and their

sources, while the reader is encouraged to contrast the historical hypotexts with

the novelist’s expanded rendering of them (1672: A4r).7 Both the bibliographical

list and the author’s comments on her treatment of each source reinforce the

authenticity of the stories while asserting their imaginary nature. Therefore, as

Keller-Rahbé has stated: “the reader is invited not to rely excessively on the

sources but to be guided by the author, who presents herself more as a true

novelist and less as a historian” (2010: 132-133, my translation).8 In fact, Villedieu

makes it clear that her fabrications of facts range from writing “almost word for

word out of that chronicle” (1672: A4r) in “James King of Arragon”, fleshing out

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fictional versions of the historical sketch —as in the three about Count García

Fernández of Castile— to inventing entire plots, as she acknowledges that “the

Amour of Nugnez is suppositious” (1672: A4v). However, the list only covers the

first four parts, which are the ones initially published, whereas no reference is

made to the sources of the last four. In the latter, Villedieu further distances her

writing from a historical account as she, for example, imagines Jacaya’s life

(claimed to be Sultan Mehmet III’s son, who must have either died as a young

child or never existed), and foregrounds autobiographical elements in the story of

“Feliciane”, as she crossdresses to search for the man who seduced her.9

Villedieu also declares that her stories do not attempt to depict contemporary

people or events —or, in her words, “a scheme of our present Hyprocrisie” (1672:

A2r)— as earlier high romances often did by encoding character identities and

place names. Nevertheless, she seems to hint that this possibility should not be

thoroughly dismissed: “If in the Conferences and Passages I have invented, there

happens any resemblance with the Intrigues of our Age, it is no fault either in the

History or in me, that was writ long before I was born” (1672: A2v). Yet Villedieu’s

method of embedding political satire in fiction differs from roman-à-clef

narratives. Indeed, her innovative book of princely love affairs and scandals has

been read as a sly attack on Louis XIV’s policy of centralising power: “Their [La

Fayette’s and Villedieu’s] contempt for royal authority […] voices a post-Frondean

nobility’s resentment of Louis XIV’s efforts to curtail its powers, and women

found their agency particularly constrained” (Watkins 2016: 260).10 Although

the French monarchy is never directly attacked (except in “The Countess of

Pontieuvre”), Villedieu is unforgiving in her critique of the Iberian kings, from

whom Louis XIV descended through his mother, Philip III’s daughter Anna of

Austria. “Harlots they were both” (1672: 36) is the narrator’s description of

García Fernández’s wives. Incest and infidelity taint the depiction of Alphonse

VI’s daughters in “The Three Princesses of Castile”, and, in “Jane Supposed of

Castile”, impotent Henry IV of Castile is shown soliciting an heir from his wife

through adultery consented by the three parties: “She pretended great horrour at

the first Proposition, that she might have the pleasure of being pressed; and the

King did her that kindness, he prest, he intreated, and his Election concurring

with the Queens, the good Monarch conducted the Count de Cueva to the Royal

Bed with his own hand” (1672: 311).

Although the English translation contains eight wise maxims in verse in addition

to many more poetical compositions, the instructive or moral sense of Villedieu’s

collection is problematic —or, as she says, “never so irregular” (1672: A3r)—

when depicting the immorality of certain historical actions and characters,

especially religious and female. On the one hand, she claims, “I might interlace,

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and inlay my Examples with profitable Precepts, I observe this Maxime in all of

them, to punish Vice, and reward Vertue” (1672: A3r), which, in 1670, Daniel

Huet described as “the chief end of a Romance”, or “Fictions of Love-Adventures”

in general (1672: 3), while, on the other, as in the examples regarding the Spanish

monarchy, her narrator does not seem compelled to judge immorality and impart

instruction because of her supposedly truthful, objective fidelity to history.

However, she explicitly claims to have modified one of the stories to make it less

morally offensive to readers when she remarks that the “custom of promiscuous

injoyment in all sorts of people, without choice or distinction”, introduced by

Dulcinus and Margaret in Lombardy, was toned down in favour of “the changing

of Husbands and Wives” (1672: A4v). This likely explains why the sequel to the

story of Dulcinus and Margaret, “Nogaret and Mariana”, is the only I-narration

in the book (Mariana being one of the women that Margaret interrogated),

though in the end the latter couple does not divorce but reunites.

In relation to the story of Nogaret, who was not a character of royal extraction, it

is worth highlighting the incidental comment about letters and nuns at the

beginning of “Constance the Fair Nun”: “there have been Letters seen in our days

which have taught us, that of all people in the World, none make Love with that

confidence and freedom as the Nuns” (1672: 82). This could refer to the letters of

Heloise and Abelard, published in Latin in 1616 and popularised at the end of the

seventeenth century, but most probably to anonymous Lettres portugaises, by

Gabriel-Joseph de Lavergne Guilleragues (although for a long time attributed to

Portuguese Marianna Alcoforado) —and entitled Lettres d’amour d’une religieuse

portugaise in subsequent editions— which was first published in France in 1669,

and translated by Roger L’Estrange in 1678 as Five Love-Letters from a Nun to a

Cavalier. Stories with ordinary characters such as these seem beyond her scope of

historical personalities and, thus, of her apparent neutrality at judging their love

affairs and morality — unlike in picaresque and criminal stories, whose purpose

was also the readers’ moral instruction.

Her imaginative expansions of historical episodes involve the addition of what she

calls “some ornaments to the simplicity of History” (1672: A2r). These ornaments

mainly consist of settings and dialogues that give voice to those silenced by

history (1672: A2v), because such accounts of courtship or love affairs would be

unpardonable digressions in serious history books: “I have not memories to trust

to”, she says, “but my own fancy” (1672: A2v). To justify the objectivity of those

fanciful recreations of facts, Villedieu appeals to the universality of human love

and loving throughout time. She argued that if her words and dialogues “are not

what they really spake, they are at least what they might” (1672: A2v). Likewise,

she systematically obliterates tragedies, crimes and catastrophes that do not fall

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into the range of matters acceptable for her annals, and suggests that the reader

consult the “chronological history” (1672: 51) to learn about them. For example,

at the end of the story “Don Pedro King of Castile” (Pedro the Cruel), she

explains that “The rest of the Reign of Pedro de Castile is so repleat with Murders

and Cruelties of all sorts, that I could not describe them without falling into a

Tragical recitation, which I have always carefully avoided” (1672: 204). The

Annals of Love thus generates a parodic, alternative kind of history, since the

chronology is not determined by reigns or wars, but by the accumulation and

sequence of courtship stories throughout time: “The Chronology of History not

according exactly with the Chronology of Love, there are some years in which no

amorous Intrigues are to be found, and there are others in which all the considerable

Accidents are Love” (1672: 53). By doing so, Villedieu as implied author, as

organiser of the level of the story, separates herself from the imposition of history

to generate an alternative pattern, which perfectly suits her creative supplements to

historical records, and to attain her chief purpose of pleasing the reader as the last

word of the preface emphasises: “[…] the intention of the Author, who meant no

more than their [the readers’] divertisement” (1672: A3v). Much of the readers’

pleasure arises from their necessary cooperation with the narrator in reconstructing

the historical ‘adventures’ of love.

3.2. Narrative Technique in The Annals of Love

On listing her sources, Villedieu also generates a spectrum of different degrees of

faithfulness to history, from downright precision to sheer invention. This

fluctuating relationship between historical sources and novelistic fabrications not

only shows the flexibility of Villedieu’s faithfulness to fact, but also anticipates

the intense activity expected from the reader — or the narratee, since there is

little difference between the style and tone of the authorial voice of the preface

and source list, and the narratorial voice of the stories. Indeed, as never before

in English fiction (as far as we know), Villedieu’s narrator often addresses

readers to suggest that they either look for further information or co-operate in

the construction of the narrative world — both actions helping to invigorate the

illusion of reality that characterises the nouvelle.

The equivalence between the implied author and the narrator is most evident in

statements about the structure and design of the book’s stories and parts and its

commentary on historical facts. Indications such as the following were common

in high romances: “And now let us take our leave of our new Emperour and

Empress, and take a fresh turn about the World, to see if we can find any new

Adventure in that Age, that may be fit to close up our Annals of this year” (1672:

106). What is uncommon, and indeed innovative, even in The Princess of

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Monpensier, are Villedieu’s metanarrative comments on the features of her

Annals, especially concerning the theme of courtship and the alternative pattern

of organising history, while she frequently suggests the reader consult books to

obtain a full depiction of the period, as if the imaginary scenes of the stories were

—if not complementary— at least compatible with the chronicles: “I refer the

Reader to the History itself to be informed of all the Occurrences. The Annals of

Love observe only the more remarkable Passages, and represents them without

any regular Order” (1672: 285). Remarks about historical facts, either to grade

their rarity and incredibility,11 or to express her views on them,12 not only increase

the narrator’s storytelling competence, but also transport the elements of wonder

to the level of plain reality. This new depiction of wonder in English fiction may

explain why The Annals of Love prompted John Dryden to pen two comedies:

“Nogaret and Mariana” inspired the character of Doralice in Marriage à la Mode

(1673), while “Constance the Fair Nun” provided the serious plot of The

Assignation; or Love in a Nunnery (1673) (Langbaine 1687: 6-7). Indeed,

Villedieu’s collection contains several stories that certainly contributed to the

emergence of subgenres of fiction in addition to the nouvelle historique and

nouvelle galante such as the oriental tale and the “Scandal Chronicle/Secret

History” (Salzman 1985: 368), and to the dissemination of stories like that of

Agnes de Castro (Cottegnies 2022: 52).

Restoration romance writers paid careful attention to their narrators’ competence

and reliability. The frame-stories are conventionally human-like focalisers that

stand close to the main characters and thus report what is objectively perceived

from an external perspective. Therefore, thoughts, emotions and feelings are only

conveyed through action, gestures, dialogues, monologues, letters, poems, notes

and even through psychosomatic symptoms like fever and other bodily reactions.

The remote past events (i.e. individual stories) are told by homodiegetic narrators,

either their protagonists or witnesses. Similarly, writers of life accounts also

struggled to attain authenticity and, thus, credibility through technique and

textual resources. The anonymous author of one of the biographies, The Triumph

of Truth (1663), claims on the title page to offer an “exact and impartial relation”

of Turner’s life told by himself to “an intimate friend” before the execution. In

addition to the different reports, the author also includes several letters with the

sole purpose “to confirm the truth of these passages” (The Triumph of Truth

1663: 16). Those narrative voices of the English heroic romances and life accounts,

though competent and likely honest, are not completely trustworthy since all

I-narrators are unreliable.

The teller of The Annals of Love exemplifies the narrators that Susan Lanser has

described as “virtually ‘raised’ to the ontological status of historical authors,

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and this semireferential voice is presumed to be communicating the perspective

—the imaginative and ideological consciousness— of the author” (1981: 155).

The narrator is thus endowed with omniscience and other authorial privileges

over the narrative world, an exceptional characteristic in the fiction of the early

years of the Restoration outside satirical works or manifestly unlikely stories.

Besides guiding the reader through the structure and organisation of the

stories, the narrator often explores the characters’ interiority with verbs of

mental activity, sometimes through several sentences13 and other rhetorical

strategies, such as euphemisms, in refusing to articulate what she only pretends

to know: “the Marquess retired to his own Appartment, so confused and

transported with rage, I cannot without crime repeat the flagitious designs he

had at that time in his head” (1672: 246). Moreover, the narrator occasionally

undertakes activities that, in theory, correspond to the implied author. For

example, instead of summarising the content of a letter, she claims to have

translated it from the Spanish (1672: 77), questions the capacity of history to

convey absolute and impartial truth,14 and discusses certain differences between

the romance and her annals, while justifying part of her narration:

A Romantick Author would not fail to have made him conquer his Enemy, and given

the Empire to the Exploits of his victorious Arm; and not without reason, for right

being on his side, why should Fortune be against him? however he performed what

a man of Courage could possibly do in defence of his Title; but in despight of his

Bravery and diligence, he was wounded, defeated, and had much ado to escape the

pursuit of his Enemies; I take the liberty notwithstanding to inlarge, and intersperse

his Adventures with such Accidents as are least incompatible with the History.

(1672: 382)

More radically, the narrator does not hide the fictional nature of the annals. She

openly names a character: “[…] his Astrologer (which we shall call Abdemelec)”

(1672: 64) and, as the author informed about fictitious Hortensia in the preface,

she also makes clear in the body text that she is producing the imaginary life of a

son to Sultan Mehmed III, who died in infancy: “Jacaya, whose History I am

writing” (1672: 380), and of yet others that, like the African woman who fell in

love with King Sebastian of Portugal, has simply been invented:

I do not think the Reader requires further light in this Adventure, I have inlarged it

much to what it is represented in my History, and I assure my self there are many

who believe they have perused all the Memoires of that Age, to whom this Princess

of Morocco is every where a stranger, except in the Annals of Love. (1672: 379)

The narrator often invokes relatively recent historical chronicles, memoires and

manuscripts. These registers both intensify the truthfulness of the story,15 which

is, thus, necessarily realistic, and pinpoint the ‘amorous intrigues’ that her annals

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imaginatively shape. The success of this depends on the reader’s willingness and

ability to enliven the fictional appendixes to the historical records. When the

narrator at times bridges the temporal gap between the present and the historical

past, and reports as if she were witnessing the event,16 it is the reader who sees and

constructs, as Monika Fludernik has argued (2009: 7). The highly self-conscious

narrator of The Annals of Love persists in demanding that the reader not only see

and imagine,17 but also think, understand and judge.18

4. Conclusion

As part of the general objective of broadening the understanding of the

transnational formation of the English novel in the transition from the romance

to the nouvelle, this article has specifically drawn attention to Villedieu’s claim to

historicity and narrative technique in The Annals of Love, translated in 1672. This

work was the first in Villedieu’s collections of stories on historical characters and

was followed by many others, including The Loves of Sundry Philosophers and

Other Great Men (1673), The Disorders of Love (1677) and The Unfortunates

Heroes [Les Exilés] (1679). In addition to the works of Scarron, La Fayette and

Villedieu’s own, The Annals of Love helped consolidate the nouvelle (galante and

historique) and contributed to the emergence of other subgenres (“scandal

chronicles” and “secret histories” among them), relegating the heroic romance to

the past. Nonetheless, the masterpieces of the nouvelle, such as Saint Réal’s Don

Carlos (1674) and La Fayette’s The Princess of Cleves (1678), were yet to come.

Even if they can be broadly considered “historical romances about love and

betrayal at various European courts”, as Watkins has suggested (2016: 260),

Villedieu conceived her “annals” as a distinct kind of fiction, self-consciously

departing towards forms now associated with the novel.

Villedieu explains her treatment of history, both in the preface and in metanarrative

comments in the body text. To this purpose, she provides a list of references with

which the reader may contrast her sources with her stories of courtship and love

affairs; but, while supporting their authenticity, she also grades their faithfulness,

thus generating a spectrum from literal fidelity to complete invention (mostly in

the last stories) and, in the process, creating multiple ways of attaining a pervasive

sense of plausibility. Compared to the English high romances, which were often

set in antiquity or in an unidentified past, her stories take place in post-classical

times (from the tenth century to the early modern period); therefore, many

protagonists were ancestors of seventeenth-century royal and aristocratic families.

Villedieu explicitly concentrates on seduction and love, dismissing serious matters

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of political concern. This method of complementing history, however, arouses a

sense of moral ambiguity because her apparently objective narration stealthily

betrays a rather personal mode of assessing her royal or noble characters and their

lovers, insomuch as her suggestions of admiration or contempt are disguised as a

simple rendering of history. In this regard, though she avoids moral judgement or

instruction, she embeds her criticism in The Annals itself and its picaresque

elements, and in the plain style imitating the language of history to recount

compromising and scandalous events, either facts or suppositions, especially

about the monarchies of the Iberian Peninsula.

The influence of history prompts the rejection of certain features typical of

heroic romances that distort reality (such as outpourings of passionate emotions

and the excessive idealisation of the main characters). However, her annals do

not adhere faithfully to the boundaries of the history-book truth (which is also

questioned), but rather imaginatively complement it. In this respect, Villedieu

patterns an alternative chronology determined by sequences of courtship affairs,

assumes a historian-like role and puts into practice narrative strategies associated

with omniscience. As part of the creation of an atmosphere of authenticity, she

rejects the figure of the unreliable narrator (typical of both the English heroic

romances and the biographies of criminals) to reinforce her narrator’s privileges

so as to make her equivalent to the implied author, not only by contriving and

orchestrating the illusion of historical truth, but also by proposing that the

reader (sometimes compellingly) co-operate with her in animating these

illusions, albeit simultaneously —and paradoxically— being reminded of their

imaginary nature. As has been illustrated, for example, the narrator claims to

have consulted several books about particular stories, analyses the characters’

minds (one of the most significant technical innovations), and is allowed to

name secondary characters, or invent characters and full stories — especially in

the last parts of the collection. By this point, Villedieu’s readers must have been

persuaded to both accept and enjoy her ingenious fabrications from history,

which, as she emphasises in the last word of the preface, were ultimately devised

for their “divertissement”.

Acknowledgements

This article is a result of the research project “Las mujeres y la novela inglesa

temprana, 1621-1699: El contexto europeo / Women and the Early Novel in

English, 1621-1699: The European Context” (Wom-En), funded by Junta de

Andalucía (Ref. PROYEXCEL_00186).

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Notes

1. For the influence of translation

on the English novel see McMurran (2010),

especially chapter one: “Translation and the

Modern Novel” (27-43).

2. “sont plus Galantes

qu’Heroïques”.

3. These are the stories, indicating

the number, title, century, place, sovereign/

ruler involved and first page: 1-2 “The

Countess of Castile” and “The Pilgrim” (10th,

Castile, Count García Fernández, 1 and 4); 3

“Alfreda of England” (10th, England, King

Edgar, 14); 4 “Don Garcias of Spain” (10th,

Castile and France, Count García Fernández,

30); 5 “The Duke and Dutchess of Modena”

(10th, Empire of the West [Aachen], Otho the

Great, 37); 6 “The Three Princesses of Castile”

(11th and 12th, Leon, Galicia, Castile and

Portugal, Alphonso VI of Leon and Castile, and

his daughters Urraca, Theresia and Elvira, 53);

7 “Constance the Fair Nun” (12th, Rome,

Frederick Barbarossa, 81); 8 “James King of

Arragon” (13th, Aragon, James I, 106); 9 “The

Fraticelles” (13th and 14th, Rome, Pope

Boniface VIII, 113); 10 “Dulcinus King of

Lombardy” (13th and 14th, Lombardy, Pope

Clement V, 156); 11 “Nogaret and Mariana”

(13th and 14th, France, Guillaume de Nogaret,

statesman to Philip IV of France, 163); 12 “Don

Pedro King of Castile” (14th, Castile, Peter I,

185); 13 “John Paleogolus Emperour of

Greece” (14th, Byzantine Empire, John V, 205);

14 “Amedy Duke of Savoy” (15th, Savoy,

Amadeus VIII, 223); 15 “Agnes de Castro” (14th,

Portugal, Peter I, 251); 16 “The Countess of

Pontieuvre” (15th, France, Charles VII/Louis XI,

262); 17 “Feliciane” (15th, Tunis/Castile, Count

Arevalo/reign of Henry IV of Castile, 286); 18

“Jane Supposed of Castile” (15th, Castile,

Joana of Castile “la Beltraneja”, 310); 19 “The

Persian Princes” (16th, Persia. Twin sons to

Ismail I, 310); 20 “Don Sebastian King of

Portugal” (16th, Kingdom of Marocco and Fez,

Sebastian I, 355); 21 “Jacaya a Turkish Prince”

(17th, Ottoman Empire, Constantinople,

Greece, Poland and Florence, Mehmed III’s

son who is claimed to have survived, 380). For

their plot summaries see Cuénin (1979).

4. “l’ancrage historique est

beaucoup plus précis et devient nettement

plus fiable”.

5. “le ton est délibérément léger,

fait pour plaire à un public complice, un public

qui sait apprécier le jeu de la déformation

historique et qui s’en amuse”.

6. “véritable manifeste de la

nouvelle historique”.

7. On the list, the name “Ramire

XVI. Roy d’Oviedo & IV. De Leon” in the

French original (Verdier 1663: biij/v), and

“Raymire sixteenth King of Oviedo, and

fourth of Leon” (1672: A3v) in the English

version, may be confusing since there was no

Ramiro XVI, but Ramiro III, which could be

that 16th King of Oviedo and 4th of Leon.

Though the author’s name and the page are

missing in the reference, the itemised source

contains the political and warfare

achievements of the Count of Castile García

Fernández, after which Gilbert Saulnier du

Verdier adds a brief report about his unhappy

marriages — Villedieu’s object of interest

(1663: 269-270).

8. “le lecteur est invité à ne pas se

fier excessivement aux sources et à s’en

remettre à l’auteur, qui se présente moins

comme un historien que comme un vrai

romancier”.

9. As Grande and Keller-Rahbé

have remarked, “the autobiographemes take

the form of haunting images and motifs, such

as that of a clandestine marriage” (2006: 25,

my translation) (“les autobiographèmes

prennent la forme d’images et de motifs

obsédants, que l’on songe par exemple à ceux

du mariage clandestin”).

10. René Démoris has also

described the rise of nouvelle historique and

galante in France as both a consequence and

resistance to Louis XIV’s absolutist monarchy

(1983: 27).

11. “Let not the reader be surprised

at this kind of Vow” (1672: 31); “Examples of

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this kind are rare” (1672: 37); “His misfortune

was too common to be incredible, but the

circumstance with which it was accomplished,

was beyond all belief” (1672: 78-79).

12. “And thus I have given you the

Commencement of this year, not so eminent

for Love, as it promised in appearance. These

six persons had almost no sooner seen one

another, but they were married, and no sooner

married, but they differed, so that this place

would be more proper for an Historical

Abridgment, than the Introduction of an

amorous Intrigue” (1672: 55); “and indeed I

am of opinion” (1672: 68); “And I am apt to

believe with many great Authors” (1672: 355).

13. “She thought that

Circumstance would make the Emperour

believe that she which spake to him was a

Lady of that Rank, and so thinking her

unworthy of his Company, leave her to her

self, but it fell out quite contrary. Frederick

indeed judged of her as she had presaged, but

that opinion made his desires more violent:

for finding them accompanied with hopes,

from their conception, he gave himself wholly

up to them without either fear or discretion;

he considered Constance afresh, her shape,

her air, the sound of her voice, the quickness

of her Eye, and the Pleasantness of her Wit: All

of them were as charming in appearance, as

they were in effect: and flattering his

imagination with a thousand fantastical

Chimera’s, he took his leave of her, the most

enamoured Person in the World” (1672: 87).

14. “But there are few Memoires

which attribute that to Constances Gallant,

which History imputes to the Protector of the

Antipope: and thus it is the great Affairs of the

World are secretly carried on: They have all

several faces, and we see nothing but as the

partiality or ignorance of the Historian

represents” (1672: 103).

15. The stories are replete with

references to history such as “History has

represented this Lady so beautiful, it will be

needless in me to describe her” (1672: 23);

“Margaret his Wife (called in History the

Volupuous [sic]) […]” (1672: 157).

16. “It was pleasant to see the

terrour the poor Countess was in” (1672: 66);

“It was a pretty piece of Grotesque to see this

famous Fraticel […]” (1672: 153).

17. “It is not necessary to insert

how the fair Widow resented so foul an action.

I should have exprest the affection she had for

her Husband but weakly, if the Reader could

not imagine the extream sorrow she

conceived for his death” (1672: 51); “I suppose

there is scarce any Reader but imagines it,

without my description” (1672: 152).

18. “I leave it to the Reader to

judge how much […]” (1672: 49); “There is no

Reader I suppose so ignorant, but he knows

what the Spanish History reports of Leonora”

(1672: 310).

Tomas Monterrey

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This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

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189

ÁLVARO ALBARRÁN GUTIÉRREZ

Universidad de Sevilla

albarran@us.es

<https://orcid.org/0000-0002-9619-8861>

THE POWER OF FANCY: LIBERTY

AND IMAGINATION IN PHILIP FRENEAU’S

COLLEGE WRITINGS

EL PODER DE LA FANTASÍA: LIBERTAD E

IMAGINACIÓN EN LOS ESCRITOS

UNIVERSITARIOS DE PHILIP FRENEAU

DOI: https://doi.org/10.26754/ojs_misc/mj.202510922

Abstract

Like other prominent members of the revolutionary generation, Philip Freneau

lived his formative years against the backdrop of the imperial crisis that would

lead to the independence of the US in 1776, and this would make a lasting

impression on his later life and writings, especially as regards his ideas on the

possibility for creativity and individuality in a time of increasing politicisation.

This article examines the particular terms in which the poet’s college experiences

influenced his conflicted take on liberty and imagination, which remained a

persistent concern both during and after his time at the College of New Jersey

(now Princeton). Drawing on original archival work, the article focuses on his

most extensive reflection on the matter, “The Power of Fancy” (1770), and offers

an analysis of the poem in connection with several other prominent eighteenth-

century philosophical and literary texts that also address the imaginative faculty.

In so doing, the article reveals the workings of an anti-imaginistic tradition,

instilled through the curriculum of late-colonial Princeton, in Freneau’s college

writings — a tradition that the poet both espoused and resisted on his quest for

individual autonomy and creative expression.

Keywords: Philip Freneau, fancy, liberty, imagination, Princeton.

Álvaro Albarrán Gutiérrez

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Resumen

Al igual que otros miembros de la generación revolucionaria, Philip Freneau vivió

sus años de formación en el contexto de la crisis imperial que llevaría a la fundación

de los EEUU y esto, por diversas razones, sería decisivo para su vida y escritos

posteriores, especialmente en lo concerniente a la posibilidad de aseverar su

individualidad creativa en una época de creciente politización. Este artículo

examina los términos en los que la experiencia universitaria del poeta influyó en

su forma de entender la libertad y la imaginación, una problemática que siguió

siendo una preocupación persistente del autor tanto durante como después de su

estancia en el College of New Jersey (ahora Princeton). Basado en un trabajo de

archivo original, el artículo se centra en la reflexión más extensa sobre el tema que

hizo el autor, “The Power of Fancy” (1770), comparando el poema con otros

textos filosóficos y literarios del siglo XVIII que reflexionan también sobre la

imaginación. Al hacerlo, el artículo revela la influencia de una tradición anti-

imaginista, inculcada a través del plan de estudios del Princeton tardocolonial, en

los escritos universitarios de Freneau — una tradición que el poeta abrazó y

resistió a la par en su esfuerzo por encontrar la forma de disfrutar de autonomía

individual y expresión creativa.

Palabras clave: Philip Freneau, fantasía, libertad, imaginación, Princeton.

1. Introduction

Notwithstanding his relative obscurity in contemporary criticism, Philip Freneau

has been credited as “one of the founders of American literature” (Sayre 2017: 59)

and “an author who was inextricably bound up in the political and aesthetic

identity of the newly formed United States” (Gailey 2015: 14). Also known as the

“Poet of the Revolution” and, by some accounts, as the “Father of American

Poetry”, Freneau flourished during the Revolutionary War and early national

period, when he devoted his work to a staunch republican and liberal agenda in the

service of patriotism and, subsequently, the French Revolution and the Jeffersonian-

Republican party. At the heart of his literary as well as journalistic writings lay a

profound concern with the nature of liberty and imagination, and the constraints

besetting creative exploration and individual self-assertion in the newly founded

republic (Broderick 2003: 7-12; Daniel 2009: 66-72; Anderson 2015: 208-213).

In 1770, just two years after his admission to the College of New Jersey (now

Princeton), Philip Freneau composed “The Power of Fancy”. Like Phillis Wheatley’s

“On Imagination” (1773), the poem examines the liberating potency inherent in

the imagination (or fancy) over the poetic mind and the creative process the power

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of fancy appears to enable.1 Foremost in the text lies the idea that fancy, the “regent

of the mind” (1786: l. 4), is a superior faculty of cognition, divine in nature and

unlimited in scope. The “spark” (ll. 5, 7) where humankind may trace “[r]

esemblance to the immortal race” (l. 10), fancy seems to provide the poet privileged

access to an alternative mode of perception, one that allows him to escape the

limitations of “[s]ense” (l. 82) by exposing him, “in vision” (l. 106), to “[n]oble

fabrics” (l. 23), “livelier colours” (l. 108) and “[e]ndless images” (l. 143) of “[i]deal

objects” (l. 145). Prima facie, such an experience would appear a form of liberation,

physical as well as cognitive in nature. On careful consideration, however, engaging

the power of fancy affords the poet nothing but a new form of submission, for

fancy, reluctant to let him roam at will, assumes not only a mediatory but also a

supervisory role in the poet’s journey to her “painted realms” (l. 142). Echoing

Wheatley’s “roving Fancy” (1988: l. 9), which released the poetic mind only to

have it bound into “soft captivity” (1988: l. 12), Freneau’s fancy comes across as a

double-edged sword — one that provides the poet with an experience of creative

transcendence that, paradoxically, can be enjoyed only within set constraints.

There is much in “The Power of Fancy” that may seem, a priori, puzzling, for

rarely is the imagination conceived as a constraining or, for that matter, constrained

mode of perception in contemporary popular use. Revolutionary Americans,

however, remained deeply at odds as to how to respond to the potential for creative

liberation and transcendence often ascribed to the imaginative faculty, and part of

the reason for this conflict, at least for collegians like Freneau, resided in the

contents underpinning higher education syllabi during their formative years — a

period that unfolded against the backdrop of the crisis that would soon lead

to the founding of the US. From his admission in 1768 to his graduation in 1771,

the soon-to-be “Poet of the Revolution” was exposed to an ambitious program of

curricular and extracurricular reforms, primarily designed to spread across

campus “a spirit of liberty and free inquiry” (Princeton University 2010: 237).

This course of study would lead the poet to embrace a spirit of resistance and

protest during and after his college years, but it would also fuel a longstanding

concern regarding the possibility for individual autonomy and creative expression

in a time of increasing politicisation. It is the aim of this article to explore this

conflict and to shed light on how the poet’s college experience influenced his take

on the imagination. Firstly, this study considers several key features of late-

colonial Princeton’s curricular and extracurricular organisation, with a particular

focus on how it influenced students’ approach to civic life and creative liberty.

Subsequently, it examines the poet’s response to Princeton’s curriculum by

analysing his best-known work on the subject, “The Power of Fancy”, including

in the analysis a representative selection of other prominent eighteenth-century

philosophical and literary texts on the topic. In so doing, this paper reveals the

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ideological foundations framing the poet’s conflicted approach to the imagination,

which, under the influence of Princeton’s instruction and eighteenth-century

convention, became a contested site in his quest for creative autonomy and

individual self-assertion.

2. Princeton and Late-Colonial Higher Education

Philip Freneau’s formative years were certainly exceptional. His was a time of

revolution, and nowhere was this more apparent than at the college where he

spent three years studying during the tenure of Reverend John Witherspoon,

Princeton’s sixth president and soon-to-be signer of the Declaration of

Independence. A hotbed of revolutionary sentiment, late-colonial Princeton was

no ordinary college but, rather, one of the most politicised institutions of higher

education across the Atlantic seaboard. “No other college”, as John Murrin

notes, “was so nearly unanimous in support of the patriot cause. Trustees, faculty,

and nearly all alumni and students rallied to the Revolution” (1996: xxi).

However, Princeton was not the only college whose students (or faculty) openly

challenged Britain’s policies in the 1760s and 1770s — nor could this be the case,

considering how far-reaching resistance to such reforms proved to be. Just like

colonials from Boston to Savannah were beginning to challenge parliamentary

abuse, students from Dartmouth to William and Mary were protesting on and off

campus, burning tea, letters and effigies, boycotting local retailers, wearing

homespun, and organising debates on subjects as varied as “Monarchy”,

“Patriotism”, and “Liberty” (Robson 1985: 57-102; Rudy 1996: 4-18; Hoeveler

2002: 297-302; Geiger 2015: 76-87). In all these protests, Princeton remained at

the vanguard, serving as one of the foremost contributors to the upcoming

revolution by providing students with a privileged space to engage with ongoing

polemics. For all intents and purposes, late-colonial Princeton was “the premier

Patriot college” (Robson 1985: 70).

Arguably, the reason for this lay with the numerous reforms that Reverend John

Witherspoon introduced during his presidency at Princeton (1768-1794). As

Gideon Mailer states, “Witherspoon realized that rising tensions between Britain

and the American colonies called for special attention to the instruction of young

men [...] [He] believed that educated young men were increasingly likely to

assume positions of public prominence in ‘the present state of things’” (2017:

182). Like Aaron Burr, Sr., Jonathan Edwards and other prominent former

presidents, John Witherspoon refashioned the course of study at the College of

New Jersey to instill in his students a spirit of intellectual restlessness and critical

inquiry that enabled them to assess and partake in the ongoing discussions. As he

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argued in a 1772 address, “I would not be understood to say that a seminary of

learning ought to enter deeply into political contention [...] But surely a

constitution which naturally tends to produce a spirit of liberty and independence

[...] is infinitely preferable to the dead and vapid state of one whose very existence

depends upon the nod of those in power” (2015a: 111-112). It was this spirit that,

during his administration, led him to enrich Princeton’s curricular and

extracurricular structure, expand the holdings of the university library, improve

teaching methods and materials, and enhance academic standards — a set of

reforms aimed to foster among his student body an interest in civic life and public

service (Sloan 1971: 110-145; Dix 1978: 41-53; Harrison 1980: xxx-xxxii;

Robson 1985: 58-74; Daiches 1991: 167; Hoeveler 2002: 297-298; Longaker

2007: 185-191; Miller 2010: 66-70; Mailer 2017: 212-214).

The imagination, for this reason, remained central to Princeton’s curricular

structure. Even though the concept may sound foreign to contemporary political

and social discussion, British and American thinkers had been writing about the

connection between public life and the imagination at least since the seventeenth

century, in a direct line binding John Locke and Thomas Hobbes to Alexander

Hamilton and Benjamin Rush (Holbo 1997: 22-25; Torre 2007: 136-142;

Schlutz 2009: 13-14; Geuss 2010: 67-69; Frank 2013: 48-55). This explains the

prominence the imaginative faculty had in the lectures given during Witherspoon’s

administration, which elaborated on the teachings and writings of the British

Enlightenment. This tradition, admittedly, did not afford Princetonians a simple

definition of the concept. Joseph Addison did not err when he argued that “[t]

here are few Words in the English Language which are employed in a more loose

and uncircumscribed Sense than those of the Fancy and the Imagination” (1982:

368, emphasis in the original). The seventeenth and eighteenth centuries

produced a myriad of competing articulations of the imagination in the fields of

philosophy, aesthetic theory, literature and medicine, to name but a few.

Notwithstanding the inherent diversity that defined the concept, it is possible to

discern in the writings of the Enlightenment a transition with which Witherspoon’s

students became familiar both in his newly founded courses on “Moral

Philosophy” and “Eloquence”, and in the new volumes added to the university

library (Charvat 1936: 35; Martin 1961: 3-27; Sloan 1971: 103-145; Dix 1978:

41-53; Daiches 1991: 167-172; Court 2001: 30-33; Hoeveler 2002: 297-302;

Miller 2010: 67-76; Cahill 2012: 13, 25-26; Geiger 2015: 72-74; Mailer 2017:

182-214). “Prior to the eighteenth century”, as Michael Saler notes, “many

Western thinkers defined the imagination as the mediating faculty between the

senses and the understanding”, a mediatory power that operated primarily as an

assistant or “subordinate to human reason” (2011: 199). Up to the mid through

late eighteenth century, the imaginative faculty was primarily conceived as a

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secondary mode of cognition and perception, which, like memory, remained

dependent on, and subservient to, reason. In essence, the imagination was regarded

as a mediatory power — the mind’s capacity to produce complex ideas and images

out of the combination of simple ideas, memories and sensible stimuli. John Locke

aptly phrased this idea when he wrote that, “[a]s simple ideas are observed to exist

in several combinations united together; so the mind has a power to consider

several of them united together, as one idea” (1997: 159). Such was the power

ascribed to the imagination, to reconcile or, rather, mediate between a set of

experiences and stimuli to provide cognitive and perceptual unity.

Through the imagination, it was assumed, the mind was capable of cognition,

insofar as it enabled the individual to establish mental links between ideas. As the

eighteenth century progressed, however, the imagination came to be seen less as a

mediatory power and more as a creative force. Rather than depending on past

experiences and sensible stimuli, it began to be conceived as a faculty enabled to

establish associations conducive to ideas not previously encountered in the sensible

realm. As Christine Holbo explains, “the imagination was itself coming to seem,

not a faculty of mediation and moderation, but a revolutionary force challenging

all limits” (1997: 23). Whereas most early conceptualizations of the imagination

had underlined its dependence on external stimuli, from the mid through late

eighteenth century, it was elevated to serve as a creative and liberating power,

presumably equal in status to reason. David Hume would hence conclude that

“[n]othing is more free than the imagination of man; and though it cannot

exceed that original stock of ideas furnished by the internal and external senses,

it has unlimited power of mixing, compounding, separating, and dividing these

ideas, in all the varieties of fiction and vision” (2007b: 47). Even though the

imagination remained primarily associative in its operations over the mind,

in the second half of the eighteenth century, it was broadly assumed that it afforded

the individual the capacity to establish an endless variety of cognitive associations,

serving as the precondition for the individual to partake in a specific mode of

perceptual liberation and transcendence (Engell 1981: 33-50, 65-77; Holbo 1997:

22-25; Schlutz 2009: 5-14; Cahill 2012: 39-41; Holochwost 2020: 6-11).

Such an experience, however, was vexing for eighteenth-century thinkers given its

(alleged) potential for private and public disorder. In discussing the relevance of

the concept of the imagination in Western philosophy, John Sallis explains that,

ever since classical antiquity, discussions and debates on the imaginative faculty

have been traditionally framed within these ambivalent terms: “Ever again

philosophy attests that imagination has a double effect, a double directionality,

bringing about illumination and elevation, on the one hand, and deception and

corruption, on the other, bringing them about perhaps even in such utter

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proximity that neither can, with complete assurance, be decisively separated from

the other” (2000: 46). This potential for liberation and creativity, while inspiring

much praise, sparked the revolutionary generation’s anxieties concerning the

possibility that, were it to establish associations between ideas without limits and

restraints, the imagination could turn into a delusive and corrupting influence.

British and American philosophers often gave voice to these anxieties throughout

the eighteenth century. David Hume, who, as stated above, celebrated elsewhere

the imagination’s liberating and creative potency, warned, somewhat

contradictorily, that “[n]othing is more dangerous to reason than the flights of

the imagination, and nothing has been the occasion of more mistakes among

philosophers” (2007a: 174). Rather than as the key to obtain epistemological

certainty via conceptual association and perceptual transcendence, the imagination

was also depicted occasionally as a potentially deranging and delusive power,

which could drive the experiencing self to establish connections between ideas

that could prove to be not only false, but also harmful for the individual as well as

for society. In enabling the self to escape from the constraints of sensible stimuli

and, by extension, reason, it could also serve as a foundation for epistemological

confusion, psychological distress and social instability, all resulting from fancy’s

unregulated and, hence, potentially delusive and deranging operations (Martin

1961: 107-108; Engell 1981: 51-62; Holbo 1997: 23-24; Cahill 2012: 165-166;

Frank 2013: 52-55; Holochwost 2020: 20).

President Witherspoon was not oblivious to these fears and anxieties. Rather,

the anti-imaginistic prejudice that informed eighteenth-century writings on the

imaginative faculty dominated his lectures, where he endeavored to instruct his

students on the means to contain the potential excesses inherent in the operation

of the imagination — an exercise he equated to a form of civic duty. In addressing

an audience, Witherspoon argued, public writers and speakers should partake in

“an exercise of self-denial” (2015b: 270) and assume “[d]ignity of character and

disinterestedness” (305). As he explained, “it is not easy to procure attention

unless there is some degree of character preserved; and indeed, wherever there is

a high opinion of the candor and sincerity of the speaker, it will give an

inconceivable weight to his sentiments in debate” (305). Because they were

expected to be exemplary civic leaders, Princetonians were discouraged both

from showing excessive interest and passion, and from confusing the provinces of

private introspection and self-expression with those of public life. As Witherspoon

concluded, “[t]hey who reason on the selfish scheme, as usual, resolve all into

private interest” (2015c: 188). This, in turn, explained his call for imaginative

restraint. Instead of nourishing “a warm fancy” (2015b: 291), he argued, public

writers and speakers were to be defined by their capacity to restrain any potentially

subjective mode of expression and perception, and “keep [their] thoughts, desires,

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and affections in due moderation” (2015c: 183). Even though he acknowledged

the potential benefits inherent to “the creative power of fancy” (2015b: 252), he

advised against its use. In addressing an audience, instead, students were

instructed to assume a civic-oriented stance, presenting themselves as disinterested

representatives of the public good, able to sublimate their private interests, and

willing to exercise not full creative autonomy but, rather, what Terence Martin

(1961) referred to as an “instructed vision”.

3. Praising Fancy: Perceptual Liberation and Associationism

Philip Freneau’s college poems bear the imprint of late-colonial Princeton’s

curriculum and, as such, they reflect the roots of a conflicted poetics, especially

as regards the physical and aesthetic limitations Princetonians were instructed to

exercise in conjuring up the imagination. Marcus Daniel does not err when he

writes that “Freneau discovered politics as well as poetry at Princeton” (2009:

67). To this list, however, one should add the anti-imaginistic tradition that

informed the authors with whom he was also becoming acquainted at the college.

From Joseph Addison and John Locke to Francis Hutchinson and David Hume,

the poet grew increasingly familiar with a plethora of voices that insisted that the

imaginative faculty, the key to creative and perceptual liberation, was to be

commended and praised but also used with utmost caution. This ambivalence

arguably became central to early writings like “The Power of Fancy”, where the

poet addressed the constraints that hindered his poetic pursuits — a quest for

meaning to realise “the Romantic sentiment of creative freedom” (Anderson

2015: 211). Such freedom and the possibility for the imaginative faculty to realise

its potential lie at the center of the text, reflecting the multiple strands of conflict

as well as the course of study Freneau worked through during his formative years.

At first glance, “The Power of Fancy” (1770) reads as a prototypical celebratory

paean to the imagination, similar in nature and scope to the writings of British

and American authors in the eighteenth century, from Mark Akenside’s “The

Pleasures of Imagination” (1744) and Joseph Warton’s “To Fancy” (1746) to

Phillis Wheatley’s “On Imagination” (1773). Like these authors, the poet opens

his text with an extended description of the imagination, which, like his

predecessors, he personifies and genders as a female.2 “WAKEFUL, vagrant,

restless thing,/ Ever wandering on the wing” (1786: ll. 1-2), fancy is represented

as an active and dynamic principle, “wondrous” (l. 3) and “unknown” (l. 6) in its

workings, and vested with divine authority, presiding over the mind as a “regent”

(l. 4), a role the poet assigns by virtue of her celestial origin. Twice referred to as

a “spark” (ll. 5, 7), the imagination is rendered as a heavenly power, a privileged

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mode of perception that affords humankind intellectual and spiritual elevation,

and a distinctive creative capacity likening the poet to the divine: “THIS spark of

bright, celestial flame,/ From Jove’s seraphic altar came,/ And hence alone in

man we trace,/ Resemblance to the immortal race” (ll. 7-10). The terms in which

fancy is addressed echo eighteenth-century writings on the imagination, which

was often considered the central element of cognition in philosophical and literary

discussion because of its presumed capacity to link ideas and experiences into

(complex) thought (Engell 1981: 3-10; Holbo 1997: 22-25; Schlutz 2009: 3-14;

Cahill 2012: 1-5; Holochwost 2020: 3-11). The primacy accorded to fancy above

other modes of cognition and perception in the period explains the reference to

the imagination’s divine nature and regal authority in the poem — a depiction

that reinstates an oft-trodden portrayal that can be readily found in multiple

other renditions of the matter with which Freneau became familiar at Princeton.3

Presenting himself as a loyal subject at the service of the imaginative faculty, the

poet completes his celebration with a detailed exploration of the terms whereby

the imagination energises or, rather, galvanises the mind. This power, the poet

intimates, relies on its unique capacity to establish conceptual links between

ideas. This much is suggested when the poet describes in the opening lines of the

text the whole of creation as the product of divine fancy combining preexisting

ideas into a complex and cohesive unit: “What is this globe, these lands, and seas,/

And heat, and cold, and flowers, and trees,/And life, and death, and beast, and

man,/ And time—that with the sun began—/But thoughts on reason’s scale

combin’d,/ Ideas of the Almighty mind?” (1786: ll. 15-20, emphasis in the

original). Like their creator’s, human fancy realises its creative power through the

establishment of trains of associations between “[e]ndless images of things” (l.

143) and “[i]deal objects” (l. 145), refashioned into “[n]oble fabrics” (l. 23), new

“shape[s]” (l. 78) and “livelier colours” (l. 108) in her “bright, celestial flame” (l.

7). Freneau’s fancy, it follows, is of the associationist kind, and, as such, conforms

to the prevailing eighteenth-century theory that the imagination creates new

ideas by combining memories, experiences and sensible stimuli. This theory, it

should be noted, had a particular following among Scottish philosophers from

the “Common Sense” school, whom Princetonians studied as part of President

Witherspoon’s course on moral philosophy. Through these thinkers, Freneau and

his classmates learned about the imagination’s boundless capacity for cognitive

linking but also about the potential corruption to which excessive imaginative

associations could lead the mind (Martin 1961: 3-27; Lesley 1970: 90-126;

Holbo 1997: 22-27; Court 2001: 30-33; Craig 2007: 46-59; Cahill 2012: 25-26;

Holochwost 2020: 3-11). This explains the poet’s move to include reason as the

arbiter whose “scale” (Freneau 1786: l. 19) assesses the products of divine

imagination and, one would assume, the human mind: fancy, the text implies,

creates through cumulative and continued association, yet under supervision.

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This point is not to be taken lightly, for it directs the reader to one of the central

tensions the text takes up as a theme. In the poem, after all, fancy does not submit

to but, rather, resists control, which it can do quite successfully and with ease due

to its perpetual, accelerated motion. “Sense”, as the speaker asserts, “can never

follow her” (1786: l. 82), for only fancy may strike her “SWIFT” (l. 57), though

“unseen” (l. 22), course through the “painted realms” (l. 142) where,

notwithstanding reason’s efforts, she holds sway as the undisputed “regent of the

mind” (l. 4). To prove this point, the central section of the text elaborates in

detail on a “vision” (l. 106), mediated by the power of fancy and phrased in terms

of an imaginary journey around the world, in which the poet, both royal subject

and travel companion, joins fancy on an eastbound flight from the Atlantic

seaboard to California by way of Europe, India and the Pacific Islands. Freneau’s

college writings often elaborate on such journeys. The Rising Glory of America,

too, opens with a cursory view of major locations associated with Western

civilisation, from Ancient Egypt to Britain through Greece and Rome, only to

end up asserting that the text will sing “[a] Theme more new” (1772: l. 24), the

rise of a new imperial seat in America. Exploiting one of the most recurrent tropes

in late-colonial political literature, translatio imperii, the text vindicated America’s

prospective centrality in the global theater of nations by claiming that the seat of

power had historically moved westwards (McWilliams 1988: 159-160; Wertheimer

2009: 21-22; Giles 2012: 142-143; Adams 2013: 394). Though resorting to the

journey trope, “The Power of Fancy” strikes a different tone, thematically as well

as geographically. James Engell suggested as much when he noted that the text

“is a progress poem in reverse, a stunning redirection of the usual British theme

of the progress of poetry westward […] The reverse progress [comes across as] a

continuous eastering, an ‘orienting’, until fancy returns to the New World on the

California coast” (1981: 194). Reversing the westward course of empires for an

eastbound flight, Freneau subverts the foundations animating late-colonial

political writings as he reorients the journey trope in a move that bespeaks fancy’s

power to transcend limitations.

This power becomes conspicuous in the journey that fancy and the poet

undertake, itself a trope occasionally found in eighteenth-century poetry. David

Mallet’s The Excursion also has the reader follow a journey where fancy takes the

poet around and beyond the globe: “Fancy, with me range Earth’s extended

Space,/ Surveying Nature’s Works: and thence aloft,/ Spread to superior Worlds

thy bolder Wing,/ Unweary’d in thy Flight” (1728: ll. 6-9, emphasis in the

original). Like Mallet, Freneau’s journey with fancy is conducted both on the

sensible and on the noumenal worlds. Engaging the imagination, the poet claims

to partake in an experience of creative transcendence where the barriers that

would otherwise define phenomenal existence collapse, enabling the poet to

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perceive existence at large. Thanks to fancy, the poet may not only explore the

world but also “[l]isten[ø] to the chimy tune/ Of the bright, harmonious spheres”

(1786: ll. 30-31), a reference to the Pythagorean belief that the movement of

celestial bodies followed a harmonious arrangement, which also informed the

organisation of the cosmos. Fancy, in that sense, affords the poet an experience

not far removed from what Thomas Akenside’s “The Pleasures of Imagination”

identified as the imaginative faculty’s capacity for ontological and epistemological

certainty: “[F]or with thee comes/ The guide, the guardian of their lovely

sports,/ Majestic TRUTH; and where TRUTH deigns to come,/ Her sister

LIBERTY will not be far” (2015: ll. 21-24). Freneau’s fancy, like Akenside’s,

affords a privileged mode of perceptual liberation and creative self-assertion,

which grants the poet the power to ascertain and alter the order of possibility. In

the text, fancy comes across as a creative as well as regenerative force, a “spark”

(1786: ll. 5, 7) that galvanises “[n]oble fabrics” (l. 23) and “[e]ndless images” (l.

143) into being while also reenergising “faded scenes” (l. 101) into “livelier

colours” (l. 108). Elevated by fancy, the poet depicts himself as an agentive force

who can perceive and recast reality at whim — an idea that anticipates Percy

Bysshe Shelley’s claim that “[p]oets are the unacknowledged legislators of the

World” (2018: 883).

4. Taming Fancy: Creative Autonomy and Imaginative

Restraints

The poet’s response to the power that fancy affords is presumptively positive.

Presiding over the creative process, fancy is the recipient of much praise and

commendation. This image, however, is consistently, though subtly, questioned as

the poet begins to detect flaws in fancy’s operations. In the conclusion to the text,

as a case in point, the speaker claims as follows: “Fancy, to thy power I owe/ Half

my happiness below” (Freneau 1786: ll. 147-148). The quantifier “half” in the

passage invites discussion, for it is not rare to locate similar suggestions of fancy’s

partial or, rather, defective nature. As he celebrates the experience of perceptual

transcendence that fancy makes possible, he yet again suggests that, through her

mediation, he can “[l]isten[ø] to the chimy tune/ Of the bright, harmonious

spheres” (ll. 30-31), which he is nonetheless quick to qualify as a flawed endeavor,

for he can listen only to “[n]otes that half distract the mind” (l. 40). The idea the

text advances is that fancy affords an experience that cannot be fully enjoyed, as if

the imagination ultimately failed to achieve the elevation the poet seeks. John Keats’

“Ode to a Nightingale” elaborates on a similar idea as the poem, also a vision

mediated by fancy, concludes, “Adieu! the fancy cannot cheat so well/ As she is

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fam’d to do, deceiving elf” (2018: ll. 73-74). The idea that fancy is deceitful, which

was prevalent in eighteenth- and nineteenth-century writings, is one that,

admittedly, Freneau would address more explicitly in later publications. Like Keats,

however, the poet presents the imagination as a limited and, to some extent, limiting

power, which brings about a much less gratifying experience than it first appeared.

The reason for this flawed performance, the poet intimates, has to do not so

much with an inherent defect as with the terms in which fancy exerts its power.

The central section of the poem provides evidence as to the underlying power

dynamic that animates the relationship between the imagination and the speaker,

and his reaction to what he perceives as an oppressive demand for subservience.

As the “regent of the mind” (Freneau 1786: l. 4), fancy expects the poet to submit

to her command, forcing him to follow her lead on the allegorical voyage they

both conduct in her “painted realms” (l. 142). Rather than moving alongside him

and enabling him to explore her domains at will, fancy controls the path as well

as the pace of the journey, so much so that the speaker struggles to follow and is

occasionally forced to ask his guide for assistance: “Lo! she leads me wide and

far,/ Sense can never follow her—/ Shape thy course o’er land and sea,/ Help me

to keep pace with thee” (ll. 81-84). That the poet struggles to follow fancy seems

like an interesting point to make but one that should not come as a surprise, for

fancy “[b]ears” (l. 111), “[l]eads” (ll. 35, 81, 113), “[p]laces” (l. 116), and, in

essence, drags him around the world, supervising the poet’s exposure to her “[i]

deal objects” (l. 145) and, hence, controlling the extent of his creative potential.

Literally carried by fancy, the poet comes across on closer examination not as an

agentive force but, rather, as a passive observer at the mercy of the “Fickle

Goddess” (l. 65) he acknowledged as regent in the opening lines.

It is difficult not to see in the poem traces of the same conflict Wheatley took up

as a theme in her own take on the matter. In “On Imagination”, the poet begins

what reads at first as an ode to the imagination with a praise to a faculty she also

identifies in royal terms as an “imperial queen” (1988: l. 1). For the two poets,

the imagination presides as a monarch over the mind, enabling the experiencing

self to transcend sensible limitations by releasing him (or her) in visions that, as

Wheatley puts it, “amaze th’ unbounded soul” (l. 22). The terms of reference the

poets use become telling when one considers the context in which the texts were

composed. As colonial resistance to imperial authority spread, Freneau and

Wheatley see a monarch at the helm of human cognition and perception — a

move that leads them to struggle with the same tensions late-colonial Americans

experienced with power and authority beyond the domains of poetry. These

struggles manifest in “On Imagination” in what Wheatley, much like Freneau,

identifies as the imagination’s insistent demands for submission: though seemingly

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a liberating force, the imagination ultimately attempts to “bind” the mind with

“silken fetters” (l. 11) into a “soft captivity” (l. 12). Edward Cahill provides a

lucid analysis of how this conflict manifests in Wheatley’s text, writing that,

[i]nsofar as the “soft captivity” of aesthetic pleasure enables liberty of imagination,

it might be read as a bold expression of abstract liberty and a dangerous form of self-

authorizing individualism, especially for a slave. But insofar as the poem emphasizes

the imagination’s authoritative role as the “ruler” of her “subject-passions”, it

functions as precisely the kind of Cato-like bracketing of selfhood demanded by

republican virtue. (2012: 60)

This contradiction, which Wheatley veils in what reads at first as a paean to the

imaginative faculty, remains central to her approach to the imagination, and

parallels Freneau’s own rendering.

Like in “On Imagination”, in “The Power of Fancy”, the imagination is not

presented merely as a benevolent assistant but as a despotic figure, insofar as she

allows the poet to participate in an experience that requires him to submit to her

guidance and command. Although quick to engage and praise her power, the

poet, aware of fancy’s demands, seems unwilling to endorse full submission and,

instead, attempts to reclaim authority by commanding, rather than obeying,

fancy, such as when he demands through accumulated imperatives that she “[w]

aft [him] far to southern isles” (Freneau 1786: l. 73), “[s]hape [her] course o’er

land and sea” (l. 83), and, as the text concludes, “stop, and rove no more” (l.

124). There is an element of predictability in the fact that a British colonist, on

the brink of the Revolutionary War, purports to rebel against a figure explicitly

associated with monarchic authority — a figure that, contrary to his

contemporaries, Freneau astutely identifies not as a “queen” but as a “regent”,

curtailing her claim to absolute power.4 Though still carried by the imaginative

faculty, the poet resists full submission to her authority, managing to redirect the

course of the creative process originally spurred by the power of fancy so that it

continues to unfold on his own terms. Fancy and the poet’s struggle for power,

however, is never fully solved, so much so that, by the end of the text, they

continue to vie for creative authority. This may explain the poem’s concluding

lines, which, to some extent, come across in this light as a call for reconciliation:

“Come, O come—perceiv’d by none,/ You and I will walk alone” (ll. 153-154).

This is not the only instance in which the poet tries to appease fancy and

encourage her to join him, not as his regent but as his equal. Earlier in the text,

the poet urged fancy neither to command nor to obey but to walk alongside him

so that, working in tandem, they might “wandering both be lost” (l. 119) and

retire “to some lonely dome” (l. 35), where the creative process, a theme of the

poem, may go on unmediated by external or, for that matter, internal constraints.

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“The Power of Fancy”, hence, points to a potential compromise between fancy

and the poet’s competing demands for authority — a compromise defined by a

foundation of shared sovereignty. Such a compromise remains elusive, as does the

possibility for the poet to exert the power of fancy without restraint. Rather than

a “conventional view of imagination” as a “cooperative” faculty (2005: 66), to

use a phrase from Annie Finch, Freneau ends up taking a highly ambivalent

position on the limits of the imagination, which becomes a restraining force

precisely when the individual attempts to conjure up its creative and liberating

potential for a private purpose. Given the nature of late-colonial Princeton’s

curricular and extracurricular organisation, that the poet should have remained

conflicted as to the private application of the creative powers of the mind may

come as no surprise. Witherspoon explicitly argued in his “Lectures on

Eloquence” that, when “kept in great moderation” (2015b: 291), and when

directed to serve a public cause, the imaginative faculty could have a positive

influence but, otherwise, “[i]magination is not to be much used” (2015b: 291).

Elaborating on the anti-imaginistic discourse that informed much of eighteenth-

century Anglo-American philosophical, literary and aesthetic thought,

Witherspoon exposed his student body to a civic paideia that problematised the

pursuit of private modes of self-representation and expression. In texts like “The

Power of Fancy”, Freneau addresses the extent of its creative expectations and,

hence, questions the burden and limitations it imposed on the poetic mind.

This query is phrased, however obliquely, in the context of a battle of the sexes, a

power struggle between the male and female forces operating in the text, namely,

the poet and fancy. The explicit gendering of fancy as a female figure in the opening

lines and the ensuing battle for autonomy that pits the imaginative faculty against

the poet, an implicitly male figure, is not rare among eighteenth-century writings.

Barbara C. Freeman examined how this dynamic informed the works of Immanuel

Kant, particularly his understanding of the sublime, which, for him, “presupposes

an interplay between two highly personified faculties of the mind, the imagination

and the reason. This dyad is in fact a barely disguised hierarchy that provides the

grounds for debasing one half of the couple at the expense of the other” (1997: 69).

As detailed in his Critique of Judgment (1790), Freeman continues, “the attainment

of the Kantian sublime is dependent upon a sacrifice; its cause is the collapse of the

imagination’s capacity to connect empirical reality with the realm of abstract

ideality” (1997: 69-70). This collapse unfolds in Kant’s discussion as the

imagination (gendered as female) battles for control with reason (gendered as

male), a process that required the latter’s victory to enable the experiencing self’s

perceptual and cognitive transcendence via the sublime. As Freeman concludes,

“what is at stake is a certain violence that imposes a hierarchical relation whose

paradigm is achieved through a self-sacrifice by the putatively weaker partner” (72).

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This dynamic, which would become prevalent in the writings of the Romantics, is

anticipated in “The Power of Fancy”. Unlike his counterparts in Europe, Freneau’s

take on the matter fails to bring about the collapse that Kant envisioned. Admittedly,

the dynamic established between the female and male drives in Freneau’s poem is

not one that can be pinned down to an allegorical rendition of imaginative and

rational forces in battle. Be that as it may, the break that would result in the self’s

liberation in the Kantian tradition via sublime transcendence does not occur in

Freneau, who, despite his resistance, endeavors to find common ground with fancy

and negotiate a compromise, which never fully materialises neither in this text nor

in later writings.5 In the absence of this break perhaps lies the poet’s inability to

transcend the barriers of the imagination, attain creative autonomy, and escape

from, as Wheatley would put it, fancy’s “silken fetters” (1988: l. 11).

5. Concluding Remarks

Princeton University Library holds a copy of the eighth volume of The Works of

Alexander Pope (1757), formerly part of the Freneau library. The volume contains

a collection of the letters written by the British poet, in the margins of which

Freneau scribbled occasional lines and reflections. Foremost among these

marginalia lies a brief stanza located below Alexander Pope’s letter to Richard

Steele, the co-founder of the influential British magazine The Spectator, dated

November 7, 1712. In the letter, Pope provides a translation of Emperor Hadrian’s

famed last words as recorded in Historia Augusta, where the Roman leader

addresses his soul as the “pleasing companion of [his] body” and compares,

rather melancholy, “[its] former wit and humour” to its current “trembling,

fearful, and pensive” state (Freneau 1774: 228). Elaborating on Pope’s translation,

Freneau noted what comes across as a revision of “The Power of Fancy” in the

margins. The fragment, which bears the date “1774”, reads as follows: “Little

pleasing wandring [sic] mind/ Guest and companion soft and kind/ Now to

what regions will you go/ All pale and stiff and naked too/ And just no more as

you were wont to do”. Far from serving as the galvanising power conjured by the

original poem, the imaginative faculty stands, like Emperor Hadrian’s soul, in a

state of decay. “[P]ale”, “stiff” and “naked” (l. 4), the poet’s “mind” (l. 1) or,

rather, fancy has lost its vigor, leading the poet to wonder whether it can still exert

its liberating and creative power as it was “wont to do” (l. 5) or, were it not to be

the case, then, “to what regions will [it] go” (l. 3).

Even though the fragment was composed on a later date, its connection to “The

Power of Fancy” is telling, insofar as the faculty with which the poet had struggled

to come to terms during his formative years has seen its condition worsen after his

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graduation. Echoing the calls for union and resistance then spreading across the

Thirteen Colonies, the imperial crisis brought profound politicisation to

Princeton, leading President Witherspoon to introduce an ambitious program of

curricular and extracurricular reforms to raise a generation prepared and desirous

to resolve the crisis. This civic paideia, however, remained a source of much

conflict for the poet, whose college writings suggest multiple layers of tension

underpinning his response to the demands late-colonial Princeton made for

prospective public writers. In his early writings, the poet envisioned the possibility

to escape from such demands through the mediation of the power of fancy.

Rather than affording perceptual transcendence, however, fancy partly releases

the mind, but it does so by anchoring him to a frame of reference where his

creative impulses are tamed under her command. The type of fancy the poet

praises but also resists in the text, in this light, responds to that “instructed

vision” (Martin 1961) that Princetonians were encouraged and educated to

endorse — a controlled imaginative power that Freneau fails to embrace and,

instead, contests, though to no avail. In later years, the tension between the

impulses that dominate college writings like “The Power of Fancy” would

rapidly escalate, forcing the poet to choose between writing in the service of the

American Revolution and finding a space to assert his own creative autonomy as

the country came into being.6 It was at Princeton, nonetheless, that the “Poet of

the Revolution” first encountered the problem of the imagination, and it was the

experiences at this institution that laid the foundations upon which his later

writings would address the potential for creative autonomy afforded by the

power of fancy — a power he both admired and resented throughout his career.

Acknowledgements

This article is based on the author’s doctoral dissertation and founded on original

archival work, which would not have been possible without the funds provided by

the University of Seville’s Departments of Internationalization and Research

(VIPPIT-2018-II.2), as well as the assistance and support provided by Dr. Ramón

Espejo Romero (University of Seville).

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1. The terms “imagination” and

“fancy” have a complex history. For most of

the eighteenth century, both referred to the

same faculty. Although the foundations upon

which nineteenth-century thinkers would

mark the distinction between them were

introduced in the eighteenth century, in

general terms, they were virtually

interchangeable by the time Freneau attended

Princeton (Engell 1981: 172-183; Pyle 1995: 38-

39; Cahill 2012: 246; Costelloe 2013: 195;

Holochwost 2020: 9-10). This paper,

accordingly, uses these terms interchangeably.

2. From classical to early modern

literature, the imagination was gendered

either as male or female. Beginning in the

early modern period, the representation of the

imagination as a woman became increasingly

consolidated, becoming standard practice in

late-colonial writing. See Maura Smyth (2017)

for an extensive analysis.

3. . The opening lines in Mark

Akenside’s “The Pleasures of Imagination”

provide a case in point, considering that the

poet dubs fancy the “smiling queen of every

tuneful breast” (2015: l. 9, emphasis added).

Likewise, Joseph Warton’s “To Fancy”

introduces the imagination as a “crown’d”

(2015: l. 12) figure, a “Goddess” (l. 49), later

acknowledged to rule the poetic mind as

“queen” (l. 129).

4. In context, the term “regent”

affords two possible readings: a generic term

for a person who rules or governs (OED n. 1a)

and a specific term for a person vested with

authority by or on behalf of another for a

period of time (OED n. 2). Unlike Wheatley’s

“imperial queen” (1988: l. 1), Freneau’s

terminology affords the possibility of rebellion

because fancy’s authority is as temporary as a

regent’s.

5. Evidence supporting this idea

lies in the terms framing the poet’s relation to

“The Power of Fancy”. The full text was issued

only in the 1786 edition. In the 1795 and 1809

editions, it was extensively revised and

separated into two texts, “Ode to Fancy” and

“Fancy’s Ramble”, which omit most of the

central conflict of the poem. Rutgers

University Library holds Freneau’s personal

copy of the 1786 edition (RUL, “Freneau

Collection”, Association Volumes, Item 8, Box

1). “The Power of Fancy” is almost entirely

crossed out, which suggests how conflicted

the poet remained in later years both with the

text and with the ideas he tried yet failed to

reconcile.

6. See, for example, “Mac

Swiggen; a Satire” (1775), “The Beauties of

Santa Cruz” (1779) and “The House of Night, a

Vision” (1779).

Notes

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Received: 15/07/2024

Accepted: 15/01/2025

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SARA VILLAMARÍN-FREIRE

Universidad de Santiago de Compostela

sara.villamarin@usc.es

<https://orcid.org/0000-0002-1287-0754>

TAINTED BY (WHITE) TRASH: CLASS,

RESPECTABILITY AND THE LANGUAGE OF WASTE

IN DOROTHY ALLISON AND BONNIE JO CAMPBELL

CORROMPIDO POR LA BASURA (BLANCA):

CLASE, RESPETABILIDAD Y EL LENGUAJE

DE LOS DESECHOS EN DOROTHY ALLISON

Y BONNIE JO CAMPBELL

DOI: https://doi.org/10.26754/ojs_misc/mj.202510514

Abstract

This article addresses the depiction of class, whiteness, dirt and respectability in the

short stories “Meanest Woman Ever Left Tennessee”, by Dorothy Allison, and “Boar

Taint”, by Bonnie Jo Campbell, from the perspective of waste studies and whiteness

studies. Characters in these stories erect discursive barriers between themselves and

others, deemed ‘white trash’ — a pervasive stigmatype connected to the working

poor experience in the US. By enforcing hierarchies that conflate cleanliness and

respectability, these characters seek to prove their adherence to unmarked forms of

whiteness while resisting assimilation into the white trash category. The negotiation

of (intra-)class divisions, especially between middle and working classes, exposes the

malleability of social hierarchies predicated on relationships of waste. In the end, the

protagonists’ rejection of white respectability re-signifies their association with waste

and leads them to find pride and community in their working-class occupations,

without necessarily embracing a purported white trash identity.

Keywords: white trash, waste studies, whiteness, respectability, working class.

Resumen

Este artículo aborda la descripción de las relaciones de clase, la blanquitud

(whiteness), la suciedad y la respetabilidad en los cuentos “Meanest Woman Ever

Sara Villamarín-Freire

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210

Left Tennessee”, de Dorothy Allison y “Boar Taint”, de Bonnie Jo Campbell,

desde la perspectiva de los waste studies y los estudios de blanquitud. Los personajes

en estas historias erigen barreras discursivas entre ellos mismos y otros a quienes

consideran “basura blanca” — un “estigmatipo” dominante conectado a la

experiencia de la clase trabajadora pobre en los Estados Unidos. Al imponer

jerarquías que fusionan higiene y respetabilidad, estos personajes tratan de

demostrar su adherencia a formas no marcadas de blanquitud mientras resisten ser

asimilados a la categoría “basura blanca”. La negociación de divisiones de clase,

especialmente entre las clases media y trabajadora, revela la maleabilidad de las

categorías sociales basadas en relaciones de desecho. Al final, el rechazo de las

protagonistas a la respetabilidad blanca confiere un nuevo significado a su

asociación con la “basura” y las lleva a considerar sus ocupaciones de clase

trabajadora con orgullo, sin por ello abrazar necesariamente una supuesta identidad

como “basura blanca”.

Palabras clave: basura blanca, waste studies, blanquitud, respetabilidad, clase

trabajadora.

1. Introduction

Dorothy Allison’s exploration of poor white experiences in Trash: Stories (1988)

has received limited attention when compared to her oft-mentioned novels Bastard

out of Carolina (1992) and Cavedweller (1998). Even less attention has been given

to Bonnie Jo Campbell’s American Salvage (2009), a collection of short stories set

in post-industrial Michigan at the turn of the millennium and populated by

characters whose lives are likened to the remnants of a disintegrating social order:

“It’s as though there was some kind of apocalypse and nobody noticed, and now

a large number of folks are living off the debris that’s left behind” (Campbell in

Kothari 2008). Despite noticeable differences in their respective backgrounds,

themes and preoccupations, both authors often focus on the lives of those left

behind — more specifically, on the experiences of the white American underclass

and the stigma they carry.

In this article, I scrutinise contemporary iterations of the white trash trope in

Allison’s “Meanest Woman Ever Left Tennessee” and Campbell’s “Boar Taint”

from the perspective of waste theory and whiteness studies. My analysis seeks to

shed light on the rhetorical strategies mobilised by those characters who are

perceived as being ‘white trash’. I am thus interested in examining how the class

hierarchies used in these stories draw from the language of waste to establish poor

whites as both polluted and polluting, continuing a long tradition of presenting

the white underclass as inherently tainted. To that end, the article includes a

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succinct overview of the origins and evolution of the term ‘white trash’, followed

by an analysis of how some characters in Allison’s and Campbell’s stories

demonstrate allegiance to white respectability by invoking discursive divisions

based on notions of cleanliness and dirt. However, these stories also feature other

characters who reject the conflation of respectability and (racial) purity, and strive

to reappropriate the term ‘trash’ in order to vindicate class dignity and physical

labor. I contend that the protagonists in these stories reshuffle the principles of

respectability, purposefully downplaying the negative connections between

working-class occupations, dirt and the poor white stigmatype, without necessarily

embracing a purported white trash identity.

2. Poor Whites through the Lens of Waste Studies

Dirt, waste and trash are “essentially disorder” or “matter out of place”, in Mary

Douglas’s famous definition (2001: 2, 36). Waste exists as “the by-product of a

systematic ordering and classification of matter, in so far as ordering involves

rejecting inappropriate elements” (36). However, the very existence of waste is

what constitutes any “dominant system of order” in the first place, given that the

system can only be maintained on the condition that it expels any elements

perceived as potential “threats against that order” (Liboiron and Lepawsky 2022:

150). Defined relationally as the absence, lack or negation of another entity, waste

is therefore “contextual, place-based, situated, and historically specific” (149).

Considering that “some pollutions are used as analogies for expressing a general

view of the social order” (Douglas 2001: 3), one of the most productive areas of

inquiry to branch from waste studies examines how certain social dynamics are

mapped according to models and relations of wasting.

Exploring how these models are incorporated into the construction of social

hierarchies has helped shed light on their inner mechanisms and subsistence, as

well as on the discursive strategies used to negotiate the boundaries between

pollution and cleanliness. Susan Morrison argues that one of the ways in which

humans separate themselves from those deemed inferior is by incorporating the

language of waste into the “rhetoric of othering” in order to make undesirable

individuals “cognate to waste”, thereby constructing “unprivileged races, religions,

and ethnicities as unclean or inhuman” (2015: 97). This rhetorical application

stems from the threatening dimension of waste as an abject presence that ought to

be expelled “in the interest of maintaining a boundary between what is connected

to the self and what isn’t” (Hawkins 2006: 24). The compulsion to separate

oneself from polluted elements originates in the perception that “things deemed

dirty, spoiled, or noxious carry polluting effects, by touching” (Zimring 2015: 1).

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Transferred to the social plane, this fear of pollution translates into “projective

disgust” as one imaginarily anticipates contamination (Morrison 2015: 102,

emphasis in original). It is often not enough to jettison tainted individuals from a

system (or push them to the margins) to preserve it; non-tainted individuals are

driven to reinforce these symbolic boundaries rhetorically to maintain their distance.

When labelling and categorising tainted individuals, few expressions are blunter

than ‘white trash’. The term, whose origins date back to the rural American South

in the first half of the nineteenth century (Isenberg 2017: 135; see also Harkins

2004, Wray 2006), designates members of the white underclass who bear “certain

socially stigmatized traits or characteristics” (Hartigan 1997: 50). White trash

conjoins “an ethnoracial signifier” and “a signifier of abject class status” to name

“a kind of disturbing liminality […], a dangerous threshold state of being neither

one nor the other” (Wray 2006: 2-3). Whereas ‘white’ is generally used to code

‘wealth’, its coupling with the insult ‘trash’ to denote ‘economic waste’ leads to an

atypical denomination, given that “whiteness is so rarely connected to poverty in

the US imaginary” (Newitz and Wray 1997: 8). Even though its origins are

connected to the social organisation of the plantation economy, the term white

trash has long crossed geographical limits to emerge as a repository of every

reprehensible trait from which other whites want to distance themselves —

including associations with chronic and extreme poverty, illiteracy, laziness, genetic

inferiority (often manifested in scrawny or sickly constitutions), criminality,

perversion, sexual degeneracy and debased appetites, to name a few.

Throughout US history a plethora of stigmatypes, including ‘cracker’, ‘hillbilly’,

‘redneck’ or ‘clay-eater’, have been attached to whites on the fringes of whiteness

who display any traits mentioned above. The term refers to “stigmatizing boundary

terms that simultaneously denote and enact cultural and cognitive divides between

in-groups and outgroups, between acceptable and unacceptable identities, between

proper and improper behaviors” (Wray 2006: 23). An important aspect of

stigmatypes is that they function like relations of waste, that is to say, shaping

categories by recourse to absence or negation. In this case, white trash functions

both as “a rhetorical identity” and “a category of pollution through which white

middle- and working-class Americans evaluate the behaviors and opinions of other

whites of similar or lower class status” (Hartigan 2005: 113). From this perspective,

the use of ‘trash’ is indicative of “self-conscious anxiety among whites over threats

of pollution that threaten the basis for belonging within whiteness” (99). As a

negative identity whose main attribute is the lack of adherence to unmarked,

hegemonic forms of whiteness, white trash is “a means of inscribing social

distance”, especially for middle- and working-class whites “who occupy a place

‘just above’ the class divide from poor whites, straddling a line they are forever

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213

fearful of crossing” (Hartigan 1997: 50). An imperfect or failed performance of

whiteness may result in being labeled trash and hence socially marked as Other

— a white Other.

What makes poor whites unassimilable into normative whiteness is their

transgression of racial decorum. Whiteness is associated with domination and

hegemony (Hartigan 2005: 2) but depends on remaining invisible to preserve its

claims of universality, as Dyer argues: “Whites must be seen to be white, yet

whiteness as race resides in invisible properties and whiteness as power is maintained

by being unseen” (2017: 45). The breach of white decorum positions poor whites

as “an embarrassing and symbolically messy group which has to be distinguished

from the pure white middle class” (Grué 2014: 39). Functioning as a “contrastive

strategy or rhetorical boundary construction”, the category “white trash”

unambiguously separates white individuals from “a certain form of racial detritus”,

that is, “whites who, through their poverty and ungainliness, fit insecurely within

the body of whiteness as a hegemonic order of political power and social privilege”

(Hartigan 2005: 114). Whenever the boundaries of racial decorum are found to

be precarious, the language of waste is mobilised to demarcate what, or who,

adheres to the standards that regulate unmarked whiteness.

Even though poverty is a significant attribute of white trash as a category, it is not

what makes or breaks where the line is drawn.1 Not all poor whites are white trash.

Yet ever since the term was first introduced, it has been used inconsistently;

sometimes, a person’s character or morality could place them in the category,

overriding economic factors, and sometimes individuals meet both criteria.2

Insofar as the attributes assigned to white trash depend on how whiteness perceives

itself, the term has changed over time. Representations of poor whites (especially

in Southern literature) can be understood as “barometers of the cultural anxieties

gripping middle-class white people” in different periods (Hubbs 2022: 7).

Nonetheless, there are several traits, including a series of physical, intellectual and

moral shortcomings, that are commonly associated with white trash — in opposition

to other whites who, as Dorothy Allison argues, were categorised as “the good

poor — hard-working, ragged but clean, and intrinsically honorable”:

I understood that we were the bad poor: men who drank and couldn’t keep a job;

women, invariably pregnant before marriage, who quickly became worn, fat, and old

from working too many hours and bearing too many children; and children with

runny noses, watery eyes, and the wrong attitudes. […] We were not noble, not

grateful, not even hopeful. We knew ourselves despised. (Allison 2018: vii)

The separation between the ‘good poor’ from the ‘bad poor’ is nonetheless

malleable and has evolved throughout time. In colonial times, the overlap between

the language of class and the language of race still assigned “symbolic properties,

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characteristics, and traits” indistinctly to “poor whites, Indians, and blacks” alike

(Wray 2006: 22-23).3 Around the mid-nineteenth century, mounting racial

tensions and concerns about the stability of the existing social order, especially in

Southern states, led to a shift not only in terminology but also in the

conceptualisation of poor whites “as somehow less than white, their yellowish skin

and diseased and decrepit children marking them as a strange breed apart”

(Isenberg 2017: xxvii).4 For many upper- and middle-class commentators, the

degradation of poor whites translated into a distorted version of whiteness that

challenged their perceived racial affiliation. Chronic poverty, malnutrition and

other ills stemming from the socioeconomic condition of poor whites were

increasingly understood to be consequences of some intrinsic degeneracy.

Overall, race became increasingly codified in terms of purity and cleanliness as the

nineteenth century progressed, which ties in with Mary Douglas’s observation

that waste categories are used to buttress social hierarchies “wherever the [social]

lines are precarious” (2001: 140). During the postbellum period, these divisions

sharpened as “the rhetoric and imagery of hygiene became conflated with a racial

order that made white people pure and anyone who was not white, dirty” (Zimring

2015: 89). This rhetoric can be traced in print sources, especially among Southern

authors who located poor whites “along a primitive/civilized scale all too often

applied to slaves and other people of color” (Mellette 2021: 9). The expansion of

print media during the period contributed to the spreading of this rhetoric beyond

geographical demarcations and likewise established a visual-verbal repository of

poor white types in the collective imaginary nationwide.5

The eugenics movement at the turn of the century and its emphasis on “racial

blood” (Dyer 2017: 24) helped solidify the stereotype that “large numbers of

rural poor whites were ‘genetic defectives’” (Newitz and Wray 1997: 2) and

“represented a grave internal threat to the white race” (Hubbs 2022: 4). Again,

the language of waste separates poor whites from the rest, marking them as

inherently flawed and dangerous on account of their twofold status as polluted

individuals and polluting agents. Early examples of eugenicist reports published in

the 1870s “claimed that ‘degenerate’ poor white families biologically transmitted

morally unacceptable and socially and culturally inappropriate qualities to

generation after generation” (Wray 2006: 68), perpetuating a race of mongrels

and criminals. The vocabulary in use borrowed heavily from animal husbandry and

“highlighted unnatural breeding, unfit governance, and the degenerate nature of

the worst stocks” (Isenberg 2017: 176). While the popularity of eugenics waned

in the 1930s and 1940s, it made a decisive contribution to the solidification of

widespread assumptions about poor whites, which persist in the US collective

imaginary to this day (Newitz and Wray 1997: 2).6

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Nowadays, ‘white trash’ remains a polarising term, regardless of some tepid

attempts to dignify the label — notably, among working-class writers associated

with the ‘grit lit’ genre who have sought to contest negative representations of

poor whites (see Hubbs 2022: 108-20).7 Other derogatory labels have fared

better, yet ever so slightly.8 Nevertheless, white trash continues to be a negative

identity in at least two senses of the word: first, its existence is predicated on the

negation of the traits associated with unmarked whiteness, which implies it is a

mutable concept; second, although the images of both unmarked whiteness and

white trash transform over time, the latter works by accrual, accumulating decades

of reified prejudice. In other words, it is hard to claim white trash as an identity

due to its pejorative nature, but especially because its existence is not predicated on

possessing certain attributes, but on not possessing them. Any attempt to carve out

a white trash identity must be considered carefully, lest they suppress the term’s

“historical and economic complexity” and turn it into an ahistorical, static notion

— or worse, a commodity or aestheticised “consumable identity” that the middle

classes can find “attractive” (Smith 2004: 375, 385). The complicated relation

with white trash as a social category, as well as the struggle to delineate an

alternative identity that departs from, yet re-signifies, the meaning of waste as a

boundary that ought not to be trespassed, are central concerns in the short stories

by Dorothy Allison and Bonnie Jo Campbell analysed below.

3. Warding off Trash

While the two short stories I examine in this study vindicate the association with

trash, to some extent they are likewise firmly anchored in ideas and projections of

white respectability that the main characters directly challenge or renegotiate. I use

the term ‘respectability’ or ‘white respectability’ to denote a set of social codes,

attitudes and beliefs that characters in these stories associate with upper- and

middle-class normative whiteness. In Dorothy Allison’s “Meanest Woman Ever

Left Tennessee”, the character of Shirley Boatwright constantly draws boundaries

between herself and other poor whites to dispute her association with white trash.9

Frustrated that she must live with her husband and children, whom she sees as an

inferior breed, Shirley is physically and verbally abusive, obsessed with making her

family comply with her idea of ‘quality’. This becomes a paradoxical request, as she

also claims they can never truly be ‘quality people’ on account of their innate lowly

status. Bonnie Jo Campbell’s “Boar Taint” follows Jill, a young woman who has

relocated from Ann Arbor to a rural community in southwest Michigan after

marrying Ernie, a local farmer, as she goes to purchase a hog from a poor white

family, the Jentzens. The story offers a nuanced depiction of respectability and

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social stigma by showcasing different rhetorical negotiations of class allegiances

—specifically, the existing intracommunal divisions and the perception of the same

community from an external viewpoint— and considers the malleability of these

divisions depending on the position one occupies in the social ladder.

Both stories feature characters who refute their association with the white trash

stigma by demonstrating allegiance to respectability. To this end, they stage a

rhetorical displacement that involves situating someone else at the bottom of the

social hierarchy, thus transferring any associations with white trash to that inferior

position by mobilising the language of waste. If “to see ourselves as higher socially,

we need to cordon ourselves off from direct contact with muck”, these characters

epitomise “[t]he desire to dissociate ourselves from excrement, filth, and waste as

much as possible” in order to maintain rigid class distinctions (Morrison 2015:

47). The problem is that, as these stories make apparent, it is often not enough

to refute one’s identification with white trash for it to be effective. Adherence to

respectability is often meaningless if it is not corroborated by an outsider’s

perspective. In “Meanest…”, Shirley’s insistence on her superior status is met with

contempt by her fellow workers at the mill; even though she seeks to ingratiate

herself with the foremen by informing on her fellow employees, there is no proof

they regard her as anything else than a pawn at their service. In “Boar Taint”,

Ernie’s distancing from the Jentzen family is challenged by Jill’s outsider

perspective; influenced by her urban, middle-class family, Jill cannot help but

notice the similarities shared by Ernie and the Jentzens — which, by extension,

bring her closer to the Jentzens than she might have imagined.

As I advanced earlier, the borders of respectability are erected in these stories by

mobilising the language of waste against individuals perceived as inferior. In

“Meanest…”, Shirley cultivates clear-cut discursive boundaries that allow her to

sort people into either ‘quality’ or ‘trash’, two poles that determine how she treats

others. For Shirley, née Wilmer, the Boatwrights belong to a diseased breed of

“devils and worms and trash” whose “natural substance was dirt and weeds”

(Allison 2018: 21). Her verbal attacks draw from the white trash stigmatype;

namely, she is adamant that her husband’s father is a drunk and his sisters are lazy

and live in dirt-floor cabins (24). Her attitude toward her husband and children

seemingly stems from her family’s rejection after she married — presumably, below

her social station: “My side of the family don’t even want to know you’re alive”

(24). She obsessively strives to demonstrate to others that she is still “one of the

quality” (21, emphasis in original) by adhering to a rigid code of respectability. For

instance, she assigns value to different types of jobs, claiming that “[m]ill workers

are a better class of people than miners” (23). Likewise, she conflates respectability

and cleanliness, as it is made apparent in her stories of “how big and clean” the

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Wilmer house was, “how the porch shone with soapstoned wood and baskets of

sweet herbs that Grandma Wilmer used in her cooking, how the neighbors admired

her mother and looked up to her daddy” (24). Depicted as the quintessential

proper place, Shirley’s childhood home mirrors the commendable moral quality of

those living in it.

Even though Shirley’s obsession with cleanliness and dirt is central to the story, it is

suggested that she believes respectability to be an inherent biological trait. In each

of the story’s fragmentary vignettes depicting Shirley’s unmotivated abuse, her

eugenicist rhetoric ascribes manifestations of racial degeneracy to her children, such

as laziness (“Trash don’t know the meaning of use. Just like you kids”), promiscuity

and sexual degeneracy that verges on the monstruous: “Wouldn’t nobody take an

interest in you if you were to birth puppy dogs and turtles — which you might.

You might any day now” (Allison 2018: 24). Whereas Shirley believes her own

superior status is discernible to the naked eye, noting that “[t]he better people

[…] know their own” (21-22), she rules out the possibility that any of that status

has been passed on to her children: “Boatwrights, you’re all purely bred

Boatwrights” (24, emphasis added). Her fear of pollution is likewise apparent in

how she reacts to her many pregnancies, to the extent that she accuses her

husband of putting “death and dirt” in her: “All I’ve got out of you is death and

mud and worms” (26). Besides bringing Shirley closer to the stereotypically large

white trash family, each new pregnancy entails that she must carry degenerate

Boatwright blood inside her, forcing unwanted contact with a source of pollution

and thereby posing a threat to her integrity. These forced contacts further enrage

Shirley, fueling her hatred for her children.

Even if respectability is coded as an inherent biological trait, this does not prevent

Shirley from chastising her children for not living up to her standards. She

constantly polices their bodies and personal hygiene and berates them whenever

she finds any flaws: “That neck don’t look clean to me, Bo. You trying to grow

mold in those armpits, Mattie? Why are you so dirty and stupid?” (Allison 2018:

23). This is perhaps the clearest example of how the rhetoric of waste is used by

Shirley to erect boundaries that her children will never be able to cross. These

divisions act as reminders that they can never be assimilated into white respectability.

As the story approaches its climax, Mattie observes Shirley berating her younger

brother Bo for his table manners:

“Quality people use serving dishes”. Shirley slapped Bo’s hand. “Quality people

don’t come to the table with grease under their nails”.

“I washed”. […]

“If you’d really washed, you would be clean”, Shirley was saying. “Nobody in my

family ever came to the table with dirt under their nails. You go wash again”.

My family, Mattie thought. My family. (Allison 2018: 29)

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By “oppressing others” whom she sees as lower than herself, Shirley seeks to

prevent “becoming the lowest form of trash herself” (Morrison 2015: 52). This

attitude is also manifested in her workplace, yet it does not have the same effect

— mainly because other workers see Shirley for what she is: a snitch. This difference

will become the catalyst for Mattie’s rebellion at the end of the story.

Whereas “Meanest…” is rather straightforward in the way it represents how

respectability is constructed and understood, “Boar Taint” complicates matters by

departing from Ernie’s working-class perspective and then inserting Jill’s middle-

class outlook. The initial portrayal of the Jentzens as seen by Ernie draws from the

white trash stigmatype. The road to their farm is “long” and “slow”, leading “past

where the blacktop gives way to gravel and farther past, where it twists and turns

and becomes a rutted two track” (Campbell 2009: 151). This description

establishes them as backwoods people, not to be trusted — an impression

reinforced by Ernie’s reservations about the purchase: “That’s an awful cheap

price for any kind of hog […]. You got to ask yourself” (152). Moreover, his

recollections of having been classmates with a Jentzen kid tap into the white trash

imaginary, depicting them as extremely poor, malnourished and illiterate: “Had

only one pair of overhauls to his name. He never brought anything to eat for

lunch, not even lard-and-salt sandwiches like us regular poor kids. He still couldn’t

read in the fifth grade” (152, emphasis added). Access to normal food separates

“regular poor kids” from the Jentzens and their debased or inexistent appetites,

continuing a long tradition of identifying strategies to ward off hunger as

symptomatic of depravity (Hubbs 2022: 94): “Them Jentzens still living on

woodchuck meat and dandy-lion greens?”; “Jentzens got a good crop of pokeweed

this year?” (Campbell 2009: 163, 165).10 Unlike Shirley in “Meanest…”, Ernie

does not straightforwardly claim adherence to respectability, but his characterisation

of the Jentzens clearly portrays them as an inferior class to the “regular poor”,

working-class type Ernie believes he represents.

By contrast, Jill’s encounter with the Jentzens is not constructed by invoking the

“good poor” versus “bad poor” rhetoric used by Ernie. For Andy Oler, Jill’s

encounter with the Jentzens replicates the conventions of “hillbilly horror” as it

exploits cultural anxieties, in this case related to the dangers posed by polluted

whiteness entwined with rural decline (2019: 171). As a middle-class urbanite-

turned-farmer, Jill’s experience with backwoods people originates from a different

place than Ernie’s, even though both versions are ultimately caricatures of white

poverty. The scene as viewed through Jill’s eyes suggests that she makes sense of

her encounter with the Jentzens through the lens of “the city dweller versus evil

rural folk paradigm” (Murphy 2013: 135).11 Jentzen farm is a decaying “turn-of-

the-last-century house”, shrouded in darkness; when Jill enters, “her work boots

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press grit into the plank floor” (Campbell 2009: 153-54). The people inside are

silent and do not quite fit inside the room. Jill first distinguishes “the silhouette of

a shriveled old man in a thin undershirt, sitting motionless at a table”, and then

four more men, their faces looking “uniformly grimy” in the dim light of the stove

(154). One of them, “with dark blond hair stringy from sweat”, sits panting with

“[h]is mouth hung open”, which reminds Jill of “the way her chickens sweated

through their open mouths on the hottest days” (155). Meanwhile, the only

woman present, “thirty-five at the most”, is described as having a rough face and

raw hands, swollen ankles and two missing teeth (156). The emaciated, animalesque

profiles, combined with the suffocating atmosphere of the kitchen, make the

Jentzens feel grotesquely alien, reinforcing the association between the decaying

exterior and the physical decadence of those crammed inside.

Jill’s urban, middle-class upbringing places her farther away from both the Jentzens

and her husband, a situation that renders her incapable of spotting all the

differences between them, which Ernie perceives to be blatantly obvious. Instead,

she can spot their common quirks and habits from her outsider’s perspective.

Namely, she quickly notices that the Jentzens are “not hooked up to the power

grid” and remembers how she had to persuade Ernie “to get the electricity

connected to the house and barn”, a recently introduced feature that did not

prevent him from sitting “at the kitchen table with the oil lamp or the Coleman

lantern” when left to his own devices (Campbell 2009: 153). Jill’s observation that

“[p]eople back home in Ann Arbor refused to believe there were still folks without

electricity in America” (153) draws a line, not between Ernie and the Jentzens, but

between “people back home” and rural Michigan, blurring Ernie’s claim to

respectability as part of the good poor. Later, as she notices a mended tear in the

screen door, she is reminded of how they, too, “had repaired their screen with duct

tape last week, and she had felt bad, thinking about how her father used to replace

a porch screen when it had the tiniest hole” (157). Jill’s father’s attitude is

indicative of a middle-class ethos of consumerism and disposability, one he deems

to be the superior option: “Her father couldn’t understand how Jill could choose

a life where there was no time to relax and do things right” (157, emphasis added).

Jill imagines him pontificating on her life choices from his office: “Her father

might enjoy leaning back in his office chair about now and telling her she’d wasted

twenty-five —no, thirty— dollars and a quarter-tank of gas” (162). Compared to

Jill’s father and his respectable middle-class persona, Ernie’s mindset is very much

aligned with that of the Jentzens.

Although they represent “the clearest image of the struggling Midwestern farmer

on the brink of collapse in the twenty-first century” (Ortega 2023: 53), the

Jentzens are not the only ones who struggle financially. Jill and Ernie are going

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through a rough patch after Jill squandered most of her grandmother’s inheritance

investing in a series of failed agricultural schemes (Campbell 2009: 159). Their

neighbor has “lost about everything except his house and garage in the last few

years” and now works in retail, while his estate has been sold by the bank to “a

larger corporate farm” (163). These circumstances raise doubt regarding the

community’s socioeconomic prospects. While observing Jentzen farm, Jill notes

that “[a] big clapboard house like this […] could have been a showpiece in the

historic district in Ann Arbor, with the siding, trim, and glass all repaired”, but

here it is just a rotting anachronism “doomed to collapse” (154). The house and

its inhabitants are remnants of a lifestyle that will only get increasingly obsolete as

corporate farming takes over; Ernie and his community will follow suit. This

realisation hits Jill as she returns home, hog in tow, to find Ernie, their neighbor

and his son “sitting at the porch picnic table with the Coleman lantern” (162).

The eerie resemblance between this scene and what she witnessed back at Jentzen

farm pushes Jill to the edge: “She wanted to unhook the trailer, pull out of this

driveway, and head south until she was far enough away that she could look back

and see it all in miniature” (163). Jill’s assimilation into the category of trash, like

in Mattie’s case by the end of “Meanest…”, appears to be inevitable. However,

both these characters manage to re-signify the implications of assimilation through

their labor — in Mattie’s case, by choosing to sign up with the union and, in Jill’s

case, by doubling down on her commitment to live as a farmer despite the threat

of economic decline.

4. Re-signifying Trash through Labor

After examining the rhetorical strategies deployed to establish (intra-)class divisions

in Allison’s and Campbell’s stories, I would like to address how the association with

waste is repurposed by the characters of Mattie and Jill, who vindicate this

connection — even if that aligns them with the white trash stigmatype. In both

cases, this vindication entails a rejection of respectability embodied by parental

figures: Mattie refuses to follow her mother’s example at work, choosing class

solidarity over aspirations of upward mobility; meanwhile, Jill makes the choice to

stay a farmer despite her father’s prejudice, even if that implies grappling with

economic uncertainty. In doing so, these characters reshuffle the traits of

respectability, finding a sense of pride in their association with what others see as

trash. Although both stories opt for an open ending, it is hinted that their decision

to recast their association with waste may be the solution to their respective conflicts.

Throughout “Meanest Woman Ever Left Tennessee”, Mattie seems to be the only

Boatwright sibling to stand up to her mother’s attacks: “she hated the way Mattie

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would stare back at her and refuse to drop her eyes” (Allison 2018: 23). The other

children think Mattie is “crazy”, but nonetheless “worshiped her craziness and

suspected that without her they might have all curled up and died” (23). Although

Shirley reviles all members of her family, she is especially vicious to Mattie and

often singles her out for her alleged depravity. In Shirley’s eyes, Mattie is

simultaneously promiscuous and undesirable, in tune with other portrayals of

white trash sexuality as voracious and deviant.12 She tells Mattie she is a “whore”

who is not “worth two cents a night” (25) and takes every opportunity to drum it

into her: “[Mabel Moseley] said you were shaking your ass and swinging your hair

like some kind of harlot” (30).

In the story, Mattie’s rebellion runs parallel to her entrance in the workforce and

her sexual awakening. When she and her brother Bo are forced to find work at the

textile mill, Mattie soon discovers that other women “stepped aside when her

mama passed”: “Everybody said Shirley Boatwright believed her piss was wine.

Everybody said she repeated whatever she heard to the foreman on the second

shift” (Allison 2018: 27). Shirley’s attempts to get ahead have earned her a place

in the finishing room, “[s]afely separated from the rest of the mill by a wire-and-

glass wall” (27), but she does not instill respect in others — only resentment and

animosity. Realising her mother’s real role in the mill starts to affect Mattie’s views.

Moreover, on her way to work every morning, she often runs into a young man

who openly flirts with her: “Lord, I do love to look at pretty girls” (Allison 2018:

28). Mattie notices that this is “the first time anyone had ever suggested [she]

might be pretty” and becomes flirtatious, too, which in turn emboldens her: “She

didn’t know what she wanted to say to anybody. She only knew she wanted to start

finding things out. She felt as if her eyes were coming open, as if light were

sneaking into a dark place inside her” (28-29). This positive association between

desire and freedom recasts Mattie’s sexuality in a different light; instead of the

monstruous depravity Shirley perceives, it is presented as a liberating force that

shapes Mattie’s aspirations in life.

This change in perspective leads Mattie to openly question Shirley and her

worldview. This is reflected in the story’s progressive shift in focus, from Shirley to

Mattie, showcasing her contrasting opinions. Whereas Shirley’s food is “[w]hite

on white”, her daughter fantasises with the vibrant colors of “[b]lack-eyed peas

with pork and greens […]. When she had her own kitchen, there would be lots of

color” (Allison 2018: 29). Examining the gaps between the floorboards, Mattie

wonders, “What would it be like […] to live in a house with dirt floors?” (30). This

leads to the final scene where Mattie antagonises Shirley by bringing up the “union

man” to her brother: “‘Trade union’. Mattie filled her fork again and then looked

right past her mama to Bo. ‘You think we ought to sign up?’” (31). As Shirley gets

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up, most likely to slap her, Mattie finds herself thinking that “when she had kids,

she’d sit them all down on the dirt floor and tell ‘em to sign with the union” (31).

Confronting her mother entails embracing a lifestyle that radically clashes with

hers; thus, Mattie begins to chart an alternative pathway that casts the association

with dirt in a positive light, rejecting her mother’s brand of respectability and

embracing working-class allegiance. By depicting Shirley as a snitch allied with the

foremen, the story also makes the case that Mattie’s fantasy to live in a dirt-floor

cabin and sign with the union repurposes Shirley’s aspirational middle-class

respectability as working-class dignity.

For Jill in “Boar Taint”, repurposing respectability also entails rejecting parental

influence and embracing her association with dirt. Like Mattie’s, her future is

uncertain. Jill has gone from “post-graduate student working with experimental

bean crops” (Campbell 2009: 153) to full-time farmer in the span of thirty-six

months and struggles with her sense of belonging. Whereas she keeps squandering

money on failed schemes, such as experimental soybeans that never sprouted or a

milking operation that soon becomes obsolete, Ernie sticks to “his hundreds of

acres of the same corn, oats, and beans he’d been harvesting for the last three

decades” (152) and seems to regard Jill’s failed ventures with a mixture of

skepticism and pity (159). This perception is perhaps conditioned by Jill’s

insecurity, fueled by her family’s deprecating opinions: “Her family was right: just

because she’d studied agriculture for six years didn’t mean she knew a damned

thing about farming” (161). Her father seems to be particularly critical of Jill’s

choices, as he tells her that “marrying Ernie was proof positive she didn’t know a

damned thing about real life” (161). In the story, Jill tries to navigate her feelings

of inadequacy and alienation, as well as the looming threat of economic decline

— all sentiments that become more acute after her encounter with the Jentzens.

The hog ordeal reveals that the real threat for Jill does not lie in being attacked by

the Jentzens, but in becoming the Jentzens. Besides the uncanny parallels between

Ernie and the men, Jill notices unsettling similarities between herself and the only

Jentzen woman:

Despite the swollen ankles and two missing teeth, the woman appeared not much

older than Jill, maybe thirty-five at the most. Her hair was still a rich brown, but her

face was rough, as though sunburned season after season. Jill always tried to

remember to put on sunscreen, but rarely reapplied it after sweating it off. The

woman held out her raw hand, and as Jill gave her the five and the twenty, she noted

her own hand was torn up from scrubbing the cow barn’s concrete floors and walls

to prepare for this morning’s inspection. (Campbell 2009: 156)

These eerie coincidences haunt Jill, who becomes aware of how the gap she had

imagined between herself and the Jentzens is closing: “Until Jill had seen the

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Jentzen woman, she hadn’t understood what her family feared for her” (162).

This realisation dawns on her on the drive home. Believing the hog has collapsed

and died from an infection, and swarmed by negative thoughts, Jill grabs a fancy

“imported dark chocolate bar with hazelnuts” she had just acquired at the grocery

store “as an indulgence” (153) and messily devours it with “mud-crusted hands

smell[ing] of pig shit”:

She […] tore away the wrapper with her fingers and teeth, undressed the top of the

chocolate bar, spit out bits of foil. She bit into the heat-softened chocolate and

chewed and swallowed wildly. The luxury of it made her feel drunk. She tore away

the rest of the wrapper and devoured the whole damned thing. Despite the pig stink,

it tasted better than anything she’d eaten lately […]. (161)

In this passage, Jill becomes physically and symbolically tainted from the perspective

of white respectability. She partially confirms her family’s fears were founded as she

breaks away from middle-class respectability and decorum. Seeing that “her ideas

for extra income” may in fact be “hurrying the end along” (Campbell 2009: 162),

she is flabbergasted to find Ernie and their neighbors sitting around the Coleman

lantern, an image that seems to confirm Jill’s fears that they are, indeed, just like

the Jentzens: “What would her father say if he were here? Would he make clever

remarks about failing farms and inbred families at the ends of dirt roads where

everybody had six fingers on each hand?” (164). In this imaginary scornful

comment, Jill has crossed over to the other side, aligned with the “failing farms

and inbred families” her father likes to ridicule.

Even though she is tempted to flee, unsure whether “she belonged here at all”

and whether Ernie “see[s] her as a farmer” (Campbell 2009: 164), Jill chooses to

stay. In doing so, she insists on placing value in rural life even if that entails living

in contact with polluting substances, like soil and manure. Despite the influence

her father holds on her, Jill manages to separate the physical taint that is involved

in farm work from the symbolic taint her father conflates with it: “Her father

couldn’t understand […] how the contours of the farm interlocked precisely with

the contours of her mind” (161). Ultimately, it is Jill’s passion which gives her the

resolve to persevere: “All she’d ever wanted, from the time she was a kid, was to

work with land and animals, to work beside a good man” (161). However, she

charts her own course after witnessing the fate of the Jentzen woman. In an interview,

Campbell noted that the Jentzen men are “especially terrifying” to Jill because she

feels they “might devour her for sustenance”: “The challenge for Jill staying on the

farm with Ernie is that she has to imagine a way she can stay on her own terms and

without her own men devouring her” (in Kothari 2008). The end suggests there

might be hope in her sense of innovation, as opposed to the stagnant ways of failing

farmers (Ortega 2023: 54).

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In the end, Jill pursues what might be the only viable alternative left, striving “to

salvage what she can of the farm’s future” (Ortega 2023: 52) in her attempts to

adapt “their agricultural practice to a changing economy”, whereas Ernie

“continues to farm as he always has, despite evidence that his is a declining way of

life” (Oler 2019: 171). Although Jill realises that, “like all the farmers in this

downward spiral, she and Ernie could lose everything” (Campbell 2009: 162), the

story concludes on a somewhat high note after she discovers the hog is alive and

will only need some antibiotics to thrive. Despite the bleak economic prospects,

she reassures herself that her pig-roasting plan “was once again looking very

promising”: “This boar had turned out to be exactly what she needed, a creature

even bullets could not stop” (167). This ending is only possible after Jill rejects

both her father’s prejudice against rural life and Ernie’s prejudice against the

Jentzens. In staying, Jill ignores her own inevitable association with the poor white

stigmatype and tries to make an alternative pathway for herself.

5. Conclusion

Bearing all these aspects in mind, both “Meanest Woman Ever Left Tennessee”

and “Boar Taint” depict labor as a source of pride by reshuffling the tenets of

middle-class respectability, represented by the characters of Shirley and Jill’s father,

to compose a portrayal of working-class dignity wherein associations with dirt and

manual labor are cast in a positive light. Whereas Allison’s story puts emphasis on

the value of class solidarity by linking dirt-floor cabins and trade unions in Mattie’s

rebellion against the tyrannical rule of white respectability, embodied by her

mother, Campbell’s story looks past stereotypical depictions of rural folks and farm

life as backwards and degenerate, showcasing instead the intrinsic value of physical

work. Arguably, if Jill had not been tainted by driving to Jentzen farm and wrestling

the hog into her truck, she would have relinquished the opportunity to salvage the

farm’s future; if becoming tainted renders her closer to the Jentzens and the white

trash stigmatype, it is a price she is willing to pay. Similarly, Mattie does not mind

being associated with her family and fellow workers’ lowly status, as long as she can

distance herself from the abuse and impossible expectations her mother places on

her siblings and her.

Each story illustrates how the upper and middle classes benefit from the working

classes’ investment in respectability by including a plot that presents these internal

class divisions as having a direct negative outcome for their livelihoods. In

“Meanest…”, Shirley’s desire to move up in society grants the foremen access to

information on other workers, potentially jeopardising their activities. In “Boar

Taint”, farmers continue to believe they do not have it as bad as the Jentzens

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despite proof to the contrary, instead of finding a common cause against the

expansionist threat of corporate farming. Although the stories do not exactly

vindicate a purported “white trash identity”, they do reject the white trash

stigmatype and its discursive links with waste. Instead of dwelling on the rhetoric

of othering deployed by their fellow characters, Mattie and Jill re-signify their ties

with waste by introducing new, positive associations between dirt and self-worth

— while Mattie vindicates her working-class affiliation and rejects Shirley’s

aspirations of social ascent, Jill similarly relinquishes her father’s middle-class ethos

and finds pride in her newly acquired expertise as a farmer, even if that opens a rift

between her family’s social station and her own. Dorothy Allison and Bonnie Jo

Campbell provide relevant examples of how literature can contribute to dignifying

working-class lifestyles in the US by fostering positive representation, namely by

showcasing life choices that place value in what is often regarded as worthless, but

also by presenting the plurality of poor white experiences instead of falling for

reified identities and negative stereotypes.

Notes

1. For a thorough analysis of the

changing identities of the ‘undeserving poor’

throughout US history, see Katz (2013).

2. See Forret (2006), esp.

“Introduction”.

3. At least until the first half of the

nineteenth century, terms like “immoral, lazy,

and dirty” were still applied to “Irish

immigrants, African Americans, Indians, and

poor Southern whites alike” (Zimring 2015:

30). Later, however, race divisions pushed

understandings of poor Southern whites as

not entirely white, solidifying the conflation of

poor moral character and race while

downplaying the role of class.

4. Nancy Isenberg discusses the

“ingrained physical defects” that

characterised white trash Southerners in

nineteenth century descriptions, noting that

by being “classified as a ‘race’ that passed on

horrific traits”, the possibilities of improvement

or social mobility for poor whites were

eliminated (2017: 135-36). This connects to

fears of social arrivisme in the South during

Reconstruction, epitomised in the figure of

the scalawag, and the desire to maintain

preexisting social hierarchies on account of

alleged racial and biological differences (see

Isenberg 2017, ch. 8). In parallel to these

transformations in the US South, the growth

of an urban underclass living in deplorable

sanitary conditions cemented the belief that

“poverty and immorality went hand in hand”

regardless of location (Zimring 2015: 30).

5. Among these characters, Ransy

Sniffle, created by Augustus Baldwin

Longstreet, paved the way for subsequent

representations of poor whites. Sniffle was

“notable for his poor diet, his physical

deformities, his laziness, apathy, and low

intelligence, and his oddly colored skin”

(Wray 2006: 40). Moreover, illustrators like

E.W. Kemble disseminated the stereotypical

image that would come to be associated with

white trash (see Hubbs 2022). For further

reading on the presence of poor white

stereotypes in nineteenth century media, see

Harkins (2004).

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6. For a thorough chronological

review of the antecedents and rise of

American eugenics in relation to poor whites,

see Isenberg, especially chapters 6 to 8 (2017:

135-205). For a shorter yet compelling

overview, see Wray, chapter 3 (2006: 65-95).

Regarding the persistence of eugenics-

influenced visions of poor whites as

intrinsically degenerate, especially in rural

contexts, see Murphy (2013) for a

comprehensive discussion of the hillbilly

trope in contemporary backwoods horror film.

7. For a nuanced discussion of the

factors influencing the commodification and

vindication (or lack thereof) of white trash

identity in recent years, see Hartigan (2005:

109-33) and Smith (2004).

8. For instance, ‘redneck’ and ‘hillbilly’

have been partly revitalised by their association

with country music, authenticity, and simple

life, yet those perceived as rednecks and

hillbillies continue to be lampooned by

normative whites (see Harkins 2004; Hartigan

2005; Isenberg 2017, esp. 256-261).

9. Henceforth, “Meanest…”.

10. For further reading on the

association between hunger, moral

bankruptcy, and bizarre eating habits among

poor whites, see Hubbs (2022), esp. 96-100.

11. Murphy makes the case that rural

Gothic narratives “often pivot upon ill-fated

encounters between people who are tied to

one place, and those who are ‘just passing

through’”, who become victims of locals

“whose aggressiveness, resentment, and

degeneracy is always linked to the fact that

they tied to a deprived rural locale which

epitomises the stagnation of what was once

‘frontier territory’” (2013: 142). Jill’s

expectation of violence is shaped by her

knowledge of the Jentzens’ stagnation, but

also by her feelings of alienation as a middle-

class outsider trying to fit in a community

whose inner dynamics she still struggles to

understand.

12. Sexuality among poor whites has

been historically depicted as raw, aberrant,

and aggressive, characterised by a type of

promiscuity that may incorporate taboo

practices like incest and zoophilia. To name a

well-known example, the popularity of

Deliverance (1972, dir. John Boorman) with its

deviant, rapist hillbillies, has contributed

greatly to the perpetuation of this stereotype

in contemporary depictions of poor white

sexuality.

Class, Respectability and the Language of Waste in Dorothy Allison and Bonnie Jo Campbell

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227

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ALLISON, Dorothy. 2018. Trash. Penguin Books.

CAMPBELL, Bonnie Jo. 2009. American Salvage. W.W. Norton.

DOUGLAS, Mary. (1966) 2001. Purity and Danger. An Analysis of Concepts of Pollution and Taboo.

Routledge.

DYER, Richard. 2017. White. Routledge.

FORRET, Jeff. 2006. Race Relations at the Margins: Slaves and Poor Whites in the Antebellum

Southern Countryside. Louisiana State U.P.

GRUÉ, Mélanie. 2014. “The Internal Other: Dorothy Allison’s White Trash”. Otherness: Essays and

Studies 4 (2): 31-50.

HARKINS, Anthony. 2004. Hillbilly: A Cultural History of an American Icon. Oxford U.P.

HARTIGAN JR., John. 1997. “Name Calling. Objectifying ‘Poor Whites’ and ‘White Trash’ in Detroit”.

In Newitz, Annalee and Matt Wray (eds.): 41-56.

HARTIGAN JR., John. 2005. Odd Tribes. Toward a Cultural Analysis of White People. Duke U.P.

<https://doi.org/10.1515/9780822387206>.

HAwKINS, Gay. 2006. The Ethics of Waste. How We Relate to Rubbish. University of New South

Wales Press.

HUBBS, Jolene. 2022. Class, Whiteness, and Southern Literature. Cambridge U.P.

ISENBERG, Nancy. 2017. White Trash. The 400-Year Untold History of Class in America. Atlantic

Books.

KATZ, Michael B. 2013. The Undeserving Poor. America’s Enduring Confrontation with Poverty.

Oxford U.P.

KOTHARI, Geeta. 2008. “A Conversation with Bonnie Jo Campbell”. The Kenyon Review July 24.

<https://kenyonreview.org/conversation/bonnie-jo-campbell/>. Accessed 16 April 2024.

LIBOIRON, Max, and Josh LEPAwSKY. 2022. Discard Studies. Wasting, Systems, and Power. The MIT

Press.

MELLETTE, Justin. 2021. Peculiar Whiteness: Racial Anxiety and Poor Whites in Southern Literature,

1900-1965. University Press of Mississippi.

MORRISON, Susan Signe. 2015. The Literature of Waste: Material Ecopoetics and Ethical Matter.

Palgrave Macmillan.

MURPHY, Bernice M. 2013. The Rural Gothic in American Popular Culture: Backwoods Horror and

Terror in the Wilderness. Palgrave Macmillan.

NEwITZ, Annalee and Matt wRAY. 1997. “Introduction”. In Newitz, Annalee and Matt Wray (eds.):

1-12.

NEwITZ, Annalee and Matt wRAY. (eds.) 1997. White Trash. Race and Class in America. Routledge.

OLER, Andy. 2019. Old-Fashioned Modernism: Rural Masculinity and Midwestern Literature.

Louisiana State U.P.

Sara Villamarín-Freire

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ORTEGA, Alejandra. 2023. “The Cultural Critique of American Patriarchal Capitalism in American

Salvage”. In Oler, Andy, Ross Tangedal and Lisa DuRose (eds.) Michigan Salvage: The

Fiction of Bonnie Jo Campbell. Michigan State U.P.: 46-58.

SMITH, Dina. 2004. “Cultural Studies’ Misfit: White Trash Studies”. The Mississippi Quarterly 57

(3): 369-87.

wRAY, Matt. 2006. Not Quite White. White Trash and the Boundaries of Whiteness. Duke U.P.

ZIMRING, Carl A. 2015. Clean and White. A History of Environmental Racism in the United States.

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This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

Reviews

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231

PATHOLOGIZING BLACK BODIES: THE LEGACY OF PLANTATION

SLAVERY

Edited by Constante González Groba, Ewa Barbara Luczak and Urszula

Niewiadomska-Flis

Routledge, 2023

DOI: https://doi.10.26754/ojs_misc/mj.202510154

VANESA LADO-PAZOS

Universidade de Santiago de Compostela

vanesa.lado.pazos@usc.es

<https://orcid.org/0000-0002-4092-2398>

In 2007 Saidiya Hartman famously defined the afterlife of slavery as an existence

determined by “skewed life chances, limited access to health and education,

premature death, incarceration, and impoverishment” (2007: 6). Since then, the

discipline of Black studies has actively embraced the productive intersection

between the past and the present to point up the tragic perpetuation of racial

oppression and the relentless struggle of the African American community in the

United States. This continuity between the past and the present was evidenced in

April 2020 when the entire world, immersed in the devastating Covid-19

pandemic, watched video footage of the murder of yet another African American

man at the hands of the police. What was perhaps less apparent was the

disproportionate toll that the pandemic itself had on the Black population of the

country, a paradigmatic example of the invisible impact of structural racism.

Pathologizing Black Bodies: The Legacy of Plantation Slavery (2023), co-authored

by Constante González Groba, Ewa Barbara Luczak and Urszula Niewiadomska-

Flis, explores the multiplicity of mechanisms through which these means of

oppression are actualized in the present and represented in literature. The first in

the series Routledge Studies in African American Literature, the monograph stems

from the conception of the Black body as a site of inscription of historical violence,

oppression and trauma, and scrutinizes this bodily “criminalization, sexualization

and medicalization” (1). The book is divided in three sections centered around

eugenics, trauma and food studies, which examine the corporeal imprint of slavery

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232

as shown through the medical experimentation, capitalist commodification and

exploitation as well as the fungibility of the racialized body. Alongside this, the

detailed analysis provided in each of the parts assesses the different acts of resistance

undertaken at an individual and communal level.

The first part, “Pathologizing ‘Blood’”, comprises two chapters in which Luczak

tackles the application of scientific racism to the medical sciences and analyzes the

tension between the structural implementation of these discourses and individual

attitudes through two cases of study. The first chapter is concerned with the

emergence of racial seroanthropology in the 1920s as a discipline that mobilized

the symbolic power of blood for segregationist purposes. Through the

contextualization and analysis of Wallace Thurman’s short story “Grist in the Mill”

(1926), the author discusses the main cultural meanings of blood —namely, an

essentialist substance, a symbol of danger, an emblem of community and a mark of

purity (39)— and how these meanings are exposed and subverted in the narrative.

This ideology was used to defend white superiority on biological grounds, and

interracial contact was purported to endanger the well-being of the individual and

the body politic. Labeled a “mock gothic fiction” (39) due to its treatment of

conventional gothic tropes with an ironic and sarcastic tone, the short story taps

into the long tradition of the genre in Southern literature. The narrative instantiates

the process of appropriation and subversion of traditional associations between

Blackness and monstrosity singled out by Maisha Wester in her seminal study of

African American gothic forms (2012: 28). The second chapter continues to

develop the ramifications of eugenics as a pseudo-scientific discourse, this time

with the examination of involuntary sterilizations in Toni Morrison’s Home

(2012). Through the fictionalization of characters and events, the novel invokes

figures such as Dr. Marion J. Sims, heralded as the father of gynecology, and his

infamous experiments on enslaved women; Eunice Rivers, the nurse who

coordinated the Tuskegee syphilis experiments (1932–1972); and the 2010

scandal regarding the 7,600 sterilization procedures performed by the state of

North Carolina between 1933 and 1973 that disproportionately targeted Black

women. The novelty of this study resides in Luczak’s accurate analytical approach

to Morrison’s novel through standpoint eugenics, a framework that employs the

“epistemological perspective of eugenic victims” and vests it with a “greater weight

in unearthing the medical profession’s abusive practices” (53). In addition to

focusing on victims, Luczak examines the role of the bystander, highlighting how

the intersection of race and gender becomes a fundamental axiom of what the

author calls “female solidarity witnessing” (70).

In the second part, “Pathologizing the Body”, González Groba further develops

the dimensions of corporeal pathologization by exploring the representation of the

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233

racialized body as a disruptive element in need of containment, as well as the

reversal of this tendency in antiracist discourses. The third chapter is concerned

with the examination of literal forms of subjugation in two critically acclaimed

contemporary novels, Sing, Unburied, Sing (2017) by Jesmyn Ward and The

Nickel Boys (2019) by Colson Whitehead. The prison structures that govern

Parchman Farm and the Arthur G. Dozier reformatory are testaments to the

spatial legacies of plantation slavery, and the authors’ mobilization of the tropes of

the ghost and the double rely on the potential of gothic literature to articulate a

profound social critique. Ward’s specters signify on the intergenerational

transmission of trauma and its iteration in the present. In turn, Whitehead’s

engagement with the doppelgänger reveals a division of the self predicated on the

two main trends of the racial discourse: the possibility of transcendence is pitted

against the pessimistic belief in the insuperability of antiblackness. Intimately

related to the exercise of spatialized rememory vested with supernatural overtones

that Rebecca Evans calls “gothic geomemory” (2021: 446), these spaces and

beings underscore a transhistorical process of de-subjectification and erasure of the

Black body. As counterpart to Luczak’s analysis, in the fourth chapter González

Groba expands on the discussion of the body politic as a metaphorical organism.

The comparative analysis of Lillian Smith’s Killers of the Dream (1949) and Ibram

X. Kendi’s How to Be an Antiracist (2019) draws a parallel between both authors’

employment of cancer as a metaphor for racism that effectively redresses the

construction of Blackness as pathological. Each of them addresses their most

immediate socio-historical context: while Smith sought to account for the malady

of segregation in her native South, Kendi focuses on systemic racism at a national

level, its origins and the mechanisms that enable its perpetuation today. Both

authors converge in their categorical indictment of the politics of disposability

(2023: 115) that devaluate African American lives. Drawing on their personal battle

with this disease and survival, Smith and Kendi advocate for the urgent enactment of

radical measures that will avoid a metastatic expansion of racism and thus irrevocably

imperil the “moral”, “political” and “cultural health” of the nation (122).

The third part, “De-Pathologizing Access to Food and Land”, discusses the

afterlife of slavery within the sphere of food production and consumption and

focuses on African American emancipatory strategies. The fifth chapter is concerned

with food representation in hip-hop through artists such as Goodie Mob, Dead

Prez, Notorious B.I.G. or OutKast, where it features both as a distinctive marker

of Black identity as well as a testament to endemic racism. Niewiadomska-Flis

examines current patterns of food distribution as bearing the imprint of plantation

slavery dynamics in practices such as supermarket redlining that deprives minority

areas of access to a broad variety of nutritional options. The author interrogates

the interconnections among race, poverty, food accessibility and health through

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234

the concept of food apartheid coined by Ashante Reese and “born at the

intersection of residential segregation, economic capital (capitalist accumulation)

and dispossession” (146). Niewiadomska-Flis delineates a health-conscious turn in

hip-hop culture that seeks to raise awareness of dietary-derived health issues and to

advocate for a healthier and greener revision of African American foodways.

Faithful to its combative style, this process of “decolonizing their communities’

diets” becomes a powerful “act of rebellion against racial injustice and

discrimination” (153). In the sixth chapter, the author explores the relationship

between African Americans and land, one that has been historically marked by

dispossession. Dispossession originated during slavery and was perpetuated

through subsequent systems such as sharecropping, peonage or convict leasing.

This opposition to Black land ownership as a chief mechanism of racial subjugation

continued into the twentieth century with the blatant discriminatory practices

enacted by the US Department of Agriculture. In this context, Niewiadomska-Flis

proposes Natalie Baszile’s 2014 novel Queen Sugar as a counter-narrative of land

reclamation and identity affirmation in a cultural space dominated by whiteness.

Her analysis of the narrative’s sugarcane plantation through the lenses of Michel

Foucault’s concept of heterotopia and Sarah Ahmed’s notion of affective economy

underlines the problematization of the Southern rhetoric of the pastoral idyll

through the African American protagonist who must confront the realities of

agrarian structural racism. In turn, successfully accessing land will allow for a

redefinition of a traditionally white co-opted space into a “site of [black] sovereignty

and sustainability” (165) mediated by the community’s solidarity and a shift

toward cooperative economics that also entails a redefinition of the self.

Pathologizing Black Bodies: The Legacy of Plantation Slavery offers an exhaustive

account of the manifold manners in which African American existence has been

pathologized and of the imprint that slavery has left on many spheres of Black life.

These inquiries are informed by a multiplicity of theoretical concepts that emanate

from different analytical frameworks, thus providing a comprehensive and detailed

assessment of the multi-dimensional phenomenon of systemic racism in the United

States. Luczak, González Groba and Niewiadomska-Flis examine a vast array of

texts and genres ranging from the short story to hip-hop lyrics, extending from the

early twentieth century to the present and with plotlines dating back to even earlier

periods. These two facets of the monograph demonstrate the continuation of racial

oppression and the pervasiveness of this issue within the contemporary social

debate, thus speaking to its main quality: its timeliness. The book directly engages

the inescapable hold of history and the presentness of the past, one that has been

theorized by myriad Black intellectuals from a historical, social, cultural and

philosophical perspective in recent years. From Michelle Alexander’s assessment of

our era as “the New Jim Crow” (2010) to Christina Sharpe’s description of Black

Reviews

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235

life as perpetually embedded “in the wake” of slavery (2016), the discussion

carried out in these pages dismantles the grounds for a falsely-proclaimed postracial

age. Thus, with its acute critical analysis and exhaustive historico-theoretical

survey, the monograph stands as an active call for racial justice and as a relevant

asset in the expansion of Black studies.

Acknowledgements

The research for this project was funded by an FPU fellowship (19/01806) from

the Spanish Ministry of Universities and the research group Discourse and Identity

(GRC ED431C2023/15, Xunta de Galicia).

Works Cited

ALExANDER, Michelle. (2010) 2019. The New Jim Crow: Mass Incarceration in the Age of

Colourblindness. Penguin.

EVANS, Rebecca. 2021. “Geomemory and Genre Friction: Infrastructural Violence and Plantation

Afterlives in Contemporary African American Novels”. American Literature 93(3): 445-472.

<https://doi.org/10.1215/00029831-9361265>.

HARTMAN, Saidiya. (2007) 2021. Lose Your Mother: A Journey Along the Atlantic Slave Route.

Serpent’s Tail.

SHARPE, Christina. 2016. In the Wake: On Blackness and Being. Duke U.P. <https://doi.

org/10.1515/9780822373452>.

wESTER, Maisha. 2012. African American Gothic. Screams from Shadowed Places. Palgrave

Macmillan. <https://doi.org/10.1057/9781137315281>.

Received: 22/01/2024

Accepted: 06/11/2024

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

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237

SCIENCE FICTION AND NARRATIVE FORM

Edited by David Roberts, Andrew Milner and Peter Murphy

Bloomsbury, 2023

DOI: https://doi.org/10.26754/nf6w6x26

MIASOL EGUÍBAR HOLGADO

Universidad de Oviedo

eguibarmiasol@uniovi.es

<https://orcid.org/0000-0002-7110-4873>

Academic engagement with science fiction remained steady from the 1970s until

the turn of the millennium, a period that saw the publication of remarkable

studies such as Darko Suvin’s Metamorphoses of Science Fiction (1979), Kathleen

Spencer’s essay on the stylistic description of science fiction (1983) and Carl

Freedman’s Critical Theory and Science Fiction (2000). In the twenty-first

century, there has been a veritable explosion of texts, both from scholars and

authors of science fiction. Whereas earlier critical works were more concerned

with genre definitions, new contributions seek to explore the multiple possibilities

of science fiction, and thus the panorama of science fiction studies is changing

drastically and rapidly (see, for instance, Langer 2011; Ginway and Brown 2012;

Lavender III 2014; Lothian 2018; Schalk 2018; Brown Spiers 2021). Science

Fiction and Narrative Form is one more example of how science fiction seems to

be receiving more attention from academic institutions now than any other

moment in its history. In its opening paragraphs, co-author David Roberts

declares that “like the epic and the novel, science fiction is a literary form” (1).

Yet, it is hard to say whether placing science fiction “among the great narrative

forms” (1) succeeds in pushing science fiction studies in new directions. At times

it even feels as though it does the opposite, as the formalist approach seems to

neglect some of the most outstanding literary tendencies within science fiction

over the past two decades.

Reviews

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238

The book relies heavily on notions of literary form derived from Georg Lukács’s

The Theory of the Novel, originally published in book form in 1920. Despite not

being one of his most widely cited works, the work contains ideas on literary forms

that are not entirely without value, and the three authors of Science Fiction and

Narrative Form make their case for approaching science fiction as narrative form

in a very refined and comprehensive manner. According to Lukács, the epic is a

pre-modern literary form and it transforms into the novel with the advent of

modernity. The difference between the two is that the epic belongs in a world that

is whole, self-contained, where meaning is integrated in that wholeness. The

modern individual, in contrast, is alienated from the world, and so the novel

constantly seeks, but fails, to retrieve wholeness and unity. As society develops,

Lukács predicted, there will emerge “a new form of artistic creation” (1988: 152)

to best suit the needs and ethos of that society. The premise of the authors in

Science Fiction and Narrative Form is that science fiction fulfills that role

prophesized by Lukács, of a narrative form capable of representing a complete

world once again. Although they are not the first to make such a claim —Timothy

Bewes argued something similar for the postmodern novel— the three authors do

provide cogent arguments and close analyses to illustrate their point.

In Part 1, David Roberts traces the transition from the epic to the novel, and then

from the novel to science fiction, the latter combining aspects of the former two.

Science fiction resembles the epic in that the imagined worlds of science fiction

(unlike in the novel) are self-contained totalities. But, like in the novel (and unlike

in the epic), the meaning of that world is not immanent to reality— it seeks

transcendence. In creating possible worlds, science fiction “poses at the same time

the question of the meaning of its hypothetical experiment” (58). The technology-

oriented, post-human societies that science fiction projects thus have predictive,

allegorical and didactic value. In the second part, Andrew Milner taps into the

potential of science fiction to construct future histories, following another of

Lukács’s incursions into literary theory, The Historical Novel (1937). In an

innovative move, Milner severs the now commonplace association between science

fiction and utopia in order to bring historical fiction to the equation: “the typical

subject matter of SF is future history, uchronia and dyschronia rather than utopia

and dystopia, its precursors therefore Scott and Dumas, rather than More and

Francis Bacon” (97). To illustrate this claim, the author conducts close analyses of

climate fiction texts set at progressively more distant points in the historical future.

In Part 3, Peter Murphy focuses on epic form through an extensive discussion on

epic science fiction, most notably exemplified by Isaac Asimov’s Foundation series.

Epic science fiction is capable of encompassing vast spaces and expanses of time, as

big in scale as the imagination allows. Thanks to these formal possibilities, it reveals

the full effects of historical/natural cyclic forces that transcend limited human

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239

actions and motivations. The epic scale of science fiction thus offers a different

perspective on social relations and the meaning (or lack thereof) of human life.

Finally, Part 4, written by Milner again, follows up on the premise that science

fiction relates closely to historical fiction. Current quasi-apocalyptic events such as

wars, pandemics, climate change and AI raise the question of whether history will

continue to advance at all, or if the end is indeed near. Science fiction, Milner

argues, reflects on the questions posed by these present-day threats and provides

possible answers.

While these arguments are intellectually compelling, they present severe limitations.

The theoretical underpinnings of the book, as developed mostly in the introduction

and Part 1, are not always easy to grasp, not least because the language used is

often obscure. One wonders how relevant Lukács’s theory of literary forms can be

in current times. Despite its high level of abstraction, the book seems to take a very

reductive approach to literature: the organic totality of the ancient Greeks vs the

godless, sinful modern world; the epic vs the novel. In its simplicity, it sounds

suspiciously like a grand narrative, with its concomitant problematic: a series of

theories articulated at a specific historical moment from a Eurocentric perspective

which are nevertheless taken as a universal explanation of what literature was and

is supposed to be about. And it is not only that the notion of science fiction as

literary form rests on these premises, but the theories about science fiction put

forward in this book are themselves constructed following the same totalizing

logic. That is, Lukács’s arguably dated ideas are not merely a point of departure,

but regulate and impinge on how science fiction theories are formulated

throughout the book. An example of this impulse of generalized abstraction is the

way the post-human is addressed. Roberts seems to take a transhuman stance

when he says that “The transcendence of man reverses into the armoured body,

the soldier into the killing machine […] the worker into slave” (75). In the face of

this predicament, it is science fiction’s role to find (or not) humanity in the post-

human. There is no mention of Donna Haraway’s cyborg theory (1985), nor is

there anything close to the post-anthropocentrism that Rosi Braidotti poses as the

basis of post-human thought (2013). Roberts’s analyses hinge on the

anthropocentric fear of lost humanity, a humanity that recoils in self-doubt when

confronted with the technological Other. Moreover, the works under study offer

a disproportionately Euro-Western and male-centered version of the human and of

science fiction. Aside from Mary Shelley, Margaret Atwood and very few other

exceptions, all the writers given any significant space of discussion are men. The

book thus follows the human-as-man in his teleological journey from epic to novel

to science fiction. Murphy’s exploration of Asimov’s Foundation, for all its

insistence that human volition and purpose are transcended in the epic, is largely

underpinned by colonization, imperialism and a preoccupation with the “rise, fall

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240

and rise of civilizations” (187). Finally, Milner’s contention that science fiction is

about future history and/or apocalypse ignores how science fiction is, for many

writers of color, much more about the past and the present than it is about the

future, not least because postcolonial/decolonial societies have already experienced

apocalypse in their histories, thus irremediably undoing Milner’s dichotomy (i.e.

the either/or of history and apocalypse).

All in all, the authors set off on their quest to canonize science fiction as a serious

literary form without taking into account any significant developments in the

theories and practices of science fiction from the last four decades: the rise of

gender and sexuality issues; the rapidly advancing area of co-futurisms, to which

Afrofuturism, Indigenous futurism and Latinx science fiction (among others)

belong; the emergence of post-genre fantasy and new forms such as the New

Weird; non-anthropocentric accounts of posthumanism; the historical-materialist

approach to the genre spearheaded by John Rieder (2017); among others. In its

exploration of literary forms restricted to Lukács’s theories, the book is perhaps

overly specific and targets a very narrow corpus, yet it presents its interpretations

as universal tenets of science fiction. As far as argumentation and analysis goes,

however, the book is very consistent with the aims it purports to fulfill and it does

contain thought-provoking remarks, such as that in science fiction “the question

transcends the answer” (44), or that, today, science fiction “has supplanted religion

and prophecy” (194). Inasmuch as one can find a universalist notion of literary

forms appealing and relevant, this book certainly makes some interesting points

about the intersection between science fiction and narrative form.

Works Cited

BEwES, Timothy. 2003. “The Novel as an Absence: Lukács and the Event of Postmodern Fiction”.

NOVEL: A Forum on Fiction 38(1): 5-20.

BRAIDOTTI, Rosi. 2013. The Posthuman. Polity Press.

BROwN SPIERS, Miriam. 2021. Encountering the Sovereign Other: Indigenous Science Fiction.

Michigan State U.P.

FREEDMAN, Carl. 2000. Critical Theory and Science Fiction. Wesleyan U.P.

GINwAY, Elizabeth and Andrew BROwN. (eds.) 2012. Latin American Science Fiction: Theory and

Practice. Palgrave Macmillan.

HARAwAY, Donna. 1985. “A manifesto for Cyborgs: Science, Technology, and Socialist Feminism

in the 1980s”. Socialist Review 5(2): 65-107.

Reviews

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241

LANGER, Jessica. 2011. Postcolonial Theory and Science Fiction. Palgrave Macmillan.

LAVENDER III, Isiah. (ed.) 2014. Black and Brown Planets: The Politics of Race in Science Fiction.

University Press of Mississippi.

LOTHIAN, Alexis. 2018. Old Futures: Speculative Fiction and Queer Possibilities. New York U.P.

LUKÁCS, Georg. (1920). 1988. The Theory of the Novel. The Merlin Press.

RIEDER, John. 2017. Science Fiction and the Mass Cultural Genre System. Wesleyan U.P.

SCHALK, Sami. 2018. Bodyminds Reimagined: (Dis)ability, Race, and Gender in Black Women’s

Speculative Fiction. Duke U.P.

SPENCER, Kathleen. 1983. “‘The Red Sun Is High, the Blue Low’: Towards a Stylistic Description of

Science Fiction (‘Le soleil rouge est au zénith, le soleil bleu se couche’: vers une description

stylistique de la SF)”. Science Fiction Studies 10(1): 35-49.

SUVIN, Darko. 1979. Metamorphoses of Science Fiction: On the Poetics and History of a Literary

Genre. Yale U.P.

Received: 14/09/2023

Accepted: 12/11/2024

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

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243

TEACHER PROFESSIONAL DEVELOPMENT FOR THE

INTEGRATION OF CONTENT AND LANGUAGE IN HIGHER

EDUCATION

Edited by Mª Noelia Ruiz-Madrid & Inmaculada Fortanet-Gómez

Routledge, 2024

DOI: https://doi.10.26754/ojs_misc/mj.202511136

FLOR DE LIS GONZÁLEZ-MUJICO

Universidade da Coruña

flor.gonzalez.mujico@udc.es

<https://orcid.org/0000-0001-9027-3798>

The rise of content subjects taught in English as an additional language is one of

the most significant linguistic phenomena in contemporary higher education

(Macaro et al. 2018). The implementation and teaching of integrated content and

language in higher education (ICLHE) or English as a medium of instruction

(EMI) entails myriad interrelated factors that pivot on student-centred learning,

from learners’ language and subject-matter needs to the design of context- and

language-specific materials. For this reason, training lecturers to teach learners in

an additional language in higher education remains a challenge for the profession.

Specifically, there is a need to focus on language and pedagogy in a much more

integrated manner in these teacher-training programmes (Dimova et al. 2023;

Lasagabaster 2022).

María Noelia Ruiz-Madrid and Inmaculada Fortanet-Gómez’s book addresses

this contemporary challenge and need by compiling innovative work by different

researchers in Europe (Austria, Finland, Italy and Spain) on how universities,

researchers and practitioners are engaging with the issue and developing ICLHE

teacher training from a linguistic and pedagogical perspective. These contributions

shed new light on a range of issues that play a fundamental role when designing

effective ICLHE professional development. Every chapter furnishes novel data,

reflections and implications that serve to inform future ICLHE teacher-training

programmes. The main objective of the volume is to elucidate the key factors that

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afford a learner-centred, interactive approach to the design of effective ICLHE

teacher-training proposals. Chapters included in the volume, along with teaching

resources and/or research instruments used in the studies presented in the

chapters, will be of interest to academics, researchers and advanced students of

education and teacher-training research and practice.

The edited volume comprises nine chapters that report on the qualitative aspects

of ICLHE professional development. The interchangeable use of EMI and EME

(English-medium education) is supported by the authors throughout the book.

To begin with, Ruiz-Madrid and Fortanet-Gómez provide a brief overview of the

relevance of teacher training in ICLHE (Chapter 1). They outline how the volume

offers a comprehensive view on teacher training from a fine-grained perspective

based on three fundamental features. The first relates to language, considered the

most important aspect in ICLHE teachers’ pedagogical development. The second

concerns the spoken academic discourse of experienced ICLHE lecturers to

specific language-awareness training. The third examines the fundamental role of

identity and the stance of lecturers in effective teacher-development programmes.

The chapter ends with the caveat that more research is still needed, namely, to

identify how specific discourse and pedagogy can be combined to raise language

awareness among ICLHE professionals.

In Chapter 2, Elena Borsetto explores longitudinally the language needs and

difficulties of teachers and administrative staff at the Ca’ Foscari University of

Venice. Her findings expand upon the dichotomy between northern and southern

European countries concerning language proficiency, especially when teaching

and/or interacting with international students and teachers. Her observations

identify significant differences between the linguistic needs of administrative

staff and teachers. Borsetto’s final reflections underscore the pivotal role of

pronunciation and enunciation, forms and function of language, context-specific

vocabulary and register in ICLHE teacher training.

In Chapter 3, Miia Konttinen investigates curriculum and its implementation in

EME. From the outset, the chapter argues for a backward design that starts from

the desired learning outcomes, connecting EME to the student’s learning rather

than the teacher’s language skills. To understand how EME teachers actually

teach and why they have resorted to particular teaching methods, the chapter

offers insights from experienced EME teachers in Finnish master’s programmes.

The study’s findings accentuate the negative impact of individualism, teacher-

centredness and content-driven objectives. In response, the chapter proposes that

EME teacher training combine the use of backward design (i.e. teachers’

reflections on their teaching philosophy and practice with backward design) and

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the notion of community of practice (Wenger 1998, i.e. dialogue to question and

enhance each other’s understanding of EME and to share best practices in teacher

training).

In Chapter 4, Teresa Morell, Marian Aleson-Carbonell and Pilar Escabias-Lloret

provide evidence of the benefits of the longitudinal design and implementation of

the Prof-teaching EMI professional development programme at the University of

Alicante, Spain. The chapter begins by underscoring the lack of consensus among

universities on the content and structure of EMI teacher training in response to

pedagogical and linguistic needs. The demands expressed in surveys administered

in previous EMI workshops and university-wide polls on attitudes towards EMI

and teacher training are used as a springboard to develop the study’s three-

module comprehensive teacher-training programme. The data collected sheds

light on how Prof-teaching course participants feel about learning new

methodologies, applying innovative tools and developing speaking skills. Final

evaluations highlight the robustness of combining a digital, linguistic and

pedagogical approach in EMI teacher training. The benefits of putting into

practice what participants have learned, discipline-specific peer observation and

EMI lecturer accreditation are also brought to the fore.

In Chapter 5, Lynn Mastellotto and Renata Zanin outline how the Free University

of Bolzano has responded to the need for improved language competences

through teacher training for multilingual schools in South Tyrol. The chapter

provides a detailed picture of a linguistic landscape that does not support

multilingualism despite the co-existence of various official languages. The study

presents a customised instrument (i.e. Language Input Observation Scheme –

LIOS I) to measure the quality of teachers’ language input and interactions in

second-language instruction in English and German. Preliminary results are

presented on the ability of LIOS I to raise awareness in teaching practice through

language, self-reflection, peer observation and feedback strategies.

In Chapter 6, Ada Bier examines the construct of the language-teaching

methodology interface (LTMI). The study delves into the inherent link between

language and teaching methodology in an Italian higher education EMI

context. Assuming the LTMI can be characterised by the co-existence of a

practical (observable) and a cognitive (hidden) element, the chapter includes an

in-depth analysis of observed lectures and interviews to examine the interplay

between the use of pragmatic strategies and deviations from standard at the

morphosyntax level in EMI lecturing. Findings report on the blurred boundaries

between language and teaching methodology. Positive and negative EMI

outcomes are linked to the presence or absence of three key aspects: pedagogical

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knowledge; language proficiency; and/or awareness of language and subject-

specific literacy.

In Chapter 7, Alexandra Vraciu and Hortènsia Curell reinforce the relevance of

research-informed EMI teacher-training programmes dealing with discipline-

specific language awareness. The study explores discourse characteristics and

strategies in native versus non-native EMI lecturer input that foster students’

comprehension and output production at a Catalan university in Spain. Findings

are categorised based on whether the discourse and strategies identified support

comprehensible input or output. Redundancy, explicitness, orality,

comprehension checks and pre-emptive focus on form are examined from the

viewpoint of comprehensible input, while promotion and reaction are analysed

in terms of output. While key findings emphasise the nuanced nature of

lecturing, the study finds widespread reticence in terms of participation and

interaction. In their final reflections, the authors recommend that teacher-

training programmes be tailored to increase content lecturers’ L2 awareness in

the planning and implementation of EMI.

In Chapter 8, Francesca Costa and Olivia Mair examine the effects of raising

teachers’ awareness during training offered on the multimodal affordances of

EMI lecture discourse in Italy. A panoramic view of English-taught programmes

in Italian universities is provided to stress the need for lecturers to engage in

professional development that benefits comprehensibility. The chapter extends

beyond the boundaries of English and tackles the dearth of multimodal discourse

analysis in EMI teacher training. The study analyses a professional development

course for lecturers in a Northern Italian university from a multimodal and

pronunciation lens. Findings underline the determining effects of phonological

inaccuracy, accentedness and multimodal competence in meaning-making

practices. The chapter illustrates how multimodal features (i.e. gestures, gaze,

posture, facial expression, paralanguage, slide content) and pronunciation play a

key role in EMI knowledge construction.

Lastly, in Chapter 9, Marta Aguilar-Pérez and Sarah Khan compare the

metadiscourse of a lecturer teaching in their L1 (i.e. Catalan) and EMI starting

with a brief review of the many definitions and taxonomies of metadiscourse.

After which, the chapter focusses on metadiscourse as an effective way to analyse

how L1 and EMI lecturers engage with the subject matter and their audience, in

addition to how effective use of metadiscourse can benefit EMI students. Findings

from a mixed-methods exploratory study yield distinct differences regarding

speech rate, metadiscourse and audience interaction based on language of

instruction and the complexity of the lecture. An elaborate discussion is offered

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on whether the complexity of the lecture’s content or the language of instruction

has more influence over the use of metadiscourse. The chapter ends with some

recommendations on the need for further examination with larger corpora that

extends to the impact of discipline, expertise, methodological approach and

student performance.

Indeed, the book addresses timely issues in ICLHE teacher training, such as

integrating content and language in a more student-centred manner, applying

effective multimodal, metadiscursive and multilingual strategies, as well as

supporting academic staff and lecturers in internationalised university settings,

with a specific emphasis on case studies that inform future ICLHE teacher-

training research and practice. A particularly welcome feature is the empirical

design and successful implementation of innovative instruments and interventions

such as the LTMI and the Prof-teaching EMI teacher-training programme,

which can be further tested and applied to a broad range of ICLHE contexts.

Additionally, the implications for the future design of teacher-training

programmes are drawn on a chapter-by-chapter basis, with clearly detailed

recommendations. That said, the organisation of chapters in the volume could

have been divided into sections to more clearly convey the three main themes the

volume appears to tackle. In other words, the role of language in ICLHE teacher-

training programmes and the relevance of research-based curricula (chapters 2, 5,

6 and 7); the design and implementation of ICLHE professional development

programmes in specific contexts (chapters 3 and 4); and the characteristics of

teachers’ lecturing discourse (chapters 8 and 9). Ultimately, the ensemble of

chapters provides a set of pragmatic responses to real challenges faced by ICLHE

teacher-training professionals in a range of teaching contexts in Europe from a

grassroots perspective. Although our understanding of how discourse and

pedagogy can be integrated effectively to raise language awareness among ICLHE

professionals requires further analyses, the findings presented in the volume

provide fertile future lines of research that should be explored.

Works Cited

DIMOVA, Slobodanka, KLING, Joyce and MARGI

, Branka Drlja

a (eds.). 2023. EMI Classroom

Communication: A Corpus-based Approach. Taylor & Francis.

LASAGABASTER, David. 2022. Teacher Preparedness for English-medium Instruction. Journal of

English-Medium Instruction 1(1): 48-64. <https://doi.org/10.1075/jemi.21011.las>.

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248

MACARO, Ernesto, Samantha, CURLE, Jack, PUN, Jiangshan, AN and Julie DEARDEN. 2018. A

Systematic Review of English Medium Instruction in Higher Education. Language Teaching

51(1): 36-76. <https://doi.org/10.1017/S0261444817000350>.

wENGER, Etienne. 1998. Communities of Practice: Learning, Meaning, and Identity. Cambridge

U . P.

Received: 17/10/2024

Accepted: 06/03/2025

This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.

Notes for contributors

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NOTES FOR CONTRIBUTORS

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Miscelánea publishes articles on English language and linguistics, on literatures

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Oana Maria Carciu (reviews)

Revista Miscelánea

Departamento de Filología Inglesa y Alemana

Facultad de Filosofía y Letras

C/ Pedro Cerbuna 12

Universidad de Zaragoza

50009 Zaragoza

SPAIN

miscelanea@unizar.es

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PUBLICATION GUIDELINES FOR CONTRIBUTORS

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Notes for contributors

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Hyland, Ken. 2017a.“Metadiscourse: Whatis it and Whereis it Going?”Journal

of Pragmatics 113: 16-29. <https://doi.org/10.1016/j.pragma.2017.03.007>.

Hyland, Ken. 2017b. “English in the Discipline: Arguments for Specificity”.

ESP Today 5 (1): 5-23.

Hyland, Ken and Feng Kevin Jiang. 2021.“‘Our Striking Results Demonstrate…’:

Persuasion and the Growth of Academic Hype”. Journal of Pragmatics 182: 189-

202. <https://doi.org/10.1016/j.pragma.2021.06.018>.

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leonard, Suzanne. 2014. “Escaping the Recession? The New Vitality of the

Woman Worker”. In Negra, Diane and Yvonne Tasker (eds.) Gendering the

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molina-guzmán, Isabel. 2014. “‘Latina Wisdom’ in ‘Postrace’ Recession

Media”. In Negra, Diane and Yvonne Tasker (eds.) Gendering the Recession:

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org/10.2307/j.ctv1131fr9.6>.

negra, Diane and Yvonne tasker. 2014. Gendering the Recession: Media and

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adami, Elisabetta. 2018. “Styling the Self Online: Semiotic Technologization in

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BIBLIOGRAPHICAL INFORMATION

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ACKNOWLEDGEMENTS

We would like to thank all the colleagues who, without belonging to our Board of

Referees, were willing to revise and assess some of the contributions.

miscelánea

vol. 71

2025

I S C E E AL Á N

literature, lm and

cultural studies

language

and linguistics

vol. 71

2025

a journal of english

and american studies

miscelánea

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