Setting Through the Lens of Carnivalesque and Gothic Fiction

Gothic narratives use Carnivalesque themes to set up expectations for the fate of the characters through depictions of gloomy castles, mazes, and ruins. Using The Castle of Otranto by Horace Walpole, as a case study—being the first novel of the gothic genre—the setting is conveyed through the blending of carnivalesque, symbolism, and foreshadowing to subvert expectations and to provide insight into the ultimate fate of the characters through their interactions with their surroundings. The place and space is an integral part of the gothic novel as it has to ground improbable events into plausibility. The setting has to match the tone of the events, and, as such, with dark themes there must be a dark setting. Through methods of characterization, seen in the setting personified and through Manfred, foreshadowing, seen through prophecy and metonymy, symbolism, and connotative association with mythology and legends as well as the introduction of the supernatural world, The Castle of Otranto subverts expectations and disrupts social order, but in the end, is restored to the rightful heir and is purified. All of these aspects, in combination with the characteristics of Carnivalesque, informs the plot and moves the plot along and reach the foreshadowed, bittersweet denouement.

Carnivalesque is a literary theory coined by Mikhail Bakhtin, and the most essential premise is the temporary, sanctioned inversion of tradition and societal standards. There are four categories that a piece must satisfy to be considered carnivalesque according to the theory: 1) familiar and free interaction between people, 2) eccentric behaviour, 3) carnivalistic mésalliances, and 4) profanation ("Carnivalesque"). Further characteristics following in the grain of the subversion of order include temporarily sanctioned debauchery either by government system or church, themes concerning self-indulgence of the masses, the dissolving of social structure, and the relation of the events described taking place in public. The characters most tightly wound are the ones that will come utterly undone. There is usually a great deal of satire, humour, or even parody, with characters that embrace and even encourage the strange, different, and ugly.

The tone of carnival can vary as it is, by nature, dualistic and paradoxical; you cannot have order without disorder nor have debauchery without restraint. Carnivalesque, in its theory, is seen as black or white; thematically, a piece is either normal or carnivalesque. However, carnivalesque should truly be on a spectrum instead, as gothic fiction seems to be the polar opposite to carnivalesque, not normalcy. Normalcy is the centre point from which each side deviates. The depiction of the castle and maze contribute to the understanding of the novel on the whole and is enhanced when taken in combination with understandings of carnivalesque.

Gothic fiction is a form of literature that focuses on dark and picturesque scenery, shocking themes on the darker aspects of human nature, melodramatic narratives, and uses a tone of intrigue, terror, and dread. Plot wise, there is a certain sense of form that the genre seems to follow: a large, ancient house with skeletons in the closet, a forbidden romance, a tyrannical and/or predatory male who seeks out the damsel in distress, and a hero who runs the risk of not being able to save the damsel from the villains clutches. Although not apparent in a broad sense, gothic fiction has a great deal in common with carnivalesque. Some important characteristics of gothic fiction include forbidden and hidden debauchery, themes concerning the self-indulgence of the individual, the dissolving of the ancient house, and events taking place within the private sphere of life. The strange and different are shunned, the beautiful are made ugly, and there is an intense focus on endings rather than on beginnings. These are the exact inverse of the terms set out by Bakhtin's theory on carnivalesque. The parallel of these opposing themes is uncanny, though unacknowledged in the theory. Given the paradoxical nature of carnivalesque itself, it seems that Gothic fiction should be considered, at the very least, a sub-genre of carnivalesque.

If Gothic fiction can be seen as carnivalesque, it would add yet another layer of understanding to an already complex genre, not in least concerning setting. To establish this connection, gothic fiction must satisfy the four categories of carnivalesque: familiar and free interaction between people, eccentric behaviour, carnivalistic mésalliances, and profanation. Gothic fiction satisfies all of these requirements, but simply in the opposite direction that traditional carnivalesque does. In the case of "The Castle of Otranto", the very first gothic novel, it contains all elements of the gothic literature genre and will thus be used as a case study to determine eligibility.

On the first point, there are multiple occasions when the distance between lord and subjects is breached. The first occasion is when Friar Jerome impedes on Manfred's jurisdiction over his subjects and insists on Hippolita's attendance of his discourse (Walpole, 46). Again, Manfred is challenged directly by Friar Jerome when he speaks of Lord Manfred's affairs in front of the company of knights (Walpole, 65). The final instance is one that is less obvious, therefore more damaging given the subtlety, and it's when Bianca, Matilda's maid servant, tells Manfred about the second sighting of the spectre (Walpole, 95). There is a sense of familiarity in the exchange that really should not be there, given that she is not only a woman, but a servant as well. Not only does she interrupt him in front of company, but she also divulges his payment in the form of a jewel in exchange for information on Isabella—the guest's daughter.

On the account of "eccentric behaviour" right from the get-go, we see Manfred acting out in an odd way. In the very first sentence, it is acknowledged that Manfred is a bit of an odd-ball. For one, he prefers his unremarkable son to his beautiful elder daughter. Not only should parents not have favourite children, it should also not be so obvious that even the casual observer may perceive it. Second, he is marrying off his youngest child prior to his eldest. Of course, this is on the obvious side—wanting to keep wealth and heirs in the family line—but it is still something remarkable. Even more inexplicable is that upon his "favourite" child's death, he has no reaction to it (Walpole, 19). Manfred is paranoid, secretive, domineering, and invidious, traits that are not usually standard state of affairs. Even stranger than this, is that despite how he treats others, he incites no reaction from those he discriminates against, most notably, Theodore who upon being told he would be beheaded for a crime he did not commit, not once, but twice (Walpole, 52, 77). His own actions provoke all his own torments, and he routinely creates self-fulfilling prophecies for his own defeat.

The third point, "carnivalistic mésalliances" is a little more obscure, but it is certainly there. The third point is about the marriage of opposites, uniting themes like "good" and "evil" and bringing them to a state of coexistence. In the case of The Castle of Otranto, the natural world and the supernatural world are married at once. The castle itself is noted to be "haunted" several times, and there are several prophecies—that come true (Walpole, 17, 39, 76). The relationship between Manfred and Hippolita too is symbolically dualistic with Hippolita as an angel figure and Manfred as a demon figure; she is associated with church, and he descends into the tunnels below the castle, also uniting heaven and hell at once. The dynamic is an interesting one because given how strongly they oppose each other, it would be easy to think they would temper each other and mellow one another out, but the opposite is true; the gap does not narrow—it broadens.

Finally, we have "profanation", or blasphemy. In gothic fiction, there is no shortage of this category. Incest, lust, violation of boundaries, and violence are nearly common occurrences in The Castle of Otranto, at least in terms of intention. Manfred endeavours to divorce his wife on false charges in order to marry his intended daughter-in-law instead to provide himself with more progeny, and this would all be against the will of Isabella (Walpole, 24). While he does not succeed, his motivation and drive is all fuelled by profanation.

Since gothic fiction satisfies the requirements of the four categories of carnivalesque, it is important to see how carnivalesque settings interact with and inform the whole. The setting within carnivalesque can vary substantially, especially if we include gothic fiction in with "Carnivalesque", but there is always a certain underlying atmosphere of unrest, movement, and anxiety. The setting necessarily has to agree with the tone, theme, characterization, and resolution of the story it is telling, be that story light-hearted and jovial or intrinsically dark and tragic. In general terms, something about the atmosphere has to be radically different from status quo to suspend belief, whatever that may be. Where carnivalesque seems to move in the direction of "light" away from "normal", gothic goes in the opposite direction towards "dark". An air of chaos is generally found—a subliminal exhilaration. It's hard to believe people can be swept up in a frenzy if everything is moving in slow-motion. Intriguing to note is how time matters to the setting—the pacing is as informative about plot as the characters are. Where the light side of carnivalesque is quick and a whirlwind, the dark side is slow and simmering. In all cases, the setting has to agree with the themes of the plot.

Carnivalesque settings always deviate from normalcy in some fashion, providing a backdrop that is separate from the ordinary to allow for the extraordinary to occur. The setting has to provide cushioning for dark deeds otherwise the events would move into the realm of ridiculous as opposed to melodrama, a sentiment that can be easily overdone. Due to the dark nature explored within gothic fiction, the setting must match or the themes would not come across in a way that allows for mystery, suspense, and terror at the potential for human darkness and would instead come across as cheap. It's a difficult balancing act and the setting has to be on the same page thematically as the rest of the novel or it would all come undone. If the setting of The castle of Otranto were in a fully operational castle of pearly white grandeur, it would not be nearly as believable and would fail to convey themes on human nature in a relevant way, nor would the events of a lighthearted party make much narrative sense in a derelict dungeon.

Metonymy is a tool often used to describe setting instead of actually spelling everything out. Very little is said about the appearance of the castle or any of the characters, but it is intentionally vague. By intentionally saying nothing about appearances, they are symbolically in the dark. The helmet that crushes Conrad on his wedding day is also a dark omen, obvious death on one's wedding day aside. "The first thing that struck Manfred's eyes was a group of his servants endeavoring to raise something that appeared to him under a mountain of sable plumes." (Walpole, 18). The colour sable itself is synonymous with "black", an omen of death, evil, mystery, darkness, and night. As the first descriptor given, the importance of the helmet cannot be understated. It sets the tone and provides foreshadowing all at once and relies on the reader's knowledge of association to understand the foreshadowing. The setting is integral to the plot in that it provides symbolism that informs on plot and characters and foreshadowing which enhance the reading experience. So much can be unpacked by just choosing the right words, in this case, "sable". Further, the fact that it's the servants always encountering the spectre is also foreshadowed, as well as the fact that it is Manfred himself that places the accused Theodore below the helmet (Walpole, 21). This too is foreshadowing that Theodore is the heir to Otranto, and that it is Manfred's own actions that will put him there. The setting is so much more than simply aesthetic: it's prophetic.

Taking beautiful settings, castles and cathedrals—symbols of goodness and greatness—and turning them into something intrinsically darker to explore the hidden parts of our natures is an excellent way to introduce the problems the characters will face without having to engage in unnecessary exposition throughout. By having the castle symbolically in the dark, as depicted at the outset of the novel by the utter lack of description, it is hinting at the inevitable fate of the family within; it casts a moody gloom and sets the tone, setting a precedent for the resolution of a family shrouded in darkness. The castle itself is personified; not only is the castle a direct reflection of the state of affairs and foreshadowing for the doom of Manfred and kin, but it also seems to be alive with the spirit of Alfonso, a supernatural element. The castle itself holds a memory of the dead with an agenda to place a fitting lord on its seat, preventing Conrad from attending his wedding by throwing a helmet and squashing him, in causing unrest among servants, and in ultimately rejecting Manfred to replace him with a worthy gentleman, Theodore. The castle is said to be haunted numerous times, which aids in suspension of belief for the reader (Walpole, 39). The setting is as necessary to the plot as the main characters are.

The symbolic depiction of the setting being cast in the shade is a direct parallel to the moral status of the ruler of the household within. The castle is dark and terrifying not because of the abandonment it has seen or because of being cursed, but because it is reacting to being stolen from its rightful ruler. Manfred and his ancestors wrongfully took up post in the castle, and the castle literally takes up arms against the usurper through the spirit of Alfonso, the last legitimate Lord, by means of prophecy. The fact that the castle is in decline shows the state of Manfred's own authority. Throughout the novel, his word is constantly challenged and even undermined, which provides foreshadowing to his inevitable downfall which becomes a self-fulfilling prophecy. Manfred operates out of a lack mindset, noting what he does not have instead of acknowledging that which he does: a home, a wife, and a child. He disregards the home he does have and keeps it in a state of disarray, instead focusing on those that want to take it away, disregards the devoted wife he has in lieu of a younger one, and disregards the daughter he has in lieu of a potential new son. His destruction is paved through his own action and inaction, not by the prophecy, though the prophecy and the castle were necessary means as a backdrop for plot development.

There is so much foreshadowing where Manfred is concerned, all depicted through setting. "Manfred's eyes were fixed on the gigantic sword, and he scarce seemed to attend to the cartel: but his attention was soon diverted by a tempest of wind that rose behind him. He turned and beheld the [sable] plumes of the enchanted helmet agitated in the same extraordinary manner as before." (Walpole, 60-1). Manfred is concerned by this and senses his fate is sealed. Another indication of foreshadowing through setting is the blood dripping from the statue of Alfonso's nose (Walpole, 89) which is taken to mean as the blood of both families not being allowed to mix through Matilda and Theodore, also foreshadowing Matilda's demise. The second prophecy spoken of, (Walpole, 76) states that the maid, in retrospect, Matilda, has only one chance in being rescued, and that is with Alfonso's heir, Theodore. The prophecy itself was originally a part of the setting, the words themselves inscribed on the blade of the sword of the statue of Alfonso (Walpole, 75).

One final necessary element in carnivalesque is the reversal of roles, in this case, the "peasant" becoming lord and the lord becoming a peasant (Walpole, 105). Alongside the trope of forgotten heritage, the lord falls from grace and the peasant takes the Lord's place. Theodore is chosen by the prophecy—and by lineage—to take Manfred's place, all due to Manfred's own actions in descending down a path of vice as opposed to virtue. Instead of becoming a better man, worthy of his title, Manfred tries to trick fate into giving him what he wants, ultimately serving as his own destruction and ensuring the prophecy was self-fulfilling in nature. Manfred pursues his darker instincts and tarnishes his reputation as a man, as a father, as a lord, and as a husband, taking beautiful ideas and soiling them. His actions culminate in him being the literal harbinger of death, murdering his daughter in a jealous fit of rage (Walpole, 99).

The carnivalesque portion is evident here. If carnivalesque is about a period of disorder and the restoration of order after a brief moment of upheaval, the resolution of The Castle of Otranto fits the bill for this too. As The Castle of Otranto was not only the first gothic novel, but also an exemplary model of gothic fiction as it possesses all necessary elements of gothic fiction, all other true gothic fiction novels should follow this "recipe" too. After generations of usurpers, the result of a fictitious will (Walpole, 104), the castle is restored to its rightful heir, and the darkness ebbs away. In a sense, it is a happy ending, but for Theodore, who failed in his quest to save the woman he loved, he is confined to his fate to rule without his true love. Gothic fiction seems to require a bittersweet resolution, a complex denouement that is both realistic and restorative. The castle is a symbol of power, grandeur, and light—if the lord is a just man. When the castle was usurped by a family unworthy, the castle too followed suit, something beautiful made ugly, and all done without once describing the appearance of either. The perception of the castle and the setting evolves in direct association with the actions of the characters. The estate under Manfred is gloomy and oppressive, while the estate under Theodore is melancholic and yet hopeful. Nothing about the setting has changed apart from ownership, and yet the perception is entirely dependent on the sympathetic factor of the owner, another indication that the castle is intrinsically connected to characterization.

The maze is no different with symbolism of darkness. Carnivalesque seems to rely heavily on interconnected ideas and associations. A castle in darkness depicts dark power, the loss of justice—in short, the loss of order. "[Manfred] even felt a disposition towards pardoning one who had been guilty of no crime." (Walpole, 31). Manfred is cruel, unjust, and knows it. Despite recognizing the folly of his ruling, he cannot escape his fear and insecurity, allowing innocence to suffer because he is threatened. Due to the fact that gothic fiction does not have the "revelry" aspect, it instead has to rely on underlying symbolism and associated ideas hence the hallmark characteristic run-down castle or cathedral. The maze calls the labyrinth to mind in the same connotative fashion; a cell fashioned to keep the minotaur, a supernatural beast, at bay, and Ariadne, a young, virtuous maiden guided by love (Britannica, Ariadne). There are parallels between the location and the expectation for the fate of each character that comes into contact with the maze. Theseus, the minotaur, and Ariadne are all parallels to Theodore, Manfred, and Isabella and/or Matilda respectively, and all of this is conveyed without so much as being mentioned all through association with Greek myth. The maze is a place of darkness, of twists, turns, and hidden passages, symbolic in the inextricable entanglement of every character's thread.

When Isabella runs from Manfred she runs through the castle and decides to descend to the subterranean passage (Walpole, 24, 26). This places her firmly in the Ariadne role. When in the passages below, aiming to escape Manfred, she meets Theodore, who is thus in the Theseus parallel (Walpole, 28.) Theodore then encounters Manfred just as Jason encounters the Minotaur (Walpole, 29). When Matilda meets Theodore, she embodies the other aspect of Ariadne, the one who saves the hero by showing him the route to escape. Matilda comes to free the captured Theodore and tells him to escape (Walpole, 66). This is all informing plot through setting, both stated and unstated and through connotative understanding of the classics and mythology. It is an easy way, using mythology, to infer rather than state, show rather than tell.

Once Manfred descends into the maze, the symbolic underworld and prison for monsters, it is quickly evident that he depicts the minotaur from the labyrinth. Theodore (Theseus) and Isabella (Ariadne) easily evade capture. Manfred's pursuit of Isabella when clearly unwanted makes him the tyrannical male ruled by passion instead of by reason. The maze is an extension of the castle, a place of hidden passages, and it provides shelter from prying eyes. Given the fact that Theseus slays the Minotaur, the endings for each character is already given away, at least symbolically since it is Theodore who takes Manfred's lordship. The maze is steeped in mythology, and Ariadne is depicted by both Isabella and Matilda; Ariadne has two different endings: one where she dies by Theseus, and another where she ends up marrying, both endings employed by the two chaste female characters of the novel. The simple fact of including a maze brings an abundance of foreshadowing to the novel, drawing of the reader's own knowledge to enhance the backdrop.

In conclusion, the setting of gothic novels, as seen in 'The Castle of Otranto' enhance the symbolic and moral value of the novel and ground the supernatural and melodramatic events into reality in a more believable way. Without the dark ambience, the events would float in the mind of the disbelieving reader; the setting must add to the understanding of the novel, not take away from it. Through the exploration of carnivalesque themes, or at the very least, looking at the darker aspects of human nature, with the understanding of the intention behind the genre, it allows the foreshadowing and symbolism of the setting to stand out clearly. It enriches the connections between character and setting without having to provide backstory because it is already implied through associations within the setting and supplemented with common knowledge to add context through foils and parallels. The castle and the maze are better understood when compared with carnivalesque, as is the character Manfred, particularly when his interactions with the setting—castle and maze—occur.

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