The Importance of Hobbits
An Assessment of the Function and Flexibility in J. R. R. Tolkien’s Hobbit Figures
Silje Skau Revdal 60 Credits
A Thesis Presented to The Department of Literature, Area Studies and European Languages
June 2020
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The Importance of Hobbits An Assessment of the Function and Flexibility in J. R. R. Tolkien’s Hobbit Figures
Silje Skau Revdal
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© Silje Skau Revdal
2020
The Importance of Hobbits: An Assessment of the Function and Flexibility in J. R. R. Tolkien’s Hobbit Figures
Silje Skau Revdal http://www.duo.uio.no/
Print: Reprosentralen UiO
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Abstract
The objective with this thesis is to discuss and establish the narrative flexibility of J. R. R. Tolkien’s hobbits. I claim that Tolkien built an inherent flexibility in his hobbit creation in order to allow him to use them in a variety of ways, thus granting them greater potential in function unlike many of his other characters. The hobbits Tolkien created are unique in his own mythology, as they were created first in name, then in function. By examining the creative process and the functions they were assigned throughout said process one might be able to better understand the way in which the hobbits work within the narrative at large. By using different interpretations of the hobbits combined with Tolkien’s books and manuscripts one might better illustrate the layer of potential found in the very simple creation of Tolkien. These figures were made to blend into a narrative and compliment it, while also being able to temper it whenever the author needed. Thus a unique yet ordinary set of figures were paramount for the protagonist-roles to allow Tolkien to present the altered fantasy within The Hobbit and The Lord of the Rings.
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Acknowledgements
First and foremost, I wish to thank my wonderful supervisor Juan Christian Pellicer, who stayed positive and supportive even when I was struggling. Without his help this thesis would not have been possible. I would like to thank my family for their faith and support, and my wonderful friends from the MA programme who shared in the frustrations and stress. Furthermore, I would like to thank Oda and Hanne who both helped me through though times, and Natta and her family for housing me! Last but not least I would like to thank Jonas who has been endlessly patient during the creation of this thesis.
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Table of Content Introduction ______1 1 The Form and Function of the Original Hobbit ______11 1.1 The First Phase – The Introduction ______12 1.2 The Second Phase – Gollum in the Caves ______15 1.3 Plot Notes and Mirkwood ______19 1.4 Plot notes and Dragons ______22 1.5 Further changes ______25 1.6 Bilbo the Narrator ______26 1.7 Unfinished Tales ______28 1.8 Conclusion ______31 2 New Hobbits for the New Narrative ______33 2.1 The Creation of the One Ring of Power Function ______34 2.2 The Impossible Hobbit ______38 2.3 The Road to New Hobbits ______42 2.4 The Introduction of the Finalized Hobbits ______46 2.5 The Council of Elrond & The Ring Goes South ______51 2.6 The Splitting of the Fellowship ______52 2.7 Conclusion ______54 3 The Narrative Evolution of Frodo, Sam and Sméagol ______55 3.1 Early Notes and External Functions ______56 3.2 The Story Foreseen From Mora ______56 3.3 The Story Foreseen From Lórien ______60 3.4 The Road to the Final Draft - Internal Functions ______61 3.5 The Taming of Sméagol ______62 3.6 The Dead Marshes ______63 3.7 The Forbidden Pool ______66 3.8 Shelob’s Lair and The Choices of Master Samwise ______67 3.9 Mount Doom ______70 3.10 The Grey Havens ______72 3.11 Conclusion ______73 4 The Imposing Influence of Merry and Pippin ______74 4.1 Early Notes ______75 4.2 Fangorn ______76 4.3 Palantír______78
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4.4 Storytellers in Rohan and Minas Tirith ______80 4.5 The Pyre of Denethor ______81 4.6 The Scouring of the Shire ______83 4.7 Conclusion ______85 Conclusion ______86 Works Cited: ______89
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Introduction J.R R. Tolkien wrote in April 1956 a statement that draws attention to the importance of hobbits in Tolkien’s The Lord of the Rings:
‘(…) I have told the whole tale more or less through ‘hobbits’; and that is because another main point in the story for me is the remark of Elrond in Vol. 1: ‘Such is oft the course of deeds that move the wheels of the world: small hands do them because they must, while the eyes of the great are elsewhere.’ Though equally important is Merry’s remark (Vol III p. 146): ‘the soil of the Shire is deep. Still there are things deeper and higher; and not a gaffer could tend his garden in what he calls peace, but for them.’)’1 This statement alone, though written in the context of a letter that does not directly pertain to hobbits, suggests the great importance of the hobbits within the narratives Tolkien constructed. And indeed, though much has been written on the topic of hobbits in Tolkien’s work some gaps remain. One such gap is the need to examine in detail how the narrative flexibility of hobbits functions within the emerging narrative of Tolkien’s The Hobbit (from here referred to as H) and The Lord of the Rings (from here referred to as LR). While much of the hobbits’ functions has been discussed, the ways in which they are used to respond to the narrative in the text, and how Tolkien’s use of these figures relies on their sheer flexibility has not fully been explored. The hobbits, as part of Tolkien’s creation, are quite unique even in the confines of own writing, as they appear to have been created first as a concept, and then fully realized throughout the writing process. Tolkien is well known for having drawn on source material and transforming it to suit his purpose, and in that capacity the hobbit is the outlier; ‘[t]he hobbits were, in fact, the last of the denizens of Tolkien’s fantasy world to be created: by then he had been writing unpublished stories about the elves, dwarves, wizards and men of Middle-earth for two decades.’2 With this statement one might say that the hobbits are unique both for Tolkien and for the genre of fantasy at large as he was not drawing on an already established race. He did, however, still draw on inspiration with regard to their functions. Furthermore, with my thesis question I am also already assuming a certain flexibility within the functionality of hobbits, which will be a main focal point of the thesis. Tolkien’s work is not lacking in theoretical commentary, and both the hobbits and Tolkien’s writing process at large have been both transcribed and commented on in detail. What is impressive about Tolkien’s criticism is that Tolkien himself has commented on his
1 J.R.R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, (London: HarperCollins: 2012), 246. 2 Edward James. “Tolkien, Lewis and the Explosion of Genre Fantasy.” in The Cambridge Companion to Fantasy Literature, ed. Edward James and Farah Mendlesohn, (Cambridge: Cambridge University Press, 2012), 63.
1 own writing and process, as well as revealed thoughts and struggles in texts such as letters and manuscript notes readily available to the public. Furthermore, his son Christopher Tolkien has transcribed much of the LR process work, with commentary that sheds further light on the process. John T. Ratliff also contributed with his extensive transcription of Tolkien’s H manuscripts and typescripts, once more with extensive notes on the content and the process. These works will therefore be the primary source for purposes of tracking Tolkien’s writing, and the several phases he went through. There has been written a substantial amount on the roles of the hobbits as well as the changes they underwent which has been further commented on by the compilers themselves and other commentators. A great example of this is the ‘Seven Paths of the Hero in Lord of the Rings’ series which was written by Robin Robertson, and details the different paths of individuation the many hero figures of the text underwent within the narrative.3 The paths related to hobbits are the path of curiosity for Merry and Pippin, the path of the tragic failure for Gollum, the path of love for Samwise, and finally the path of transcendence for Frodo.4 Furthermore there are authors that have covered the function of characters individually within the finished work, such as Charles W. Nelson who presents Sam as a squire figure.5 Tom Shippey too has covered much in regard to Tolkien’s writing, such as the role of burglar that was assigned to Bilbo. Additionally, Tolkien’s many inspirations has also been thoroughly examined by many a writers, such as Jeremy Painter’s ‘“A Honeycomb Gathered From Different Flowers”’ which details many of his creative inspirations, and Jane Chance’s ‘Bilbo as Sigurd in the Fairy-Story Hobbit’ which delves further into the link between Sigurd and Bilbo, which is a great example of how Tolkien worked with his source material. Mark Atherton supplemented the study of Tolkien’s sources with his book There and Back Again: J. R. R. Tolkien and the Origins of the Hobbit where he explores the chief influences in Tolkien’s H. Lynette Porter published a book called The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin which details both the creation of the hobbits as well as their ‘new lives’ gained through different adaptions, which once more emphasise the hobbits within Tolkien’s work. Together these works create a good foundation to a further reading of Tolkien’s hobbits from initial notes and all the way to the finished product, and thus becomes important tools within this thesis.
3 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings Introduction’ in Psychological Perspectives: A Quarterly Journal of Jungian Thoughts 50(1) (2007), 89. 4 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings Introduction’, 90-2. 5 Charles W. Nelson ‘Courteous, Humble and Helpful: Sam as Squire in Lord of the Rings’ in Journal of the Fantastic in the Arts, 2(1) Spring (1989), 48-63.
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However, further attention may be paid to the hobbits’ function as flexible narrative devices that has a purpose which transforms in response to the demands made by the narrative. This way of analysing the hobbits promises to enable a better understanding of the uniqueness and versatility of these figures. Their change throughout the writing process has not, of course been entirely ignored. As Porter observes, ‘[a] few changes that Tolkien made to hobbits (…) may help to illustrate the point that even the author had different ideas about Bilbo, Frodo, Sam, Merry and Pippin; the final print version was the result of an ongoing creative process.’6 By interacting with pre-existing material such as the texts mention above I will argue that Tolkien’s hobbits are not traditional hero-figures. While they do fill the ‘hero’ position within the narrative as part of being the main protagonists they do not fully comply with the demands of a traditional hero-figure, which is a response to their need to be flexible. My argument is that instead of filling just one narrative function perfectly they fill many partially, and their function fluctuates in response to the narrative. A way to examine these claims is both by looking at their function in the finished narrative, but also look at potential functions that they were planned to fill, or even potential hobbits that never came to be. Tolkien’s fiction is classified as fantasy, and thus appears in the same category as other notable works, such as Lewis Carroll’s Alice in Wonderland (1865), George MacDonald’s The Princess and the Goblin (1872), L. Frank Baum’s The Wonderful Wizard of Oz (1900) James M. Barrie’s Peter Pan (1911) and even his contemporary C. S. Lewis’s Narnia series to mention a few. When questioning the narrative flexibility of figures and how they are affected by the narrative creation at large, it might be just as important to question what the genre demands of the characters. The genre of a work will have certain demands and set restrictions upon the characters and Tolkien’s hobbits exist in multiple genres, which in turn affects the characters, and even occasionally transforms them. ‘As Tolkien’s friend and colleague C.S. Lewis shrewdly observed when he first read H, it begins like a children’s story but ends like a tragic Norse saga.’7 Therefore, the genres that will be pertinent for this thesis will have to be defined. The genres in question are mainly children’s literature and fantasy, or fantastical fiction. Furthermore however, other genres such as the fairy story, folk tale and the saga need to be defined, as Tolkien draws upon many other narratives, and through doing this
6 Lynnette Porter, The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin (London: I.B. Tauris, 2012), 34. 7 Mark Atherton, There and Back Again: J. R. R. Tolkien and the Origins of the Hobbit (London: I.B. Tauris, 2014), 67.
3 he invokes parts of these genres in different sections of his narrative, which thusly affects the hobbit just as the main genre might have done. Children’s literature is a genre containing a vast amount of different texts of varied content and form. Because of this there needs to be a more specific definition in place to truly be able to see what denotes children literature, and what it is that affects H. A general statement that is broad enough to cover a vast majority of texts contained in the genre has been written by Perry Nodelman in his book The Hidden Adult: Defining Children’s Literature. A definition of what might constitutes children’s literature is literature written specifically for children and ‘(...) produced in terms of adult ideas about children.’8 It is according to him a genre where the ‘enduring adult ideas about childhood’9 characterize the genre, and as such has kept it quite consistent. Furthermore he defines the literature as ambivalent, as the ideas of childhood are ambivalent.10 It is made to fulfil what adults perceive to be the need of a ‘(…) fictional child reader’11, and works both to protect and teach them.12 The literary forms they often may draw upon are the ‘(…) fairy tales and the pastoral idyll’13, and the protagonist or main characters often take on the form of ‘children or childlike beings’.14 The writing is often simple, with a narrative mainly driven by plot, that will show the reader rather than tell them. It often contains happy endings where a character has returned to a home, and the protagonist often ‘ represents combinations of pairs of characteristics’15, where they in the theoretical discourse outside of the text might ‘ function separately and in opposition to each other.’16 These points create a larger set of terms to create the overarching category ‘Children’s literature’. Tolkien’s H certainly follow several of these points, thus being a book that fits neatly into the category. However, this definition alone does not account for all the demands that are being made of Bilbo in the narrative, and so there needs to be an even narrower descriptor of the genre to account for how it affects the figure of Bilbo Baggins. H is not only considered children’s literature, but more specifically children’s fantasy, and thus the fantasy aspect needs to be extrapolated.
8 Perry Nodelman, The Hidden Adult: Defining Children’s Literature (Baltimore: The Johns Hopkins University Press, 2008), 242. 9 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 242. 10 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 242. 11 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 242. 12 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 243. 13 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 243. 14 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 243. 15 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 243. 16 Perry Nodelman, The Hidden Adult: Defining Children’s Literature, 243.
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Children’s fantasy is mostly covered by the same criteria as children’s literature at large but also contains fantastical aspects in one form or another, which further narrows down the works that fit into the category. However, the genre also contains a more specific definition. Maria Nikolajeva states that power is the engine in the subgenre of children’s fantasy,17 which is often the case. Power shifts, or power negotiation thus becomes a prominent feature of the genre, which fits in with Bilbo’s adventure. Other prominent features that might present themselves in this genre are time displacement, the presence of anthropomorphic animals, living toys or mythological creatures18, and last but not least the alternate worlds, as seen in H and Narnia among many others, and which is a notable feature in the works of Tolkien at large. While children’s fantasy contains a set of features that move the fiction into the fantastical, the fantasy genre is wider and, like with children’s literature, contains a wider variety of works. As Edward James and Farah Mendlesohn state in their introductory chapter to The Cambridge Companion to Fantasy Literature the general consensus with several prominent theorists in the field is that ‘(...) fantasy is about the construction of the impossible whereas science fiction may be about the unlikely but is grounded in the scientifically possible.’19 Furthermore Brian Attebery’s theory that fantasy should be viewed as a ‘(...)group of texts, to a greater degree or other, a cluster of common tropes (...)’20 is also prominent within the definition of fantasy. In Attebery’s theory the centre of these clusters is comprised of those narratives that share the completely impossible, and at the peripheral those which share smaller tropes. He labels this grouping system as fuzzy sets, derived from the mathematical theory of fuzzy or uncertain sets.21 Furthermore however, Mendlesohn, who appear to accepts what Atterbury has proposed, also argues for another way of grouping fantasy works, namely into these four categories; a portal quest in which the protagonist enters a new world; the immersive where protagonist is contained within the fantasy of the surroundings; the intrusion, where the fantastical intrudes into the ‘primary world’22; the liminal, where ‘magic might or might not be happening.’23 Combining these two theories
17 Maria Nikolajeva, ‘The Development of Children’s Fantasy’ in The Cambridge Companion to Fantasy Literature, ed. Edward James and Farah Mendlesohn, (Cambridge: Cambridge University Press, 2012), 51. 18 Maria Nikolajeva, ‘The Development of Children’s Fantasy’, 55. 19 Edward James, Farah Mendhlesohn. ‘Introduction’ in The Cambridge Companion to Fantasy Literature, ed. Edward James and Farah Mendlesohn, (Cambridge: Cambridge University Press, 2012), 1. 20 Edward James, Farah Mendhlesohn. ‘Introduction’, 1. 21 Edward James, Farah Mendhlesohn. ‘Introduction’, 1. 22 Edward James, Farah Mendhlesohn. ‘Introduction’, 2. 23 Edward James, Farah Mendhlesohn. ‘Introduction’, 2.
5 places Tolkien’s works firstly in the centre of the fantastical, where it demonstrates the impossible, while also labelling the work as Mendlesohn’s immersive fantasy, making it ‘fantastical immersive’. Now that both children’s literature, children’s fantasy and fantasy at large has been defined, it might be pertinent to move on to the concept of the fairy story, which Tolkien himself has endeavoured to define. Ignoring Tolkien’s own ideas on fairy-stories when analysing his own work would be doing both this thesis as well as Tolkien himself a great disservice, as he set restrictions upon this genre. ‘(...) [F]or fairy-stories are not in normal English usage stories about fairies or elves, but stories about Fairy, that is Faërie, the realm or state in which fairies have their being.’24 Furthermore he states that ‘[m]ost good ‘fairy- stories’ are about the adventures of men in the Perilous Realm or upon its shadowy marches.’25 Tolkien does narrow this down by presenting texts that are not included under this label such as animal fables, however Tolkien’s own tales does very much fit his own description. The folk tale, on the other hand, has been defined by Andrew Teverson as a narrative containing elements such as magic, transformation or unlikely feats, elements which Teverson states are ‘(…) a necessary and ubiquitous precondition’26 of the genre. Teverson also states that they often follow a more ‘unlikely hero’27, and often base themselves on normal, everyday situations, 28 as opposed to those often found in myths and sagas and so forth. And in this Tolkien fits his description, as the hobbits are perhaps the most ordinary of creatures, at least for the reader, who possibly recognize more similarities in the hobbits than in even the men of Middle-earth. Furthermore, Teverson states that the folk tale often take place in a familiar setting, and depict the common protagonist facing common obstacles such as poverty, and through what he labels as ‘(...) some clever ruse or some extraordinary stroke of luck (...)’29 overcomes said obstacle. The folk tale then, unlike the fairy story, is much more rooted in the ordinary, a distinction which is the reason for these terms being separated. Last, but not least, the saga needs to be at least somewhat defined, as both the narrative in H and LR make use of this genre in some way or another. The saga is a narrative mostly concerned with people hailing from Scandinavia.30 There are several sub-categories of
24 J. R. R. Tolkien, Tolkien on Fairy-stories: Expanded Edition, with Commentary and Notes, ed Anderson, Douglas A. and Flieger, Verlyn (London: HarperCollinsPublishers, 2008), 32. 25 J. R. R. Tolkien, Tolkien on Fairy-stories: Expanded Edition, with Commentary and Notes, 32. 26 Andrew Teverson, Fairy Tale, (London: Routledge Taylor & Francis Group, 2013), 29. 27 Andrew Teverson, Fairy Tale, 29. 28 Andrew Teverson, Fairy Tale, 29. 29 Andrew Teverson, Fairy Tale, 29. 30 Margaret Clunies Ross. The Cambridge Introduction to The Old Norse-Icelandic Saga, (Cambridge: Cambridge University Press, 2010) 27-8.
6 the saga, such as konungasǫgur, pertaining to narratives regarding kings, fornaldarsögur, ‘legendary sagas’31, and Islendingasögur, which are sagas regarding Icelanders, often labelled ‘family sagas’32 to name a couple. Vǫlsunga saga, which will become relevant in the first chapter, for example, is considered a saga in the category fornaldarsögur33. What, however, are the defining traits of the genre which are relevant to Tolkien and the narrative of the hobbits? Margaret Clunies Ross states that the saga
‘(…) was a textual form that was primarily a narrative in the vernacular, probably taking formal shape (…) in oral transmission (…); it was about people, mostly Norse people, and their doings, whether these were individuals or in groups; it often contained poetry (…); it occupied a grey area between fact and fiction, springing in variable part from known events, but it was also shaped by the creating imagination of its composers.34 What this reveals is that the saga told a variety of tales, and their composition could consist of fact and fiction, placing it in a sort of middle ground. In this way the narrative of the saga was as much shaped by the actual history as by the composer, who could take liberties. What need to be noted, however, is that the original saga also worked with an older set perspective of heroism and similar, which Tolkien was more than aware of in his writing of H and LR. Sméagol, as presented in LR, originated as a member of ‘(...) a clever-handed and quiet-footed little people. I guess they were of hobbit-kind; (...)’.35 His relation to hobbits comes as a surprise to Frodo, and likely to a reader who is familiar with H. So it is fitting to include Gollum into the thesis, as he originated as a relative to the hobbits. Furthermore, his warped appearance and nature from his time in possession of the ring allows for a physical demonstration of the potential effects of the ring, thus working to make the ring more threatening. Gollum did not start as a hobbit, however, as in the original H he was merely meant to be a creature to function as an obstacle for Bilbo. In the 1966 edition however, Tolkien finally released a somewhat altered edition, where Gollum indeed reflected what the pages of LR detailed. Gollum’s narrative is very much entwined partly with Bilbo, but wholly with Frodo and partly even with Sam, and his hobbit heritage means that at least in LR he works with some of the same premises as the other hobbits, although his altered state has made his function much more bound, making him less flexible. However, the ambivalence found in his duality does make him at least movable if not inherently flexible, and his hobbit nature makes him irreplaceable with regard to this thesis.
31 Margaret Clunies Ross, The Cambridge Introduction to the Old Norse-Icelandic Saga, 28. 32 Margaret Clunies Ross, The Cambridge Introduction to the Old Norse-Icelandic Saga, 29. 33 Margaret Clunies Ross, The Cambridge Introduction to the Old Norse-Icelandic Saga, 31. 34 Margaret Clunies Ross, The Cambridge Introduction to the Old Norse-Icelandic Saga, 23. 35 J. R. R. Tolkien, The Lord of the Rings (London: HarperCollinsPublishers, 2005), 52.
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The first chapter will be dedicated to H. The writing process of H appears to have been done mostly chronologically. Rateliff himself has divided the manuscript pieces into phases, signalling breaks in writing by Tolkien himself. I will use these phases both to follow the manuscript as chronologically as possible, but also for ease of reference. The first phase is brief, and only contain pieces of the beginning. The second phase is by far the longest, and contains almost the whole tale, stopping before the great battle. This phase in particular also contains plot-notes with plans for the narrative. The third phase contains the final texts and revisions before the first publication, but as Porter states: ‘Even when the books appeared in print, Tolkien worked to eliminate inconsistencies and errors, a revision and correction process that continued for the rest of his life.’36 And so the final two phases contain revisions made after the first publication, and also later revisions made in reaction to the emerging narrative presenting itself in LR. H and the changes made while writing were not as many as with LR, yet changes were made between phases when ideas changed and certain events in the final product were altered, such as the death of Fili and Kili, and Bard being the slayer of the dragon. Furthermore, after the publication the changes were few, and small enough to keep most of the narrative intact, yet the changes made create quite the change in Gollum, for example. This chapter introduces the creation process of the first hobbit and establishes what a hobbit is in a very narrow confine, as the book itself was meant to be contained. It introduces the beginning of the hobbits as seen in LR yet simplified into a figure mostly based on a dichotomy, to fit into the children’s fantasy. The second chapter will contain the beginning of LR and has two purposes. Firstly, this chapter will look at the most important elements established in the writing of ‘The Fellowship of the Ring’, that being the hobbits, and also the hobbit that never came to be a hobbit; Trotter. In this very early stage of his writing, Tolkien had yet to find what his narrative would entail, and therefore also struggled to establish his many hobbits, as the narratives demands were yet to be clear to Tolkien. Without a clear narrative trajectory or drive in mind, the hobbits had yet to find needs, and this is perhaps why Frodo was the easiest to establish, while Merry and Pippin, who for the most part within the narrative mainly remain on the periphery of the ring quest, were more difficult to establish. This brings us to the second purpose of this chapter, to track the developments in the idea of the ring from what was established in H to what it ended up being in LR. This is paramount for this thesis at large as it is the change in the ring that creates the main drive for the narrative, especially for Frodo,
36 Lynnette Porter, The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin, 15.
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Sam and Gollum. This chapter largely establishes who the hobbits came to be as their function became clear, and what the narrative had come to demand, at least in regard to the main quest of the ring. After The Fellowship of the Ring the hobbits are split up, and with this the narrative trajectories differ greatly between the different groups. Because of this, it is more expedient to follow first the writing pertaining to the plot of the ring, as the narrative’s demands with regard to the two parties will be vastly different. This chapter will therefore span the writing done in regard to Sam, Frodo and Gollum from the breaking until ‘The Grey Havens’. As the story is long, this thesis will mainly be concerned with selected writing that culminated into the following chapters; ‘The Taming of Sméagol’, ‘The Passage of the Marshes’, ‘The Forbidden Pool’, ‘Shelob’s Lair’, ‘The Choices of Master Samwise’ ‘Mount Doom’ and finally ‘The Grey Havens’. Furthermore, not everything in these chapters will be relevant, and so chosen examples will be used to demonstrate the demands and usage of each figure. Immediately after the divide, Sam, Frodo and Gollum are all for a time fully separate from the rest of the narrative and follow their own quest-line faithfully. These three characters, however, largely depend on each other to be able to fulfil their function as the narrative demands. Furthermore, these figures have a multitude of roles that are perhaps just as much internal as external, as it is this trio that both demonstrate a journey, but also embody an exemplification of the effects of the ring, which is demonstrated in these pages. The plot- elements related to these figures are perhaps those elements within the narrative that appear most inevitable or predetermined given Gandalf’s predictions from ‘ The Shadow of the Past’ which perhaps indicates that it is in fact the struggle with the power of the ring and the impossibility of the quest that is the most important function of these three figures. The final chapter will follow the last two hobbits, Merry and Pippin, and see their adventure through. While Tolkien was uncertain about the reach of these two figures as he initially intended to leave them behind, he soon found a use for them as the narrative grew, and the layers of plot emerged that would be out of reach for the other hobbits. If Tolkien was to write the narrative ‘through’ hobbits then he would need hobbits that he could place out throughout the conflicts of men. As with the previous chapter, this will mainly be dwelling on sections of story that exemplify the emerging function for Merry and Pippin, which means the writing process of the relevant chapters will be the following; ‘Treebeard’, ‘The Palantír’, ‘The Battle of the Pelennor Fields’, ‘The Pyre of Denethor’, and finally ‘The Scouring of the Shire’. Unlike the other hobbits within this narrative, Merry and Pippin do not have a set role clearly demanded by the narrative, but rather impose themselves upon the narrative to alter
9 and change it. I.e., they are more free-standing figures. Because of this, one might even say that the narrative lines of Merry and Pippin stand in opposition to the more predetermined narrative of Frodo, Sam and Gollum. Furthermore, their functions are quite different, and actively play out even after the destruction of the ring, where the main function of Sam, Gollum and Frodo end. In this chapter I will trace the differences made within the characters, though they are few, as he found them so late, and trace the narrative to find their function, as I believe Merry and Pippin together, perhaps best embody the idea of a flexible tool within the narrative.
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1 The Form and Function of the Original Hobbit
‘You are a very fine person, Mr. Baggins, and I am very fond of you; but you are only quite a little fellow in a wide world after all!’37
The first chapter will be concerned with the first text featuring a hobbit, namely H. This book is the first to feature a hobbit and was originally planned to be a stand-alone tale for his children, thus placing it within the genre of children’s literature, contrasting greatly with what is found in LR. This book both introduces the race of hobbits and defines them through the protagonist Bilbo Baggins. Within this work the preliminary function and boundaries of this figure are created to fill his rather simple functions within the linear narrative, and thus Bilbo can be considered a ‘proto-hobbit’. By looking into the figure and function of Bilbo Baggins one can discern the initial function and definition of hobbits which creates a base from which Tolkien could build his other hobbits. Furthermore, this allows us as readers to see the initial definition, which can both reveal their initial and fundamental flexibility, as well as be a point of comparison once Tolkien was forced to expand on his hobbit creations. This chapter also reveals another paramount figure for this thesis, namely Gollum. While he is introduced in H, his function and background are vastly different in this first text. Once more, by examining the changes made in him one might uncover the limitations set upon the hobbits, as he himself becomes at least hobbit adjacent. Tolkien’s manuscripts and typescripts as presented within the compiled collection of Rateliff were written mostly in chronological order and will be used loosely as a guide within this chapter. It is important to first look at the initial writing before comparing it to potential changes to get a clear picture of how Tolkien constructed and used his hobbits. As the volume of material is so encompassing, a selection of writing will be used to demonstrate the flexibility and function of Bilbo, and even of Gollum. The main text excerpts chosen are the ones that culminate into the following chapters; ‘An Unexpected Party’, ‘Riddles in the Dark’, ‘Flies and Spiders’, and finally ‘Inside information’. Furthermore, Tolkien made alterations in H after its initial publication, which will also be discussed. These changes mainly impacted ‘Riddles in the Dark’ and were made in response to the demands made by LR. Lastly, this chapter will also include ‘The Quest of Erebor’ found in Unfinished Tales, as this has an effect of altering the perception of the figure of Bilbo in the first chapters of the book. These
37 J. R. R. Tolkien in Douglas A. Anderson, The Annotated Hobbit: Revised and Expanded Edition, (Boston: Houghton Mifflin Company, 2002), 363.
11 chapters have all been chosen as I find they best demonstrate the function and flexibility of the hobbits, as well as demonstrate the process of creating them, thus illustrating what was kept and what was discarded, allowing for a more comprehensive understanding of the hobbits. The first chapter in H introduces Bilbo, the succeeding chapters contains scenes that best illustrate how his function works within the narrative.
1.1 The First Phase – The Introduction As stated in the introduction, Rateliff divided Tolkien’s creation into phases, where the first phase includes content used for the first chapter of TH. This phase is divided further into two sections labelled ‘The Pryftan Fragment’ and ‘The Bladorthin Typescript’ (Pryftan referring to the dragon and Bladorthin referring to the wizard that would later become Gandalf). As these both contain very similar presentations I will be using ‘The Bladorthin Typescript’ as it is a more complete version of the text. Together these two pieces of writing make up the phase in which the very first ideas of H were brought to paper, and while some very few changes were to come, it very much retains the same hobbit as was to be found in the published text. The typescript starts with the famous line ‘[i]n a hole in the ground there lived a hobbit.’38 This very early piece of writing almost perfectly mirrors the final edition, and begins by establishing the comedic potential of Bilbo Baggins, the first hobbit. The first chapter of H demonstrates, even in its earliest stages, a narrative fitting neatly in the genre of children’s literature, largely through the comedy both in the introduction of hobbits and Bilbo Baggins himself, but also the wizard Gandalf. One might even argue that the word hobbit itself is meant to be comedic, as words such as hobbit and wizard both sound ridiculous, and perhaps especially in combination. Bilbo was in fact initially made to be not only funny, but with the potential for appearing utterly ridiculous. The propriety created in the description of Bilbo and his hobbit hole following the very first line sets the stage for comedy by describing the most homely of creatures, who appreciates his creature comforts and who has a respectable family, creating a suburban image which greatly contrasts with the other major figures within the narrative, who does not belong in a suburban, ordinary imagery, but rather in the fantastical, thus creating a stark contrast between the familiar and the unfamiliar. To achieve the potential in Bilbo to both fit into the narrative while still being a source of comedy, he created a dichotomy within his figure that would define his main traits. His
38J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, (London: HarperCollinsPublishers, 2011), 28.
12 literary makeup mainly consisting of two contrasting impulses, the Baggins, who maintains the hobbitish propriety fit for a figure from the suburbs, and the Took, which is the more impulsive and adventurous side of him;
‘Then something Tookish woke up inside him and he wished to go and see the great mountains and hear the pinetrees and the waterfalls and explore the caves and wear a sword instead of a walking stick.(…) he thought of plundering dragons settling on his quiet Hill and kindling it all to flames. He shuddered, and very quickly he was plain Mr Baggins of Bag-End Under-Hill again.’39
Of course, the narrative reasoning for this dichotomy is grounded, even in the earlies notes, in hearsay of family history; ‘‘It had always been said that long ago some or other of the Tooks had married into a fairy family (goblin family said severe critics) (...)’40 furthering this ridiculous air that has already been firmly established in the notes from this first chapter. The beginning of the narrative introduces a nonsensical conversation between Bilbo and Gandalf, questioning the semantics of the phrase ‘good morning’ (as Gandalf states; ‘“What a lot of things you do use “good morning” for (…)”’41) once more emphasising the light and humorous tone that is present more or less throughout TH. This oral comedy is carried throughout the story by Bilbo himself, who through his paradoxical nature present in the Baggins and Took represents the common amidst the fantastical. This dichotomy is, however, vital for Bilbo’s flexibility as it allows Tolkien to use the figure both in his Baggins capabilities while also being able to invoke the Took when necessary. Every time Bilbo finds himself in a perilous situation Tolkien makes use of the dichotomy to allow Bilbo to overcome his challenges, which will be demonstrated later in the chapter. This duality demonstrates a feature often found in children’s literature at large, which is binaries. As Nodelman states, even protagonists in children’s literature ‘(...) may represent some strange combination of binary oppositions.’42 In this particular case the emerging Took side of this dichotomy allows for a pull factor for Bilbo, thus imbedding in this figure a potential for bravery and adventure while keeping the Baggins side, which allows for the potential of humour. The humour also adds to the tones of children’s literature, and is further present in the ridiculous picture Bilbo makes when in the presence of the more serious dwarves; ‘(...) they saw the poor little hobbit kneeling on the hearthrug shaking like a jelly (a jelly that is melting).43 Bilbo is both a hero fitting the children’s literature genre as he is
39 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 38. 40 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 29. 41 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 31. 42 Perry Nodelman. The Hidden Adult: Defining Children’s Literature, 231. 43 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 8.
13 almost childlike in his naivety regarding the world around him, as well as a hero fitting the folk tale genre, which often uses ordinary or unlikely figures as protagonists, as seen in famous tales such as the Ash Lad and Jack and the Beanstalk. Bilbo Baggins has so far been presented as a representative of the race of hobbits and is established in function through the dichotomy of ordinary and adventurous. However, this ordinary figure is also the most familiar of all the figures identified in the narrative. By this I do not mean that he is familiar in his identity as hobbit, however the image of the ordinary suburban inhabitant is much easier to recognize for a reader than a well-travelled wizard or dwarves who seek to evict a dragon. Middle-earth. Michael D. C. Drout states himself that while the rest of Tolkien’s constructed world is influenced by epics and romance from medieval origin, Bilbo Baggins, and by association the rest of the hobbits, ‘ (…) anachronistic way of living’44 becomes a bridge for the readers, bearing into the amazing adventures together with the ordinary hobbit the narrative follows. While Drout further states that even the Edwardian hobbit may still be somewhat distant to the reader, he is the closest to familiar one might find.45 Bilbo is and remains therefore, from idea to final publication, a bridge that potentially makes the narrative more accessible to any reader, both young and old, who are not familiar with the fantasy world of Tolkien. Furthermore, Shippey has stated that Tolkien wished to call upon older traditions of heroic legends, which with his modern audience could present certain obstacles.46 He states that for the modern reader heroes ‘(…) are not acceptable anymore, and tend very strongly to be treated with irony (...).47 Tolkien did not want to be ironic about heroes, and yet he could not eliminate modern reactions.’48 According to Shippey, Tolkien used Bilbo to circumnavigate this issue, by using Bilbo as a mediator, as ‘[h]e represents and often voices modern opinions, modern incapacities: he has no impulse towards revenge or self-conscious heroism, cannot ‘hoot twice like a barn-owl and once like a screech owl’ as the dwarves suggest (...).’’49 Thus Bilbo could be ‘(…) our representative, without heroic pretensions but also without cynical ironies. He is admittedly a bourgeois.’50 With this Tolkien has both created a narrative that is easily accessible through Bilbo, but furthermore created a figure
44 Michael D.C. Drout (ed.) J.R.R. Tolkien Encyclopedia: Scholarship and Critical Assessment, (New York: Taylor & Francis Group, 2007), 65. 45 Michael D.C. Drout (ed.) J.R.R. Tolkien Encyclopedia: Scholarship and Critical Assessment, 65. 46 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, (Boston: Houghton Mifflin Company: 2003), 71. 47 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 71. 48 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 71. 49 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 71. 50 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 72.
14 which has two almost paradoxical impulses that is used to fill various demands created throughout the story, thus allowing for a narrative that can be both ridiculous and fantastic.
1.2 The Second Phase – Gollum in the Caves What Rateliff has labelled the second phase of Tolkien’s H is by far the longest, and it is in this phase that ‘Riddles in the Dark’ first takes shape. This chapter is unique in that it was the only one that was visibly altered and revised after the first publication of H to make it fit the narrative of both Gollum and the ring in LR. Because of this, certain elements of this chapter were altered, and this largely affects both Gollum and Bilbo in function. However much also remained the same, and before one can look at the revisions one first needs to have gone through the original text. This chapter is the first time within the story that Bilbo is separated from his travel companions and is plunged into the dark. Bilbo has the greatest impact upon the narrative when he is separated from the dwarves, which means that the author isolates him to demonstrate his function, which is helpful in the case of this thesis. Bonniejean Christensen states in an essay about the alterations of this chapter that H ‘(…) examines the nature of evil and the limits of man’s response to it, a fact often overlooked because of the tone of The Hobbit identifies it as a fantasy belonging in the nursery.’51 This point has bearing on Bilbo in this instance, because while it is clear that LR is about evil and the reactions to it, this is not necessarily overt within H, yet it is an important facet to Bilbo’s function. Bilbo’s three meetings with the dark and the subsequent evil therein, and his reaction to it does help to convey the idea of a ‘normal’ person’s reaction to facing said evil. And as Christensen states, Gollum is one of the scaling creatures of terror which the protagonist is faced with,52 indicating that this is his primary function in this narrative. Before being able to talk about how Tolkien used Bilbo to respond to Gollum, however, it is necessary to look at how this chapter further expands on the traits of hobbits. The initial version of this chapter starts off with Bilbo lost in the dark after the fall, and this marks the first scene since the party set off where Bilbo is isolated within the story. Tolkien uses the beginning of this chapter to present the more unknown traits of hobbits that are to be the deciding factors that will allow Bilbo to fulfil his contract bound obligations as burglar;
‘Now certainly Bilbo was in what is called a tight place. But you must remember it was not quite so tight for him as for you or me. Hobbits are not quite like ordinary people (…) they are more used to tunnelling than we are, and they do not easily lose their sense of direction under ground. Also they can move very quietly, and hide easily, and recover wonderfully from bumps and bruises, and they have a fund of wisdom and wise sayings that men have mostly never heard of, or have forgotten long ago.’53
51 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’ in Lobdell, Jared (ed.), A Tolkien Compass, (Chicago: Open Court Publishing Company, 2003), 7. 52 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 7. 53 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 154.
15
It is apparent by reading the manuscript pages and typescripts that Tolkien already knew what he wanted his hobbit to be within the confines of the narrative found in TH. These lines, almost identical to the ones in the final print, establishes the hobbit as both resilient and flexible. This excerpt demonstrates Bilbo’s burglar qualities and is found some lines down from the lines where Bilbo finds the ring, which will further these qualities. What has been established in the first chapter of H together with what has been established regarding hobbits in the beginning of this chapter becomes a template which demonstrates the approach Bilbo will have whenever he is forced to face a challenge within the quest. The established hobbit in the beginning of the narrative was built so he would have potential for narrative flexibility with his inherent duality, and the introduction to this chapter furthers his suitability as protagonist by exposing traits that would allow for him to fill a burglar role. However there was still something needed for him to be able to maximise this flexibility. Throughout the narrative the ring is a paramount item that further defines the flexibility or reach of Bilbo, which means that Bilbo would have been more limited in function without the ring. The ring is therefore very important in conjunction with Bilbo as it helps further his function. Shippey goes as far as to label the ring an equalizer for Bilbo54, which is an apt term, as it is a vital item for Bilbo later in the plot. It creates a balance and opportunities for Bilbo to use other attributes aside from brute force and battle techniques, which he has already proven that he lacks. The ring allows him to enter into dangerous situations, and yet play on his own strengths to be able to solve the situations he is presented with. The ring functions as a ‘helper’ to him, a kind of modifier to his figure that raises his potential for the future, which is a necessity to make Bilbo more able. Furthermore, it may have the added effect of grounding Bilbo, as despite his quick wit and other fortunate attributes he is still not enough without the ‘helper’.
This chapter introduces the first antagonist Bilbo needs to face alone; Gollum. What is interesting about Gollum, however, is that his function in this very initial text was very simple, and that was to be an obstacle as well as a guide for Bilbo. As mentioned previously in this chapter, however, ‘Riddles in the Dark’ was later revised in response to the demands of Gollum in LR. Yet it is important to be aware of the initial version of the chapter to fully grasp the effect of the changes made, and what made it necessary. At this point in his writing Tolkien knew nothing of what he would later create, and so Gollum’s function is yet a simple
54 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 77.
16 and direct one, fitting a narrative within the confines of children’s literature. His description, however, is almost unchanged; ‘Deep down here by the dark water lived old Gollum. I don’t know where he came from or who or what he was. He was Gollum, as dark as darkness except for two big round pale eyes. He had a boat (...). He paddled it with large feet dangling over the side, but ever a ripple did he make. Not he: he was looking out of his pale lamp-like eyes for bind fish (...).55 As Rateliff states, this ‘Gollum is clearly not a hobbit in the original – ‘I don’t know where he came from or who or what he was’ (...)’56 Furthermore, the descriptors of Gollum stand in opposition to the descriptions of hobbits; ‘(…) as dark as darkness’,57 with long fingers and webbed feet58, and with ‘pale lamp-like eyes’,59 giving the reader no reason to attempt to compare the two. His vague description caused many illustrators of the first publications of the book to depict Gollum as a rather large creature in comparison to Bilbo60, (an example of this is found in Tove Jansson’s illustration of Gollum61) which is another contrast to Bilbo. Gollum is, at this moment, a threatening, but reasonable creature, adhering to the rules and acting somewhat cordial. His history is vague, though he is portrayed as an old creature, having been in the caves since times ‘(…) long long ago before the goblins came.’62 Furthermore, lines already in this excerpt exist which might allude to a transformation into the cave-dweller he currently is;´(...) what is more reminded him of days when he was not lonely and sneaky and nasty.’63 His relation to the riddle games is also from that time when he ‘(…) played with other funny creatures sitting in their holes’64 before the time of the goblins. His character is built quite like many found in folklore, such as Rumpelstiltskin, who sets riddles, and adhere to rules even when on the losing side, thus evoking a scenario reminiscent of folktales within this fantastical world. Furthermore. This does resonate with Bilbo, who from the beginning has been introduced as a more folkloric hero, a more ordinary person who is not above trickery to achieve his goals. In fact this chapter appears reminiscent of many other tales. In regard to the riddle game it mirrors elements of tales such as that of Oedipus and the Sphinx, where a creature challenges the protagonist with riddles to gain passage, and as mentioned Rumpelstiltskin, who presents a ‘riddle’ to get out of a deal. Another prominent
55 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 154-5. 56 John D. Rateliff (ed.) The History of the Hobbit, 166. 57 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 155. 58 John D. Rateliff (ed.) The History of the Hobbit, 166. 59 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 155. 60 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 118. 61 J.R.R. Tolkien Hobitti eli Sinne ja takaisin (Helsinki: Werner Söderström Osakeyhtiö, 2017), 92. 62 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 156. 63 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 157. 64 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 155-6.
17 folk tale bearing similar tropes being the tale ‘The Boy Who Had an Eating Match with a Troll’, where the Ash Lad secretly cheated during an eating match by pretending to slice his stomach open to prevail and urging his opponent to follow his example. By both figures emulating folkloric figures, and by the usage of a situation bearing resemblance to general folk tales, the whole chapter evokes the genre of folk tale, an arena suitable for both actors within it. However, the stakes in this game are different from the newer editions of the hobbit; ‘If precious asks, and it does not answer, we eats it my precious. If it ask us and we doesn´t answer, we gives it a present: Gollum.´´65 As mentioned above, in H Gollum’s only narrative function is to be an obstacle for him to get his ring, and to find his way out. Gollum, who is the ‘guard’ or owner of the ring presents Bilbo not with a physical battle, though he makes it clear he would like to eat Bilbo, but rather a riddle-game, where Bilbo would be eaten should he lose. This riddle-game, as also pointed out by Marie Nelson, falls into the category of the ‘neck-riddle’, despite it being neither a royal contest, nor a battle of wits between a judge and a jury, Bilbo’s neck is still in jeopardy.66 Nelson draws on the paper on neck-riddles by Michael Elias, who defines the ‘neck-riddle’ or ‘capital- riddle’ loosely as ‘to mean a wager with the loser’s head at stake.’67 He furthermore specifies that there are folklorists who;
‘(…) use the terms specifically to refer to certain riddles recorded from oral tradition since the second part of the nineteenth century. While ‘normal’ riddles are embedded in a speech event (someone tries to give an answer to an enigmatic question), in the neck-riddle corpus the speech event itself is typically embedded in a narrative frame consisting of two parts: one tells about a condemned person who is able to save his or her neck by propounding a riddle the judge is unable to answer; the other contains the solution. A further condition in this restricted sense of the term is that all neck-riddles refer to private and curious experiences of the riddler.’ 68
The riddle-game in this instance is one of alternating riddles and answers and does indeed fulfil the idea of being life threatening to one part. The riddles further reveal that both the opponent have something in common; they both know and adhere to the rules and the conventions of a riddle game, as ‘[a] riddle is a traditional, fix-phrased verbal expression containing an image and a seeming contradiction.’69 The fact that both Gollum and Bilbo can answer each other’s riddles does speak of at least some common culture in that case, as one
65J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 156. 66 Marie Nelson, Time and J. R. R. Tolkien’s “Riddles in the Dark”’ in Mytholore, 27 (2008), 70. 67 Michael Elias, ‘Neck-Riddles in Mimetic Theory’ in Contagion Journal of Violence Mimesis and Culture, 2(1) (1995), 193. 68 Michael Elias, ‘Neck-Riddles in Mimetic Theory’ 193. 69 Annikki Kaivola-Bregenhøj, Riddles: Perspectives on the use, function and change in a folklore genre, (Helsinki: Studia Fennica Folkloristica, 2001), 9.
18 may come to the conclusion that to be able to answer a riddle one need to work with the same frames of references to reach the right answer, meaning that at least some common denominators need to be in place. Even Gollum feels obliged to adhere strictly to the rules set, though his decision might have been swayed by the presence of Sting, Bilbo’s blade. The riddle contest therefore has two functions for Tolkien here. The riddle-speech mirrors what Bilbo does when facing the spiders and visiting the dragon, speaking in near riddles to be able to gain the upper hand. In this instance, however, it is both a tool he uses, and an obstacle he has to overcome. However, as mentioned above, Bilbos cheats his way out of the game by asking a question that is decidedly not a proper riddle; ‘What have I got in my pocket?’70 By doing so he breaks with the conventions of the riddle-game, which Gollum has upheld thus far despite his hunger. Bilbo once again demonstrates his wit by tricking Gollum, who still answers the question, albeit wrongly, despite it not living up to the mantle of ‘riddle’. When it comes to the final non-riddle both Gollum and Tolkien acknowledge that this is indeed not a true riddle. Gollum with his cries of ‘”Not fair, not fair”’71 and, as Anderson also point out in his footnotes, Tolkien with his admission in the prologue to LR that while it had not been a proper riddle, Gollum had been bound to it after accepting it and attempting to answer it as if it had been a true riddle.72 However, Gollum sticks to his word and is distraught when he cannot find the ring Bilbo has already acquired; ‘I don’t know how many times Gollum begged Bilbo’s pardon.’73 Yet Gollum receive his perceived comeuppance twice over as he guides Bilbo out of the caves instead. As Gollum so strongly adhere to the rules set, and is not affected by the ring at this moment in time, the threat of Gollum is only bound by the threat of losing the game, which Bilbo did not do, and so the tone of the encounter is decidedly lighter in this first version of it. Furthermore, Gollum has yet to become a mirror for both Bilbo and even Frodo, which will be relevant later in this chapter, yet by his description he already has elements that Tolkien could use to create an ‘anti-hobbit’.
1.3 Plot Notes and Mirkwood In ‘Riddles in the Dark’ Tolkien has firmly established Bilbo’s wit, introduced Gollum, and further supplied Bilbo with a tool that allows for his flexibility to be complete. By having access to the ring, which is not a threat to Bilbo but rather a ‘helper’, he can approach
70 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 159. 71 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 159. 72 Douglas A. Anderson, The Annotated Hobbit : Revised and Expanded edition, 132. 73 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 160.
19 obstacles using brain over brawn, allowing him to play on his strengths in situations where this might otherwise be impossible. By doing this Tolkien allows his hobbit to approach situations not in ways typical of a fantasy hero but as a hero found in a folk tale. At this point much of what makes Bilbo’s functions possible have been established and Tolkien can now make use of Bilbo more actively with the set parameters. Bilbo’s active role within the narrative is once more needed in Mirkwood, where he is once again faced with being separated from his travelling companions. Tolkien wrote preliminary notes on future text, where ideas for both the spider encounter in Mirkwood, as well as the capture and escape from the elves appear. These first notes are somewhat different to the ones found in the published work; what remains the same, however, is the feature of Bilbo acting alone. In these first notes regarding the encounter with the spiders Bilbo is separated from his party, defeats a spider, and ‘(…) takes her thread and in dim light of day has marvellous luck to come across the track.’74 The idea of using the thread as a means of navigation is the core of Bilbo’s approach in the initial Mirkwood manuscripts. The notes also contain preliminary ideas regarding the elves, where ‘Bilbo can’t find his way out [> get out the magic gates].’75 Furthermore, Bilbo appears not to save the dwarves on his own, as he ‘escapes by
74 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 294. 75 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 296. 76 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 296. 77 John D. Rateliff (ed.) The History of the Hobbit, 335.
20 to use the ring and his voice to combat the spiders, thus reaching the dwarves. This clear parallel to the myth of Theseus evokes the idea of the hero myth, while keeping the folkloric hero of Bilbo, demonstrating how Tolkien often used material from which he drew inspiration. Furthermore, the second section of notes came before Tolkien continued with writing the conflict with the elves, and by doing so granted Bilbo more responsibility, as his function as the rescuer of the dwarves was now set; ‘Steal jailers keys and lets out a dwarf at a time. Hides them in barrels. In this way they are all [in] water. /
78 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 362. 79 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 279. 80 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 279.
21 it an important addition to at least Bilbo, and is a necessary element to help explain his accomplishments.
1.4 Plot notes and Dragons What is most striking within the plot notes are the future plans for Bilbo when facing the dragon. At this point in time Bilbo’s function in facing the dragon is not only to find its weak spot, but even to be the dragon slayer. Bilbo was still intended to be the information broker with regard to Smaug; ‘B. flatters dragon. D. says he is impregnable. (...) B. makes him show.’81 Furthermore Bilbo also stole the gem, which at this point was not the Arkenstone, but rather a stone labelled the Gem of Girion. The notes further state that ‘Bilbo keeps on looking at his gem. He must earn it. / He goes in an kills dragon as it sleeps [added: exhausted after battle] with a spear.’82 As many a Tolkien scholar has pointed out, Tolkien knew to draw on older material, making it fit into his own unique narrative. In this instance Tolkien drew on the saga of Fáfnismál. Within these first notes outlining the meeting between Bilbo and Smaug, the riddling conversation appears to be roughly planned, as Bilbo is already established as using words to affect his opponents. Furthermore, however, the link to Sigurth and Fáfnir goes even further in these notes as Bilbo kills Smaug by exploiting his weak spot once asleep. As with the Theseus theme this overt link between the inspirational source causes Bilbo to fill a more traditional saga hero role. This is made even more clear within the later plot notes labelled ‘plot notes C’, where Tolkien writes the following;
‘Burglary is no good – a warrior in the end. But no one will go with him. Bilbo puts on ring and creeps into dungeon. and hides. Dragon comes back at last and sleeps exhausted by battle. Bilbo [takes >] plunges in his little magic knife and it disappears.83 This concept of Bilbo filling the heroes mantle as a dragon-slayer does not quite fit the already established hobbit, especially combined with the line ‘Burglary is no good - a warrior in the end.’84 Tolkien has spent most of the narrative to prepare Bilbo for feats suitable for his Took and Baggins heritage, and has thus equipped him with the tool to allow him to gain passage where most other would not, as when he steps inside the dragon’s lair, or when he enters into Gollum’s and the elves’ respective domains. But as one who has read H might remember, in the final edition Bilbo states that ‘ “I was not engaged to kill dragons, that is warrior’s work, but to steal treasure.”’85 Tolkien even stated in another context that ‘Dragons
81 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 364. 82 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 364. 83 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 496. 84 J. R. R. Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 496. 85 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 276.
22 can only be defeated by brave men – usually alone. (…) Dragons are the final test of heroes.’86 Yet Bilbo is to be a burglar, and not a hero, and as mentioned earlier in this chapter, this role of warrior which was initially planned then removed might also demonstrate a limitation to the flexible hobbit, as he needs to be flexible and can therefore not so fully fill the role of hero, while also filling the role of burglar and overall mediator within the narrative. However, at this stage Tolkien has yet to reach this conclusion. The idea of Bilbo as the dragon slayer sneaking in to stab the dragon while sleeping survives both plot notes B and C but once Tolkien actually writes the scene he introduces Bard, thereby finally demoting Bilbo from the role of dragon slayer. As Shippey mentions, Bilbo’s conversation with Smaug within the finished work mirrors the conversation of Sigurthr and Fáfnir as seen in Fáfnismál.87 Unlike the brave hero Sigurthr, who was not afraid of the dragon Fáfnir, Bilbo himself is terrified of the great worm that resides in the mountain. So much so in fact, that his Baggins side berates his Took side for taking on the role of burglar and for a third time descending into the dark and dealing with another dangerous adversary. Unlike many a hero from the Icelandic sagas, Tolkien evoked with Bilbo the flawed hero ‘(…) similar to Kullervo’,88 and Bilbo ultimately is not the one to deal with the final adversary found in Smaug the dragon- Sigurthr, however, only spoke with Fáfnir after piercing him with his sword, as instructed by Fáfnir’s brother Regin.89 As in H the idea of cursed gold is implemented in this saga, as Fáfnir himself was once son of the dwarf king, only turning into a dragon after being affected by gold and a ring. In the plot notes where Tolkien mapped out the course of the narrative Bilbo is even more like Sigurthr. In H, Bilbo does as he has been told, and thrice enters Smaug’s den and speaks with him. What is quite interesting in their conversations is that here the silver-tongue of the hobbit comes into play once again, seen especially three times in the narrative of H, namely the three times Bilbo himself was alone in the dark, and facing the dangers of Gollum, then the spiders and now finally the great serpent Smaug. Like the hero Sigurthr, Bilbo uses riddling speech to avoid telling the great worm his name90 and uses it to hold the dragon’s interest. While Bilbo finds the place where Smaug would be vulnerable, it is Bard of Laketown who finally ends the dragon’s reign of terror. As Chance has observed, H relies more on Bilbo’s innate luck, as
86 J. R. R.Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 563. 87 Tom A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 90. 88 Jane Chance. Tolkien, Self and Other: “This Queer Creature” (New York: Palgrave Macmillan, 2016), 61. 89 Jesse L. Byock (ed.) The Saga of the Volsungs: The Norse Epic of Sigurd the Dragon Slayer (London: Penguin Books, 1990), 63. 90 A. Shippey. The Road to Middle-earth: How J.R.R. Tolkien Created a New Mythology, 90.
23 seen both with Gollum and the spiders of Mirkwood, instead of fate and the law of retaliation found in the Bible and in sagas such as Fáfnismál.91 This innate luck in Bilbo further works as an explanation to why Bilbo is able to overcome the challenges he was faced with, and yet was not the dragon slayer in the end. But why was Bilbo not found suitable for the role of dragon slayer? The more obvious practical objections to him slaying the serpent are easy to surmount. If the plan was that he would stab Smaug with a spear, then he would be forced to find one that was hobbit sized, meaning it would likely need to be even smaller than a regular dwarf spear. But again, if Bilbo revealed the chink in the armour previously then surely Sting or almost anything else might have sufficed, which Tolkien himself realized, as he in plot notes C did change it to ‘his little magic knife’.92 Yet Bilbo was demoted from the dragon-slayer. Despite his luck this task would be beyond the hobbit. Tolkien constructed Bilbo to be a flexible narrative tool to further his tale, and to make the narrative accessible. In short, Bilbo was made to be a simple figure that the reader would be able to understand. This does not however correlate with a dragon slayer fit for a Norse saga. As already demonstrated several times in this chapter, Bilbo’s flexibility hinges on his not being placed into roles that are too set, which in turn would negate part of his flexibility. However, in this case, unlike with the comparison with Theseus which was totally obliterated from the narrative, the link between Bilbo and Sigurth was still partially present in the published version. While not filling the role of dragon-slayer, he still mirrors the figure in his interaction with the dragon, thus partly elevating him to the image of a saga hero. Furthermore, Bilbo’s more sneaky tactics does not fall in line with the heroic approach that his dwarven companions lean more towards. While fitting in with some aspects of a traditional saga hero, there is something lacking in the figure of the hobbit to allow him to take this part. Bilbo Baggins, if he was to be likened to any type of hero, would as previously proven fit categorically into the folk tale hero, the one who does not have to live up to the unrealistic bravery and violent acts, but rather who would use what he has of cunning and discretion to nudge the plot in the way it needed to go. Bilbo is not the traditional hero of this story, as is evident when he is finished with the whole ordeal and delivers the line; ‘And so comes snow after fire and even dragons have their endings’93. With this, instead of having become a hero, Bilbo is able to revert back to his Baggins side; ‘The Tookish part was
91 Jane Chance. Tolkien, Self and Other: “This Queer Creature”, 61. 92 J. R. R.Tolkien in John D. Rateliff (ed.) The History of the Hobbit, 496. 93 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 354.
24 getting very tired, and the Baggins was daily getting stronger.’94 A hero in the sense like is seen in the sagas could not abandon that non-existent title or character, yet Bilbo, narratively flexible as ever, can based on a change of scenery and a few lines revert back to the proper, if not still somewhat queer, Mr Baggins of Bag End. He was meant for an adventure, but he was also meant for an end of it, one that would not end in battle, but would exactly like the reader, return to their ordinary after the quest was over.
1.5 Further Changes After writing H and having embarked upon LR Tolkien inevitably needed to return to H to edit certain elements to fit the new context created within LR, the most important being the chapter ‘Riddles in the Dark’. Gollum has received a completely new context through the creation of the One Ring, and so both Gollum himself as well as the tone of the text is altered. Christensen aptly boils the revisions down to four primary functions; Firstly it changes the stake of the riddle game, it introduces the malevolent and sentient ring, it ‘(…) defines the opposing forces in the universe’95, and lastly it alters Gollum, creating a creature which she labels as ‘totally depraved.’96 Concerning the riddle game Christensen states that the only change within the actual riddle contest would have been the idea of a present, which was removed in the new version.97 After all the one ring would have been impossible for Gollum to give away after all that time. Further, when the ring was described, the ring in the edited version was described as a ‘Ring of Power’98, while it initially was presented as a regular magic ring, a trinket to aid Bilbo.99 Here two vital details have changed, yet the text it quite similar still, mostly being altered to remove the idea of a gift. The riddle game is much the same, however the tone of the scene is changes, as Gollum’s speech becomes even more filled with sibilants, and his adherence to the rules are no longer definite. An emphasis is added to his short stature, making him easier to link with hobbits in LR, and the moniker of precious is shifted to encompass the ring Christensen rightly points out that the Gollum who chases Bilbo out, the unwitting guide to lead him out in fact, is quite different from ‘(…) the opponent who squeaks his oaths (…) and laments for a loss that prevents his paying a wager.’100 Gollum has gone from a random creature in possession of a magical ring, to a creature in possession of the Ring of Power, and furthermore is now bound to it. As Christensen states, he has become
94 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 354. 95 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 24. 96 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 24. 97 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 9. 98 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 12. 99 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 12. 100 Bonniejean Christensen ‘Gollum’s Character Transformation in The Hobbit’, 15.
25 a creature of depravity. The opposing forces she speaks of demonstrates the inherent power struggle that is alluded to in the undertones of the scenes, as the evil now is present in the figure of Gollum, which one might argue it was not before. This great threat from Gollum changes the tone significantly in this chapter, granting the riddle game a sense of desperation unlike what had been there previously. Gollum is now a more menacing being, and furthermore he has an added function of being a potential mirror to both Bilbo and Frodo, who also are hobbits connected to the ring. The riddle game between Bilbo and Gollum thus also become an image of Gollum being faced with what he once was. By viewing H as a prologue to LR it also has the effect of creating tragic figures of both Bilbo and Gollum. Gollum becomes the worst-case scenario, an image of what might become of Frodo should he fail, which he does in the end, and also become a necessary narrative tool for Tolkien. Secondly, Bilbo perhaps becomes an even greater tragedy, as his comedic figure and child friendly adventure is tainted by the darkness of the ring, which at the start of LR still is in Bilbo’s possession, and has affected him as seen in Rivendell when viewing the ring with Frodo; ‘(…) a shadow seemed to have fallen between them, and through it he found himself eyeing a little wrinkled creature with a hungry face and bony groping hands. He felt a desire to strike him.’101 This description is reminiscent of the readers first introduction to Gollum, who was ‘(…) a small slimy creature.’102 Furthermore he was searching for fish which he ‘ (…) grabbed with his long fingers (…)’103. As Gollum already has so thoroughly been established as warped by the ring, he now becomes the reference point of which readers and Tolkien can demonstrate the weight of the ring’s darkness. The reader is subject to a hobbit that has already been affected by the ring, and thus Bilbo, just like Gollum, becomes a cautionary tale for Frodo.
1.6 Bilbo the Narrator The narrative of Bilbo follows him faithfully, and the narrator is occasionally visible within the text and has a partially omniscient voice. This is important in regard to Bilbo in particular, however, as Bilbo is connected to the narrator. In the prologue to LR Tolkien establishes that information about hobbits could be found in ‘(…) the selection from the Red Book of Westmarch’ which would be under the published title of The Hobbit.104 And of course this narrative was according to the prologue further based on ‘(…earlier chapters of the Red Book,
101 J. R. R. Tolkien. The Lord of the Rings, 232. 102 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 118. 103 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 119. 104 J. R. R. Tolkien. The Lord of the Rings, 1.
26 composed by Bilbo himself (…)’.105 This is further established in ‘The Quest of Erebor’ where Tolkien states through Gandalf that ‘The rest of the story is well known to you – from Bilbo’s point of view. If I had written the account, it would have sounded rather different.’106 The reason then, for the limited range of the narrator is that the tale is derived mostly from Bilbo’s own writing. However, the reader is given no sense of this in H, which in turn makes this appear to be a retrofitting. This means that Bilbo’s role as established by Tolkien was not just protagonist in a narrative, but also a shaper or creator of the narrative. Yet this does not mean that the tale is only told by Bilbo, as there narratively speaking would be someone else who had edited it somewhat, as it is presented as a work compiled and translated. I am not here arguing that Bilbo is a ‘direct narrator’ as he is quite far removed from the telling as is evident through the narrator, however as he is established as a fictional historical source none the less and thus, I have labelled him narrator. This idea both accounts for the heavy focus and focalization of Bilbo within the narrative but would also account for the perceived anachronisms that appear in relation to him. As mentioned previously in this chapter, the anachronisms tied to the hobbits have been discussed by many, but the narrative would ultimately have to be the base to such ideas. While the hobbits definitely have a somewhat anachronistic effect in that they will be more reminiscent of a time much closer to the reader than the medieval inspiration for much of the other characters, they are not directly anachronistic. The anachronisms spoken of in this instance are not the potential inaccuracies related to the food or tobacco mentioned, but rather the direct break with the fantasy established by using wordings that do not fit. A great example, and the main example that will be examined in this text is the simile connected to Bilbo’s shriek in ‘An Unexpected Party’ which is by the narrator likened to ‘(…) the whistle of an engine coming out of a tunnel.’107 Anderson states in the footnote to this particular description that Tolkien also considered changing this out to ‘Like the whee of a rocket going up into the sky’108, but kept the original. Anderson’s reasoning for not considering this as an anachronism is that the story was made by Tolkien telling the story to his children and would therefore not necessarily work in such a manner.109 This, however, only appears reasonable when paired up with the story Tolkien has woven into the tale of the origin of the narrative as well. Which would mean that any anachronisms
105 J. R. R. Tolkien. The Lord of the Rings, 1. 106 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 374. 107 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 47. 108 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 47. 109 Douglas A. Anderson The Annotated Hobbit, 47.
27 presented through descriptions in the narrative would be added on by the new editor or writer, which in this case would be the compiler himself, which is acceptable. Which in turn means that while the hobbits may appear out of place, and rightly so as this most likely was fully intentional by Tolkien, they are not wholly anachronistic. This allows for a hint of the strange in the hobbits, both in relation to the reader, but also compared to the rest of the construct Tolkien has made. Seeing as Bilbo is the narrator, at least up to a point, also introduces the question of how this might affect the narrative. This also officially creates a twofold role for Bilbo, both within both the tale and the telling.
1.7 Unfinished Tales By introducing Bilbo as narrator Tolkien also make clear that the narrative is presented in his point of view, allowing for different perspectives to exist and still be just as true. One such case is to be found in the introduction of Bilbo Baggins, which was written from another perspective later in Tolkien’s writing career, and was published as part of Unfinished Tales, where Gandalf’s intentions concerning choosing Bilbo, and the dwarves initial reaction to Bilbo is revealed. ‘The Quest of Erebor’ was written sometime during the writing of LR, going back to before Bilbo was introduced into the narrative. This was originally intended to be part of an appendix for LR and reveals a further explanation from Gandalf. Unlike Frodo and the hobbits in LR, there is no clear reason as to why Gandalf truly chose Bilbo, unless one were to reason that Gandalf himself could predict the help Bilbo would be able to be. Gandalf himself appears several times oddly right in his many predictions in LR, so this might not even appear as such an outlandish idea. But if that were to be the case then it would take away from the suspense the book relies on. This extract appears to be an attempt at tempering this notion and demonstrating what role chance played into the selection of Bilbo. Furthermore, it goes out of its way to illustrate the negative impression the company had on Bilbo, and how h had initially been a bad choice, allowing for the idea that Gandalf is fallible as he made a mistake. Gandalf states that he had met Thorin by chance when he was on his way to the Shire to rest and offered assistance to the dwarf as his goal would also be beneficial for Gandalf and his aim to stop the power of Sauron to grow. His help and his reasoning were therefore not as premeditated as it might appear in the book, as the authority and genius of the wizard rarely is doubted. In this text, however, Tolkien states through Gandalf that the choice of having Bilbo as part of the adventure was made on a whim, based on his own desire for the quest to be discreet. Gandalf states that ‘(…) Thorin was all for plans of battle and war, as if he were
28 really King Thorin the Second, and I could see no hope in that.’110 This echoes sentiment that are all present in both the manuscript and the final cut of H, making it appear plausible. As Thorin lacked the proper army or other forces to defeat the dragon Smaug, a head on attack would have been closer to a suicide mission rather than a reclaiming of Erebor. And while this is also mentioned in ‘An Unexpected Party’ it does not yet explain why he chose Bilbo. And apparently, according to Gandalf himself, the reason was simple, namely that he ‘(…) did no more than follow the thread of ‘chance’’111 He states that he remembered the curiosity of a much younger Bilbo, and further rumours piqued his interest, as Bilbo was said to be ‘(…) a bit queer’ and furthermore that ‘[h]e could be seen talking to strangers, even Dwarves.’112 This alone led him to the solution of helping Thorin, as he combined the dragon with his lust, the dwarves with a grudge, and finally ‘the quick, soft-footed hobbit, sick at heart (I guessed) for a sight of the wide world.’113 This, however, only establishes some facts for the reader. The most relevant being that Gandalf chose Bilbo based on an assumption that he would be wishing for an adventure outside of the Shire, and that he would be necessary because of his physical abilities of being quick and silent. What happens next, however, finally cements the idea that the hobbits involvement on Gandalf’s side was nothing but chance, as he labels including Bilbo without meeting him and proving his assumptions about him to be true, initially a mistake. Gandalf describes Bilbo thus;
‘(…) rather greedy and fat, and his old desires had dwindled down to a sort of private dream. Nothing could have been more dismaying than to find it actually in danger of coming true! He was altogether bewildered, and made a complete fool of himself.’114
According to Gandalf, the reason why the reader was not made privy to the anger of the dwarves was based on the fact that Bilbo himself did not notice it.115 After reflecting over the fact that Gandalf had the key and map to barter with, he further stated that he ‘knew in my heart that Bilbo must go with him, or the whole quest would be a failure – or, as I should say now, the far more important vents by the way would not come to pass.’116 This, however, does imply that Gandalf indeed did know something the readers and the dwarves did not. Furthermore, Gandalf says to Thorin the following when attempting to convince him to bring the hobbit; ‘‘If this hobbit goes with you, you will succeed. If not, you will fail. A foresight is
110 J. R. R. Tolkien. Unfinished Tales: The Lost Lore of Middle-earth (New York: Del Rey Books, 1988) 336. 111 J. R. R. Tolkien. Unfinished Tales, 336. 112 J. R. R. Tolkien. Unfinished Tales, 337. 113 J. R. R. Tolkien. Unfinished Tales, 337. 114 J. R. R. Tolkien. Unfinished Tales, 337. 115 J. R. R. Tolkien. Unfinished Tales, 338. 116 J. R. R. Tolkien. Unfinished Tales, 339.
29 on me and I am warning you.’’117 The question then becomes whether or not Bilbo was included based on the wizard’s ability of limited foresight, or if Gandalf had a feeling, or perhaps if the hobbit simply would function as a tempering agent for the dwarves to avoid a physical conflict, which is implied in the beginning of ‘The Quest of Erebor’. Later, a more comprehensive and somewhat older draft of this same text came to light, shedding even further light on the figure of the hobbit and the supposed reason as to why a hobbit would be suitable for such a quest. Gandalf here states that he does quite know the answer to why he chose Bilbo anymore118, when asked by Gimli ‘(…) why did you lead Thorin Oakenshield to such an unlikely door.’119 In this more elaborate edition of the text, however, Gandalf refers more to the hobbits history, and refers to both their courage and their pity that had helped them through previous struggles120, which are the two main traits that sees Frodo through his own adventure in the end. Gandalf, instead of randomly remembering a younger Bilbo, consider his choice carefully and reasons that he ‘‘(…) want a dash of the Took’ (but not too much, Master Peregrin), ‘I want a good foundation of the stolider sort, a Baggins perhaps.’’121 The combination of Baggins and Took is here presented as the foundation, working as a justification for choosing Bilbo in particular. This duality is at the core of Tolkien’s construction of Bilbo, who at the time of H was an image of hobbit in general. This draft also contains a more detailed conversation between Thorin and Gandalf, further detailing the ways in which Gandalf convinces Thorin to agree to bring a hobbit. ‘You will need something more, something unexpected.’122 He tells him. And so the hobbit’s function is not necessarily a burglar only based on the hobbit’s ability to thread softly and avoid being seen, but also based on the fact that the hobbits are unfamiliar to a dragon. This inadvertently brings up an important point about the hobbits, and that is their existence in middle-earth as a whole is very minute. One would assume the humble existence of hobbits was very much consciously created by Tolkien, as there is no need at this point in time for any elaborate hobbit history until LR. Bilbo, the representation of a mostly average hobbit, has not been far outside his home, and thus also lacks an understanding of much that he is faced with throughout the journey.
117 J. R. R. Tolkien. Unfinished Tales, 339 118 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 369. 119 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 369. 120 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 370. 121 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 371. 122 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 372.
30
Bilbo as established at the beginning of the narrative, both in the manuscript pages and the finished book, is presented as a contrast to the dwarves and the wizard. Firstly, his species, namely hobbit, sets him apart, taking pleasure in the everyday activities, such as food, tobacco and small-talk. He is described as quaint as can be, and pairs it up with conversation that clearly demonstrates his less than grand person. While accidentally revealing too much when speaking to Gandalf, and letting it become apparent that he finds his tales somewhat interesting, he insists that he does not want any adventure (‘Nasty disturbing uncomfortable things! Make you late for dinner!’)123. Furthermore, the base of his name that Tolkien meticulously planned does place him in the realm of the more ordinary as opposed to the others. Bladorthin and Gandalf, or even Thorin, together with the other dwarves all have names from old tales, while Bilbo and the rest of the hobbits mentioned, according to the nomenclature that follows his text, have names firmly planted in British soil.
1.8 Conclusion Bilbo Baggins as the first hobbit is based firstly on a basic dichotomy of Took and Baggins and secondly on the role as burglar which was granted to him at the very beginning of Tolkien’s creative process. Furthermore Bilbo functions as a preliminary definition on hobbits, as Tolkien stated that ‘Mr Baggins seems to have exhibited so fully both the Took and the Baggins side of their nature.’124 He encompasses what was demanded of him inside the pages of the children’s book first, and then becomes a tragic picture with a new context granted by LR, allowing him one main function as a flexible burglar in H, while having a supporting and foreboding role within LR. The function of Bilbo was not to be a traditional hero, but rather a folktale-esque protagonist whose main traits include luck, and who does in fact not fill the traditional hero tropes that he was initially thought to do, such as the dragon slayer. Bilbo’s base function is defined and demonstrated thrice throughout the narrative, and his narrative mediating position makes him vital for the reader’s experience even when he does not act within the narrative, as he is a voice for the modern reader within the fantasy, which is absent in LR. The hobbit is both potentially proper and adventurous, and functions as a blueprint for the future hobbits found in LR, meaning that Bilbo’s function might be at least in part be visible within Frodo, Sam, Merry and Pippin in the subsequent chapters. Gollum, on the other hand, while also appearing within both works have a similar role in both. In H Gollum is both there as an obstacle, but also as a source of the ring. He was
123 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 32. 124 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 24.
31 briefly thought to be a more traditional guide figure, who would help Bilbo after a game of chance, however, was turned into something much more malicious after the ring was further defined as a ring of power. He is later comparable to Bilbo, and together they form an image of the dangers of the power within the ring. Gollum, however, becomes much more tragic once his past as Sméagol is revealed and his alterations in response to the ring are implemented. Within this chapter Tolkien has created the foundations that will make this retroactive transformation viable within the new narrative.
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2 New Hobbits for the New Narrative
‘Hobbits really are amazing creatures, as I have said before. You can learn all that there is to know about their ways in a month, and yet after a hundred years they can still surprise you at a pinch.’125
This second chapter will cover the beginning of LR, from the first chapter to the splitting of the fellowship. This chapter has two main purposes. The first is to track the creation of the One Ring as it has great bearing on the purpose and functions of Samwise, Frodo and Gollum. The second to track the expansion of Tolkien’s hobbits through the creation of his new protagonists. As Christopher Tolkien has stated in the foreword to The Return of the Shadow ‘[t]he first part of the story, before the Ring left Rivendell, took by far the most labour to achieve’,126 and it is in this period that Tolkien is attempting to construct his main hobbit protagonists. However, unlike the creation of Bilbo, the becoming of these hobbits ended up being a much greater endeavour, as Tolkien started his process with very few set parameters apart from his heroes being hobbits. This chapter will be concerned with the process of constructing these hobbits. How did Tolkien reach the hobbits present in the final work? When analysing the hobbit figures it is vital to not only take into consideration the final versions of the hobbits, but the arduous process from which they finally culminated. The changes within the hobbits can reveal much both in regard to their function, and to the limits of the flexibility which I am describing in this thesis. Furthermore, there was one hobbit that did not survive the creative process, despite being established more immediately than the others. Trotter is vital to this thesis as he did not manage to survive the revision as a hobbit and can therefore be seen in opposition to all the other hobbits explored in this thesis, as he pushed the limits of hobbit-hood too far. Unlike with the previous chapter, this chapter will not begin at the beginning of the hobbits’ creation, but rather start with the creation of the ring of power, as it took Tolkien some time to establish what this narrative would be about, and as the ring is vital in regard to the ring quest, it is important to understand how it came to be. Following this, I will trace the development of the hobbit figure that did not survive to the finished product. As this chapter is mostly concerned with the initial establishment of the hobbits in LR it is therefore vital to
125 J. R. R. Tolkien, The Lord of the Rings, 62. 126 Christopher Tolkien. The Return of the Shadow: The History of The Lord of the Rings Part One, (London: HarperCollinsPublishersk: 2015), 5.
33 first look at what did not, in fact, work before embarking on the creation of the hobbits who remained hobbits in the narrative.
2.1 The Creation of the One Ring of Power Function Before continuing exploring Tolkien’s hobbits it is important to look at the emerging narrative of the ring. The ring narrative is what shapes the functions and necessities of some of the hobbits and affects the narrative and tone at large with its threat. As Christopher Tolkien also refers to in The Return of the Shadow127, Tolkien wrote about his initial notions of the plot in a letter addressed to Charles Furth, Allen & Unwin (17. February 1938); ‘[t]he Hobbit sequel is still where it was, and I have only the vaguest notions of how to proceed. Not ever intending any sequel, I fear I squandered all my favourite ‘motifs’ and characters on the original ‘Hobbit’.’128 Tolkien had no true plan initially in regard to what this new narrative was to become, and at the very early stages of the idea process the book was to potentially be a children's book, in line with H, and so the true extent of the evil of the ring was perhaps what pushed the narrative from the bracket of children's literature to merely fantasy. The ring was in fact included within the narrative quite early, but it took Tolkien writing quite a bit before its exact impact and function was truly defined. Already in notes from drafts of ‘An Unexpected Party’ from around 1938, Tolkien had already begun contemplating the rings function; ‘The Ring: Whence its origin. Necromancer? Not very dangerous when used for good purpose. But it exacts its penalty, You must either lose it, or yourself. Bilbo could not bring himself to lose it.’129 It is here evident that the origin of the ring already has become quite ominous, and while it does have adverse effects on the bearer of it, it still lacks the inherent evil qualities and sentient will that is later imbued within it. Furthermore, at this point in time it has yet to become an item that is as great of a threat to Middle-earth as it will become later, and so the impact it has on the narrative is still quite small. After having written ‘An Unexpected Party’ he continued on to writing ‘From Hobbiton to the Woody End’, which also included ‘Three’s Company and Four’s More’ where the black rider on the road is already encountered; ‘‘I can’t say why, but I felt perfectly certain he was looking or smelling for me: and also I felt very clearly that I did not want him to discover me. I’ve never seen or felt anything quite like it in the Shire before’’130 The black rider the hobbits encounter several time throughout these first drafts appear unnerving to the
127 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 42. 128 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 29. 129 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 42. 130 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 54.
34 hobbits, but it is yet to be defined that they are in fact connected to the ring. Later in this same transcript, when asking the elves they encounter, just as in the final text, Bingo (later Frodo) only gets cryptic messages about the riders, with no mentions of the ring being involved.131 However, as Christopher Tolkien states in his notes, this ignorance of the ring in this transcription might not have been ignorance on Tolkien’s part, as he states that ‘[i]t may be that it was the ‘unpremeditated’ conversation of the cloaked and muffled horseman who overtook them on the road from Gandalf to a ‘black rider’, combining with the idea already present that Bilbo’s ring was of dark origin and strange properties that was the impulse of the new concept’132 This appears to be quite likely, and Christopher Tolkien states further that;
‘[t]he idea of the Riders and the Ring was no doubt evolving as my father wrote. I think it very possible that when he first described the halts of the black horsemen beside the hiding hobbits he imagined them as drawn by scent alone (see p.75); and it is not clear in any case in what way the use of the Ring could help them more than you.’ As I have said, it is deeply characteristic that these scenes emerged at once in the clear and memorable from that was never changed, but that their bearing and significance would afterwards be enormously enlarged.’133
As he states, much written already appears very similar to its final form but as the ring does not yet carry the same connotations as it later will, these scenes will later transform because of context alone, without great changes in the written words on the page. Further drafts of the conversation between Gildor and Bingo written around the same time period reveal much more about what Tolkien himself had found out with regard to the ring at this point in time. In this particular draft, Gildor (who is not at this stage named, unlike in the transcript mentioned above134) states here that ‘ ‘(...) it is my belief that the Lord of the Ring is looking for you (...) Bad enough if he only wants the ring back (which is unlikely); worse, if he wants payment; very bad indeed if he wants you as well (which is quite likely)’.135 Here the idea of a Lord of the Ring seeking his ring is introduced, which of course works to explain the riders. The threat is at this point extended, as Bingo here is presented as a potential, and in fact very likely, target of the Lord as he possesses the ring. However, the ring as a threat to the world at large has yet to be fully realized. It is also at this stage that the idea of the ringwraiths are being built; ‘Servants of the Lord of the Ring – [?people] who have passed through the Ring. (...) Yes, if the Ring overcomes you, you yourself become permanently invisible – and it is a horrible cold feeling.’136 Here the result of the ring is that
131 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 64. 132 Christopher Tolkien, The Return of the Shadow, 70. 133 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 71. 134 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 73. 135 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 74. 136 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 74-5.
35 you become a wraith yourself, and you are thus ‘(...) under the command of the Lord of the Rings.137 Furthermore the history of the ring begins to form. According to what is found in these notes ‘ (...) the Ring-lord made many of these Rings: and sent them out through the world to snare people.’138 At this stage there does not appear to be a set number of rings, but rings were given out to different species with different results; the elves became elf wraiths, but could not be controlled by the Ring-lord. Goblins and men who had rings fell under his control, and at this stage dwarves had not received rings.139 The ideas current at this point were that there was a larger set of rings, and the rings in themselves would potentially give the Lord of the Rings power over the possessors, although different peoples would be affected in different ways, and so while men would fall easily under his control, the elves, while becoming wraiths, would be impossible to control. So the rings would be giving the recipient certain perks, such as invisibility, but would also overtake whoever wore it. Based on these thoughts, it is apparent that Tolkien had yet to fully form the idea of the one master ring at this stage. Some time relatively soon after writing what is seen above, Tolkien embarked on writing a fragment that would be the first parts of what was to become ‘The Shadow of the Past’, which is the second chapter of LR and which furthermore reveals to Bingo the severity of the ring and the circumstance around it. In this fragment, Gandalf states that ‘’[i]t is the only Ring left,’ (…) ‘And hobbits are the only people of whom the Lord has not yet mastered any one.’140 Once more, the rings were still much more numerous in this draft, and the ring found by Sméagol and Dígol was an elf ring who had betrayed one of the elves possessing it as he was fleeing from war.141 As Tolkien speaks of how the ring had betrayed its previous master it is clear that he here had at least begun to tap into the inherent evil in the ring that translates into a will of its own, however here the will of the ring can rob the wearer of invisibility, and this is the nature of its betrayal.142 And perhaps just as important as the will inherent in the ring is the idea of the destruction of the ring, which is also demonstrated in this text; ‘I fancy you would have to find one of the Cracks of Earth in the depths of the Fiery Mountain, and drop it down into the Secret Fire, if you really wanted to destroy it.’143 Now, the ring has been given many of the traits it will later retain, especially in regard to what
137 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 75. 138 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 75. 139 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 75. 140 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 78. 141 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 78. 142 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 78. 143 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 82.
36 would later drive the narrative. The ring will affect the wearer over time, however the nature of this effect is still somewhat different, it needs to be destroyed by taking it to the Fiery Mountain, and it is dangerous to possess. These elements combined with the established black riders allowed for Tolkien to write for quite some time before returning to the ring once more. After having the group go through Bree and pick up Trotter the attack at Weathertop takes place, and once more the ring is mentioned. And while Tolkien still struggled with Trotter, this section managed to do one thing in regard to the ring: ‘The significance of the Ring, in its power to reveal and to be revealed, its operation as a bridge between two worlds, two modes of being, has been attained, once and for all.’144 However, he also states that; ‘[i]f the nature of the Ring in its effect on the bearer was now fully conceived, there is as yet no suggestion that the fate of Middle-earth lay within its tiny circle. It is indeed far from certain that the idea of the Ruling Ring had yet arisen.’145 The rings internal effects are established, however its impact on the world is still missing. So far Tolkien has written his narrative more or less chronologically, with notes appearing regarding the future of the narrative in between. After reaching the point where Bingo, soon to be renamed Frodo, was attacked at Weathertop, and when he was taken to Rivendell, the ring once again emerges as a theme for Tolkien in notes he had labelled ‘Queries and Alterations’.146 In these notes the ring in Frodo’s possession is labelled as ‘the One Ring’147. Up until this point there has been many rings, however Christopher Tolkien states that the capitalization here emphasise the importance of this one thing. Furthermore he states that ‘(...) in the ‘foreword’ the missing Ring is the ‘(…) most precious and potent of his Rings.’’148 This is emphasised in Tolkien's note 12 in these queries, where he makes three points in regard to the rings. The first is that the ring Bilbo had gotten a hold of was the one missing ring; the second that the ring was to have been taken from ‘(…) the Lord himself when Gilgalad wrestled with him, and taken by a flying Elf.’149 And finally he states that this particular ring was to be ‘(...) more powerful than all the other rings.’150 However, at this point he also questions the reason why the Lord would want it so badly.151 The change that has been made within these lines is the idea of drawing on the history of Gil-galad and this
144 Christopher Tolkien, The Return of the Shadow, 189. 145 Christopher Tolkien, The Return of the Shadow, 189. 146 Christopher Tolkien, The Return of the Shadow, 220. 147 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 226. 148 Christopher Tolkien, The Return of the Shadow, 226. 149 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 226. 150 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 226. 151 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 226.
37 elf, who would later become Isildur.152 Within these notes, however, Tolkien scratches out the idea of the other rings returning, and answers his own question about the reason as to why the Dark Lord would wish to regain his most powerful ring; ‘Because if he had it he could see where all the others were, and would be master of their masters - control all the dwarf-hoards, and the dragons, and know the secrets of the Elf-kings, and the secret [?plans] of evil men.’153 So here the idea of the Ruling Ring is finally established. Following Tolkien’s ‘Query and Alterations’ the beginning of the narrative was embarked upon once more, as he had worked and reworked ideas he had been using in the previous writing. And it is at this point, after writing his opening once more, that the Ring was included as one alike to the one in the final version, with the inscription about the master ring; ‘One Ring to rule them all, One Ring to find them, One Ring to bring them all, and in the darkness bind them.’154 Furthermore, the other rings have now also been limited to the those handed out to the different races of Middle-earth. In a later phase, which Christopher Tolkien surmises must have been written no time before October of 1938, but perhaps even later155, Tolkien makes further edits to what is to become the second chapter, and refines the details, as well as emphasises the true dangers of the ring within the conversation between Frodo and Gandalf; ‘You say you knew the ring is dangerous, far more dangerous than I guess’156 After this point most of the rings function had been decided, and the next time Tolkien writes from Rivendell some time later the rings threat appears eminent, and it is decided that the ‘Ring must be destroyed.’157 And while small details were still worked on by Tolkien the effects of the ring, and the threat it poses is now complete, and Tolkien has finally established the true extent of the Master Ring or the One Ring.
2.2 The Impossible Hobbit Moving on from the ring, it is finally time to begin examining Tolkien’s hobbits once more. The difficulties Tolkien had with Trotter has been well-documented both by Christopher Tolkien, but also concisely presented by Christina Scull in her essay ‘What did he know and when did he know it?’ The presentation Scull gives is accurate and does point to many of the more important key examples to the struggle, and I will therefore use the same outline as the one she has chosen, as it correlates with what is to be found in Christopher Tolkien’s History
152 Christopher Tolkien, The Return of the Shadow, 226-7. 153 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 227. 154 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 258. 155 Christopher Tolkien, The Return of the Shadow, 309. 156 J. R. R. Tolkien, in Christopher Tolkien, The Return of the Shadow, 319. 157 Christopher Tolkien, The Return of the Shadow, 396.
38 of Middle-Earth’ books. The hobbits created after H presented more of a difficulty for Tolkien, and he himself stated that he endeavoured to tell ‘(...) the whole tale more or less through ‘hobbits’’158. However, it took Tolkien some time to explore and define the limits of his own creation, which is perhaps best demonstrated through the hobbit that did not make it through the writing process, namely Trotter. Trotter is, of course, the placeholder that later morphs into Strider, or rather Aragorn. In an explanatory letter sent to Sir Stanley Unwin (14 September 1950) Tolkien wrote that ‘I met a lot of things on the way that astonished me. (...) Strider sitting in the corner at the inn was a shock, and I had no more idea who he was than had Frodo.’159 Why was Trotter originally meant to be a hobbit? The reason might be as simple as the fact that Tolkien had decided to mainly use hobbits to further the narrative, and Trotter with his guide function would definitely further the narrative. His first presented trait apart from his looks does correlate with the descriptions of Bilbo’s potential from the TH; ‘(...) I can take care no one sees me, when I don’t wish them to.’160 When Trotter first appeared in the Prancing Pony he is described as ‘(…) a queer-looking, brown-faced hobbit (…). He was dressed in dark rough brown cloth, and had a hood on, in spite of the warmth, – and, very remarkably, he had wooden shoes!’161 As Scull presents in her text the figure that Bingo first met in Bree is familiar to him, and as an example she uses the following; ‘I keep on feeling that I have seen him somewhere before.’162 which is a line Bingo tells Gandalf after reaching Rivendell. Furthermore she points out that Bingo in a third draft states that ‘I ought to be able to put a name to him, a name different to Trotter’163 ‘ As Scull and Christopher Tolkien stated Tolkien struggled to find out who exactly Trotter was, as he already when the narrative had reached Rivendell appeared to ask himself ‘“Who is Trotter?”’164 Christopher Tolkien wrote in his notes that ‘[m]y father had already asked the question ‘Who is Trotter?’ and he would ask it again.’165 Furthermore, following this Tolkien’s notes demonstrate how he had started questioning whether Trotter could be a hobbit, as he wrote that
‘Rangers are best not as hobbits, perhaps. But either Trotter (as a ranger) must be not a hobbit, or someone very well known; e.g. Bilbo. But the latter is awkward in view of ‘happily ever after’ [the sentiment expressed at the end of The Hobbit]. I thought of making Trotter into Fosco Took (Bilbo’s
158 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 226. 159 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 216. 160 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 149. 161 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 137. 162 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 208. (qtd, Scull, 104) 163 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 211. (qtd, Scull, 104) 164 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 214. 165 Christopher Tolkien, The Return of the Shadow, 214.
39
first cousin) who vanished when a lad, owing to Gandalf. Who is Trotter? He must have had some bitter acquaintance with Ring-wraiths &c.’166 And although this is the first instance where Tolkien appears to entertain the idea of Trotter not being a hobbit, this was not yet enough to change his mind about his hobbit ranger. After continuing contemplating this difficult figure, Tolkien after a break came back with the explanation that Trotter was to be ‘Peregrin Boffin, a favourite nephew of Bilbo who, influenced by Gandalf or by Bilbo’s stories, had run away from the Shire years before.’167 However, in the middle of making changes to make him fit within the narrative as Peregrin Boffin Tolkien wrote ‘’?? Trotter had better not be a hobbit – but a Ranger, remainder of Western men.’168 Yet Trotter remained a hobbit for quite an amount of time. As Scull states, Christopher Tolkien though this may have been accredited to the fact that he was so used to the idea of him being a hobbit despite his internal conflict, and that it was when Trotter was faced with the helplessness of being a hobbit when trying to cross the Misty Mountain that might have changed his mind. 169 Up until that point, Trotter was a figure of some authority, who had knowledge and experience the other hobbits lacked, but when faced with this physical challenge it would be impossible to have him elevated unlike the other hobbits. 170 What is more, however, is that though briefly Tolkien even entertained the idea of making Trotter be an elf in disguise; ‘Trotter was ‘a disguised elf-friend of Bilbo’s in Rivendell.’171 But as Christopher Tolkien points out this was probably disregarded straight after writing it.172 Scull also states that another option was to have him be ‘(…) a man of Elrond’s race, descendant of the ancient men of the north, and one of Elrond’s household.’173 In this version he was to be a friend of Gandalf and Bilbo. However, in October 1939 Tolkien finally reached the decision that Trotter was in fact not a hobbit, and started to explore his background as a man, which would culminate in Aragorn. 174 It should be noted that it is somewhat difficult to pinpoint the exact moment Trotter turned from being a hobbit, as the
166 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 223. (qtd, Scull, 104-5) 167 Christina Scull. ‘What Did He Know and When Did He Know It? Planning, Inspiration, and The Lord of the Rings’ in The Lord of the Rings 1954-2004: Scholarship in Honor of Richard E. Blackwelder (ed.) Hammond, Wayne, G, Scull, Christina (Wisconsin: Marquette University Press, 2006), 105. 168 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 393. (qtd, Scull), 105. 169 Christina Scull. ‘What Did He Know and When Did He Know It? Planning, Inspiration, and The Lord of the Rings’ 105. 170 Christina Scull. ‘What Did He Know and When Did He Know It? Planning, Inspiration, and The Lord of the Rings’ 105. 171 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard: The History of The Lord of the Rings Part Two, (London: HarperCollinsPublishers: 2015), 6. 172 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 6. 173 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 6-7. (qtd, Scull), 106. 174 Christina Scull. ‘What Did He Know and When Did He Know It? Planning, Inspiration, and The Lord of the Rings’ 106.
40 name ‘Trotter’ remained within the narrative for a long time after the change in race was properly made, yet Christopher Tolkien surmises based on Tolkien’s notes that as he was a hobbit still during the first drafts of ‘The Ring Goes South’, he very likely must have been a hobbit in the first writing of ‘Moria’ as well.175 At this point one might finally explore why this change happened. Unlike the rest of the hobbits examined in this chapter, Trotter appears to have been decided first in function, and then assigned the role of hobbit soon after, When the hobbits first met Trotter he was already both mysterious and different, even going as far as wearing shoes, and his initial function, at its core, was as a guide; ‘‘(…) But Trotter can take you by ways that are little trod. Will you have him?’’176 Furthermore, Trotter is just like Aragorn will be later, established through Gandalf’s letter to be a friend of the wizard, which further means that he has an implied authority over adventuring that perhaps not even Bilbo could boast after his own adventure. As Scull writes however, Trotter as a hobbit would only have been able to use his experience to lead the company so far before his figure would not have been able to achieve what Tolkien later used Aragorn for. Trotter could not have used his standing to gain trust, summon his dead army or have had the needed knowledge to lead an army.177 And it is perhaps because of the very specific needs the narrative held that Trotter finally became an impossible hobbit. After the initial drafts of ‘Moria’ Trotter was definitely no longer a hobbit. This almost coincides with the division of the fellowship which marks the point of a splintering of narrative trajectories. If Trotter’s main purpose was to be a guide, his purpose would have died with the splitting of the fellowship, at least if the remaining narrative was to stay the same, and while he may have been helpful in tracking Merry and Pippin all the same, the authority of Trotter so far away from any hobbit-like abode or similar becomes a strange thought indeed, and somewhat less convincing despite him being established as a wild hobbit. Christopher Tolkien himself states that; ‘(…) elements emerge suddenly and clearly conceived, but with their ‘meaning’ and context still to undergo huge further development, or even complete transformation, in the later narrative (…)’.178 And as he points out, this is the state in which the rangers, and Trotter especially, find themselves in in the beginning phases of the writing. Furthermore, he states that ‘Trotter is at once so fully realized that his tone in this part of the narrative (indeed not a few of his actual words) was never changed afterwards;
175 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 79. 176 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 153. 177 Christina Scull. ‘What Did He Know and When Did He Know It? Planning, Inspiration, and The Lord of the Rings’ 107. 178 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 176.
41 yet such little as is glimpsed of his history at this stage bears no relation whatsoever to that of Aragorn son of Arathorn. He is a hobbit, marked out by wearing wooden shoes (whence his name Trotter) (…)’.179 Up until this point this thesis has argued that hobbits are by necessity flexible. Trotter, at the very beginning appeared to be a much more specialized character regarding function compared to the other hobbits. He was to be a figure that was sent to Bree to lead the hobbits, and already at this point within the writing Trotter had become different from the other hobbits, as the guide position would demand of him a certain experience and knowledge that would not be natural for a hobbit to have. This once more emphasise what was already demonstrated in Bilbo in the previous chapter, that a set role would negate the flexibility. Perhaps Tolkien’s problems with the identity of Trotter combined with the narrative function that became necessary for the character can be found within words stated by Gandalf; ‘‘I often have that feeling when I look at a hobbit – they all seem to remind me of one another (…). Really they are extraordinarily alike!’180 Despite their different attributes the many hobbits Tolkien has filled the pages with have at first glance all been quite similar, despite their narrative potential being different. Yet this is perhaps to do with their flexibility. They are initially alike, but adapt when they need to, which was not possible with the rigid figure of Trotter. The original five hobbits started off with a clean slate and could therefore be adapted and altered to work in different ways. Trotter has a set role, and not one of the led, or one of the hobbits that would use the fact that they were hobbits to affect the narrative. Not to mention the fact that the hobbits that set out ended up after countless bouts of revision to be enough to cover all the important areas of conflict leaving this position too, filled. And what would be left then but the function that would be given to Aragorn. But a hobbit could not be a king, and much less one of men, and so his function would not allow for him to be a hobbit.
2.3 The Road to New Hobbits Trotter pushed the boundaries of hobbits, so what about the actual hobbits that did remain? The beginning of Tolkien’s writing of LR presented him with many questions, as his main thought was to write another story on hobbits, and that it perhaps should remain within the same genre as H. This, of course, also presented Tolkien with issues, as he was not initially aware of what narrative he would tell, and therefore not what it would demand of his protagonists. This caused Tolkien to struggle for quite some time with all of the hobbits, as
179 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 176. 180 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 208.
42 the only guide Tolkien already had on them was what he had established with Bilbo within his self-contained narrative. At this point it might be pertinent to comment on the flexibility of hobbits once more. As proven by Trotter, the flexibility of hobbits does not mean that they can fit into any character archetype or role, such as hero, guide, mentor etc., but rather are able to navigate the story precisely by being none of the above. This is why Trotter failed as a hobbit, as the narrative demanded of him to fill a more authoritative role. When Tolkien first started writing drafts of ‘A Long-Expected Party’ Bilbo was briefly considered for the role of protagonist once more. However by the third draft he was substituted with Bilbo’s son Bingo; ‘When Bingo, son of Bilbo of the well-known Baggins family, prepared to celebrate his [fifty-fifth >] seventy-second birthday (...)’181 Bingo is placeholder of the figure that would later become Frodo, and for the most part already realizes much of what Frodo’s functions were to be. One might claim that despite his struggles, Frodo, at least in function, was the first hobbit to become fully formed for Tolkien. The name Bingo persisted for a long time, but was later changed, as Tolkien's fiction became more serious, and would therefore require a more suitable name.182 As opposed to Frodo, Bingo, like Bilbo, follows a more childlike tradition as was also present in the name of Trotter, who of course later grew into Strider. As the book were initially to be a children’s book, the initial companions that would follow either Bilbo or Bingo were also assigned a simple set-up, that would make them easy to grasp; ‘Bilbo goes off with 3 Took nephews: Odo, Frodo, and Drogo [changed to Odo, Drogo, and Frodo].’183 Accompanying notes states ‘(…) that while Odo believed no more than a quarter of ‘B.’s stories’, Drogo was less sceptical, and Frodo believed them ‘almost completely’.184 It should also be noted that this Frodo is not the same as the Frodo of the finished product, as this Frodo would disappear quite early in the writing process. 185 However, as the narrative became more complex, and less like a children’s story, so did Tolkien’s hobbits need to be more complex. A great example of the uncertain aspects of the narrative is found in his early notes, where he had suggested a dragon would come to Hobbiton, and that the hobbits would acquire a more heroic role. This, however, was soon rejected.186 At this same time, part of the driving force of the narrative was the dragon-longing that was still to be present in Bilbo and later in Bingo, but which changed slowly as the ring
181 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 28. 182 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Transcendence’ in Psychological Perspectives 52(3) (2009), 353. 183 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 41. 184 Christopher Tolkien, The Return of the Shadow, 41. 185 Christopher Tolkien, The Return of the Shadow, 41. 186 Christopher Tolkien, The Return of the Shadow, 41.
43 narrative became more pronounced in Tolkien's plan. Of course, as the ring narrative grew so did Tolkien’s direction become more certain, and his writing more concise. In the early notes the companions that are to travel with Bingo changed multiple times, slowly becoming the four present in LR. As Christopher Tolkien further notes ‘(…) names and rôles were still entirely fluid and ephemeral and no certainty is possible. Only in the first full text of the second chapter does the story become clear (for a time): Bingo set out with two companions, Odo Took and Frodo Took.’187 So far most of the drafted hobbits were of Took descent, giving them a drive for adventure, which had already been established within Bilbo’s dichotomy. And as Bingo was thought to be at least partially a Baggins from the very beginning the full spectrum of Tolkien’s initially established hobbit would be covered by these new adventurers. However, as he continued writing he made continual changes to his hobbits, only keeping Bingo more or less unchanged. Tolkien's first writing from ‘From Hobbiton to Woody End’ originally included Odo and Frodo Took, although Frodo was quickly changed to Drogo.188 Frodo Brandybuck was still present, although in previous notes Tolkien had thought to change him into Marmaduke.189 He went on to make further revisions in his hobbits, where ‘Drogo was dropped, leaving Odo and Frodo as Bingo’s companions (Frodo now in all probability a Took)’190 It was when he first wrote his manuscript with Tom Bombadil that his second hobbit started to come into place; Meriadoc.191 When Tolkien had reached Rivendell he was still struggling with Sam and Pippin, despite having decided more about the ring-narrative. At this point even Gollum had already been included within the narrative once more, and had at a much earlier point become a figure of hobbit-like heritage; ‘Do you remember Bilbo’s story of Gollum? We don’t know where Gollum comes in – certainly not elf, nor goblin; he is probably not dwarf; we rather believe he really belongs to an ancient sort of hobbit.’192‘ As this was earlier in his writing the narrative of the rings was not completely constructed, and the fact that Gollum had one would not be surprising as they were sent ‘(…) out through the world to snare people. He sent them to all sort of folk (...). Other creatures got them.’193 After the writing and notes regarding Rivendell were done, Christopher Tolkien finished what he labelled phase one and moved on to phase two, where Tolkien returned to the start of the narrative once more, and it is here where there
187 Christopher Tolkien, The Return of the Shadow, 43. 188 Christopher Tolkien, The Return of the Shadow, 45. 189 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 43. 190 Christopher Tolkien, The Return of the Shadow, 46. 191 Christopher Tolkien, The Return of the Shadow, 123. 192 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 75. 193 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 75.
44 are finally traces of the hobbits we find present in the final work. After editing parts of the start of the narrative in Hobbiton, Tolkien wrote a section labelled ‘Ancient History’ (Later to be part of ‘The Shadow of the Past’194) and it is here that Samwise Gamgee is established as Bingo’s companion. Of course, Bingo has already been established at this point, sans the name, and now Sam is finally present within the narrative, and Tolkien is therefore ready with the hobbit duo most closely related to the ring quest. It is not until much later in his construction, however, that we see traces of Pippin, after the first writings of the descent into the dwarven mines of Moria even. In notes from what Christopher Tolkien labelled ‘the fourth stage’ he states that ‘it must have been at this stage, I think, that ‘Peregrin Took’ or ‘Pippin’ at last entered.’195 He further states that all these names for the figure might however be simple changes in a single emerging figure, that happened to be finally named Peregrin Took.196 Furthermore, both Merry and Pippin were initially planned to only be part of the beginning of the narrative, as Pippin was thought to stay in Crickhollow, while Merry would travel to Rivendell, but no further.197 This too is vital in the discussion of the earlier purpose of Merry and Pippin. They appear to originally be firmly placed in the narrative category of the ‘helper’, providing aid, but perhaps not bearing that great of an impact on the narrative themselves. And yet this changed. But it is not Frodo that requests that they come along, as Gandalf had proposed in a much earlier version:
Why not ask your three best friends to, beg them to, order them to (if you must) – I mean the three, the only three who you have (perhaps indiscreetly but perhaps with wise choice) told about your secret Ring: Odo, Frodo, and Marmaduke [written above: Meriadoc].198
As we know from the finished product however, it is Merry and Pippin who insert themselves in the narrative. However, this still means that while Sam was established as a constant companion, Merry and Pippin both initially held smaller roles. However, as the scope of the narrative expanded, so did the need for more hobbits arise, and thus Merry and Pippin were used to cover another section of story apart from the ring-narrative. Tolkien was meticulous in his attention to detail, and so the heritage and roles the hobbits would have within the group was also important to Tolkien, and thus also important to this thesis. One of the reasons why Tolkien was so concerned with the names of the hobbits must have been that he, like his own character Bilbo, used the hobbit ancestry to assign family
194 Christopher Tolkien, The Return of the Shadow, 250. 195 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 30. 196 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 31. 197 Lynnette Porter, The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin, 41. 198 J. R. R. Tolkien, Christopher Tolkien, The Return of the Shadow, 83.
45 traits to all the hobbits. Frodo is assigned ‘Baggins’, containing the respectable and hobbit- like features already established in H. Pippin is assigned the surname Took, and the character traits that Christopher Tolkien mentions in relation to this figure aside from being quite stereotypical hobbit is ‘(…) cheerful, nonchalant irrepressible, commonsensical, limited, and extremely fond of his creature comfort.’199 And despite him being very much like a hobbit should, any reader who has read H will know that the Tooks are known for being somewhat atypical, in that they are more prone than their fellow hobbits to adventuring. And regarding his first name, Tolkien states in a correspondence dated September 7 1955 with Richard Jeffrey, a reader of Tolkien’s works, discussing names that ‘Peregrin is, of course, a real modern name, though it means ‘traveller in strange countries.’’200 Which might appear somewhat redundant, as all the hobbits concerned within this story travel far and meet perils not usual for any typical hobbit. Meriadoc Brandybuck might be less obvious for a reader as less has been revealed about the Brandybucks, who are hobbits connected to the line of Thains in the Shire, stemming in all likelihood from the ‘Bucca of the Marsh’, the first Thain.201 And while the imaginary genealogy of hobbits might not be vital in and of itself it still reveals that Merry was a rather well to do hobbit, from a good family. Furthermore, as Porter also points out in her book on the hobbits, the names of Took and Brandybuck are also somewhat known outside the Shire202, meaning that their families must be either well established, or perhaps well-travelled (at least for a hobbit), or even just friendly to those passing the Shire. Samwise Gamgee on the other hand, does not seem to hail from any of the more prominent old heritages, but whose name denotes his simple figure; Samwise, meaning ‘half-wise’.203
2.4 The Introduction of the Finalized Hobbits As the creation of the hobbits was such an arduous process204, I will mainly now be using the final introduction to the hobbits to see what hobbits Tolkien finally included in his story. A natural place to start would be with Frodo, the ring-bearer. ‘The Shadow of the Past’ is the chapter that both introduces the perils tied to the ring, but also Frodo’s first quest; taking the ring to Rivendell. He, like many a folk-tale hero, is little more than a ‘regular person’ or perhaps
199 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 31. 200 J. R.R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 224. 201 David Day. The Hobbits of Tolkien (London: Cassell Illustrated, 2019), 63-63. 202 Lynnette Porter, The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin, 42-3. 203 David Day. The Hobbits of Tolkien, 175. 204 For more detailed accounts of the creation of the hobbits, see: Christopher Tolkien, The Return of the Shadow.
46 hobbit, and so this endeavour seems dangerous. However, by making Frodo the ring-bearer, Tolkien has efficiently summed up his role within the quest narrative. W. H. Auden wrote on the quest, and defined six elements that were ‘(…) integrally systemic to the typical Quest story’.205 The first is the precious item or person to obtain, and while this quest is the destruction of the item, the function is much the same as the driving force of the narrative. Then comes the journey to find it, followed by the hero capable of going through said quest. Further is the test, or even tests where the hero becomes apparent. The fifth element is a guardian or another test that need to be overcome for the quest to be completed, and finally there are the helpers of the narrative.206 This setup mostly fits both the narrative of H and LR, and in both narratives the quest hero is a hobbit. Auden further defines the quest hero into two distinct types. The first one is one resembling the heroes found within the epic tradition, one whose arete, bravery or excellence, is obvious.207 The other ‘is the hero whose arete is concealed.’208 And while many of the traditionally heroic figures found in the narratives in LR might fit into the first category, such as Aragorn, yet the main protagonists, the hobbits, fit much better into the latter category as the unlikely heroes. Throughout the tale Frodo is the figure who demonstrate the battle of the ordinary figure against the evil from the ring and Sauron. Through Frodo’s fear yet determination Tolkien could create a new tone that is much darker than what has already been experienced in ‘A Long-Expected Party’. As Robertson rightly points out Frodo immediately appears to grasp the severity of the situation regarding the ring, despite not appearing to be a creature meant to accomplish such a feat.209 Unlike the potentially optimistic response from Sam when faced with the quest, Frodo himself appears to more fully realise the ramifications of such a task, even when he has yet to accept the full burden of the ring quest. Frodo laments his misfortune, stating ‘‘I wish it need not have happened in my time’’.210 Furthermore in the nine years when Gandalf had been gone the ring had already taken enough hold of Frodo to keep him from being able to damage it, mirroring his future failure to fling it to the flames of Mount Doom; ‘When he took it out he had intended to fling it from him into the very hottest part of the fire. But he found now that he could not do so, not without a
205 David Garrett Izzo, W.H. Auden Encyclopedia (Jefferson: McFarland & Company, Inc., Publishers, 2004), 224. 206 David Garrett Izzo, W.H. Auden Encyclopedia, 224. 207 David Garrett Izzo, W.H. Auden Encyclopedia, 224. 208 W. H. Auden in David Garrett Izzo, W.H. Auden Encyclopedia¸224. 209 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Transcendence’, 354. 210 J. R. R. Tolkien, The Lord of the Rings, 51.
47 great struggle.’211 Frodo’s main role as ringbearer would be a figure that would affect the world at large, but less in the smaller conflicts and events after the splitting of the fellowship.
‘The Shadow of the Past’ also re-introduces Gollum, this time with all the sinister details with which his figure is imbued after the establishment of the ring of power. Gollum’s introduction at this stage is presented to seem predetermined, as Gandalf states that; [m]y heart tells me that he has some part to play yet, for good or ill, before the end; and when that comes, the pity of Bilbo may rule the fate of many - yours not least.’212 Tolkien introduces Gollum, and uses him to demonstrate the effects of the ring, and through this he is made to illustrate a worst-case scenario both for Frodo and for the reader. The battle against the ring with which Gollum has had to face will be what Frodo will go through throughout the narrative. Furthermore, Frodo’s reaction to Gollum potentially predicts the readers response, functioning partly as a mediator, as Bilbo did in TH; ‘What am I to do? What a pity that Bilbo did not stab that vile creature, when he had a chance! (...) I am frightened; and I do not feel any pity for Gollum.’213 This tension towards Gollum initially present in Frodo is later found in Sam, as Frodo’s further understanding of the ring alters his perception of Gollum. The chapter ‘The Shadow of the Past’ actually involves all the three figures that are paramount to the rings’ destruction, first Frodo and Gollum, and last but not least Samwise Gamgee. Sam, already before leaving the Shire in the final version of the narrative, has been given descriptions that are telling in regard to his own function at the outset of the narrative. And the first role that is of storyteller. Sam is already in the first chapter established as one who is fond of stories and tales. As told the Gaffer ‘(…) But my lad Sam will know more about that. (…) Crazy about stories of the old days he is, and he listens to all Mr. Bilbo’s tales.’214 Furthermore, this inquisitiveness Sam possesses also becomes important, as it is Sam’s meddling does not only get Gandalf to make him an addition to the traveling party of Frodo, but is also what gets Merry and Pippin properly involved, as he is the one sharing information with them. And so the initial chapters of LR allows Tolkien to already establish the core of his character Samwise Gamgee. Furthermore, Sam is also connected directly to Frodo in a way that Merry and Pippin was not. At the onset of the narrative Sam is quickly established as a servant of Frodo, and it is his own meddling that causes him to join Frodo. He is told by Gandalf to go with Frodo, and readily agrees. And having a figure that close to
211 J. R. R. Tolkien, The Lord of the Rings, 60. 212 J. R. R. Tolkien, The Lord of the Rings, 59. 213 J. R. R. Tolkien, The Lord of the Rings, 59. 214 J. R. R. Tolkien, The Lord of the Rings, 24.
48
Frodo, and who would choose to follow Frodo was perhaps the most important role to Tolkien in the end, as the only companion following Frodo that is not as much under the rings power. Tolkien himself stated in a drafted letter addressed to Mrs Eileen Elgar, another reader, dated September 1963 that:
‘Sam is meant to be lovable and laughable. (…) He is a more representative hobbit than any others that we have to see much of: and he has consequently a stronger ingredient of that quality which even some hobbits found at times hard to bear: a vulgarity (…)’.215
The very hobbitish nature of Sam then is exactly what Tolkien had needed of him, and he further states that ‘(…) his conceit had been transformed by his devotion to Frodo. He did not think of himself as heroic or even brave, or in any way admirable – except in his service and loyalty to his master.’216 And this servitude is throughout the narrative Sam’s main role, as he acts as Frodo’s companion throughout the plot. Sam is therefore the hobbit out of the party that is closest to their hobbit stereotypes created by Tolkien, which throughout the narrative will be what follows Frodo, with his own battle against the dark of the ring that constantly threatens to sway him. Nelson has even gone as far as to consider Sam in the role of squire, which might very well have been part of Tolkien’s inspiration when contemplating his background and interest in regard to mythology. And the role of squire does fit Sam’s relation to Frodo quite well, at least in essence. In some ways there appears to be parallels between Sam and his servitude to Frodo, and the servitude seen in both Merry and Pippin to their respective human lords. And as Nelson points out, while there are no such formalities with Sam, he still ‘declares his loyalty to Frodo in act and in deed no less certainly.’217 That Sam was in large part created to fulfil a squire-like role in regard to Frodo is therefore very likely, though it perhaps does not fully cover the extent of his function which will be further discussed further down into the chapter. Merry and Pippin both find out the truth about Frodo’s predicament through Sam, and convince Frodo to allow them to go, as they threaten to follow him even if he should refuse. Unlike Frodo, and to a lesser extent Sam, Merry and Pippin insert themselves into the narrative, rather than get pulled into it. In ‘A Conspiracy Unmasked’ they reveal that they have been plotting: ‘You do not understand!’ said Pippin. ‘You must go – and therefore we must, too. Merry and I are coming with you.’218 Furthermore they state; ‘(…) We know the
215 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 329. 216 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 329. 217 Charles W. Nelson, ‘Courteous, Humble and Helpful: Sam as Squire in Lord of the Rings’, 55. 218 J. R. R. Tolkien, The Lord of the Rings, 102
49 ring is no laughing-matter; but we are going to do our best to help you against the Enemy.’219 And end with (…) We know most of what Gandalf has told you. We know a good deal about the Ring. We are horribly afraid – but we are coming with you; or following you like hounds’’220, demonstrating that they will be part of the journey either as companions or as followers. The figures of Merry and Pippin do indeed in these first chapters appear quite silly, and their insistence alone is what makes the part of what will later be the hobbit-section of the fellowship. Yet their cunning and use of resources, i.e. Samwise Gamgee, has allowed them to piece together the important details within the quest, revealing a shrewdness which is recurring in their figures. Furthermore, their stubbornness is once again demonstrated soon after, in the chapter ‘The Ring Goes South’ where they once again need to fight for the right to be part of the fellowship, and once again uses the same stubborn tactics as previously demonstrated; ‘’(…) But we are envying Sam, not you. If you have to go, then it will be a punishment for any of us to be left behind, even in Rivendell. We have come a long way with you and been through some stiff times. We want to go on.’’221 and further ‘[t]hen, Master Elrond, you will have to lock me in prison, or send me home tied in a sack,’ said Pippin. ‘For otherwise I shall follow the Company.’’222 And their need to force themselves through the narrative persists and is a defining feature which becomes more apparent once the fellowship has been disbanded. Frodo is within this chapter faced with the threat of the wraith and once again Frodo is made to reflect Bilbo, though he is far from alone. When faced with the fear that overtakes his fellow hobbit he is also faced with another evil force: (…) his terror was swallowed up in a sudden temptation to put on the Ring. (...) something seemed to be compelling him to disregard all warning, and he longed to yield.’223 Already this tells the reader that the destruction of the ring will be impossible for Frodo alone, if he so readily is affected by the ring, and furthermore this time he puts it on once more, for the third time within the narrative thus far; ‘(…) resistance became unbearable, and at last he slowly drew out the chain, and slipped the Ring on the forefinger of his left hand.’224 And with this final action Frodo faces a theme Tolkien placed great emphasis on; death. As mentioned in the previous chapter Tolkien placed much weight on the fact that the
219 J. R. R. Tolkien, The Lord of the Rings, 102 220 J. R. R. Tolkien, The Lord of the Rings, 103. 221 J. R. R. Tolkien, The Lord of the Rings, 265. 222 J. R. R. Tolkien, The Lord of the Rings, 269. 223 J. R. R. Tolkien, The Lord of the Rings 195. 224 J. R. R. Tolkien, The Lord of the Rings, 195,
50 tale was meant to be relayed largely through hobbits, but in that very same letter as he delivers these lines he also has another comment on the theme of the books; ‘The real theme for me is about something much more permanent and difficult: Death and Immortality.225 He presents the idea on the one hand of the mortals who love the world they inevitably must depart from in death, and on the other hand the suffering from the elves who will remain through the suffering and evil which must come to pass.226 And while it is more than represented through the elves, the mortals, and the general backdrop of the narrative, it is also in part exemplified through Frodo’s own journey, which is introduced here, when he is introduced to another form of death, or rather almost undeath. While the barrow-wights were clearly undead, and his companions looked dead, what he is faced with this time is what Gandalf has already spoken off: faded wraiths that have been under the rule of the dark too long and has faded into his service. With this the reader is allowed to be closer to the actual terror that awaits those with the rings should they fade and succumb. After being stabbed Frodo still does not face death, but faces becoming a wraith himself, not dying, but merely living to serve the Ringwraiths and Sauron. While the other instance was a glance at death, then it might be more appropriate in fact to say that this was the witnessing of the only other alternative for a mortal than death, the closest thing in Tolkien’s universe to immortality in a mortal. Through Frodo the reader is privy to accounts of fear and perspectives on mortality within the universe not through tales from wizards, elves, men or dwarves, but rather witnessing it through the lens of Frodo, who though knowledgeable still stands at an even ground with the reader in many matters such as this on the basis of their not so explorative nature.
2.5 The Council of Elrond & The Ring Goes South The council that Elrond holds with representatives to tell of news of dark tidings, and to reveal the ring and figure out its fate. Frodo, despite his wish for rest soon takes the ring on willingly, and Elrond states that ‘[t]his is the hour of the Shire-folk, when they arise from their quiet fields to shake the towers and counsels of the Great.’227 And while he offers assistance and support Sam once again leaps out from where he was eavesdropping and like with Gandalf in ‘The Shadow of the Past’ he is once again appointed Frodo’s first travelling companion. As the loyal figure, even having been likened to a dog by Gandalf in the second chapter of the first book, Sam does not hesitate to support Frodo, even when he himself will
225 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 246. 226J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 246. 227 J. R. R. Tolkien, The Lord of the Rings, 270.
51 be forced to go on the same perilous journey. Robertson labelled Sam’s path as that of love, and states that ‘Sam’s is the simplest yet the most touching off all paths: His simple loyalty and love for Frodo make him the single person who never wavers in his task throughout the book.’228 While the other hobbits speak of courage, Sam embodies a steadfastness that appears to be at the core of what Tolkien created him as and made for a solid base to keep Sam where he needed to be within the narrative, and yet keep his hobbit-like nature. Furthermore Bilbo’s appearances at Rivendell does put new weight on the idea of the hobbits as storytellers, as he goes as far as to ask Frodo whether he had though out an ending, which in turn demonstrates Frodo’s pessimistic outlook on his journey already, where he states that he has thought of some, ‘(…) and all are dark and unpleasant.’229 Unlike Frodo’s negative, though very justified, comments however, Sam appears once more positively inclined, inquiring after what the happily ever after might entail; ‘’And where will they live? That’s what I often wonder.’230
2.6 The Splitting of the Fellowship In Loríen, Frodo expressed a feeling of needing to move, and this need to move whether it is stemming from the ring or Frodo himself, might also be a contribution to the culmination of this in the final splitting of the fellowship. In this instance, however, it happens directly after Boromir pressures him, and so once again Frodo can see the effects of the ring in people he himself has personal relations to. Throughout the narrative Frodo is in fact largely guided by the ring, be it based on the feel of duty or the fear that comes to the figure of Frodo. If Sam is the loyal and steadfast, then Frodo is the steadfast yet afraid one, constantly warring with a presence that even affects those not in touch with the ring And this fear is a great and plausible, for Tolkien was nothing of not consistent, driving force within Frodo. And Frodo will ultimately be the one who decides the direction if Sam is to be considered the one in servitude to Frodo. This chapter is a pivotal point in this particular book, as it both signals the fourth time Frodo wears the ring, the splitting of the ring and the party, and finally the splitting of the hobbits specifically. While Sam has been ever-present with Frodo it is not until they are separated from the rest that Sam’s role becomes clearer and that Gollum can finally be introduced into the situation. When Boromir confront Frodo, he in turn puts on the ring once
228 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Love’ in Psychological Perspectives 52(2). (2009), 225. 229 J. R. R. Tolkien, The Lord of the Rings, 273 230 J. R. R. Tolkien, The Lord of the Rings, 274
52 again. However, unlike the two last instances this is not necessarily driven by the ring itself this time, at least not directly. Boromir, overcome by anger, becomes a greater threat when speaking of the usage he would have of the ring. And while this may appear both nice and idyllic to someone ignorant of the evil ways of the ring, to Frodo this is perhaps the most sinister, and is definitely enough to drive him away from the fellowship. It has time and time again been imprinted on Frodo’s mind the fact that the ring will be damaging even in the hands of the best intending, as even Gandalf and Galadriel have said the very same: – I would attempt to do good but it would not end well. The threat of a man who intends to deliberately attempt to not only acquire, but then to use the ring must be the most frightening to Frodo. And so, when Boromir lunges ‘[t]here was only one thing he could do: trembling he pulled out the Ring upon its chain and quickly slipped it on his finger’.231 However, once his many visions have abated and he is once again faced with the eye he manages to convince himself to take it off. This time there are no powers near him aside from the ring itself that would force him to keep it on. And this is, as said, what convinces Frodo to leave. As when Merry and Pippin forced him to bring them with him in the first place, Frodo has a morality within him that keeps him from wishing to put his friends in danger. However, fear is just as clear as a driving power, as he states that there are people he cannot trust, especially when the ring has begun affecting the party. At the end of ‘The Fellowship of the Ring, by using the fall of Boromir, Tolkien orchestrates a situation that would drive Frodo away from the rest of the party, as he needed the ring bearer to be outside of many of the other conflicts within the narrative. And based on the loyalty already established and proved within Sam his coming is of course also a given. In relation to Frodo alone, Sam’s function is simple; be steadfast, and stay close, which he proves by flinging himself after the boat of Frodo, and risking drowning in the process: ‘It is no good trying to escape you. But I’m glad, Sam. I cannot tell you how glad. Come along! It is plain that we were meant to go together.’232 Part of the hobbit flexibility is both the ability to keep from being seen, and of course the fact that they are not clearly affiliated or involved in any political landscape, which is vital later in their quest. Furthermore, the function of Gollum, at least partially, relies on Frodo and Sam being alone. Merry and Pippin, while curious and willing to help, do not appear to have an over- defined role or function in the narrative aside from a standard ‘helper’ position before the fellowship is split up. And perhaps there truly was no need or no premeditated role for them at
231 J. R. R. Tolkien, The Lord of the Rings, 399. 232 J. R. R. Tolkien, The Lord of the Rings, 406.
53 this point within the narrative as well as the creative process. So far there is little that lends itself to the idea of Merry and Pippin being flexible in the same way in which Bilbo has proved to be for the narrator. In this case their flexibility has perhaps been simply in being a hobbit that is not concerned directly with the ring, and for coming willingly on the quest. 2.7 Conclusion The beginning of the narrative of LR was difficult for Tolkien to construct, and the hobbits were near impossible to fully create without the narrative ideas present to shape their purpose. Tolkien, who felt he did not have anything new to say on hobbits, successfully created four new hobbits that would be able to carry his narrative, while also being able to answer the narrative demands. By creating these four figures Tolkien gave himself four flexible figures, two who would carry out the ring quest, and two who could be used in other parts of the narrative as Tolkien saw fit. For LR the need for more hobbits was necessary, as Tolkien had yet to plan out his narrative, and as it moved on their roles became apparent. This difficulty with creating his hobbits also reveals the limits these hobbits have within the text, and as Trotter changed race while Frodo, Sam, Merry and Pippin were starting to form, Tolkien built up a base for the hobbits that would allow him to use them from start to finish. However, the narrative trajectories were not fully in place when the fellowship separated, and this alone denotes a flexibility in the creations, as he now found himself pondering different paths the narrative might take.
54
3 The Narrative Evolution of Frodo, Sam and Sméagol
‘‘If I understand aright all that I have heard,’ he said, ‘I think that this task is appointed for you, Frodo; and that if you do not find a way, no one will. (…)’233
This chapter will be concerned with Frodo, Sam and Gollum, and their story from the splitting of the fellowship and up until ‘The Grey Havens’ which ends their narrative within LR. The first part of this chapter is concerned with Tolkien’s early notes and contains both elements that survived to be included in the final books, and also ideas that were cut or altered. This section is paramount, as it demonstrates, once more, the ways in which functions slightly differed, and might give further insight into the scope of the hobbits by their limitations, such as has already been done with Trotter in the previous chapter. The second part of this chapter will cover writing done quite some time after the first ideas were written down, and here it is possible to follow the story chronologically, as at this point Tolkien had come to write them sequentially. And while there are some changes from drafts here, this marks the point where the material is close, if not identical, to the finished product, and represents the final writings in The History of Middle-Earth. As this is the case, this last section of the chapter will also be referencing LR since much of the material there is almost the same, to a point to which the changes have no bearing on the thesis question. As Tolkien came to write LR it also became apparent that these books would be much darker in theme and plot and would therefore not be considered children’s literature. While it has some of the same features, such as the concept of ‘unlikely hero’234 which is mentioned in the introduction the tone is much more ominous. This is, much as with the hobbit, and immersive type of fantasy, where the hobbits thoroughly belong in Tolkien’s larger world. Furthermore, however, this work is also a great example of what has been labelled as an epic fantasy, which according to Derek M. Buker has three vital defining features. The first is that it must at least span a trilogy, which LR has covered as a tetralogy.235 Secondly it needs to span a substantial amount of time236, and thirdly ‘(...) the trilogy or series must impart to the reader the impression that the books barely scratch the surface of the history of the world they create.’237
233 J. R. R. Tolkien, The Lord of the Rings, 270. 234 Andrew Teverson, Fairy Tale, 29. 235 Derek M. Buker, The Science Fiction and Fantasy Reader’s Advisory: The Librarian’s Guide to Cyborgs, Aliens, and Sorcerers (Chicago: American Library Association, 2002), 118. 236 Derek M. Buker, The Science Fiction and Fantasy Reader’s Advisory, 118. 237 Derek M. Buker, The Science Fiction and Fantasy Reader’s Advisory, 118.
55
Being a part of such a hugely different text, it is not surprising that the hobbits carry more intricate functions than in the children’s book. And it is exactly this layering in function, combined with the number of hobbits, that allows these hobbits to remain figures of flexibility. As Frodo and Sam traverse much of the narrative in isolation after the splitting of the fellowship, with a couple of exceptions, seeing their flexibility is perhaps harder than with Bilbo, or even Merry and Pippin.
3.1 Early Notes and External Functions After the initial creation of his hobbits, Tolkien almost immediately had a specific purpose in mind for Frodo the Ringbearer, as established in the previous chapter. Likewise with Sam, who was to be faithful companion. In this chapter I intend to both look at what has already been established with regard to the figures by the creation of them, as well as look at new, emerging functions that come to be as Tolkien continued his writing process. Tolkien knew quite early the general outlines, as well as the general functions for these three figures, and in his early plot notes, while working on finding what they were missing, he also solidified their primary function. With regard to Frodo, Sam and Gollum the planning of their plot trajectory was initially planned out twice, first soon after writing in Moria, in a text labelled ‘The Story Foreseen from Moria’, and then in a more detailed ‘The Story Foreseen from Lórien’.
3.2 The Story Foreseen From Mora The Story Foreseen From Moria’ was written after Tolkien’s initial chapter on the journey through Moria, which was around the time when Trotter went from hobbit to human, and outlines the plan he has for Frodo, Sam and Gollum from the splitting of the fellowship and all the way to the destruction of the ring. As Christopher Tolkien states, some important details have been established already at this point, such as ‘Gollum’s treachery, Frodo’s inability to cast the Ring into the Fire, and the eruption of the Mountain.’238 The plans found in these notes, and which are further documented in ‘The Story Foreseen From Lórien’, both fully demonstrate the process in which Tolkien found the primary functions of these three hobbits, and furthermore, it also demonstrates what Tolkien had yet to piece together with regard to their character and function. As stated previously in this very chapter Frodo, Sam and Gollum navigate through remote areas after the splitting of the fellowship, mostly steering clear from other people. This is in stark contrast with Merry and Pippin, who are integrated into the political landscape of men. In the published version of LR Sam catches up to Frodo right away, however in the first
238 Christopher Tolkien, The Treason of Isengard, 212.
56 notes this was not the case. In the early notes Sam does not manage to catch up with him, and his way of finding Frodo is once more by being guided by Gollum.239 This, of course, makes sense as Gollum’s role in the published work is primarily that of a guide figure. However, any reader of the finished product might find it strange that Sam, who from the very beginning is the most suspicious with regard to Gollum, would trust him enough to follow him even though it just might lead him to Frodo. While one might argue that Sam’s unwavering loyalty might trump any trepidation, it is still not enough to outweigh the fact that Sam is to function in opposition to Gollum, and thus not trust him. It is evident that Tolkien had yet to find this facet to Sam’s function, and so the change in this meeting with Gollum signals this function emerging. As the fellowship split up there arose a need for two distinct guides for the narrative. On the one hand there is Aragorn, who was to be followed by Gandalf the White, and on the other hand the ambivalent Gollum. As stated by Nelson the guide figure is ‘(…) one of the oldest figures in literature (...)’.240 The traditional figure that Tolkien draws from with these two characters hails back to Vergil’s Cumean Sybil, who functioned as Aeneas’ guide, Vergil from The Divine Comedy, and even Merlin from Le Mort D’Arthur.241 On the other hand, you also have their counterpart, what Nelson describes as the evil guide figures, such as the evil palmers that appear in Spenser's The Faerie Queene. These figures, unlike their good counterparts, are present to lead their ‘(…) heroes astray and even to their destruction.’242 The guide figure is one who possesses both wisdom, but also practical knowledge with which they can aid their hero on their way,243 as the traditional hero they aid goes through a transformation where ‘(...) the major characters learn many things and, like Aeneas and Dante before them, are profoundly changed in their attitudes and behaviour ever after.’244 On the other hand, the evil guides demonstrate traits that are in opposition to the good guides; ‘(...) instead of wisdom and prudence, they display craftiness and guile; instead of care and concern, they show hatred and contempt (...).’245 And it is of course the evil guide role that Gollum is assigned, and although his evil guide role later in Tolkien’s writing becomes
239 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 208. 240 Charles W. Nelson, ‘From Gollum to Gandalf: The Guide Figures in J. R. R. Tolkien’s “Lord of the Rings”’, in Journal of the Fantastic in the Arts, vol. 13, No. 1 (2002), 47. 241 Charles W. Nelson, ‘From Gollum to Gandalf (...)’, 47. 242 Charles W. Nelson, ‘From Gollum to Gandalf (...)’, 49. 243 Charles W. Nelson, ‘From Gollum to Gandalf (...)’, 48. 244 Charles W. Nelson, ‘From Gollum to Gandalf (...)’, 48. 245 Charles W. Nelson, ‘From Gollum to Gandalf (...)’, 48.
57 somewhat ambivalent as Gollum himself becomes ambivalent, at this stage in the notes it is very apparent that Gollum’s intention is solely to lead Frodo and Sam astray. When Gollum is introduced it is in this text stated that he ‘(…) pleads for forgiveness and feigns reform.’246 and as Christopher Tolkien states;
‘Sam’s part in the final events was still very shadowy and speculative, but already the idea enters that Gollum (whose inner motives seem to have been far less complex in respect of Frodo than they afterwards became) would betray Sam and Frodo to spiders in a ravine or glenn (...)’247 This reveals that Tolkien already knew that Gollum would betray Frodo for the ring in the end, which is demonstrated further in later notes. Gollum has at this point in the narrative been established as a necessary evil to Frodo and Sam and furthermore, his role as a guide is established, as ‘[t]hey make him lead them through the Dead Marshes.’248 As already stated in chapter one, Gollum has functioned as a guide before, for Bilbo, as he did lead him out of the caverns, ‘[t]he difference, though, is that, in the first instance, he led Bilbo out of ignorance, while in the second he knew exactly what he was doing and to what end he would eventually lead the hobbits.’249 Gollum was more two-dimensional in these earlier notes, similar to how he appears in H. While he possesses the traits of Gollum, his Sméagol side is still lacking, and because of this some of his internal function is yet to be established, and it will in fact not be present properly until the actual writing of ¨The Taming of Sméagol’. Two other elements that are established within these notes are the relation between Frodo and Gollum and the imminent failure of the ring quest. The initial connection between Frodo and Gollum was more forceful than what it would later become: ‘Gollum is daunted by Frodo - who has power over him as Ringbearer. (But use of Ring proves bad since it re- establishes power of Ring over Frodo after cure. At end he cannot willingly part with it.)’250 This underlines the idea that Gollum’s motivation in this draft shows none of the depth it later does, and thus one of Gollum’s internal functions within the narrative is missing. This draft further demonstrates the destruction of the ring, however the storyline leading up to the destruction has yet to reach its final form. The destruction already occurs in spite of Frodo’s actions, as the attachment to the ring was established quite early on, as seen in chapter two of this thesis. ‘He cannot throw the Ring in. (...) At that moment Gollum comes up an wrestles with him, and takes Ring. Frodo falls flat.’251 This line contains a similar concept as the
246 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 208. 247 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 213-4. 248 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 208. 249 Charles W. Nelson, ‘From Gollum to Gandalf (...)’, 50 250 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 208. 251 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 208.
58 published version does, and already here the idea that the ring quest will be a failure has crystalized for Tolkien. Robertson stated in the essay about Gollum’s path in the story that ‘Gollum’s path might be seen as the modern equivalent of the Greek tragic hero: though fated to fail personally, he yet serves greater needs.’252 I would however argue that the end of the narrative demands that they both become something alike the tragic hero of Greek theatre, in their complete failure in resisting the ring, and their ultimate corruption by the dark. Gandalf’s premonitions regarding both Frodo and Gollum come to pass, however the darkness also has a moment of victory in its overtaking of Frodo. As Gandalf mentions when speaking of the ring ‘(...) hobbits are the only people of whom the Lord has not yet mastered any one.’253 One might argue that Gollum would be the fallen hobbit, however Gandalf states ‘(…) I guess they were of hobbit-kind’254 meaning that they were hobbit-adjacent, ergo not hobbits. However, at the very end Frodo succumbed to the pull of the ring, and fell, much like the Christian fall of man. Tolkien has himself stated in a letter to Milton Waldman estimated to have been written in late 1951 that ‘There cannot be any ‘story’ without a fall – all stories are ultimately about the fall – at least not for human minds as we know them and have them.’255 And true to his word, LR contains fall of Frodo. Sam’s role was as stated in the previous chapter that of a ‘helper’ or squire. Robertson went as far as to label Sam’s path the path of love256 because of his compassionate nature, which lies at the centre of his character function. The link between Sam and the role of squire harkens back to a literary tradition, however this time it is the epic that is evoked in Sam.257 As Nelson specifies, the squire is ‘(...) the loyal servant who follows his master into battle, receives his confidences, nurses his wounds and frequently saves his life.’258 Furthermore traits that are usually linked with this role are ‘courtesy, honesty, trustworthiness, loyalty, and self-sacrifice.’259 Despite not including any formality in his allegiance, as opposed to Merry and Pippin in their relation with their respective human lord, he still ‘declares his loyalty to Frodo in act and in deed no less certainly.’260 At this stage in the creative process, however Tolkien did not appear to have a very specific plan for him outside of his general function, but
252 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Tragic Failure’ in Psychological Perspectives 52(1). (2009), 93. 253 J. R. R. Tolkien in Christopher Tolkien, The Return of the Shadow, 78. 254 J. R. R. Tolkien, The Lord of the Rings, 52. 255 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien. 147. 256 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Love’, 225. 257 Charles W. Nelson, ‘Courteous, Humble and Helpful: Sam as Squire in Lord of the Rings’, 55. 258 Charles W. Nelson, ‘Courteous, Humble and Helpful: Sam as Squire in Lord of the Rings’, 53. 259 Charles W. Nelson, ‘Courteous, Humble and Helpful: Sam as Squire in Lord of the Rings’, 54. 260 Charles W. Nelson, ‘Courteous, Humble and Helpful: Sam as Squire in Lord of the Rings’, 55.
59 throughout his notes he did work on this character. After this rough outline of the failure of Frodo and the betrayal of Gollum he goes to question Sam’s function. While his main essence was in place, the defined ideas in regard to his active participation in the narrative was still to be determined. Early ideas had Sam play an active part at Mount Doom; ‘Here perhaps Sam comes up and beats off vulture and hurls himself and Gollum into the gulf?’261 Following this further he kept questioning Sam: ‘Function for Sam? Is he to die? (He said there is something I have to do before [I die >] the end)’262 It is in these notes that Tolkien thinks of making Sam use the ring; ‘Sam comes and uses the Ring. (...) Frodo feels hatred of Sam and sees him as an orc. (...) Then Frodo sees it is Sam. (...) They escape but Gollum follows.’263 ‘It is Sam that wrestles with Gollum and [?throws] him finally in the gulf.’264 Of course, the event of Sam’s throwing Gollum into the gulf does never came to pass, but it ignited the idea that Sam was to be a ringbearer, as is seen in the published LR. This both illustrates the rather simple role Sam has within the story, which very much remains throughout the editing process, and furthermore illustrates the idea that several ringbearers are necessary to complete the quest.
3.3 The Story Foreseen From Lórien The notes labelled ‘The Story Foreseen from Lórien’ contains a more detailed draft of the narrative trajectory of the hobbits. Much of it echoes what was to be found in the previous notes from Moria, however dialogue and other detail has been added in. Sam still requires Gollum’s help to find Frodo after the breaking of the fellowship, and the inherent power gained by Frodo over Gollum by possessing the ring is also still present. Gollum’s plan of betrayal were still his primary objective and the plot outline demonstrates the implications this betrayal has on the narrative, as Frodo’s fall to the spider and Sam’s subsequent role as temporary ringbearer is present; ‘The idea suddenly comes to Sam to carry on the work, and he felt for the Ring. (...) Sam put the Ring round his own neck.’265 Sam’s function is still that of the most stereotypical of hobbits, and this remains through his new responsibility; ‘(...) the Ring does not confer courage: poor Sam trembles all the time.266 This initial text demonstrates Sam’s heroics despite his fears, and this attitude of ‘fearful yet determined’ is perhaps where Sam’s figure and function best shines, as seen more thoroughly as the narrative becomes more complete. Furthermore, through these notes another demonstration of the rings effects is
261 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 209. 262 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 209. 263 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 209. 264 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 209. 265 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 331. 266 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 332.
60 present; ‘[Only for two days had he been Ringbearer, yet he felt a curious regret as it left him.]267 With this Tolkien briefly begins to tap into another important function in the figure of Sam which will become much more apparent later, which is an exemplification of the rings power and function. Last, though not least, is perhaps the most interesting of developments with regard to Sam, Frodo and Gollum; the idea that Frodo needs to go alone once they had started nearing the mountain: ‘Sam must fall out somehow. Stumble and break leg: thinks it is a crack in ground - really Gollum. [?Makes ?Make] Frodo go on alone.268 This proves that Tolkien’s idea to involve Sam in the conflict between Gollum and Frodo once inside the Fiery Mountain was now truly changed. While Sam’s support throughout the narrative was well established, and that he would be paramount to the completion of the quest, the final defeat of Frodo, and the battle with Gollum which would result in the accidental destruction of the ring, was likely now in motion. However, notes created later denotes uncertainty about the placement of hobbits within the narrative. As the narrative grew, so did the necessity for hobbit representatives throughout the story grow. This caused Tolkien to question his use of Sam; ‘Another possibility. Cut out rescue of Frodo by Sam. Let Sam get lost and meet Gandalf, and have adventures getting into Minas Tirith.’269 Of course, this is directly followed by potential challenges to this version already established; ‘(But it was Frodo who saw vision of Gandalf. Also Sam saw vision of Frodo lying under dark cliff, pale, and himself on a winding stair.)’270 The idea that Sam would be the one to find Gandalf would negate much of Tolkien’s planning, and he subsequently left this idea on that page, which further demonstrates the importance for Tolkien of keeping Sam with Frodo. And while Tolkien attempted to tell the story ‘(...) more or less through ‘hobbits’271 it ended up neither Merry, Pippin, Sam nor Frodo who found Gandalf, but rather Legolas, Gimli and Aragorn, as Tolkien had situated his hobbits in places better suited to their emerging functions.
3.4 The Road to the Final Draft - Internal Functions Tolkien’s notes reveal that Frodo, Sam and Gollum were quite early established with regard to their primary functions within the narrative. However, as Tolkien was writing and editing his text other internal functions emerged for these three hobbits, which became apparent in the
267 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 334. 268 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 344. 269 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 412. 270 J. R. R. Tolkien in Christopher Tolkien, The Treason of Isengard, 412. 271 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien. 246.
61 chapters as they were written out. From this point on I intend to be using both Christopher Tolkien’s History of Middle-Earth books as well as Tolkien’s LR, as Tolkien had taken to writing his pieces out in full, which meant that many of the changes made were small and insignificant with regard to this thesis in particular.
3.5 The Taming of Sméagol The writing of ‘The Taming of Sméagol’ likely took place around 1944, as a letter from Tolkien dated from April 1944 states that ‘I have gone back to Sam and Frodo, and am trying to work out their adventures. (...) [A]t the moment they are just meeting Gollum on a precipice.’272 This was some time after the initial notes were drafted, and finally vital elements that were missing from Gollum’s figure were finally falling into place. As mentioned previously in the notes examined above, this chapter is used to place Gollum in the guide position and establish the relation between Gollum and the hobbits. Furthermore, this chapter now contain the duality of Gollum/Sméagol which is a necessary prerequisite for his internal functions. As mentioned, Gollum creates tension within the three figures as he himself is an ambivalent figure with his own agenda. Immediately after his initial capture Frodo states; ‘‘We must kill him right out, Sam, if we do anything. But we can’t do that, not as things are. It’s against the rules. He’s done us no harm.’’273 And further: ‘(...) I can’t touch the creature. I wish he could be cured. He’s so horribly wretched.’274 Based on these lines one might determine that Tolkien has established the understanding between Frodo and Gollum, as Frodo’s pity for Gollum is implemented. This is a stark contrast from when he first heard the tale of Gollum from Gandalf in ‘The Shadow of the Past’ as mentioned in chapter 2, where he states ‘What a pity that Bilbo did not stab the vile creature when he had the chance!’275 Sam, on the other hand now mirror the sentiment of Frodo from that very chapter; : ‘‘But he means to/meant to, I’ll take my word,’ said Sam.’276 Sam is the only one who has not been touched by the ring so far, and so cannot understand Gollum. Thus, this established the general dynamic of the trio. Frodo and Gollum have an understanding through the ring, while Sam, together with the reader, remain suspicious.
272 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 70. 273 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring: The History of The Lord of the Rings Part Three, (London: HarperCollinsPublishers: 2015), 96. 274 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 96. 275 J. R. R. Tolkien, The Lord of the Rings, 59. 276 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 96.
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However, while writing this chapter Tolkien also revised the draft of ‘The Shadow of the Past’ as new ideas emerged. Gandalf’s emphasis on the traits of pity and mercy were already present in the chapter; ‘‘Pity? It was Pity that stayed his hand. Pity, and Mercy: not to strike without need. And he has been well rewarded, Frodo.’’277 This emphasis on pity can be taken as a warning to Frodo not to take Gollum’s prosecution into his own hands as Gandalf further states that ‘My heart tells me that he has some part to play yet, for good or ill, before the end; and when that comes, the pity of Bilbo may rule the fate of many - yours not least.’278 This premonition establishes the idea of the ring quest being predetermined in its outcome as stated in the introduction. However, now Tolkien added the following line; ‘Deserve death! I dare say he does. (...) even the very wise cannot see all ends. (...) Even Gollum may do some good, willy nilly, before the end.’279 This furthers the predetermined air and establish the quest as a group endeavour. Unlike in the previous notes examined above, the ring no longer grants an inherent power over Gollum, as the ring function had been established more fully. As stated above, Gollum’s presence creates a tension as both Frodo and Sam knows that his intentions are far from pure, and so they make him promise. ‘Frodo stepped back. ‘On the precious?’ he asked, puzzled for a moment: he had thought that precious was Gollum’s self that he talked to. (...) ‘One Ring to rule them all and in the Darkness bind them. Would you commit your promise to that, Sméagol?...’’280 Here Frodo approaches Gollum as Sméagol, perhaps to appeal to his hobbit side, which functions as a mirror to himself, and even a mirror to Bilbo. Sméagol is the fallen hobbit, and as mentioned previously demonstrates a worst-case scenario in his mirroring. This also creates depth in the figure of Gollum with his duality, which was necessary for Tolkien, as this creates an ambivalence in the relationship Gollum has with the hobbits. Furthermore, only Frodo’s understanding of the ring’s influence might have led him to make the promise on lines from the ring’s very own inscription, allowing for the ambivalence in their relationship.
3.6 The Dead Marshes ‘The Taming of Sméagol’ established Gollum as a guide, as he proclaims to have enough knowledge to navigate the treacherous landscape. As previously mentioned, his role is that of the evil guide, in opposition to the good guides Gandalf and Aragorn. This role is put to the
277 J. R. R. Tolkien, The Lord of the Rings, 59. 278 J. R. R. Tolkien, The Lord of the Rings, 59. 279 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 97. 280 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 97-8.
63 test as they travel through the Dead Marshes. Tolkien writes that there is to be ‘Change in Gollum as they draw near.’281, referring at this point to Kirith Ungol. Furthermore, in these notes he emphasises the Jekyll and Hyde duality within Gollum; ‘It is a sort of good Smeagol angry with a bad Gollum. The latter [?grows] - filled with hatred of the Ring-bearer, in longing to be Ring-master himself.’282 This proves the dichotomy of Gollum, and that it is Gollum that hates Frodo, not necessarily Sméagol. As this has been established Gollum has finally reached the point where his second major function is cemented. This is also foreshadowed in the final version of ‘The Shadow of the Past’, where Gandalf states that Gollum was, in fact, not all corrupted;
‘[e]ven Gollum was not wholly ruined. He had proven tougher than even one of the Wise would have guessed - as a hobbit might. There was a little corner of his mind that was still his own, and light came through it, as through a chink in the dark (...).’283
This states outright that Gollum is comprised of both Sméagol, the pre-ring figure, and Gollum, the post-ring figure. These three hobbits have a very important function that is earliest properly demonstrated in ‘The Dead Marshes’, as they together both demonstrate and exemplify the effects of the ring. Unlike Frodo, whose struggle with the ring is demonstrated through his sense of oppression and exhaustion, Gollum is able to exemplify the struggle of the ring though his two sides that have emerged in reaction to the ring. Not only is Gollum a mirror for Frodo, constantly showcasing the worst-case scenario, but he is also an isolated example of the struggle of the ring. Sméagol becomes a symbol of the hobbit-adjacent figure, while Gollum becomes the destructive influence of the ring. Cumulatively, Gollum is an illustration of the long-term effects of the ring, while Frodo illustrates the early pull of the ring. Sam then becomes a point of comparison, as he becomes an image of the untainted hobbit. The final edition of ‘The Passage of the Marshes’ also demonstrates the connection that is forming between Gollum and Frodo; ‘‘But Sméagol said he would be very very good. Nice hobbit! He took cruel rope off Sméagol’s leg. He speaks nicely to me.’284 to which Gollum answers: ‘‘(...) Let’s be good, good as fish, sweet one, but to ourselfs. Not hurt the nice hobbit, of course, no, no.’ Unlike the early notes on this chapter, Gollum’s duality is established and his potential for ambiguity is thus also present at last. And it is of course only Frodo and his pity of Gollum that created a closer relation between these two figures. It is
281 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 105. 282 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 105. 283 J. R. R. Tolkien, The Lord of the Rings, 55. 284 J. R. R. Tolkien, The Lord of the Rings, 633.
64 through this that Frodo found it viable to trust Gollum, and also created a temporary doubt in readers as to what Gollum’s true intentions was. As mentioned in the second chapter in this thesis, Tolkien considered an overarching theme of LR to be ‘Death and Immortality.’285 And in the Dead Marshes, just as with ‘Fog on the Barrow-downs’, Frodo, and even Sam, is presented once more with death. While Frodo’s function within the narrative is perhaps the most static, through him Tolkien is able to demonstrate a contemplation of mortality. However, before approaching this in ‘The Dead Marshes’, it may be wise to start with ‘Fog of the Barrow-downs’, as this is the first time Frodo is faced with death and mortality. While chapter two examined Frodo’s brush with the undeath found in wraiths, both the barrow-wights and the dead marshes illustrates the opposite; death. This will be one exception in this chapter, in which chronology is momentarily disregarded in favour of a complete picture of the secondary role of Frodo. At this moment, Frodo’s own ‘(…) seed of courage hidden (often deeply, it is true) in the heart of the fattest and most timid hobbit, wailing for some final and desperate danger to make it grow.’286 is awakened, and this might perhaps be a small prelude to what Tolkien himself labelled ‘Sacrificial’287 situations, which happens to be the situation Frodo finds himself in when accepting the ring quest. Tolkien states in a letter to Michael Straight (1956) that there are at least two aspects to a given situation; one which he calls ‘(…) the history and the development of the individual’288, which relates back to what the individual might gain for himself, be this good or bad. Then there is ‘(…) history of the world’289 which again might depend on the action of the individual for the world. However, there may be cases
‘[I]n which the ‘good’ of the world depends on the behaviour of an individual in circumstances which demand of him suffering and endurance far beyond the normal – even, it may happen (or seem, humanly speaking), demand a strength of body and mind which he does not possess: he is in a sense doomed to failure, doomed to fall to temptation or be broken by pressure against his ‘will’: that is against any choice he could make or would make unfettered, not under the duress.’290
And while the attack of the barrow-wight comes nowhere near as close to becoming such a sacrificial situation, it still demonstrates a symptom of the power Frodo will not be able to resist within the ring, and while this statement will first become truly relevant at the end of the
285 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 246. 286 J. R. R. Tolkien, The Lord of the Rings, 140. 287 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 233. 288 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 233. 289 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 233. 290 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 233.
65 narrative, it might still be important to keep in mind as the many brushes with the dead and death also become situations where Frodo demonstrates his struggle consistently. While the Barrow-wight was hardly seen aside from the arm that Frodo attacks with a blade, the death Frodo was faced with also came in the form of the deathly images of his friends, who appeared next to Frodo when trapped in the barrow, clad in white surrounded by treasure, with a blade across their necks.291 He thought his friends ‘(…) looked deathly pale’292 and in that pale greenish light they ‘(…) looked cold and unlovely.’293 In ‘The Dead Marshes’ death is once more very much prevalent. The name of the marshes themselves are telling, and Frodo directly confronts it; ‘Frodo crawled cautiously to the edge and looked. He saw pale faces - deep under water they looked: some grim some hideous, some noble and fair: but all horrible, corrupted, sickly, rotting.’294 He then states that ‘I don’t know who they are but I thought I saw Men and Elves and Orcs, all dead and rotten.’295 These dead, unlike the perceived death Frodo faced in ‘Fog on the Barrow-Down’, have a historical background in a battle, and now pull on more folkloric themes, as they also have Will-o'-the-wisps; ‘‘The tricksy lights. Candles of corpses, yes, yes. Don’t you heed them! Don’t look! Don’t follow them!’ Of course, these lines are ironic coming from Sméagol, as he, or at least his Gollum half, is planning to mirror the function of the wisps by leading the hobbits astray. Furthermore, in this chapter the death Frodo is faced with is both a more real one, as well as out of his reach; ‘But are they really there? Sméagol doesn’t know, said Gollum. You can’t reach them. I we tried, yes we tried, precious, once: but you can’t touch them.’296 This is the last overt confrontation with death, and Gollum here in some sense works like an opposition to death and mortality. While the Dead Marshes display death, through Gollum there is displayed life, however a wretched and elongated life that should not be, much like that of the Nazgûl from chapter two of this thesis.
3.7 The Forbidden Pool The next chapter to demonstrate a pivotal point within the narrative is ‘The Forbidden Pool’. Until the end of the chapter ‘Of Herbs and Stewed Rabbit’ Sam, Frodo and Gollum have been isolated within the narrative, following roads which did not lead them to interact with any other characters. However, at this stage of the story other actors come into play, which in
291 J. R. R. Tolkien, The Lord of the Rings, 140. 292 J. R. R. Tolkien, The Lord of the Rings, 140. 293 J. R. R. Tolkien, The Lord of the Rings, 140. 294 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 109. 295 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 109. 296 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 109-10.
66 itself invites a temporary shift, as Gollum is not initially with them at this stage. Much has already been established within the narrative to set the stage for the story to come, however one key element was missing; a victory of Gollum over Sméagol, who had in a previous chapter been averse to harm Frodo. Gollum, with his split personality, has already made a promise to Sméagol that Frodo would not be harmed, however, the narrative demands for Gollum to betray Frodo, as seen in the earlier notes. To get Gollum to do this Tolkien prepares a situation in which Frodo has to commit an action that is perceived as betrayal. Of the many traits that make up Gollum, one of his more prominent facets is his negative reaction to being in captivity, as seen in the introduction between the three, where Gollum pleads to have the rope removed in return for his services as guide. The betrayal of Sméagol by Frodo is forced by Faramir, and thus Tolkien has introduced an outside figure whose function is to further the divide between Gollum and Frodo. Faramir presents two options to Frodo; ‘He must be slain or taken.’297 And Frodo of course opts for the latter, though still realizing Gollum’s perspective; ‘This was too much like trickery. (...) certainly what Frodo did would seem a treachery to the poor treacherous creature.’298 And Gollum’s reaction to the perceived treachery was from early notes to finished chapter quite similar in effect; ‘He [?feigns] great delight at Frodo. Nice fish. Begs him not to delay but start in morning.’299 And then in LR; ‘‘Masster, masster!’ he hissed. ‘Wicked! Tricksy! False!’’300 This chapter and its notes do not so much demonstrate the hobbits’ function so much as it alters the fictional relation to allow for future action by Gollum. This, of course, allows for Tolkien to demonstrate a change in the already established dynamic.
3.8 Shelob’s Lair and The Choices of Master Samwise In the chapter ‘Shelob’s Lair’, two major events happen with regard to demonstration of function for the hobbits. The first event has, as mentioned, been present from Tolkien’s first plot trajectory notes, and is the inevitable betrayal by Gollum. Gollum has been established as an ambivalent figure, and his role has been just as ambivalent, both by imparting experience to Frodo by demonstrating the effects of the ring, and also by acting as guide. Tolkien already knew that Gollum’s betrayal was inevitable as it was one of his most central functions. However according to certain letters he sent at the time of drafting this section of LR he still
297 J. R. R. Tolkien, The Lord of the Rings, 686. 298 J. R. R. Tolkien, The Lord of the Rings, 687. 299 J. R. R., Tolkien, in Christopher Tolkien, The War of the Ring, 172. 300 J. R. R. Tolkien, The Lord of the Rings, 688.
67 struggled with the sections from ‘The Stairs of Kirith Ungol’, ‘Shelob’s Lair’ and ‘The Choices of Master Samwise’.301 Among these letters is one written to Christopher Tolkien dated May 21 1944, in which he states that; ‘[a]ll that I have sketched or written before proved of little use, as times, motives etc., have all changed.’302 At the beginning of Tolkien’s creative process these three hobbits were much more simple in regard to their motivation. Sam was the helper, Frodo was the ringbearer, and Gollum was irrevocably a villain. However, as has already been established the dynamics between characters became layered as the narrative progressed and as Gollum almost has become of two minds, his motivation has thus changed, and his betrayal therefore becomes more complicated. As with other sections of his elaborate text, what has been missing for Tolkien is often not the content, but the correct wording;
‘The elements were present: the climb to the high pass, the spider’s lair, the webs in the tunnel, the use of the phial of Galadriel, the disappearance of Gollum, his treachery, the attack of the spider, the tower guarding the pass, the coming of the Orcs; but they long defied a satisfactory articulation.’303
Once more, however, the content that has changed does at this stage not largely alter any function, and I will therefore mostly use LR as a point of reference. The representation of Gollum when climbing the stair to the lair illustrate the last moment when the character of Sméagol is most prevalent;
‘Gollum looked at them. A strange expression passed over his lean hungry face. The gleam faded from his eyes, and they went dim and grey, old and tired. A spasm of pain seemed to twist him, and he turned away, peering back up towards the pass, shaking his head, as if engaged in some interior debate. Then he came back, and slowly putting out a trembling hand, very cautiously he touched Frodo’s knee - but almost the touch was a caress. For a fleeting moment, could one of the sleepers have seen him, they would have thought that they beheld an old weary hobbit, shrunken by the years that had carried him far beyond his time, beyond friends and kin, and the fields and streams of youth, an old starved pitiable thing.’304 This is the final instance in which the Sméagol side is present in the figure, and this illustrates the final loss of motivation that could save the hobbits from Gollum’s now inevitable betrayal. The evolution in Gollum from single-minded and evil changed under the creation process, though Sméagol needed to be properly lost once they got closer to Mordor. And while the potential and tension was introduced in ‘The Forbidden Pool’ it is now demonstrated through Sméagol’s inner struggle that Gollum finally had completely won, as the glint in his eye returns, and his mannerisms cause him to go from old hobbit to ‘[a]lmost spider-like (…)’.305
301 Christopher Tolkien, The War of the Ring, 183. 302 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 81. 303 Christopher Tolkien, The War of the Ring, 184. 304 J. R. R. Tolkien, The Lord of the Rings, 714. 305 J. R. R. Tolkien, The Lord of the Rings, 715.
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It is through this scene that the tragedy inherent in his character is properly emphasised, combined with Gandalf’s description early in the first book. Furthermore, however, the great tragedy glimpsed in Gollum also creates a greater sense of foreboding within the tone of the narrative, which is the same effect Gollum had when first encountering Bilbo in ‘Riddles in the Dark’. While Gollum had an almost comedic presence throughout the travels, now he is left with only his darker side, and thus also his darker motivations. Soon after entering the dark caves of Torech Ungol, Gollum fulfils his long-planned betrayal. The betrayal of Gollum happens in the dark, just as his confrontation with Bilbo; ‘Gollum had gone in first and seemed to be only a few steps ahead’306, however, when Frodo and Sam realize the situation they find themselves in Gollum has disappeared. The betrayal is no surprising, as the lure of the ring has warped the figure of Gollum, and the only motivation left in his figure is focused on reclaiming the ring. Gollum’s function in mirroring the rings’ effect has now been fulfilled and Tolkien can subsequently amplify of a treacherous guide role. Thus the duality of Gollum has been erased to allow for Gollum’s erratic behaviour in his yearning for the ring. This betrayal, however, has perhaps one function which is more important to the narrative than any other; by betraying Frodo and Sam it allows for Frodo and Sam to get into Mordor, and furthermore, it forces Sam to illustrate courage, and truly demonstrate his function as squire in full like no other situation has allowed previously. In many ways one may see Sam as a foil to Frodo. Sam is of lower status, and is an example of a regular hobbit, unlike Frodo who is the heir of the queer hobbit Bilbo Baggins. Furthermore, Sam’s fear in the face of the responsibility of the ring appears much more prevalent than Frodo’s fear did. When they face Shelob in her lair however, Frodo falls and Sam is left to illustrate this courage. ‘No onslaught more fierce was ever seen in the savage world of beasts, where some desperate small creature armed with little teeth, alone, will spring upon a tower of horn and hide that stands above its fallen mate.’307 Sam’s attack on Shelob is crude at best but demonstrates his nature. His victory is achieved almost by accident, as Sam does not know how to fight with a blade. Still his function is to demonstrate a hobbit-like, understated bravery, which allows for him to do something that would otherwise seem outside of his character’s potential; ‘Not the doughtiest soldier of old Gondor, nor the most savage Orc entrapped, had ever thus endured her, or set blade to her beloved flesh.’308 What Sam here
306 J. R. R. Tolkien, The Lord of the Rings, 718. 307 J. R. R. Tolkien, The Lord of the Rings, 728. 308 J. R. R. Tolkien, The Lord of the Rings, 729.
69 exemplifies is an alternative kind of heroism. While not reflecting the traditional heroism found in the sagas, Sam demonstrates a Christian brand of true heroism. The heroism in question is one reflected in Milton’s Paradise Lost; ‘In battles feigned; the better fortitude / Of patience and heroic martyrdom’.309 This brand of heroism is softer, and more suited to the ordinary hobbits, and thus it does not set limitations on their flexibility as any ‘traditional’ hero-role might. Throughout the journey their roles of helper and master has been prevalent. However after the defeat of Shelob, Sam is forced to demonstrate his brand of courage once more, as he takes over the ring from Frodo. Sam, despite his initial reactions of fear and panic like Frodo before him, rather quickly accept his role as ringbearer. He realizes the importance of the quest, ‘‘[a]nd the Council gave him companions, so that the errand should not fail, and you are the last of all the Company. The errand must not fail.’ 310 counting Gollum, Sam is the fourth hobbit to carry the ring, and this alone emphasises the hopelessness of the quest once more. Furthermore, Sam’s reaction of having had the ring for such a short amount of time also further emphasise the power level of the ring; ‘Now it had come to it, Sam felt reluctant to give up the Ring and burden his master with it again.’311 Sam is the only ringbearer who is not forever altered by the ring, as both Frodo, Bilbo and Gollum all become markedly changed, which is further proved at ‘Mount Doom’ and ‘The Grey Havens’.
3.9 Mount Doom The destruction of the ring is the final goal of the ring quest, and as previously mentioned, Tolkien already knew the rough outline of what was to happen in Mount Doom in 1939:
‘At that moment Gollum - who had seemed to reform and had guided them by secret ways through Mordor - comes up and treacherously tries to take Ring. They wrestle and Gollum takes Ring and falls into the Crack.’312 Of course, previously another idea had been presented of Sam pushing Gollum into the fire as stated at the beginning of this chapter, and another idea belongs to a note found in Sauron Defeated which present yet another option which did not come to pass;
309 John Milton, Paradise Lost, Alastair Fowler (ed), 2nd ed. (London: Routledge Taylor and Francis Group, 2007) 9.31-2. 310 J. R. R. Tolkien, The Lord of the Rings, 732. 311 J. R. R. Tolkien, The Lord of the Rings, 911. 312 J. R. R. Tolkien, in Christopher Tolkien, Sauron Defeated: The End of the Third Age: The History of The Lord of the Rings Part Four, (London: HarperCollinsPublishers: 2015), 3.
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‘Perhaps better would be to make Gollum repent in a way. He is utterly wretched, and commits suicide. Gollum has it, he cries. No one else shall have it. I will destroy you all. He leaps into crack. Fire goes mad. Frodo is like to be destroyed.’313
In this rendition, Sam’s squire role is evoked for the third time, as he saves Frodo; ‘Here we all end together, said the Ring Wraith. (...) You first, said a voice, and Sam (with Sting?) stabs the black rider from behind.’314 Furthermore, at this stage the eagles are written in as the saviours from the erupting mountain. Tolkien rejected most of these ideas quite quickly, however. First of all, the figure that has now been built within the narrative of Sméagol would not have the right predisposition to be able to do this, as he has fallen too far, and together with the will of the ring the suicidal Gollum was an impossible idea. Furthermore, he also removed the slaying of the Ring Wraith by Sam. As is later seen with Merry and Éowyn, the destruction of a Ring Wraith is no easy feat, and as Charles Williams states: ‘If he had let Sam perform such antics in the end, it would have been a lesser book. Sam’s actual heroism (...) is enough.’315 However, it is not only Gollum’s role and Sam’s role that is being considered in these notes, but also Frodo. While the final edition sees most of the ring destruction through Sam, a draft reveals an inner battle Frodo wages with the Lord of the Rings; ‘He seems to hear a deep slow persuasive voice speaking: offering life and peace - then rich reward, great wealth - then lordship and power - and finally a share of the Great Power (...).’316 In these notes, Frodo rejects it in a fantasy of himself: ‘’He rejects this (...): he will keep it, wield it, and himself have Power alone; be Master of All.’317 However, once he wears the ring, he cannot take it off, despite wishing to once he feels the Wraith coming.318 This is, of course later changed, as the perspective from Mount Doom is mostly perceived by Sam. His earlier notes did not have the final duality, which is to be found in Gollum, and when this was absent, he attempted to show it through Frodo. However, this would be too late within the narrative to demonstrate this, especially as the narrative grew to become much more comprehensive than what Tolkien initially planned. However, by building the narrative in the way Tolkien now has the threat of the ring has been firmly established and repeated to build a suspense, and the final defeat of
313 J. R. R. Tolkien, in Christopher Tolkien, Sauron Defeated, 5. 314 J. R. R. Tolkien, in Christopher Tolkien, Sauron Defeated, 5. 315 David Bratman, ‘Top Ten Rejected Plot Twists from The Lord of the Rings: A Textual Excursion into the “History of The Lord of the Rings”, in Mythlore 22(4) (2000), 34. 316 J. R. R. Tolkien, in Christopher Tolkien, Sauron Defeated, 6. 317 J. R. R. Tolkien, in Christopher Tolkien, Sauron Defeated, 6. 318 J. R. R. Tolkien, in Christopher Tolkien, Sauron Defeated, 6.
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Frodo by the power in the ring would seem inevitable as proven several times over throughout this thesis.
3.10 The Grey Havens ‘The Grey Havens’ contains a narrative that mostly remained the same through the editing process, and any changes made did not affect the function of any of the hobbits. Throughout the narrative of Sam and Frodo, Sam has carried the function of constant, which could be used to follow the fall of Frodo by comparison. In this final chapter, however, they become polar opposites. While the quest narrative is over, the hobbits still keep their role in some ways, Sam in the way he manages to return to be the epitome of ordinary, while Frodo is forever changed, and thus unable to stay. Robertson states that ‘Frodo's path transcends that of any other hero in literature. He is seemingly the least, always aware of his own fears, his own limitations, yet he accomplishes more than any of the apparently greater figures such as Elves and Dwarves, Kings and Wizards.’319 While I myself rather read Frodo the individual as a failure as he ultimately experienced a fall, the quest at large was a success and the way it was presented with its predestined implications does imply a hero-connotation to Frodo nonetheless. While Gollum, who was forever lost to the ring, achieved the death he so deserved, Frodo gained a symbolic immortality likened to the true immortality of elves rather than the perceived immortality provided by the Rings of power. Aman, the Undying Lands is ‘(…) an abode of immortals (...)’320 which was a reprieve which ‘(...) could only be reached by those specifically appointed to make the Journey.’321 In some ways one might consider Frodo as a sacrifice for a greater purpose, a very Christian image. However, it is true that Frodo in the end, despite joining the elves out of Middle-Earth would be doomed to death just like Gollum, as Tolkien wrote that ‘(…) for mortals, since their ‘kind’ cannot be changed for ever, this is strictly only a temporary reward: a healing and redress of suffering. They cannot abide for ever, and though they cannot return to mortal earth, they can and will ‘die – of free will, and leave the world.’ 322 Contrary to what Robertson states in his paper on Frodo’s path323, Frodo does not actually gain an immortality, only a temporary reprieve that would be impossible in Middle-earth. Despite this, however, Frodo’s passing out of Middle-earth can, and will perhaps for readers not reading Tolkien’s letters, symbolise or exemplify a kind of immortality that is not granted to most mortals, and thus the function of exemplification of the
319 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Transcendence’, 351. 320 J. E. A. Tyler, The Complete Tolkien Companion (London: Pan Books Ltd., 2002), 664. 321 J. E. A. Tyler, The Complete Tolkien Companion (London: Pan Books Ltd., 2002), 666. 322 J. R. R. Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 198-9. 323 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Transcendence’, 371.
72 ideas of mortality and immortality in Middle-earth still remains. On the other hand, it may also exemplify the curse of the Nazgul blade, an inability to live and die as normal in Middle- earth. Frodo become a sort of in-between, where he was not granted life through the quest, but rather a death in another realm.
3.11 Conclusion Tolkien’s ring quest is at the heart of the story found in LR, and which early in the narrative is given a sense of inevitability through Gandalf. The narrative functions within these three hobbits are bound to the quest narrative, yet all three hobbits contain several layers of functions. The main function these three figures have is to drive the ring closer to Mordor, as the ultimate goal is the rings destruction. They use unconventional paths, and throughout the story Tolkien uses the figures to demonstrate the conflict of good and evil, and furthermore the inner battle Frodo wages against the influence of the ring. Where Sam and Gollum represent the totally corrupted and the untouched respectively, Frodo exemplifies the descent into corruption. Furthermore, Frodo is also connected to the topics of death and immortality, which Tolkien himself found important within his work. Despite the ring quest being so important to the story, it ends up being a quest impossible to succeed in without all the hobbits, and furthermore Frodo in fact does fail, despite Gollum biting off his finger and falling into the fire. This marks the fall of the hobbits, as every other race of Middle-earth have experienced a fall like it, from the Silmarils to the Arkenstone. Frodo finally exemplifies a great sacrifice, as he is sacrificed for the greater good of Middle-earth. This failure of Frodo is a perfect demonstration of what has been demonstrated with both Bilbo and Trotter. A hobbit cannot be a proper hero fit for the great Norse Sagas or any other heroic fantasy, as this would go against their construction as hobbits.
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4 The Imposing Influence of Merry and Pippin
‘It is true that if these hobbits understood the danger, they would not dare to go. But they would still wish to go, or wish that they dared, and be shamed and unhappy.’324
With Bilbo Baggins Tolkien created the blueprint for his hobbit creation. When writing LR however, the narrative necessitated an expansion in his invented protagonist. Through having created a set of four hobbits rather than two his creation has the potential of affecting a larger part of the story, and while the plans for the ring quest became quite set, Merry and Pippin were used where Tolkien needed them. Merry and Pippin are the two hobbits within these books that perhaps best exemplify the flexibility of hobbits as they not only bend to the narrative, but also impose on it when Tolkien needed it. However, Merry and Pippin do not come into their proper function until after the splitting of the fellowship, where they go from background ‘helpers’ to protagonist-like actors that have weight within the narrative. The best examples of their emerging functions and usage are to be found in these chapters; ‘Treebeard’, ‘The Palantír’, ‘The Battle of the Pelennor Fields’, ‘The Pyre of Denethor’, and finally ‘The Scouring of the Shire’. What has already been established in chapter two regarding Merry’s and Pippin’s narrative trajectories was that they were originally planned to only be present in the beginning of the books, going no further than Rivendell. However, as Tolkien’s narrative grew past what he had expected, so did his need of hobbits to cover the story emerge. As mentioned in chapter 2, Merry and Pippins driving force within the narrative had been pure stubbornness up until the fellowship disbanded, yet this trait is one that prevails throughout the story, and just as Tolkien had these figures imposing themselves on the narrative, so would their curiosity allow for them to alter the narrative, which will be demonstrated in this chapter. Robertson argues in his essay on their path of curiosity that these two figures ‘(…) retain that childlike curiosity throughout the entire quest of The Lord of the Rings.’325 In this chapter I will examine how the stubbornness and curiosity established within these characters allows for a flexibility that did not characterize the hobbits associated with the ring quest. Once more I will follow the narrative as chronologically as possible.
324 J. R. R. Tolkien, The Lord of the Rings, 276. 325 Robin Robertson, ‘Seven Paths of the Hero in Lord of the Rings: The Path of Curiosity’ in Psychological Perspectives 50(1). (2007), 95.
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4.1 Early Notes Unlike with Frodo, Sam and Gollum, Merry and Pippin do not have a set quest to fulfil and this alone allows for a greater flexibility in the potential of Merry and Pippin. Furthermore, while Tolkien was able to plan the most important aspects of the ring quest, he took longer to construct the narrative around it, and so the early plans for Merry and Pippin were less complete. In ‘The Story Foreseen from Moria’, where he attempted to flesh out the narrative of the ring, he also began making plans for the rest of the fellowship. In these notes he writes that Merry and Pippin;
‘(...) are distracted by losing Sam and Frodo, and wandered far (deluded by echoes) they also get lost. Merry and Pippin come up Entwash into Fangorn and have adventure with Treebeard. (...) He won’t go near Mordor. He offers to carry them to Rohan and perhaps Minas Tirith. They set off.’326 Once more, Tolkien appeared to have many of the elements in his story present, however he had yet to piece them together. This indicates that many of the functional needs regarding the hobbits were also unclear, especially for Merry and Pippin. This is perhaps best illustrated in the earlier notes, as several ideas are here presented which never come to pass, such as the idea that Merry and Pippin finds Frodo and Sam at Gorgoroth in Mordor.327 Furthermore, in notes pertaining to ‘The story Foreseen from Lórien’ he still considers the idea of removing Treebeard in favour of having Merry and Pippin ‘(...) adventure in Minas Morgul (...).’328 Throughout the early planning of the narrative Merry and Pippin appeared to be more peripheral, as the ring quest remained the main focus. However, once Tolkien reached the writing of ‘The Departure of Boromir’ and detailing the breaking of the fellowship, some of the ideas regarding Merry and Pippin had been established; ‘They have gone. The orcs have got them. I do not think they are dead.’329 Furthermore their function as passive guide figures must therefore also have been established, as the threat of orcs works as a further driving force for the remaining members of the fellowship, which is further emphasised through Trotter’s words: ‘We have found a confusion - but our paths at least are set for us. Come, we will rescue our companions or else we will die after slaying all the orcs we can.’330 With this Merry and Pippin not only manage to set their own narrative trajectory, but also manage to decide the course of the remaining figures. This subversion of roles within Merry and Pippin occurs both here and in ‘The Scouring of the Shire’ and demonstrates an evolution within their characters.
326 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 210. 327 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 211. 328 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 344. 329 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 378. 330 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 378.
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Furthermore, in notes pertaining to Fangorn, Tolkien went as far as to tinker with the idea of having a hobbit meet Gandalf and appeared at one point to be quite invested in the idea, briefly outlining several possibilities. In Tolkien’s notes on the Treebeard chapter, one line stands out as important; ‘It must be Merry and Pippin who find Gandalf.’331 However, further in the same notes he has written the following: ‘How do they meet Gandalf? It should really be Sam or Frodo who saw vision in the Mirror of Galadriel.’332 These same notes also explore the idea of Sam getting lost and finding Gandalf and even Trotter finding him after splitting up with his own travelling companions as mentioned in the previous chapter.333 However, in ‘The story foreseen from Moria’ Tolkien had entertained the idea of Gimli and Legolas finding Gandalf; ‘[Gimli and Legolas] journey together. Legolas and Gimli still both laments. Suddenly they meet Gandalf!’334 This both shows how much the outlines were reworked, but also how it somehow manages to combine his two ideas by having Aragorn, Gimli and Legolas find him in their search of Merry and Pippin. Thus Merry and Pippin lead them to Gandalf, thus fulfilling a role of unwitting guides.
4.2 Fangorn Merry and Pippin do not appear to have defined roles or functions aside from the ‘helper’ roles until after the breaking of the fellowship, as stated in chapter two. And perhaps there truly was no need or no thought out role for them at this point within the story. Until that point there is little that lends itself to the idea of Merry and Pippin being flexible in the same way in which Bilbo has proved to be. So far their flexibility has perhaps been in their willingness to go on the ring quest despite the danger. Yet the text pertaining to their adventures in Fangorn works as a great example of their flexibility. But first their road to get to Fangorn need to be addressed. After being kidnapped from Amon Hen and the subsequent escape into Fangorn following the breaking of the fellowship, Merry and Pippin meet the Ent Treebeard. While Merry and Pippin had previously been guided by the likes of Aragorn and Gandalf, now Merry and Pippin were the ones leading the others. This forces the rest of the fellowship to move away from Frodo and Sam, and also guides them to Gandalf the White, which is a key event which needed to happen after the parting, and before much else within the narrative frame.
331 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 411. 332 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 412. 333 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 412. 334 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 211.
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The meeting with Treebeard marks the point when Merry and Pippin finally became figures which Tolkien used as actors to affect the plotline. As Christopher Tolkien states; ‘(…) Merry and Pippin now move into a central position in the story, and it is they (not as in former outline Frodo, VI.410) who encounter Treebeard (…).’335 By doing this Tolkien has placed a greater fictional autonomy within Merry and Pippin, as they now are in a position to drive their own part of the story. Their new narrative weight is soon proven as they are able to convince Treebeard to overtake Isengard, thus compromising Sauroman. As mentioned in the second chapter of this thesis, Merry and Pippin, rather than bending to the needs of the narrative, is used to impose aspects on the narrative to force a change, as both seen in Rivendell, and repeated in Fangorn and then with the Palantír. The meeting with Treebeard also reveal another, very important aspect that defines the flexibility of hobbits, that is impossible to duplicate with any of the other races of Middle- earth. As already established in chapter one, Tolkien’s hobbits were to be familiar to a potential reader, however their existence within Middle-earth is very understated and unknown. Hailing from the Shire where they were quite contained, the stereotypical hobbits of Middle-earth are naïve to the world surrounding them, as Bilbo greatly demonstrates. Furthermore, much of the world is also ignorant to their existence. This was already implied within H, where Bilbo’s race greatly confuses the trolls the trolls; ‘“A burrahobbit? (…) What’s a burrahobbit got to do with my pocket, anyways?”336 Smaug was also confused by Bilbo’s identity; ‘“You seem familiar with my name, but I don’t see to remember smelling you before. Who are you and where do you come from, may I ask?”’337 This, of course, also means that the hobbits can navigate the social landscape with greater ease, as anonymity lends them indifference in meetings with others, and this together with their stature makes them appear nonthreatening, as they do not have any perceivable socio-political weight outside of the Shire. When meeting Treebeard Merry and Pippin greets him with great curiosity and a string of questions. Treebeard, however, has just as many questions. He states that ‘(…) if I had seen you before I heard you, I should have just trodden on you, taking you for little Orcs, and found out my mistake afterwards. Very odd you are, indeed. Root and twig, very odd!'’338 Furthermore; ‘What are you, I wonder? I cannot place you. You do not seem to come in the old lists that I learned when I was young.’339 Of course,
335 J. R. R. Tolkien, Christopher Tolkien, The Treason of Isengard, 214. 336 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 73. 337 J. R. R. Tolkien in Douglas A. Anderson The Annotated Hobbit : Revised and Expanded edition, 279. 338 J. R. R. Tolkien, The Lord of the Rings, 464. 339 J. R. R. Tolkien, The Lord of the Rings, 464.
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Treebeard, who has not been to the Shire, and perhaps not met any of their predecessors from other places, does not have any knowledge or experience with hobbits. And this, as made obvious by the idea that hobbits keep to themselves, is the case for very nearly every person of every race they meet throughout the story. Tolkien therefore is granted the flexibility in his hobbits through their secluded nature, a true neutrality which allows them access unlike anyone else. While maybe not as obvious, this is also reflected in Frodo and Sam’s meeting with Faramir, who gives them allowances, and trusts their decision not to kill Gollum outright for trespassing.
4.3 Palantír The meeting with Treebeard and the subsequent taking of Isengard happened as a direct consequence of Merry and Pippin’s presence, making this conquest a result of their meddling. One can further claim that the acquisition of the Palantír sets the path of at least Pippin, and perhaps even Merry by association. Up until this point Merry and Pippin has imposed themselves upon the narrative, but after the Palantír acquisition one can fully see their potential. This is the first time Pippin’s curiosity completely circumvents Gandalf’s expectations, and thus creates an unforeseen situation. This indicates that Tolkien used Pippin to affect the narrative, to derail it in some way. By seeing their function as one that can be used to impose through curiosity and stubbornness it might become clear why they are invaluable to the narrative. Gandalf and Aragorn, both who in some capacity has authority, are not immune to their meddling, and so even when Gandalf insists on keeping the orb safe, Pippin interferes and thus comes into contact with the force of Sauron. By doing this he both affects Sauron himself by giving him information that may be misconstrued or read wrong, and also provides Gandalf with information that he otherwise would have had to find himself as he himself admits;
'But at this time we have been strangely fortunate. Maybe, I have been saved by this hobbit from a grave blunder. I had considered whether or not to probe this Stone myself to find its uses. Had I done so, I should have been revealed to him myself. I am not ready for such a trial, if indeed I shall ever be so: But even if I found the power to withdraw myself, it would be disastrous for him to see me, yet - until the hour comes when secrecy will avail no longer.'340
That these actions have positive consequences implies the existence of some innate luck in the hobbits, mirroring the luck which was so integral to the figure of Bilbo Baggins as seen in chapter one. As Gandalf states; ‘That dark mind will be filled now with the voice and face of the hobbit and with expectation: it may take some time before he learns his error. We must
340 J. R. R. Tolkien, The Lord of the Rings, 595.
78 snatch that time.’341 Once again the actions of Pippin has become a catalyst for further movement. In this case, however, Merry and Pippin are no longer guides, only actors that affect the drive of the other figures. However, it is their interference that made a difference to the narrative, and it is this Tolkien uses to place these characters where he needs them to be. This grants him more freedom with their movement, as neither Merry or Pippin are fully bound by others’ expectations or plans. Frodo gained two extra travel companions, Elrond could not keep them from being part of the fellowship, and now Gandalf could not keep them from looking into the Palantír, making them flexible in action based on their curiosity, and making them the perfect narrative tools to interject with other parts of the plot, making it so that Tolkien is able to impose flexibility upon their surrounding tale without having to alter any other figure or character manners. Furthermore, this chaotic action is also what splits them up, allowing for this interjection to be two places at once. Pippin, in touching the Palantír, further demonstrates a core difference in the characters of Merry and Pippin. While they have had an almost identical trajectory up until this point, their differences now lead them separate ways. While Merry and Pippin cannot be compared to the heroic figures that are their companions, the hobbits have a trait that is unique to them within the narrative, and that is once more their flexibility. And the versatility in regard to Merry and Pippin is not wholly like Bilbo’s. As previously stated, Tolkien very clearly establishes a possibility for narrative movement based on the traits Bilbo has from his Took and Baggins heritage. In this case, however, Merry and Pippin are quite alike, and are less inherently versatile. Nevertheless, Tolkien is able to use them in a flexible manner. One way to view Merry and Pippin then, is to view them as one would view Bilbo. While Bilbo consisted of the combination of Took and Baggins, Merry and Pippin together consist of a Brandybuck and a Took. Of course, it needs to be mentioned that both of these figures contain a double just like Bilbo (Merry is a combination of Took and Brandybuck, while Pippin is a combination of Took and Banks342) however their respective names creates a duality which can allow for a reading of the two similar to that of Bilbo. However, the duality of Merry and Pippin does not work just as Bilbo’s, which is important. Bilbo’s dichotomy is that of commonplace and adventurous, while Merry and Pippin are the calculating and the spontaneous. While both can be perceived to embody an inherent curiosity that fuels their actions, this difference sets them apart. While Merry originates as more calculated and perceptive, Pippin is the more spontaneous and foolhardy. And while their narratives up until
341 J. R. R. Tolkien, The Lord of the Rings, 595. 342 David Day, The Hobbits of Tolkien, 181.
79 now have been shared, their split also further demonstrates their differences which allows them to get to their needed positions in the story.
4.4 Storytellers in Rohan and Minas Tirith The event in Isengard and the contact made with the Palantír functions as a catalyst to the separation of the two hobbits. While Pippin was bound for Minas Tirith, Merry joins King Théoden of Rohan. This separation has two very important functions. On the one hand it allows for Tolkien to place his imposing hobbits in two places at once and on the other hand it allows his book to follow two distinct narratives among the human lords and kings. As mentioned at the very beginning of this thesis, and which bears mentioning in this very last chapter, Tolkien himself wrote the following:
‘(…) I have told the whole tale more or less through ‘hobbits’; and that is because another main point in the story for me is the remark of Elrond in Vol. 1: ‘Such is oft the course of deeds that move the wheels of the world: small hands do them because they must, while the eyes of the great are elsewhere.’ Though equally important is Merry’s remark (Vol III p. 146): ‘the soil of the Shire is deep. Still there are things deeper and higher; and not a gaffer could tend his garden in what he calls peace, but for them.’)’343
Tolkien appears to have invested great importance and agency in all his hobbits, and allow their function to not only affect, but to shape the narrative, and this is most clearly exhibited in Merry and Pippin, who each find a greater role under the King of Rohan and the ruling steward of Gondor. But once again Tolkien has also added another role to his hobbits that affects the manner in which the narrative has been written. Like with Bilbo, who ends up being a fictional source for H as stated in chapter one, the four hobbits of the fellowship are all established through Tolkien to be the fictional source of LR. This idea was, as pointed out by Jeremy Painter, first implemented over ten years after The Fellowship of the Ring was published, but notes that the structure based on the idea of sources combined to make the book is already present in the structure of the narrative.344 As stated by Painter ‘(…) these multivalent voices produce the effect of age and lend the text an atmosphere of importance.’345 As the three fictional archives stem from where Sam’s descendants, Merry’s descendants and Pippin’s descendants hail from, and furthermore that Frodo gave the last pages of his own narrative to Sam it is obvious that the three main voices from which the ‘source’ draws on is the combined ones from Sam and Frodo, and the ones gained from
343 J. R. R. Tolkien in Humphrey Carpenter, Christopher Tolkien, The Letters of J.R.R. Tolkien, 246. 344 Jeremy Painter, ‘“A Honeycomb Gathered from Different Flowers”: Tolkien-the-Compiler’s Middle-earth “Sources” in The Lord of the Rings’ in Tolkien Studies vol 13, 2016, 125. 345 Jeremy Painter, ‘“A Honeycomb Gathered from Different Flowers”, 125.
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Pippin and Merry.346 And this is hugely important, as it explains both the emotion that is included within the text, but also the function Merry and Pippin might have served as narrators. While Frodo and Sam together were more than able to cover their secretive journey, the conflicts happening around them were not covered. And so by splitting Merry and Pippin Tolkien also made sure to place two of his more prevalent voices not only at the two places where the conflict built, but through their own flexibility managed to place them in positions close to the steward and the king, thus giving the story access to events of higher ranking people of Middle-earth.
4.5 The Pyre of Denethor Pippin is rather young even among his travelling companions, being not yet of age when he sets out to help Frodo with the ring. His youth is mirrored in his more spontaneous traits, which is as seen above what Tolkien used to separate the two hobbits. In his new role both him and Merry mirror Sam in many ways, as they all have taken on the role of squire. When split with Merry, Pippin is introduced to Beregond, who is set to teach him his duties under Denethor. In the face of their despair when looking out over Minas Tirith he provides both himself and Beregond with inspiration that was lost not moments before. Even with the loss of heart that surrounds him Pippin is able to offer heroic words. ‘No, my heart will not yet despair. Gandalf fell and has returned and is with us. We may stand, if only on one leg, or at least be left still upon our knees.347’ Pippin has gained experience through his travels, but has yet to become jaded, and so through his hobbit-like outlook he has now demonstrated a role much like that Sam took on when travelling with Frodo; as a bringer of hope. This is made possible through Pippin’s youthful outlook. Tolkien’s hobbits have proved to be resilient in the face of darkness and despair, and while Merry will face true darkness in the form of the lord of the Nazûgl, Pippin is faced with the despair of the imminent battle that is to take place. Furthermore, Pippin is the one who saves Faramir from his compromised father, who insists on burning him as well as himself in a pyre. But Pippin, as most hobbits, does not manage to save him alone, and allows for Gandalf to help saving him. And this demonstrates a paramount element regarding hobbits. Little of what they do could be done all alone, but with the helpers they are part of the greater plot devices in the story. However, even in the face of Pippin’s attempt at creating hope, Denethor falls to his own despair as a result of viewings in
346 Jeremy Painter, ‘“A Honeycomb Gathered from Different Flowers”, 125. 347 J. R. R. Tolkien, The Lord of the Rings, 766.
81 a Palantír. Through Pippin, however, Tolkien is able to demonstrate the effects of the fear and hopelessness and thus set a sombre tone. Merry, on the other hand, did indeed join in with the battle, but not because of permission. In earlier drafts, as once again also noted by Porter, Théoden accepted that Merry wished to fight and provided him with the means.348 This was not kept in later editions, and despite Merry’s pleading he was denied; ‘Then tie me on to the back of one, or let me hang on a stirrup, or something,’ said Merry. ‘It is a long way to run; but run I shall, if I cannot ride, even if I wear my feet off and arrive weeks too late.’349 But being denied his place with the Rohirrim does not stop Merry as it might have stopped Pippin, and thus he through other means imposes his presence on the battle. Soon Dernhelm, the disguised Éowyn, brings him on her own horse hidden under her cloak, as both were forbidden from participating on the battlefield; a woman and a hobbit. And it is indeed the fact that they should not have been there that proves to be their victory, as they together defeat the Lord of the Nazgûl. When realizing who she was, and what she had done in attacking the Nazgul Merry’s hobbit side is awoken; ‘Pity filled his heart and great wonder, and suddenly the slow-kindled courage of his race awoke. He clenched his hand. She should not die, so fair, so desperate At least she should not die alone, unaided.’350 Merry and Pippin is perhaps the perfect examples of this ‘slow- kindled courage’351. Shippey stated that ‘Tolkien needed a new image for ultimate bravery, (…). He centred it, oddly enough, on laughter, cheerfulness, refusal to look into the future at all.’352 And used this theory to apply to both Pippin, Merry as well as Sam; ‘Thus it is Pippin who looks up at the sun and the banners and offers comfort to Beregond, and Merry who never loses heart when even Théoden appears pray to ‘horror and doubt’. But Sam on the road to Mordor goes beyond both.’353 Merry and Pippin become the creatures who, being so different from those around them, brings a positive disposition when approaching the hopeless situation, at least partly gained through this ‘slow-kindled courage’, as well as through the pity, which is a paramount trait for them as well as for Frodo in his dealings with Gollum. What is interesting is that while they have a very specific role when they are in the battle, what Tolkien appears to establish as their greatest function at this point in time is their bravery in the face of a very possible, and perhaps even seemingly probable, defeat.
348 Lynnette Porter, The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin, 44. 349 J. R. R. Tolkien, The Lord of the Rings, 801. 350 J. R. R. Tolkien, The Lord of the Rings, 841. 351 J. R. R. Tolkien, The Lord of the Rings, 841. 352 Tom Shippey, The Road to Middle-earth: How J.R.R. Tolkien Created a New gb Mythology, (Boston: Houghton Mifflin Company: 2003) 158. 353 Tom Shippey, The Road to Middle-earth, 158.
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Both Merry and Pippin, while not the most flexible on their own was made through their surroundings, and partly also through the separation, flexible figures that allowed Tolkien to interject with the plans of greater men and wizards, thus allowing for an element that has a different drive to affect the story. By doing so Tolkien created for himself both two key figures in the political landscape of men, who were at the same time different yet close, but also gave himself a tool with which to alter the narrative in spite of drives in other figures such as Gandalf, Théoden and Denethor.
4.6 The Scouring of the Shire While Merry and Pippin filled important roles for Tolkien by being placed in close proximity to people of power during the outside conflict, the arguably most important conflict for Merry and Pippin is the reclaiming of the Shire that has been greatly changed upon the hobbits return. This final conflict the hobbits need to confront before they can properly return to their old home is perhaps, at least to the hobbit figures, the most important of all, as in this instance they have been moved from the helper position, and to the position of actors in charge. By this change alone it becomes apparent that this penultimate chapter within LR is very much important within this text. And there are others who have placed much weight on the importance of ‘The Scouring of the Shire’, among them Davis M. Waito, who argues in one of his essays that ‘(…) the Ring Quest serves merely as a means for the four hobbits to acquire what is necessary to complete the Shire Quest, and that the main conflict of Tolkien’s novel is not to destroy the Ring, but to “scour” or save the Shire.’354 And while I will not attempt here to argue for the importance of the different quests, though to write off the ring quest would be ridiculous, it is important to note that ‘The Scouring of the Shire’ indeed does become a sort of culmination of all they individually have learned, which is best demonstrated with Merry and Pippin. Thus ‘The Scouring of the Shire’ also functions as a climactic event within their own narratives and does become a demonstration of their final function within said narrative. Pippin, in the rise against Sharkey and his ruffians, steps into the role of king’s messenger;
‘This was too much for Pippin. (…) He cast back his cloak, flashed out his sword, and the silver and sable of Gondor gleamed on him as he rode forward. 'I am a messenger of the King,' he said. 'You are speaking to the King's friend, and one of the most renowned in all the lands of the West. You are a ruffian and a fool. Down on your knees in the road and ask pardon, or I will set this troll's bane in you!'
354 David M. Waito ‘The Shire Quest: The ‘Scouring of the Shire’ as the Narrative and Thematic Focus of The Lord of the Rings’ in Mythlore, 23, Spring/Summer 2010, 155-56.
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(…) Fearless hobbits with bright swords and grim faces were a great surprise. And there was a note in the voices of these newcomers that they had not heard before. It chilled them with fear.’355
In this conflict Merry and Pippin function as the leaders of the hobbits, standing up against their oppressor who has found their way into the Shire through the hobbit Lotho. While all the hobbits demonstrate leadership (perhaps with the partial exception of Frodo, who has been too deeply affected by the ring), it is Merry and Pippin who most clearly demonstrate the courage that has been taught to them through war, and it is they who are prepared to start an uprising within the Shire to reclaim it. As seen in the excerpt above, Pippin uses his new position gained from the travels to threaten the folk that are much larger than him, and later it is he that rallies his relatives into an army: ‘The Tooks did come sooner. Before long they marched in, a hundred strong, from Tuckborough and the Green Hills with Pippin at their head. Merry now had enough sturdy hobbitry to deal with the ruffians.’356 While not being able to do much except inspire courage previously, now it is Pippin himself who is in the midst of conflict, demonstrating the growth in his figure. Merry on the other hand appears throughout to be positioned as the proper leader of the party. While Sam and Frodo spend time talking about solutions it is Merry, who is a Brandybuck and thus related to the Master of Buckland, who functions as the leader of the hobbit rebellion. However, this was once again not the case in the earlier drafts, as Porter nicely points out. Initially it was Frodo who took the active leading role, and it was only in later drafts that Merry was be found in that position and not more peacefully inclined.357 These changes made by Tolkien reveal much of what attributes he chose to give each character, which in turn reflects their function. In many ways one might view this final battle for the hobbits as a microcosm mirroring the previous events outside of the Shire. And in this microcosm the small folk take up the roles of the leaders they learned from, demonstrating the steep learning curve their adventure presented. In short, ‘The Scouring of the Shire’ is a great place for Tolkien to demonstrate the repercussions the adventure has had on each and every hobbit, such as the courage that it has bequeathed on Merry, Pippin and even Sam. Merry has been at King Théoden’s side during the building conflict, and has himself been on the battleground and helped slay a mighty foe, making him ready himself to take charge in his own home, where he himself is of a prominent family. ‘Raise the Shire!’ said Merry. ‘Now!
355 J. R. R. Tolkien, The Lord of the Rings, 1005-6. 356 J. R. R. Tolkien, The Lord of the Rings, 1015. 357 Lynnette Porter, The Hobbits: The Many Lives of Bilbo, Frodo, Sam, Merry and Pippin, 47.
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Wake all our people! They hate all this, you can see (…).’358 Furthermore, the cries and the horn that Merry uses to rouse his fellow hobbits to action are the very same that can be found in chapter 11, at Crickhollow; ‘Awake! Awake! Fear, fire, foes! Awake!’359 combined with the blowing of the horn. But unlike at Crickhollow when only the horn-cry of Buckland was heard, Merry combines it with his very own horn acquired from Éowyn; ‘This is an heirloom of our house (…). He that blows it at need shall set fear in the hearts of his enemies and joy in the hearts of his friends, and they shall hear him and come to him.’360 And unlike at Buckland this would culminate into fight rather than flight, demonstrating the result of the necessary changes within Merry, and not to mention Pippin. As Shippey had said, these hobbits had become the courage that Tolkien required in the narrative which is further demonstrated and cemented in this final conflict that they are left to face alone. This scene also has the added effect of echoing words from Merry previously in the narrative, where ‘Merry wished he was a tall Rider like Éomer and could blow a horn or something and go galloping to his rescue.’361 While previously Merry was powerless, this time Merry’s function has been moved from storyteller and intruder to main actor and hero. The same can be said for Pippin, who is finally able to rally his own to stand up to the suppressors.
4.7 Conclusion Merry and Pippin uniquely presents an aspect of versatility in the functions of hobbits, both bending as well as subverting the expectations of the narrative to allow for Tolkien to both gain access, and also to alter trajectories without changing larger parts of the narrative. While Tolkien struggled the most with these two hobbits, this might also be a symptom of their flexibility, as he had many potential roads for them to walk. However as the political landscape was shaped around the ring quest so was Merry and Pippin diligently used by Tolkien to complete the narrative. They also allowed the reader access to the peripheral of the main quest and allowed for a contrast between the downfall of Frodo in their victories in the face of adversity. While Frodo had a road that led to an inevitable fall, Merry and Pippin had a transformation through experience, and thus works as flexible tools for Tolkien to fill gaps within the story.
358 J. R. R. Tolkien, The Lord of the Rings,1007. 359 J. R. R. Tolkien, The Lord of the Rings,176. 360 J. R. R. Tolkien, The Lord of the Rings, 978. 361 J. R. R. Tolkien, The Lord of the Rings, 830-1.
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Conclusion
In this thesis I have analysed the various functions of the hobbits of Tolkien’s Middle-earth and analysed a series of changes in their figures and their function to demonstrate how they have evolved. Through the evolution of the hobbits I have argued that a reading focused on evolution in creation and function unveils their inherent flexibility imagined in them by Tolkien, without which the narrative presentation as it is would be impossible. Tolkien’s text is well known, and to better understand the success of the text it might be pertinent to find what made the hobbits so unique for Tolkien. The narrative he presents is complex and contains stories both on a microcosmic and macrocosmic level. Its fictional history very much permeates the narrative, and through the hobbits Tolkien managed to build a story where he could represent and delve into conflicts from both the ring narrative as well as the general repercussions this abstract ring quest had on the peoples of Middle-earth. I would argue that for Tolkien it was a necessity to have a set of protagonists as flexible and malleable as possible to be able to tell such a vast and complex narrative. Tolkien’s hobbits from LR were based on a much more simplistic figure created to feature in his children’s story H, and their evolution was an arduous process. Yet through trial and error Tolkien managed to create a well-rounded set of figures that were complex enough to fill their roles as protagonists, yet simple enough to be able to work in different ways all based on the narrative demand Tolkien had at any given time. Their construction is quite simple with small changes in their personality which allowed for partial differences, creating figures which could fill different roles, yet fill several throughout the story. Bilbo Baggins was a simple figure relatable to the audience based mostly on a dichotomy allowing for him to both be the frumpy hobbit as well as step into a role of burglar throughout the narrative when there was a need for him to be proactive. What Bilbo exemplifies is the simple hobbit, with their limited knowledge of the outside and their very ordinary way of being. Through his burglar role he also demonstrated the features of the hobbit figure, their anonymity and their ability to be out of sight, and out of mind. Bilbo as the very first proto- hobbit demonstrated the figure in the confines of the genre children’s literature, staring as a folkloric and simple figure as a contrast to his fantasy-appropriate travel companions. As seen by Tolkien’s many plot notes going back and forth between what hobbit would fulfil which role, the hobbits potential for flexibility is demonstrated, however they also have a limit to said flexibility. By looking at Trotter turned Aragorn, who has a very visible and authoritative role, it is clear that while the hobbits can be flexible, this means that it is difficult
86 for Tolkien to use hobbits in set roles. This is visible in the figures of both Frodo and Bilbo who neither fully fit the role of traditional hero despite more or less being a placeholder for just such a role. Tolkien’s hobbits and their potential for flexibility is perhaps not as easily gleaned by following Sam, Frodo and Gollum after the splitting of the fellowship, however the multitude of functions they had for Tolkien is very present in their solitary trek to Mordor. While Gollum is perhaps the least flexible of them all with his warped nature caused by the ring he is still ambivalent and through this Tolkien managed to make him difficult to predict, at least for the hobbits he travelled with. The functions of these hobbits were largely to demonstrate the effect of evil through their travels. Gollum and Sam exemplify extremes, with Gollum having fallen to the ring, and Sam being unable to fully understand it. And between them Tolkien placed Frodo, who was the one figure facing the struggle between his own nature and the nature of the ring. Through these figures Tolkien was able to demonstrate the power struggles of the world, and also the unfairness of the ring, as it was not Frodo’s success that defeated Sauron’s ring, but rather another fallen creature. For Tolkien used Frodo as both a demonstration of the struggle, while also using him as an ultimate innocent sacrifice for the greater good. While Sam, Frodo and Gollum had a very abstract function that Tolkien could use to demonstrate the more abstract themes and ideas present in the narrative, Merry and Pippin more clearly demonstrate the flexibility I have been arguing for. While the other hobbits had a layering of functions Merry and Pippin appears to have been used as chaos agent within the narrative. Tolkien has established very powerful and knowledgeable figures leading the narrative outside of the ring quest, and so Tolkien used Merry and Pippin to work around these figures and affect the narrative. As demonstrated in Hobbiton, Merry and Pippin hold not great role at large in the narrative, and therefore imposes themselves on it instead, altering elements that otherwise would be carefully planned and set. Furthermore, Merry and Pippin also demonstrate another facet of the flexibility of hobbits at large, which is their anonymity within the confines of Middle-earth. Few know of them, and even if they do, they have no political bearing, and thus gains access to other parts of the narrative so that Tolkien can use them to further demonstrate the conflict happening among men. While Merry cover the heroism found in Rohan, and even becomes an unlikely hero in being part of killing a Nazgûl, Pippin allows Tolkien to demonstrate the hopeless and the desperate through Denethor. These figures, while not paramount to the ring quest, play great roles in affecting the narratives outside of it, allowing them greater agency than even Sam, Gollum and Frodo, whose quest is predetermined.
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Tolkien’s fantasy narrative sets itself apart from fantasy that came after in the very presence of hobbits. Many works that followed which pulled inspiration from H and LR still lacked protagonists that mirrored the simplicity and versatility of Tolkien’s hobbits. These figures are perhaps the most unique facet to Tolkien’s whole narrative creation, and alone created the possibility for shaping such a vast narrative through a narrow set of figures. To understand the narrative, one needs to understand the hobbits both as figures within the story, but also as tools for the author, both which has been discussed within this thesis. By doing this I hope to open up a further discussion on the use of figures within narratives with an emphasis on how their potential and reach can affect the narrative presentation in any given work.
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Works Cited:
Anderson, Douglas A. The Annotated Hobbit: Revised and Expanded Edition, (Boston: Houghton Mifflin Company, 2002) Atherton, Mark. There and Back Again: J. R. R. Tolkien and the Origins of the Hobbit (London: I.B. Tauris, 2014) Bratman, David. ‘Top Ten Rejected Plot Twists from The Lord of the Rings: A Textual Excursion into the “History of The Lord of the Rings”, in Mythlore: A Journal of J. R. R. Tolkien, C. S. Lewis, Charles Williams, and Mythopoeic Literature, 22(4) (2000), 67-82. https://dc.swosu.edu/mythlore/vol22/iss4/3 Buker, Derek M. The Science Fiction and Fantasy Reader’s Advisory: The Librarian’s Guide to Cyborgs, Aliens, and Sorcerers (Chicago: American Library Association, 2002)
Byock, Jesse L. (ed.) The Saga of the Volsungs: The Norse Epic of Sigurd the Dragon Slayer (London: Penguin Books, 1990) Carpenter, Humphrey, Tolkien, Christopher, The Letters of J.R.R. Tolkien (London: HarperCollins: 2012)
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