I ABOUT THE AUTHOR
John Ronald Reuel Tolkien was born on January 3, 1892, in Bloemfontein, South Africa, where his father was a bank manager. After his father’s death, Ronald, then aged four, his mother, and younger brother moved to the English village of Sarehole, in the West Midlands. Thereafter, Tolkien always retained an idealized image of the Sarehole Mill, its old mill pool and overhanging willow tree, a tempting nearby mushroom patch, and the local clusters of cottages—all of which figured in his picture of Hobbiton. At this time young Ronald was already discovering two interests that were to shape his life: languages and stories about imaginary places. When his mother moved the family to Birmingham, the urban atmosphere with its trains and factories was much more forbidding and he later encouraged people to "escape" from such environments through imaginative literature.
During his years at King Edward's school in Birmingham and later at Oxford University, Tolkien concentrated on philology, moving from languages such as Latin, Greek, German, and French, to Old and Middle English, Gothic, Old Norse, Welsh, and Finnish. During his childhood Tolkien had started "making up" languages and as an undergraduate at Oxford he continued this practice, evolving from Finnish and Welsh what eventually became the languages of the elves in Middle Earth. His work with the signal corps of the British army from 1916 to 1918 during World War I stretched his linguistic talents in a different direction.
After the war Tolkien worked briefly on the Oxford English Dictionary, before moving into the profession in which he was to spend the rest of his life: teaching. He was first invited to join the English department at Leeds University; five years later he became a professor of Anglo-Saxon at Oxford, a position he held for 34 years. At Oxford he did much to demonstrate the strong bonds between what had been two rival fields: language and literature. Among his academic works medievalists have consistently praised his translation of the Middle English poetic romance Sir Gawain and the Green Knight and the posthumously published translations of The Pearl and Sir Orfeo. It is significant that the most prominent of his many studies in Anglo-Saxon literature should be his published lecture on "Beowulf: The Monsters and the Critics" (1936). As a child Tolkien had loved dragon stories and the anonymous Anglo-Saxon Beowulf-poet created one of the greatest dragons of literature, a model for Tolkien's treasure-loving dragons in The Hobbit and Farmer Giles of Ham, as well as his creation of malice and terror, Glaurung of The Silmarillion.
Throughout his life, Tolkien was drawn to the challenge of creating an imagined world and mythology. In the 1920s, while he was busy with his teaching career, he was also playfully creating "fairy-stories" to entertain his children. It was for them that The Hobbit evolved, episode by episode. When they grew out of listening to stories, Tolkien's motivation to create them stopped, and so did Bilbo's quest. It was not until 1937 that Tolkien completed the novel. The overwhelming popularity of The Hobbit led his publisher to request another book about hobbits. Tolkien began a sequel almost immediately, but The Fellowship of the Ring, the first part of The Lord of the Rings trilogy, did not see print until 1954, 17 years after he had written the first chapter.
The world of Middle Earth came to full form in The Lord of the Rings trilogy, but its underlying mythology continued to grow throughout Tolkien's life. After his retirement from Oxford in 1959 he concentrated on preparing for publication manuscripts that went back as far as his schoolboy song about Earendil (1914). Up until his death on September 2, 1973, he was still revising—and re-revising—the manuscripts, which were finally edited and published by his son Christopher in The Silmarillion (1977). Tolkien's own absorption in these myths is reflected by the inscriptions on his and his wife's gravestones: "Beren" and "Luthien", the names of the human-elven couple from whom the great lines of Middle Earth descend.
II OVERVIEW
In The Lord of the Rings Tolkien demonstrates the evolution of a literary world. In The Hobbit, often considered a prologue to the trilogy, he created a kind of being with no parallel in literature; in the trilogy he expands his single hobbit hero into four hobbit companions and an assortment of helpers and enemies. The character of Bilbo from The Hobbit returns in The Fellowship of the Ring, the first volume of the trilogy. The central adventure of the trilogy spans three volumes, each divided into two books. Each of the six books builds to its own climactic ending, but an intricate system of interlacing allows the reader to move easily with the characters as the author fills in more details about the geography of Middle Earth, the history of its inhabitants, and the progress of the quest.
The expansive background against which the central action takes place conveys a sense of the universality of the conflict between good and evil. In this world everyone needs the support of others in overcoming obstacles and in doing good. Many of the background sections treat the nature of evil as a distortion of what could have been good. Basic to the history of the One Ring is the thirst for power of its creator, Sauron. In the central volume of the trilogy, The Two Towers, the desire for the power inherent in the Ring has also corrupted the wizard Saruman. Tolkien's analysis of the corrupting nature of power explains why three of his strongest forces for good—Gandalf, Galadriel, and Aragorn—refuse to take the Ring and why Bilbo is unable to resist its control. As the story develops, one major source of Bilbo’s nephew Frodo's internal conflict lies in the pull of the ring itself. The success of Frodo's quest flows from mercy, friendship, endurance, and the courage to risk life and happiness for the good of others.
III SETTING
Physically Middle Earth resembles modern Earth. It is the inhabitants that add the touch of unreality that a reader expects in what Tolkien calls a "secondary" world. In making a world for his hobbits, elves, wizards, dwarves, ents, orcs, ringwraiths, and other unusual beings, Tolkien assumes the creative rights that he says in his essay "On Fairy-stories" belong to the storyteller: the right to be free with nature; to use the world as a basis to make something new, while giving this new world its principles of inner consistency. Much of the mythology and history of Middle Earth comes through songs that pervade the narrative, but a more organized "history", complete with dates for the four ages of Middle Earth and genealogies of major families of elves, dwarves, hobbits, and human beings, is included as an appendix to the third volume.
IV THEMES AND CHARACTERS
The enduring conflict between good and evil is the underlying theme of the trilogy, but Tolkien develops other themes in connection with it. He explores the positive and negative sides of power, the nature of heroism, and the role of friendship. To Frodo Baggins, favourite nephew of the ring-finder Bilbo Baggins, is entrusted the task of saving Middle Earth from the control of the master of evil, Sauron. Frodo's task reverses the basic quest pattern: instead of finding a treasure, Frodo is sent to destroy what Sauron values above all—the One Ring. Sauron has poured much of his power into the One Ring to strengthen his control over the 19 Rings of Power. Of these 19 rings, only the Three made by the elves for themselves have never been touched by Sauron and his evil. The Seven, originally distributed to dwarf leaders, have been destroyed and do not affect events in the trilogy. The major concentration of evil confronted by Frodo comes from the Ringwraiths, or Nazgul, who are men enslaved by Sauron through the Nine Rings.
Sauron, having learned from Gollum the whereabouts of the One Ring, sends the Nazgul to recover it. Since the defeat in which the Ring was cut from his hand, Sauron himself can no longer assume a physical form. He can, however, act through those who have submitted their minds and wills to his service. The nature of the Rings of Power and of the Ringwraiths is made clear to Frodo before he accepts responsibility for destroying the Ring. The wizard Gandalf and Elrond, great leader of the elves of Middle Earth, determine who will accompany Frodo on his quest. To match the number of Nazgul, they include nine individuals in the Fellowship of the Ring, representing the people of Middle Earth: four hobbits (Frodo, his servant Sam, and two young friends, Pippin and Merry); the elf Legolas; the dwarf Gimli; two men, Aragorn and Boromir; and Gandalf himself.
The fellows all demonstrate some aspect of heroism. Gandalf has an aura of supernatural power. He risks his life and his power when he is pitted against other supernatural forces: his fellow wizard Saruman, turned evil by desire for the Ring; the Balrog of Moria, who leads him to at least a symbolic death; and the Lord of the Nazgul, who is reinforced by the great strength of Sauron. Gandalf’s heroism is beyond human imitation.
Human heroes abound in the trilogy: Aragorn, Boromir, his brother Faramir, the aged Theoden, Eowyn and Eomer (Theoden's niece and nephew), and the many warriors of Rohan and Gondor. Boromir at one point yields to the power of the Ring, trying to take it from Frodo, but he recognizes his weakness almost immediately and dies defending the younger hobbits, Pippin and Merry. Aragorn, descended from two great marriages of elves and mortals, has a grace and power beyond that of mere human leaders. With this heritage he seems like one of the great epic heroes of the past, just as Tolkien's trilogy itself at times echoes the heroic epic world. Aragorn plans, leads, encourages, and heals; he is always ready to risk his life for the salvation of others. When the royal line of the great kings of the West is "returned" to power by him, the free peoples of Middle Earth can again find justice and the age of men can begin.
The most "human" heroes are the four hobbits. Although at first they do not fully understand the dangers of the quest, their commitment grows in proportion to their knowledge of the nature of their enemies. Frodo undergoes the greatest test because the forces of Sauron concentrate their attacks on him. He is also tested by the Ring, by Gollum whom a lesser hero might have killed for his own safety, and by physical strain. Although Frodo at the last moment yields to the evil pull of the ring, he is saved by his own virtue: the pity that had spared Gollum. Frodo carries a sword, but he rarely uses it, except when he futilely strikes at the Lord of Nazgul; his heroism lies more in endurance than in battle.
Sam, like his master, endures, but he is called to fight against Gollum, Shelob, and the orcs. He delights in hearing the orcs misidentify him as a great elven warrior. Sam's major role in the trilogy is that of loyal friend. However, he is also the voice of normality, longing for the beauty of home, his family and friends in the Shire, his garden, and his pots and pans. Like Sam, Pippin and Merry exemplify friendship and heroism on a more attainable level. They are too small to fight the orcs who capture them, but they outwit them and travel with Fangorn and the ents to overcome Saruman. Back in the Shire after the destruction of the ring, Sam, Pippin, and Merry all share in the battle against more "normal" enemies: mere men.
Neither Elrond nor Galadriel participate in the quest, but they do contribute to its outcome. Elrond's power rescues Frodo from the Nazgul attack and his wound; and it is at Elrond's home that the fellowship is formed. Galadriel's gifts, especially Frodo's phial of light and the seeds of new life in Sam's box, symbolize the life-giving nature of the elves. When Galadriel later tells Frodo that the destruction of the One Ring will probably destroy the power of the Three Rings, it becomes clear how much the elves are sacrificing for the success of the quest. The 19 Rings of Power made by the elves of old had originally been formed as objects of goodness and beauty; it was Sauron who turned the rings he touched into sources of evil. Tolkien demonstrates how goodness can be perverted into evil, but he also shows that evil in turn can be overcome.
In his preface to the trilogy, Tolkien distinguishes between allegory and the applicability of works of literature to life. While he disclaims having imposed any allegorical significance on his story, he asserts the right of readers to apply the meaning of the story to their own lives as they see fit. In light of this disclaimer, it seems contrary to Tolkien’s intention to interpret The Lord of the Rings as political or social allegory, as some critics have done. On the other hand, readers of all generations can apply to their own age some of the overall principles embodied in the trilogy. The fact, for example, that elves, dwarves, hobbits, and human beings can set aside major differences to work together for the welfare of Middle Earth can be extended to a hope that modern human races can set aside their differences, no more deeply embedded than the distrust between dwarves and elves.
Many battles take place in Middle Earth—often violent and bloody ones. The heroes fight bravely, sometimes against terrible odds, but the "good" characters do not rejoice in fighting, except perhaps when Fangorn and the ents delight in overthrowing the tree destroyers, Saruman and his orcs, or when Legolas and Gimli compete over the number of orcs slain. Before the Battle of Bywater, after the return to the Shire, Frodo directs his companions to avoid killing their enemies if possible. Even Saruman would have been spared if his own cruelty had not provoked the enslaved Grima to turn against him.
Evil is readily recognizable by its ugliness and by its fruits. Goodness is equally recognizable and its fruits are more lasting. The author does not preach, but his good characters exemplify in action the virtues of mercy, perseverance, generosity, and friendship. Sauron, Saruman, and the Ringwraiths all embody the vices of hatred, greed, and the thirst for power. The influence of Sauron on those who once were normal men demonstrates the pervasiveness of evil, as does the ugliness of Sauron's land, Mordor. While the destruction of Sauron and the Ringwraiths suggests that evil can be overcome, it does not imply that the destruction of a major source of evil eliminates all evil. The Southrons continue to fight after Sauron's power has collapsed, Saruman's petty destroyers of good continue their work in the Shire, and Aragorn finds it necessary to establish guardians for his borders. Middle Earth after Sauron is no utopia, but it is a world very much like ours, one worth cultivating to bring forth beauty and goodness. In Gondor and in the Shire hope lives on.
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