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The Interpretation of Dreams by Sigmund Freud (1900)

Note: to avoid misunderstanding, I believe Freud is a figure of huge cultural and historical importance, and I sympathise with his project of trying to devise a completely secular psychology building on Darwinian premises. Many of his ideas about sexuality as a central motive force, about the role of the unconscious in every aspect of mental life, how repressing instinctual drives can lie behind certain types of mental illness, his development of the talking cure, these and numerous other ideas have become part of the culture and underlie the way many people live and think about themselves today. However, I strongly disapprove of Freud’s gender stereotyping of men and women, his systematic sexism, his occasional slurs against gays, lesbian or bisexuals and so on. Despite the revolutionary impact of his thought, Freud carried a lot of Victorian assumptions into his theory. He left a huge and complicated legacy which needs to be examined and picked through with care. My aim in these reviews is not to endorse his opinions but to summarise his writings, adding my own thoughts and comments as they arise.

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‘Tell me some of your dreams and I will tell you about your inner self.’
(E. R. Pfaff, quoted on page 134 of The Interpretation of Dreams)

Long

The Interpretation of Dreams may be an epoch-making book but it is far too long, running to 871 pages in the Pelican Freud Library (783 of actual text, 86 of appendix, bibliographies, index of dreams, and general index).

The first quarter or so is a vast review of the many, many theories of dreams held by people throughout Western history (seers and prophets and oneiromancers, historical philosophers and writers, right up to present-day psychologists such as Havelock Ellis), with Freud’s own commentary designed to itemise and categorise all aspects of dreams (their confused illogical nature, how we forget them soon after waking and so on).

Only about page 200 does there come the decisive insight delivered via his own dream about a patient he names Irma, namely that every dream has meaning because every dream is a wish-fulfilment. This is followed from page 200 onwards by an equally extensive series of actual dreams derived from his patients, described in great detail each with a painstaking decipherment.

The literary focus

It isn’t till page 363 that Freud takes the further step of asserting that almost all the dreams of most of his patients ultimately derive from fantasies about their parents. Here he stop for three pages to describe the legend of Oedipus and then to assert that something like Oedipal feelings occur in all his patients.

No sooner has he finished making the shocking claim that all of us, to some extent or other, go through a phase of loving the parent of the opposite sex and hating the parent of the same sex, than he moves on to a similar version of the same story, retold thousands of years later, and culturally rearranged and overlaid, to become Hamlet, then going on to mention other Shakespeare plays, Goethe, German literary critics and so on. (Goethe and Shakespeare are both mentioned about 20 times in the text, along with writers as diverse as Schiller, Heine and Zola, Jonathan Swift and Rider Haggard, the Bible, poetry in general, the music of Wagner 3 times, Mozart 4 times, Offenbach and so on.)

In other words, right from the start Freud’s conceptions of the mind were heavily conditioned and shaped by literature and by cultural forms (myths, legends, religion, folk tales) as much as, or more than, by ‘science’.

It is entirely characteristic of Freud’s focus on culture as source and subject to be investigated that, in the preface to the Third Edition, he speculates that new material for the book will not be generated by, for example, widening the types of patients he treats or the fast-expanding number of analyses being carried out by his followers i.e. scientific evidence based on patient data. No, he says the next edition will have to:

afford a closer contact with the copious material presented in imaginative writing, in myths, in linguistic usage and in folklore.

Autobiographical

Also, it is astonishingly autobiographical. Freud shares with the reader a surprising number of the most important experiences from his life, starting with the place and date of his birth followed by quite a few poignant memories from his childhood and youth. More than that he shares, and analyses at length, upwards of 30 of his own dreams, many of which show him in a less than flattering light, many of which are embarrassingly candid about his ambitions, his delusions of grandeur, his sense of failure, and so on and so on. As Paul Roazen puts it:

‘The Interpretation of Dreams is one of the great autobiographical studies in the history of mankind; in it Freud drew freely on his inner life in an effort to construct a psychological system relevant for all of us.’ (Freud and His Followers by Paul Roazen, page 35)

For Roazen this over-sharing was a heroic achievement and sacrifice the great man made on our behalves. But many critics have pointed out the weakness of a theory which relies so very heavily on just one person’s life and experiences and feelings, and on his own interpretation of them, and the fragile basis of the claim to extrapolate them into universal principles underpinning all of human nature.

Introduction of key concepts

The book is important because it represents Freud’s first full-length description of the unconscious and the vast role it plays in the mental life of human beings. His theories about the unconscious would be elaborated and developed right up to his death 40 years later, but this is the first, primal statement of its central role.

Freud wrote to his colleague and confidant Wilhelm Fliess, who played a vital role as sounding board for his developing ideas in the 1890s, that the Interpretation of Dreams was substantially finished by 1896. It was published in 1899 but Freud was careful to ensure that it had ‘1900’ on the title page; he was very aware of his image and reputation and that the arrival of a new century heralded the dawn of a new age. All these considerations were in the mind of this very ambitious man.

And yet, after all this careful planning, only 351 copies were sold in the first six years.

Freud began writing this immense book while on holiday in the summer of 1985 at the Schloss BelleVue near Grinzing in Austria. Later he jokingly wrote to Fliess suggesting that a plaque be put on the wall of this castle reading: ‘In this house on July 24 1895 the secret of dreams was revealed to Dr Sigmund Freud’. (Mentioned in a note by the editors on page 199.)

Early days

Personally, I find Freud’s theory of dreams, his confidence that every dream represents a wish and that virtually all dreams can be decoded into various kinds of libidinal fantasy, optimistic and implausible. There feels to be a lot of pseudo-science in it. It feels very dated. For Freud, though, his ‘discovery’ that dreams have meaning, that they were suppressed and distorted wishes, was his big intellectual breakthrough, and the existence of the unconscious was always tied up for him with the breakthrough of dream interpretation.

When I came to Freud it was through the later metapsychological works and the second theory initiated by Beyond the Pleasure Principle (1920). By comparison with the sophistication of the second theory, with the greater role it assigns to the Death Drive, the Nirvana Principle, the greater account taken of violence and aggression (prompted by the catastrophe of the First World War), the sociological theorisation of the psychology of groups and crowds – compared with all this, going back to his early dream theory seems a little embarrassing, almost childish.

Nonetheless, the final 50 or 60 pages of the Interpretation take us deep, deep into what is in effect a new theory of human nature and existence, which is visionary and strange. But the hundreds and hundreds of pages of sometimes clunky dream interpretation which precede them are often cringe-inducing. Specially when he makes his stock sexist comments about women and their innate inferiority to men…

Executive summary

The Interpretation is important because it introduces several central ideas of Freud’s theory, namely the unconscious as a reservoir of instinctual wishes and desires which have been repressed from the conscious mind by censorship. These repressed urges try to re-enter the mind when the censorship is relaxed during sleep, but even then can only do so in garbled and distorted form.

So all dreams have two layers or levels which Freud defines as manifest content and latent content (p.381).

The manifest content is the narrative or series of images which we remember on waking, maybe write down or recount to a therapist. The latent content refers to the underlying ‘meaning’ of the dream.

The work of psychotherapy is to dig below the surface or manifest content to try and establish the meaning of the latent content i.e. to discover the wish lying behind the dream.

Freud then categorises the ways in which the ‘censorship’ garbles the latent content of the dream. It does this through distinct processes which he labels as:

  • Condensation – can happen in many ways, for example many ideas or wishes may be represented in one dream, or two or more people or ideas may be combined in one representation
  • Displacement – the fundamental notion that latent content, the expression of the wish underlying all dreams, is distorted and ‘displaced’
  • Representation – a great variety of ways in which images, words, sounds, word and phrases can represent the dream-wish
  • Secondary revision – not part of the process of censorship, this is what happens as the mind returns to consciousness and, half-asleep, tries to ‘make sense’ of the half-remembered dream by rearranging its elements into something closer to a coherent narrative

The comprehensive nature of this rewriting of the repressed wish explains why people can often make no sense at all of their dreams, so completely censored and disguised have they been.

Using the talking cure, free association and dream interpretation, the therapist can analyse a patient’s dreams, uncovering the secret wish which lies behind them and find a way into the reservoir of all our drives and urges and the words and images and behaviours which have become attached to them. Hence Freud’s famous declaration:

The interpretation of dreams is the royal road to a knowledge of the unconscious activities of the mind.

THE INTERPRETATION OF DREAMS

The text is immensely schematic, divided and sub-divided and sub-sub-divided into numbered parts, sections, sub-sections, sub-sub-sections, as if to conceal the relative simplicity of what Freud was proposing under a mountain of academic apparatus. He recognised the work’s unmanageable length and published a much shorter version On Dreams in 1901, revised and expanded in 1911. The fact that the abbreviation is a mere slip of a thing at 53 pages in the English translation strongly hints at the redundancy of most of the material in the longer work. It’s there to bludgeon the reader into submission with the sheer quantity of ‘evidence’.

Part 1. The scientific literature dealing with the problems of dreams

The ancients had two theories: dreams as helpful messages from the supernatural or diabolical fantasy. These were said to emanate from gates of horn and of ivory, respectively.

A) The relation of dreams to waking life

Dreams seem at the same time totally removed from waking life yet continue many of the concerns of waking life.

B) The material of dreams: memory in dreams

Dreams often preserve memories much more clearly than waking life and yet what is remembered is often trivial.

C) The stimuli and sources of dreams

1. External sensory stimuli

For example, alarm clock prompts dreams of church bells etc. But why do the same external source prompts different dream-imagery?

2. Internal (subjective) sensory excitations

3. Internal organic somatic stimuli

News from internal organs, often warning of disease. But how are these messages conveyed?

4. Psychical sources of stimulation

Present definitions of psychical stimulation do not suffice.

D) Why dreams are forgotten after waking

It is natural that the intensity of daytime experiences blots out dreams. More importantly, everyone proceeds to reconstruct partially remembered dreams, stringing together half-memories in usually very misleading ways.

E) The distinguishing psychological characteristics of dreams

Dreams perceived as immediate experience. Lack of critical self-consciousness. In dreams we don’t think, we experience.

Crazy chains of association. Logic and causation which we (mostly) demand in conscious life are conspicuous by their absence.

Regression to earlier impulses. The tremendous virtuoso intensity of dream experiences. Freud reviews a wide range of views about dreams, from total disparagement to hymns to dreams’ poetic intensity.

F) The moral sense in dreams

Some say people lose all moral sense in dreams and behave with shocking amorality; others say you act in dreams according to your character. Dreams often show us insight into our deeper feelings, unknown to our conscious selves. Dreams reveal illicit desires, as in saints’ confessions of being miserable sinners. In dreams our instinctual life is exposed. We acquiesce in desires we spend our waking lives controlling and resisting.

G) Theories of dreaming and its function

The ancients thought dreams are sent from the gods as a guidance to action. More recently three schools have emerged:

  1. Rational. The dream-mind works just like the conscious mind but deprived of the sense-data of consciousness
  2. Mechanistic. Sleep relaxes the conscious control and dreams are responses of different parts of the mind to the passing sensory stimulants of the night. Or dreams are the excrescence of all the semi-cogitated impressions and thoughts of the day.
  3. Dreams are a holiday for the mind. Rest and recuperation.

H) The relations between dreams and mental diseases

Patients sometimes cured during the day continue their pathological behaviour in dreams or while asleep. ‘The madman is a waking dreamer’ etc. Dreams and psychoses are both fulfilment of wishes.

2. The method of interpreting dreams: analysis of a specimen dream

The aim which I have set before myself is to show that dreams are capable of being interpreted. (p.167)

Lay interpretation confined to symbolic reading (for example, pharaoh’s seven fat and seven lean kine; also mentioned p.448) and decoding (treating dream-language as a code).

Outline of the technique of free association.

An extended analysis of Freud’s own dream, the ‘dream of Irma’s injection’ interpreted to show how it conflates evidence to justify Freud’s treatment of her, i.e. a wish to be impregnated (pages 180 to 199).

3. A dream is a fulfilment of a wish

Elaboration of Freud’s fundamental insight, that every dream is the symbolic fulfilment of an unconscious wish. Examples of children’s dreams. The point is dreams may express wishes, but so comprehensibly distorted and garbled as to usually be unrecognisable to the dreamer.

4. Distortions in dreams

If all dreams are wish-fulfilments, why do some present as the opposite – wishing the death of a loved-one, anxiety dreams etc?

Because the wish is distorted. There are thus at least two aspects to a dream, the manifest content (the coherent narrative we make from the dream imagery) and the latent content (the real concern), and there is always an element of repression or censorship. This is the dream-work, which translates latent content into the manifest content we experience and remember.

The similarity of distortion in dreams and the hallucinations or obsessions of neurotics.

5. The material and sources of dreams

A) Recent and indifferent material in dreams

Frequent occurrence of material from the day before, the ‘dream-day’; but radically disguised or itself masking other meanings. Thus the concept of displacement.

B) Infantile material as a source of dreams

The deeper one carries the analysis of a dream, the more often one comes upon the track of experiences from childhood which have played a part among the sources of that dream’s latent content.

C) The somatic sources of dreams

All dreams are in a sense dreams of convenience. They serve the purpose of managing the processing of unconscious content in such a way as to preserve sleep. Dreams are the guardians of sleep.

If dreams are prompted by internal somatic stimulation, why do we not dream continuously of flying (the working of the lungs) etc? Because somatic stimulation is brought into the formation of a dream only when it fits with the ideational content derived from the dream’s psychic sources; only when it’s needed.

D) Typical dreams

He reviews:

1. Embarrassing dreams of being naked

2. Dreams of the death of persons whom the dreamer likes (childhood rivalries)

It is in this section that Freud describes the fierce emotions and rivalries attributable to children, which can spill over into hostility against their parents:

Being in love with the one parent and hating the other are among the essential constituents of the stock of psychical impulses which is formed [n childhood] (p.362)

He starts to invoke the Greek myths and this leads up to page 363 on which he posits the central role of the Oedipus legend.

It is the fate of all of us, perhaps, to direct our first sexual impulse towards our mother and our first hatred and our first murderous wish against our father. (p.364)

3. Other typical dreams

4. Examination dreams

6. The dream-work

Freud reviews the different mental processes he claims are at work in dreams, which collectively he calls the ‘dream-work’:

A) The work of condensation

Seen at its clearest when it handles words and names. In dreams words are often treated like things, chopped up, compressed etc.

B) The work of displacement

A dream is often differently centred from the dream-thought which lies behind it. The work of displacement as well as condensation are the result of the censorship imposed on the unconscious wish material.

The kernel of my theory of dreams lies in my derivation of dream-distortion from the censorship. (p.418)

C) The means of representation in dreams

Dreams do not have any of the methods with which we construct narratives or logical arguments at their disposal.

The most striking example of absence of logic is the absence of the negative, meaning that no means yes, that something can be represented by its exact opposite: the process of reversal (p.429) This can apply to causality where normal cause and effect are reversed.

Or dream images can appear by a process of similarity or consonance of even a tiny part of it with something else (p.431).

The common sensation of running but never getting anywhere.

Dreams are completely egoistic. They deal with the dreamer and only the dreamer (p.434).

D) Considerations of representability

Some dreams make use of ‘primeval’ imagery, being similes reaching back to remote antiquity (p.462).

Wherever neuroses make use of such disguises they are following paths along which all humanity passed in the earliest days of civilisation. (p.463).

E) Symbols in dreams: some further typical examples

Tempting to think that recurrent symbols in dreams may be universal symbols, specially when they recur in ‘popular myths, legends, linguistic idioms, proverbial wisdom and current jokes’ (which gives you a good sense of Freud’s evidence base).

Freud proceeds to give a lexicon or handbook of symbols, starting with the King and Queen who are, of course, the dreamer’s parents, moving on to how playing with a little child, especially beating it, betokens masturbation, and so on.

  • a hat is symbolic of a man, or the male genitals
  • a little one is the penis
  • being run over is coitus
  • buildings, stairs and shafts represent the genitals
  • female genitals represented by a landscape
  • castration dreams
  • urinary symbolism
  • staircase dreams
  • flowers represent the genitals (p.496)
  • dreams of flying or floating have a very varied meaning

He makes the ‘shocking’ claim that psychoanalysis makes no qualitative distinction between normal and neurotic life i.e. there is no ‘normality’ i.e. we are all on a spectrum (p.493).

And the centrality of sex in all these hundreds and hundreds of examples:

The more one is concerned with the solution of dreams, the more one is driven to recognise that the majority of the dreams of adults deal with sexual material and give expression to erotic wishes. (p.520)

F) Some examples: calculations and speeches in dreams

The special significance of numbers in dreams.

Speech rarely makes sense in dreams, being recombinations of words or phrases taken from other sources.

G) Absurd dreams: intellectual activity in dreams

Obviously many dreams are absurd or absurdist in content, but Freud tries to identify different reasons for this, often to do with negative or contradictory elements in the motivating dream content.

The dream-work produces absurd dreams and dreams containing individual absurd elements if it is faced with the necessity of representing any criticism, ridicule or derision which may be present in the dream-thoughts. (p.576)

H) Affects in dreams

It is commonly observed that the mood induced by a dream lingers longer than most of the details into the waking day.

I) Secondary revision

This occurs at the end of the process of dream-construction and is the application of conscious thought processes to the dream material. Just before waking the renascent ego tries to gloss over inconsistencies in the dream narrative, trying to create sense out of absurdity.

So it’s not part of the censor’s work, not part of displacement and condensation; it comes after that and re-arranges elements of the dream, but has the practical effect of scrambling it even more, making dream interpretation even harder (pages 641 and 642).

7. The psychology of the dream process

The dream-work is not simply more careless, more irrational, more forgetful and more incomplete than waking thought; it is completely different from it qualitatively and for that reason not directly comparable with it. (p.650)

A) The forgetting of dreams

Forgetting details of a dream is a common experience. But Freud is convinced that more is retained than we commonly think and that in the therapeutic situation more can be reclaimed than you’d expect. And often the so-called ‘forgetting’ of a dream is really only the work of the censor and repression; with sensitive work it can be recalled.

Can we interpret every detail of a dream, or every dream? No. Because the power of repression and resistance is so severe. But you can interpret much more than you’d initially believe.

B) Regression

Freud works through a series of diagrams meant to convey the relationship between dream wishes, memories, the preconscious, the unconscious and so on. By ‘regression’ Freud means that, with the motor system i.e. active use of the body, shut down in sleep, wishes express their outcomes not in (sleeping) body but by bouncing back into the psyche. Regression refers to internally generated images which are fed backwards into the cortex as if they were coming from the outside. He goes on to distinguish three types of regression:

  1. topographical regression
  2. temporal regression, the harking back to earlier psychic structures
  3. formal regression, where primitive methods of expression and representation take the place of the usual ones (p.699)

He concludes by making the picturesque but now discredited claim that some element of dreams also connects us with primeval memories of our ancestors.

We may expect that the analysis of dreams will lead us to a knowledge of man’s archaic heritage, of what is psychically innate in him. Dreams and neuroses seem to have preserved more mental antiquities than we would have imagined possible; so that psychoanalysis may claim a high place among the sciences which are concerned with the reconstruction of the earliest and most obscure periods of the beginnings of the human race. (p.700)

C) Wish-fulfilment

It may be intuitively agreed that a dream expresses a wish, albeit heavily disguised by the censorship, but Freud goes on to address the paradox that anxiety and negative dreams can also express wishes. He devotes 2 pages to explaining the definition of a ‘wish’ as it first comes to be experienced by the screaming baby, considered as an inchoate organism seeking the most basic physical satisfactions.

During which he makes the kind of comment that I like, namely that ‘thought is after all nothing but a substitute for the basic physical wish’.

D) Arousal by dreams: the function of dreams: anxiety dreams

Further clarification of why anxiety dreams and other dreams with acutely negative affect are, nonetheless, expressions of a wish. The anxiety is an index of the force of the repression needed to keep the unacceptable wish material under wraps.

E) The primary and secondary processes: repression

In technical and difficult phraseology, Freud repeats the basic idea that the primary system (the unconscious) is concerned with securing the free discharge of the quantities of excitation which are troubling it, while the second system, attempts to inhibit this discharge (p.759).

The primary process endeavours to bring about a discharge of excitation in order that, with the help of the amount of excitation thus accumulated, it may establish a ‘perceptual identity’ with the experience of satisfaction. The secondary process, however, has abandoned this intention and taken on another in its place – the establishment of a ‘thought identity’ with that experience.

All thinking is no more than a circuitous path from the memory of a satisfaction (a memory which has been adopted as a purposive idea) to an identical cathexis of the same memory which it is hoped to attain once more through an intermediate stage of motor experiences. (pages 761 to 762)

These final pages take us deep, deep into Freud’s most theoretical musings about the nature of the mind and of thought, which tend to undermine the possibility of ‘reason’ at all, because he makes all the activities of the mind arise from a really primeval stratum of primitive needs, as transmuted into wishes, as repressed and distorted into a thousand and one memories, behaviour patterns, obsessions and so on. Nobody can think rationally, because this unconscious swamp is the basis of all human thought.

I’m not sure it’s worth reading the preceding 750 pages to get here, but they are in a sense the preface to a deep dive into a truly other vision of human nature, the human mind, human existence. All thinking is, in a sense, repeated attempts to recapture the primeval, primitive physical satisfactions of the baby which have been so thoroughly repressed that they can never be achieved. All humans are, in a sense, condemned to search endlessly for the unfindable. Hence [Freud doesn’t say this, I’m saying this] the universal notion of The Quest found across all human cultures.

F) The unconscious and consciousness: reality

The unconscious is vast and the basis of the psyche. The conscious mind is a small, fragile blip floating on the great unknown ocean of the unconscious.

The unconscious must be assumed to be the general basis of psychical life. The unconscious is the larger sphere which includes within it the smaller sphere of the conscious….The unconscious is the true psychic reality. (p.773)

Typically, Freud immediately goes on to say that this explains a lot of creative process too, with numerous poets and composers describing how their great works ‘came to them’ without planning, unexpectedly, whole and complete. Well…the unconscious!

The conscious mind is like a kind of sense organ for the perception of psychic qualities. It is entirely typical of Freud that this dense and difficult conceptualising gives way, on the page before last, to yet another reference to Greek mythology, and to the story of Zeus castrating his father, Kronos. Literature and myth are never far away in Freud’s writings. And are often a welcome respite from the more difficult technical passages.

And one of the oldest traditions of dreams, which he mentioned right at the start, 780 pages earlier, widely believed in the ancient world that they predict the future. Do they? No, not in a literal sense, no. And yet, in another sense:

By picturing our wishes as fulfilled, dreams are, after all, leading us into the future. But this future, which the dreamer pictures as the present, has been moulded by his indestructible wish into a perfect likeness of the past. (last sentences, page 783)

Criticism

The same period (1895 to 1900) saw the zenith of detectivehood in the fictional figure of Sherlock Holmes. Very widespread was the idea human personality as a mystery, a puzzle to be solved.

And the idea of psychic division into two opposing parts, light and dark, good and bad: the döppelgänger or split personality abounds in the stories of the time: Jeckyll and Hyde and The Secret Sharer and Dorian Gray and all the characters in Holmes leading respectable lives while concealing depths of vice and criminality.

After the long dull review of existing dream literature, Freud’s exposition his new theory of the interpretation of dreams contains steadily more and more personal material, including candid stories of antisemitism. He shares with us his identification with Hannibal; he describes himself as a conquistador; the narrative of the dream of Irma’s injection is above all a wish to be justified.

Surprisingly, maybe, there is no mention of the Oedipus Complex and little mention of childhood sexuality. He added notes about these to all the later editions, but reading the text as first published makes you realise how very bare of all his theories it is, or to put it another way, what a huge edifice of complex psychological theory it was to grow into.

Throughout the book you can see Freud extending the mechanisms revealed by his own dream analysis in order to derive a psychology of all stages of life; in particular pushing the source of almost all dreams back into childhood. The nature of childhood fantasy and its connection with childhood sexual feelings were to become central to the development of his theory over the next five years.

Credit

All Freud’s works have complicated histories in translation. The Interpretation of Dreams was first translated into English in 1953 as part of The Standard Edition of the Complete Psychological Works of Sigmund Freud. References in this blog are to the revised version, published in 1976 as Volume 4 of the Pelican Freud Library.

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The Master of Ballantrae by Robert Louis Stevenson (1889)

If the Nonesuch foundered, she would carry down with her into the deeps of that unsounded sea the creature whom we all so feared and hated; there would be no more Master of Ballantrae, the fish would sport among his ribs; his schemes all brought to nothing, his harmless enemies at peace. At first, I have said, it was but a ray of comfort; but it had soon grown to be broad sunshine. The thought of the man’s death, of his deletion from this world, which he embittered for so many, took possession of my mind. I hugged it, I found it sweet in my belly. I conceived the ship’s last plunge, the sea bursting upon all sides into the cabin, the brief mortal conflict there, all by myself, in that closed place; I numbered the horrors, I had almost said with satisfaction; I felt I could bear all and more, if the Nonesuch carried down with her, overtook by the same ruin, the enemy of my poor master’s house.
(Chapter 9. Mr Mackellar’s Journey with the Master)

Like Treasure Island and Kidnapped, The Master of Ballantrae is a gripping, fast-paced adventure story told in the first person, serious and foreboding and Gothic. It starts off in a gloomy old Scottish mansion and takes its protagonists, powerfully and vividly, to the immense forests of New World.

A mix of texts…

The narrative is presented as the written account of Ephraim Mackellar, steward of the Durrisdeer estate in Scotland. He writes as an old man, telling his story long after the events, lamenting the many misfortunes which befell the noble Durie family during his time of service. We know it is a written account because Stevenson himself intervenes at a few points, as the Editor of Mackellar’s manuscript, to make comments and explain how he has edited and is presenting it to us.

The text further foregrounds its own artifice when Mackellar’s account itself breaks off to include long chunks taken from the supposed autobiography of the Irish soldier of fortune ‘Colonel’ Francis Burke, and also to include the texts of letters from the various protagonists.

… and styles

The way the narrative is assembled from various sources means it deploys various prose styles. Whereas the old retainer Mackellar’s style is a kind of ‘honest old Scotsman’, Burke’s is completely different – foppish and Anglicised, while the letters of, for example, the Master himself, reveal his venom and cruel sarcasm.

The story is set in the 18th century and concerns two Scottish brothers who develop a life-long blood feud which spills over into blackmail, murder, madness and revenge – and their different attitudes to life, the way they hold themselves and speak, are also brought out through differences in manner, speech and style.

Heteroglossia

The net effect of all this is that the book is rich not only in straightforward adventures and melodramatic scenes, but in the range of voices and styles it uses. It is a good example of the Russian literary critic Mikhail Bakhtin’s theory of ‘heteroglossia’ – meaning the novel’s distinctive ability to incorporate a host of voices and styles.

And these voices are often themselves in competition or are themselves compromised or questioned:

  • Mackellar considers Burke’s version of events to be unreliable, advising us to read between the lines
  • Mackellar uneasily says that many critics have questioned his role in the events he’s describing, so he is touchy about key moments where different interpretations are possible
  • and at the heart of the story is the radically different interpretations the two feuding bothers put on central events

So it is easy to show that this text is a virtual battlefield where numerous conflicting voices compete. And to attribute to this conflict and clash of voices and styles, much of the book’s energy and thrill.

The plot

We are in Scotland, in the mid-18th century, near the town of St. Bride’s, on the shore of the Solway firth. Here stands the house of Durrisdeer, home of the noble Durie family, built in the Continental style with fine gardens, and attended by numerous servants. The Durie family consists of:

  • the old Laird, who has relinquished control of the estate and likes to read classic books by the fire
  • his eldest son, the Master of Ballantrae, James Durie, not yet 24 in 1745, a determined, arrogant man, rumoured to have fathered a child by a wench in the village
  • the second son, Mr. Henry Durie, an honest, solid sort of young man
  • Miss Alison Graeme, a near kinswoman, an orphan and the heir to a fortune which her father acquired in trade, a spirited, independent-minded woman, much in love with the dashing Master

It is generally accepted that, in time, Miss Alison will become the Master’s wife, and her fortune will go a long way to paying off the big debts the Durrisdeer estate has acquired.

The toss of a coin

When Bonny Prince Charlie lands in Scotland in July 1745 and raises an army to march south and claim the throne that is rightfully his, families all across Scotland are placed in a quandary: whether to throw in their lot with the ‘rebels’ – backed as they are by a large number of Highland clans and appealing as Charles does to their patriotism as descendant of the last Stuart king of Scotland – or to remain loyal to the anointed king of Great Britain, George II, from the royal (German) house of Hanover, who have been rulers of Great Britain since 1714. The conflict between the brothers is real and psychological but also reflects the conflict at the heart of Britain’s seriously divided society and body politic.

At Durrisdeer, as at so many other gentry houses, the family is split by divided loyalties and decides to hedge their bets with a pragmatic solution: one son will go off to join the rebels, the other will stay at home with ostentatious loyalty. But which son should do which? There is a violent quarrel about whether James the Master or young Mr Henry should go to join the Prince and the Master, with his characteristic violent frivolity, suggests they toss a coin for it. The fateful toss decides that he, the Master, will ride to join the rebels while Mr Henry will stay at the estate, representing loyalist support for the established king.

With some bitterness the Master rides off, leaving Miss Alison in tears. In the following weeks the old Laird, Miss Alison and Henry follow, on tenterhooks, the progress of the prince’s invasion. They follow as the Bonny Prince succeeds in penetrating as far into England as Derby, before the Hanoverian English army stop his advance, and then pushes the combined Scottish, Irish and French forces all the way back into Scotland and, at the notorious battle of Culloden, slaughter the flower of the Scottish aristocracy. Many of the survivors are hanged in the subsequent reprisals and the Highlands are laid waste in a vengeful campaign which resonates with Scottish nationalists to the present day.

Nothing more is heard of the Master, for months, and then years, and the family dolefully conclude he must be dead. During this time Mr Henry grows into the role of the careful, responsible guardian of the Durrisdeer estate, taking all the burden and responsibility upon himself, and Miss Alison finds herself eventually, reluctantly, marrying him, and blessing the estate with her fortune.

News of the Master – and a second narrator

Then one day, out of the blue – on 7 April 1749 to be precise – a pompous preening Irish aristocrat, one Colonel Francis Burke, arrives at Durrisdeer, bearing the not-entirely-unexpected news that the Master survived Culloden after all. Burke is invited in for dinner and afterwards, by the fire in the big baronial hall, tells the most amazing account of his and the master’s adventures in the three years since the disastrous battle. (Mackellar elaborately explains that some time later the Colonel sent him a written version of his memoirs, and he now includes in his manuscript excerpts from that written account.)

The Master and Burke’s adventures

Briefly: the Master and Burke escaped pell-mell from the battlefield of Culloden, agreeing to co-operate even though they spend a lot of time arguing. They made their way with other survivors across country to one of the French ships which brought the rebel army, and now collects them off the coast. But in a disastrous turn of events, the ship is seized by pirates, led by the bizarre and manic Captain Teach. Sizing up the situation, the Master and Burke immediately throw their lot in with the pirates and so escape walking the plank, which is what happens to the rest of the crew and passengers.

The Master of Ballantrae illustration by Walter Paget

The Master of Ballantrae illustration by Walter Paget

There then follow a gruelling 18 months as Burke and the Master assimilate with the pirates, taking part in various adventures and attacks. Early on the Master realises that ‘captain’ Teach is a hopeless strategist, often drunk and making bad decisions – and leads a rebellion against him, persuading the crew to name him quartermaster and effective leader. But with the kind of psychological realism which lifts Stevenson’s adventures a cut above the rest, the Master realises that he needs to keep Teach alive, as both a psychopathic mascot for the crew when they go into battle, and a useful lightning rod for ongoing disaffection among a group of man much given to drunken grumbling.

Eventually, after many adventures, the pirate ship makes the mistake of running up the jolly roger as it approaches a strange ship at sea, only to discover it is a Royal Navy warship. They turn tail and sail to an empty waste spot they know on the American coast, and are saved by a fast-descending fog from pursuit. The Master organises a party to celebrate their escape and gets the whole pirate crew legless, steals all their accumulated treasure, and then rows the ship’s skiff ashore, with Burke and the one pirate they slightly trust – a certain Dutton who claims to know his way about the marshes where they are planning to go ashore.

From the moment they land every step of Burke and the Master’s adventures are fraught with peril and excitement; they could almost have made a story on their own, as the lads make their way through up the beach in a thick fog, then into impenetrable wooded marsh, terrifyingly aware that there are Red Indians in the woods nearby, trying to avoid getting captured and scalped, and also falling into the treacherous quicksand which surrounds them. At last, when they think they are nearing habitation, the Master cold-bloodedly leaves Dutton to drown in a quicksand, stealing his portion of the treasure.

Eventually, after many days, they come across the crew from another anchored ship making a fire and food. It is a trader out of Albany, New York, with a cargo of slaves, and the Master and Burke cockily stroll up to them and offer to pay their way to Albany as legitimate passengers. Thus rendered respectable, they sail up the Hudson River and put up at the ‘King’s Arms’ in Albany to find the town up in arms against the French. Worried that they might be on a wanted list – as both pirates and rebels from the Uprising – they masquerade as loyal subjects of King George; but as soon as possible set off across country heading northwards to join the French (in what will eventually become Canada).

There follows a long sequence of travel through the wastes of unspoilt, untamed colonial America, paddling a native canoe they’ve got hold of with the help of a native guide, Chew. After some days of rough travel, Chew dies of some unknown ailment and then they drop and smash the precious canoe. Now they are lost in the middle of uncharted wilderness, with no means of transport and no guide.

Burke reports that, with the advent of these adversities, the Master became even more savage than usual and railed with particular bitterness against his brother. For the first time he tells Burke about the toss of the coin which sent the Master off on the ill-fated Culloden campaign, led him into a life of piracy and now has led him to certain death, without canoe or guide or food, lost in the barren wastes of America. He pledges to take revenge against the brother who ‘betrayed’ him.

Burke’s narrative takes the reader deep into the vast untamed forests of the East coast of America. It resonates powerfully of the ‘Leatherstocking’ series of novels by James Fenimore Cooper, the most famous of which is The Last of the Mohicans, which is set in almost exactly the same year (1757).

Back in Scotland

And that is where we leave Burke’s narrative – on something of a cliffhanger – to return to ‘the present’ in Scotland.

The three members of the family listen to all this with very different emotions, but its main effect is to create bitter division between Mr Henry and his wife, Alison, who only married him out of pity when she thought the dashing Master was dead. Now a great animosity grows between them. Burke has brought with him letters for the Master which are designed to sow and foment dissension between the three members of the family. The one to Mr Henry is full of accusations and recriminations about how he has ‘stolen’ that Master’s patrimony.

Burke leaves the Master’s contact details in Paris (where he and the Master both now safely live) and Mr Henry, with a misplaced sense of duty, decides to pay the Master a regular allowance.

More years go by and the narrator explains how conscientious Mr Henry gets a reputation for penny-pinching and miserliness, not only in the neighbourhood but within their little household, where his embittered wife treats him with more and more scorn – what no-one realises is that he is pinching the pennies to fund the lavish, spendthrift lifestyle of his distant brother. It is not a happy house.

The Master returns

After seven years the Master returns, set ashore by the local smugglers who have been periodically referred to throughout the book as a local feature.

The passenger standing alone upon a point of rock, a tall, slender figure of a gentleman, habited in black

‘The passenger standing alone upon a point of rock, a tall, slender figure of a gentleman, habited in black.’

He announces his return to a startled Mackellar, Henry, Alison and old Laird, and proceeds to re-establish himself in the manner to which he’s become accustomed. The narrative paints him as an unmitigated cad – hypocritically presenting himself as a kind and loving son to the old Laird and Miss Alison – but whenever he is alone with Henry, taking every opportunity to jeer and insult him, blaming him for everything that’s gone wrong in his life, completely heedless of the way Henry has bled the estate dry to fund his lifestyle.

Enraged by the treatment of his good honest master, Mackellar breaks into James’s correspondence and discovers letters which prove that the Master long ago sold out the Jacobite cause by becoming a spy for the Hanoverian government – all the time boasting to his father, to Alison, to the servants and peasants of the heroic risks he is running by returning to Scotland. What a bounder!

Eventually he goes too far by telling Henry to his face that his wife, Alison, has in fact always preferred him, James, and is still in love with him.

Taunted beyond measure, Henry punches the Master in the face and insists on a duel. A terrified Mackellar helps them get swords off the wall and walk out to a patch of flat lawn in the grounds. Here they fight and Henry’s steady controlled anger begins to tell over the Master’s flash flourishes. At the climax of the duel, the Master cheats, grabbing Henry’s sword, and making a lunge – but Henry pulls his sword free of his grip and plunges it right through the Master’s body.

Illustration for the 1911 edition of The Master of Ballantrae by Walter Paget.

Illustration for the 1911 edition of The Master of Ballantrae by Walter Paget.

Appalled, Mackellar establishes that there is no sign of life. The Master is dead! They stagger inside and tell first the old Laird and then Alison. But when they finally return to the duelling ground to remove the body… it has gone!

They follow a trail of blood and broken bushes down to the bay and realise that the smugglers must have removed the body – for the Master had timed his worst taunts and insults for the very night he had arranged to flee Durrisdeer and the pirates have kept their part of the bargain, carrying him off dead or alive.

The Master gone

The old Laird sickens and dies. Henry and Alison have a child, Alexander. Mackellar shows Alison the letters of the Master proving he is a spy and hypocrite but she appals him by burning them. On the upside the letters reveal to her what a cad the Master is and she is finally reconciled to her husband. But it is too late: Henry has changed drastically since he killed his brother. He is now a haunted man, sometimes almost unhinged. On the rare occasions when the subject is raised, Henry is almost demented, claiming his brother is a devil and that nothing can kill him. Years later Mackellar finds Henry showing his young son the patch of ground where the duel took place and explaining that it was here that a man fought a devil. Mackellar worries for his sanity.

In India

Mackellar’s text is then interrupted a second time by an excerpt from Colonel Burke’s memoirs. It is a much shorter snippet which describes how chance took him to India, where his path crossed James Duries’s once more. The Master is in company of a wiry Indian named Secundra Dass. I was hoping that the Indian adventures would be as long and convincing as the pirate and Leatherstocking escapades of the American section – but this episode is disappointingly brief – only really long enough to introduce Dass, who will turn out to be a key character in the story’s final scenes.

Slight return

In the spring of 1764 James returns once more to Durrisdeer, accompanied by his Indian familiar, Dass. Now the old Laird is dead, the Master is harsher and more abrupt than before. He swears he will be a vengeance on the house and a plague to the family. Goaded beyond endurance, Henry has his wife pack all their things and in the dead of night they flee the house. Next morning the Master is incensed to discover their flight and, in Mackellar’s presence, swears to track them down and destroy them.

It doesn’t take long for him to discover that Henry, Alison and Alexander have taken ship to New York. Remember Alison’s family inheritance? It included land in New York, thither they have now gone to build a house and live in peace. But the Master sets off after them, accompanied by Mackellar.

The crossing of the Atlantic is one of the most vivid things in the book. After Henry and family have fled, Mackellar is left alone with the Master and they develop a peculiar relationship, Mackellar hating and detesting the Master for his selfishness and wickedness, for the way he has persecuted his good brother – and yet part of him admires and warms to the Master’s indomitable refusal to be beaten, his genuine charisma.

This ambivalence feels very Stevensonian; although the plot moves from drama to melodrama and then into Gothic horror and a lot of the characterisation is hysterical and stagey – nonetheless, there is something very penetrating about the love/hate, or admiration/disgust, relationship which grows up between the honest retainer and the dastardly villain.

There is a particularly vivid moment on the ship over: Mackellar is recounting tales to the Master who is sitting on the bilges of the ship as it heaves and yaws in a big swell and at a particularly low plunge, Mackellar, obsessed with the Master’s evil determination to harm Henry and his family, lashes out with his foot, aiming to push the Master overboard and be done. The Master leaps cannily out of the way.

Illustration of The Master of Ballantrae by William Brassey Hole (1896)

Illustration of The Master of Ballantrae by William Brassey Hole (1896)

The scene itself is dramatic but what raises it is the way Stevenson makes the Master thereafter respect Mackellar for taking positive action to defend his lord. And for his part Mackellar, though he tried to kill the man, cannot repress feelings of respect and attraction for his mastery. For me, this odd relationship between Mackellar and the Devil is one of the most interesting things in the book.

New York

When they arrive in New York the roles are reversed. The Master finds Mr Henry well established with a tidy house, servants, and having established good friendships with the governor and other authorities. All the Master’s barbs, taunts and attempts at public humiliation rebound on his own head.

Stymied in his attempt to pull rank, the Master adopts a different tack and sets out to humiliate the family. He secures a shabby shack and sets himself up as a tailor, sitting outside under a big sign which proclaims his parentage and asserts his degradation at the hands of his brother.

But Henry is now – in public – a much changed man, more confident, less feeling. He routinely strolls along to his brother’s shack and sits there quite comfortably, sunning himself, ignoring his brother’s remarks and even existence, but quietly enjoying his humiliation.

However – in private – Mackellar finds Henry liable to hysterical outbursts when his brother is mentioned. Part of his mind really does believe James is the Devil, an unkillable spirit sent to torment and pursue him to the grave.

And it is now that the Master reveals another plan, to journey back into the wilderness. Way back in Colonel Burke’s long account of their wanderings after escaping the pirates, it’s mentioned that the pair buried their treasure, the loot they stole from the pirate ship. Now James asks Henry for money to fund an expedition to find that treasure, buried out in the wilderness. Henry, now passed beyond normality into a realm of pure obsessive hatred, organises for the Master and Dass to set off accompanied by a gang of low cut-throats who he commissions to murder him.

In the wilderness

Having despatched his devilish brother into the wilderness with a pack of murderers, Henry discovers that an official expedition is setting off along much the same route, led by Sir William Johnson. Mackellar and Henry get themselves invited along.

Some days into the journey they encounter the only survivor of the Master’s expedition, an obvious cut-throat named John Mountain.

In a particularly egregious bit of test-stitching, Mackellar explains that the account of the expedition we are about to read has been pieced together from several sources:

  • A written statement by Mountain
  • Conversations with Mountain
  • Two conversations with the key player, Secundra Dass

Briefly, the Master quickly realises that he’s been despatched into the middle of nowhere with murderers commissioned to kill him. Mountain is impressed at his attempts to defuse the conspiracy by playing the crooks off against each other, planting suspicions that their leaders are planning to betray them etc. On one occasion the Master tries to run away, only to be caught and brought back, once more at their mercy.

Finally, the Master plays his last trick and falls ill, wasting away over many days and finally dying and being buried by the loyal Dass. On his deathbed the Master reveals the whereabouts of the treasure and off the murderers go to find it.

Mountain’s account now goes on to describe how one by one the members of the expedition are murdered, their bodies discovered each morning, horribly scalped. Maybe a solitary Indian brave is proving his manhood by picking them off. Maybe, it crosses the reader’s mind, the Master’s spirit is taking some kind of supernatural revenge. Certainly, the sequence of uncanny deaths in the fearful wastes takes the story across a border into the realm of Gothic horror – a kind of cross between Edgar Allen Poe and the Blair Witch Project.

Finally, only Mountain is left alive and he gives up the treasure hunt, turning tail and fleeing the wilderness, travelling day and night back towards civilisation in a blind panic. And this is the condition he’s found in by the well-armed and well-provisioned Johnson expedition, and by Mr Henry and Mackellar.

As John Mountain gives this detailed account to Mackellar, Johnson and Henry, Mackellar is horrified to see the impact it has on his good sweet master: the once-solid Mr Henry snaps, upon hearing of the Master’s death, he rolls his eyes and is almost gibbering. At the end of the tale Henry refuses to believe his brother is dead, convinced he is a supernatural spirit and that nothing can kill him.

Ignoring these outbursts, the solid Sir William Johnson orders Mountain to take them back along the trail, to the place where they buried the Master.

Dead and alive

And here in the Gothic horror climax of the whole tale, the expedition comes to the burial place only to find the Master’s loyal Indian servant, Secundra Dass, working feverishly with a spade, up to his knees in the grave, digging up his master’s body.

As they watch in horror, they see Dass uncover the Master’s body and pull it up to the surface. When our chaps enter the clearing and confront him, Dass ignores them in his frenzy and carries on trying to revive the Master. In his Indian accent he explains that this is an old Indian trick he and the Master agreed on (aha, the reader realises – the entire rather spindly excuses for Dass’s presence were all designed to build up to this artifice). The Master’s sickness was feigned and Dass taught him the Indian trick of swallowing his tongue and going into a state of suspended animation.

And as Dass chafes his hands and body the Master, sure enough, opens his eyes and his mouth begins to move.

And at that moment Henry, at the end of a long tormented life, driven beyond sanity by the jeers and bullying and haunting of his brother, gives up the ghost and drops dead on the spot. But the Master’s eyes moving was itself only some kind of reflex action, for he too expires despite all Dass’s efforts.

And it is left to Mackellar to bury both brothers there in the wilderness, leaving a wooden sign over their graves, and there the narrative comes abruptly to a full stop.

A key factor in the book’s success is the immediate establishment of Mackellar as the recognised authority for this tale and a brisk spinner of prose. Although other texts intervene, Mackellar’s is the main manuscript and the dominating voice for the majority of the story.

The full truth of this odd matter is what the world has long been looking for, and public curiosity is sure to welcome. It so befell that I was intimately mingled with the last years and history of the house; and there does not live one man so able as myself to make these matters plain, or so desirous to narrate them faithfully.

June the 1st, 1748, was the day of their marriage. It was December of the same year that first saw me alighting at the doors of the great house; and from there I take up the history of events as they befell under my own observation, like a witness in a court…

The narrative voice is four-square and candid, sharing with us all his impressions in an open, winning style with many vivid Scots expressions and turns of phrase thrown in:

My pen is clear enough to tell a plain tale; but to render the effect of an infinity of small things, not one great enough in itself to be narrated; and to translate the story of looks, and the message of voices when they are saying no great matter; and to put in half a page the essence of near eighteen months—this is what I despair to accomplish…

Such was the state of this family down to the 7th April, 1749, when there befell the first of that series of events which were to break so many hearts and lose so many lives…

This brings us to the use of –

Anticipation

The narrative is given added tension by frequent use of prolepsis or the anticipation of events, generally using variations on the ‘little did we know then…’, ‘if only things had been different…’ formula which give the reader an enjoyably thrilling sense of dread and expectation.

Such was the state of this family down to the 7th April, 1749, when there befell the first of that series of events which were to break so many hearts and lose so many lives…

… it is a strange thought, how many of us had been storing up the elements of this catastrophe, for how long a time, and with how blind an ignorance of what we did.

Doubles

So much has been written about the double or Doppelgänger in adventure fiction that I won’t add to the pile. Stevenson’s strict Calvinist upbringing is often blamed for giving him a starkly dualistic sense of the world, hordes of upright holy elders concealing a seedy world of sin and vice; and plenty of commentators have lined up to say that the Edinburgh of his day was a city divided between the clean, rational elegance of the New City and the filthy, vice-infested slums of the Old Town. With this upbringing some critics make it seem almost inevitable that he’d go on to write novels about the divided self, of which Dr Jeckyll and Mr Hyde is the classic example and this rambling Gothic yarn is the longest example.

Maybe. But:

  1. A lot, probably most, of Stevenson’s fiction isn’t about doubles.
  2. Two is the smallest number. Two is an easy number to manage. For example, a doubleist could argue that The Black Arrow is about two sides in a conflict and young Dick Shelton must decide which side he’s on. But civil wars tend to have two sides, there was no real psychological doubling involved. Similarly, in The Wrecker, the narrator, Loudon Dodds, becomes friends with the entrepreneur Jim Pinkerton, and their characters are fairly different. But this doesn’t mean they represent opposite aspects of something; just that a novel, a story, a narrative, tends to focus on a handful of characters, and two is the smallest possible number of characters, and so a preponderance of pairs is inevitable in all forms of narrative.

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by Simon on September 21, 2016  •  Permalink
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Posted by Simon on September 21, 2016

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