Fiction Essay: The Lottery by Shirley Jackson and The Rocking-Horse Winner by D.H. Lawrence

ENGL 102: Literature and Composition

Fall 102-B09

Michael J. Wright #L23893877

Turabian

CONTENTS

Thesis 1

The Significance of the Genre 1

A Primer on Characterization 3

The Comparative Conflicts 5

Examining the Plot

The Lottery by Shirley Jackson 7

The Rocking-Horse Winner by D.H. Lawrence 8

Analyzing Structure 8

Conclusion 10

REFERENCE LIST 11

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Thesis

Evil is revealed when God’s order is rejected for a life of seemingly innocent impassivity and a

blind eye to that which seeks to exploit and destroy. Such is the subject of the American Fable often

referred to as “the Deal with the Devil,” or Faustian literature, named for the old German Legend.1 The

categorization AT 756B, “The Devil’s Pact” (Aarne and Thompson 1961) was a subject that often crossed

literary boundaries into real life, as famously displayed in the Salem Witch Trials of 1692. As Christian

influence began to decline in America, Faustian literature continued to thrive. One of the most popular

works in today’s culture appears in a popular song written by Charlie Daniels known as “The Devil Went

Down To Georgia.” Though technically this song would not fall under the categorization of AT 756B due

to the Devil’s loss at the end, but rather AT 1191, known as “The Devil’s Bridge,” there is a curiously

similar though unrelated legend of similar quality that would most certainly be categorized under the

previous type.2

The Significance of the Genre

But as they say, the Devil is often in the details… not necessarily the story. Mary Shelly’s

Frankenstein is perhaps the greatest literary example of this; a doctor so obsessed with the idea of

scientific achievement becomes so horrified by his own creation, and ultimately is destroyed by it. In

contemporary times a tale is told of a rich man whose sole wish is to create the greatest children’s theme

park in the history of man, using all his resources to do the impossible: bring Dinosaurs back to life.

While Jurassic Park may be remembered as the crowning achievement of a doctor who happened to be an

atheist, the presence of Satan has been shown to be unnecessary in these works. The focus, while often

1 Faust was an alleged German necromancer or astrologer who sold his soul to the devil. While there are numerous versions of the tale it is said that two men in fact shared the name of the character, one of whom actually claimed to have lived the sadistic life out. His character becomes essential in European Literature after Goethe’s translation. (Encyclopædia Britannica n.d.) 2 Violin virtuoso Niccolò Paganini was said to have sold his soul to the Devil for the ability to play so well that observers noted his performances were impossible for any human to play. In truth some of his many extensive illnesses allowed him to dislocate joints at will while performing. In perhaps a historical irony at the end Paganini did not believe he was near death and refused last rites, only to die two weeks later. This resulted in furthering the rumors of his diabolical dealings, and was refused burial in consecrated ground for fifty-five years. (Stratton 1907)

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diabolical in nature uses that mechanism to draw out the devilish nature of Man, or rather the natural

impulse to ignore that moral entity that stands between us and that which we desire. While Hammond and

Frankenstein outright deny the existence of free will in their creation, nature shows them they are quite

mistaken. It is almost as if God has written into Creation itself that only He can be the Creator; those of us

on the inside are left to reconcile with that which is, not with what we wish could be.

The repercussions of such novels have gone so far as to affect policy here in the United States.

While Frankenstein isn’t about cloning and there have been hundreds of other novels on the subject

treating it in like fashion, cloning is illegal in the United States. Also since the discovery of DNA in

amber after the release of Jurassic Park, and the subsequent discovery of soft tissue in fossilized bones,

entire symposiums have taken place at Universities across the US condemning the idea of using such

DNA to actually do what was proposed in Jurassic Park.

Consider another Faustian story… Genesis Chapter Three. Here we have two human beings who

while living in a state of naïve nakedness of their own condition, still have a desire to be more than what

their Creator has made them… they want to be the creator. A snake is introduced to the story, tradition

tells us it is Satan but this is actually not mentioned in the text. In fact there is no bargain at all, simply a

challenge: did God really say what He said He did? It is just enough to justify rebelling against their

Creator, and as a result Mankind is broken, the Earth is broken… Though hope still remains, and is what

differentiates this account from a true Faustian story; these tales end in the depths of total human

depravity. Because God has been removed from the narrative, there is no basis for Good to triumph over

Evil. There are no saviors, no heroes, no super men to enter the picture and save the day. These stories,

while often giving us flat, wooden characters with about as much humanity as you can pick up from a

short conversation in a line to the bathroom do so intentionally. For the human race is full of people with

what you might call a “one track mind.” They are only interested in that which improves their own

circumstances.

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While we can argue that real life is a far cry from such rampant immoral thinking, can we really

afford to be so ignorant? These are the arguments made in The Lottery by Shirley Jackson and The

Rocking-Horse Winner by D.H. Lawrence. Two stories while in essence very different, in essence tell the

same tale. A cursory examination of the characters will give us a good starting place in comparing the

two.

A Primer on Characterization

In The Lottery an entire small town is involved, but some characters stand out to make the story

what it is. By contrast The Rocking-Horse Winner has relatively few characters and takes place in a

seemingly small environment, and yet Lawrence captures the art of “rushing while standing still.” The

protagonist, if we can call her that in The Lottery is Mrs. Hutchinson, the wife of Bill Hutchinson, a

character who seems to serve as little else than to quiet the lamb before the slaughter so to speak. Mr.

Summers is the man who runs the lottery every year, along with many other town functions. It is

interesting that his character is given a level of depth in that the town pities him because he has no

children and his wife has some sort of unattractive quality, and along with owning the local coal mining

operation there never appears any hint of doubt the Mr. Summers will ever be selected and not be the man

conducting the Lottery in the future.

Old Man Warner is another character given a level of fleshing out, as it is said that he is 77 years

old and that the Lottery has been taking place since long before then. His crotchety demeanor towards any

sort of change, be it the abandonment of Lotteries in surrounding towns to the suggestion of returning to

earlier “hunter-gatherer” lifestyles seem to suggest not only is Warner a representation of the grudging

acceptance of the townsfolk, but perhaps is a clue as to why the Lottery was being held in the first place.

The children are also collectively a character, as they happily collect and stack rocks for the

coming stoning, they represent a sort of jubilant apathy towards the immoral proceedings with which they

are about to participate, suggesting perhaps how easily the Lottery is perpetuated generationally. Mrs.

Delacroix is another personality to which little is given except that it is clear she is a proponent of the

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Lottery, and perhaps the reason she chose such a large rock in the end was the manner in which Tess

Hutchinson treated the Lottery that day; showing up late, tapping her on the shoulder so she could nudge

her way through the crowd, objecting to the results from the moment Mr. Hutchins was selected. Mr.

Graves is another character to which little is given beyond that he is the local postal worker and often

helps Mr. Summers with the Lottery. The family name could also be a play on words as the Graves are

among the first to approach Mrs. Hutchinson in the end.

Now as for The Rocking-Horse Winner the clear protagonist in this story is Paul, who really

throughout the story only expresses three emotions, curiosity, anger, and obsession. This is a contrast to

Mrs. Hutchinson who only expresses two, an offended sense of injustice and finally fear, perhaps even

sheer terror. Flippancy also comes to mind but the lack of emotion doesn’t equate to emotion. The two

protagonists are also the only two characters to be given any semblance of a physical description as well,

with the exception of Hester, Paul’s mother who is not personally described, only said to have certain

things. Paul for example has blue eyes and curly blonde hair. While the other women of The Lottery are

said to be wearing faded dresses and sweaters, Mrs. Hutchins haphazardly throws on her sweater while

joining the group, and is still wearing her apron from cleaning the dishes.

One thing that can be additionally said is that the tone of the characters in The Lottery are all

positively amoral, they are jovial but lack the sort of emotion you would expect during such an event. The

tone of The Rocking-Horse Winner is much darker, a negative amoral atmosphere in which the characters

have a distinct lack of emotional interest in one another and have no issue in expressing it. Hester for

instance is the driving force of narcissism in the story, she has everything she needs but it’s not enough,

she cannot possibly be satiated. One might suggest only the sacrifice of her child can do so, but like Mrs.

Hutchinson it is likely a pointless sacrifice. Paul’s father is mentioned in the story but makes the smallest

of appearances. His sisters tease him for riding the horse, and Oscar Cresswell and Basset serve to support

his betting habit.

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It may also be worth noting, given the time in which The Rocking-Horse Winner was written;

naming the groundskeeper “Basset” who speaks very distinctively as an early 20th century African

American is likely an indicator of D.H. Lawrence’s opinion of people of color. Which while in no way

was unusual of the time at least gives us a rare glimpse through the story into the mind of the storyteller.

It is not a positive attribute, but the practice of rationalizing such distinctive qualities when applied to

other endeavors such as Bible study serve to enlighten us not only into the time in which the story was

told, but give us a glimpse of the character of the Divine Storyteller.

The Comparative Conflicts

Faustian literature often employs the use of a literary element known as “the McGuffin,” which is

literally a plot element that drives the plot of a work of fiction, the defining element being that the major

characters will stop at nothing, risk anything in order to obtain it. And yet the irony is the McGuffin is

often ambiguous and undefined, left to interpretation or at the very least definition is entirely unimportant

to the plot. It is employed very early in the story and begins to make less sense as the story progresses.

Conflict is never directed toward this element but it is almost always at the center of the primary conflict.

The Devil identified never acts as the McGuffin, and the more diabolical in nature the least likely an

identification is to be made. An example of this would be that which drive the birds to attack in Alfred

Hitchcock’s “The Birds,” an entirely ambiguous and unstated phenomenon. Hitchcock was the master of

the device, who himself admitted the very definition of the McGuffin was “absolutely nothing at all.”

(Truffaut 1985)

Such is the case with The Lottery, as the reason for holding it has been lost to time. But as

mentioned earlier Old Man Warner supplies clues that may identify with early pagan sacrificial rituals

intended to bring about a good harvest or town prosperity. (Caesar 1999) In this case the McGuffin

becomes the black box from which the townsfolk draw names, and the primary conflict can be stated as

Man Versus The Supernatural. While it may be stated that the townsfolk seem so resigned to the ritual of

the Lottery that it appears to be a complacent part of life, there is still a hush of anticipation as the last of

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the townsfolk draw. And as Bill Hutchinson draws his family name for selection a new conflict arises in

Tess Hutchinson Versus The Town, at first resigned to the ritual and then protesting its unfairness as the

story reaches its climax in her being chosen as the one to be stoned. At this point the reality of the Lottery

is no longer an issue, the townsfolk may be stoning her out of obligation to it but they have the additional

motivation in Mrs. Hutchinson’s non-conformity to their society, rushing to the ceremony late, wearing a

dirty kitchen apron, protesting the rules, etc.

In The Rocking-Horse Winner the McGuffin can be clearly identified as luck, though the

definition is twisted and Paul’s obsessive journey in achieving it is soon lost in the narrative. One might

identify the primary conflict as Paul Versus Hester, but the shallow nature and often undefined nature of

the woman would suggest that she herself is the second McGuffin, perhaps even the originator of that

which drives the tale. While Paul obsessively seeks luck to appease her, it is the supernatural calling of

the house to which only Paul can perceive that truly drives him to the madness leading to his death. This

is the identification with The Lottery in that the primary conflict is in point of fact Man Versus the

Supernatural, or one might say The Boy Versus The Madness. H.P. Lovecraft was a master of this type of

conflict, and had the rocking-horse sported tentacles or turned into some form of ancient deity one could

easily have confused the story as one of his works.

It would be foolhardy to ignore the conflict between Paul and his mother Hester, a type known as

Man Versus Man. It is the narcissistic nature of Hester and her inability to be happy with what she has

that drives Paul into the fervor that leads to the madness of using the Rocking-Horse as a sort of

divination device to “produce luck,” or discover which horse will win the next derby. Ultimately the cost

is Paul’s life, an element also prevalent in Faustian literature. The consequences of ignoring God’s Will

and attempts at gain through the practice of darker arts is something alluded to in Isaiah 47:9, “Well, both

these things will come upon you in a moment: widowhood and the loss of your children. Yes, these

calamities will come upon you, despite all your witchcraft and magic.”

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Examining the Plot

The exposition of The Lottery is set up in such a way as to satiate the reader, to dull their senses

into believing that this is an innocent, average every day American town with nothing to hide. Only as the

Black Box is revealed does the diabolical nature of the story truly begin. The color Black is often used to

denote darker intentions, but the Black Box itself is a literary device used to convey a mechanism through

which the inner workings are unknown, perhaps the perfect symbol for The Lottery. (American Heritage®

2009) Consequently the rising action begins with the opening of the Lottery, though an argument can be

made that the citizens are so used to this part of the ritual that the rising action does not actually pick up

until Bill Hutchinson is selected to represent his family in choosing which member will be stoned. The

climax is without a doubt the selection of Tess Hutchinson. The falling action takes place quickly as Mr.

Summers organizes the town into preparation of the act of stoning her, all the while her protestations of

unfairness are disregarded. The denouement of course is Mr. Hutchins final screams that the selection was

not fair, as the town advances upon her.

In a manner of speaking this story is similar to the novel Empire by Orson Scott Card, which

begins with a professor arguing that the United States will never resemble the Roman Empire because the

people will never universally accept a single leader out of a two party democratic system. After a series of

incidents and a short American Civil War, this professor, due to his expertise and leadership in ending the

war is ultimately selected by both parties to become the President. The ending takes place between the

comrade of the initial hero of the story conversing with that man’s wife, as she reveals a series of notes

her late husband left regarding the professor and how every player, rebel or otherwise was at one time

taught by this professor. (Card 2006) While a cursory reading of the description lacks resonance with The

Lottery, both stories share the common trait of static or flat characters, some characters who only exist to

propel the plotline forward, the “black box” concept (in Empire represented by futuristic technology that

is both unexpected an unexplainable), and an ending that essentially represents the immoral death of

innocence by unwitting hands.

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The Rocking-Horse Winner by contrast shares little in the way of exposition and seems entirely

focused on the character of Hester and her narcissistic nature. While her character seems to develop too

little beyond this, it does become a driving force for Paul as he begins the rising action by attempting to

discover how to produce luck, and his realization that the rocking-horse is the mechanism of delivery of

his distorted idea. The climax is ultimately reached as Hester discovers the truth of what Paul is doing just

too late, as his final prediction ultimately leads to his death. The falling action happens over a three day

period as Paul lays in a stupor, waiting for the results of the Derby. One might wonder what change this

has on Hester, and the comment that her heart had turned to stone makes one wonder what sort of

condition her heart was in when the story began. The denouement is of course the revelation by Basset

that Malabar, the horse Paul chose to win did in fact do so, and that they have now won a significant

amount of money. Paul awakens momentarily in the excitement, telling his mother that his is in fact

lucky. Hester’s reply is curious, saying that he never did, when in fact before embarking upon his insanity

he had insisted to her that God had told him he was lucky, to which Hester laughed and dismissed him. In

an odd way this can be compared to young Davey Hutchinson, who is given a measure of small rocks to

throw at his own mother… Obviously this will not kill her, but it will sever the relationship between

mother and son as Davey officially becomes a member of the town by participating in her death.

Analyzing Structure

The literary structure of both stories play well into the typical short story structure, though with

several variants. The Lottery spends a great deal of time on exposition, while not fleshing out any

particular character at least establishing that this is a town in which this event is ordinary to them and

apparently of little consequence. The exposition of The Rocking-Horse Winner is different in that it is

short and seems centered on a character that is arguably not fully central to the story. The thing these two

points of structure have in common is from a higher moral perspective stating that whether by group or

singular mind, prosperity has little to do with happiness.

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By way of contrast the two stories switch for the rising action, taking place slowly in The

Rocking-Horse Winner and rather quickly in The Lottery It is proper in the former as Hester lays down

the challenge for Paul early on, and as she seems to be the sole focus of the exposition it is proper to

simply move along with the story. The message here might imply that those who act to bring about what

you want are of little consequence personally, since it is the thing they are producing which you covet.

The same message can be applied to The Lottery, as townsfolk make remarks about hoping particular

members of the Hutchinson family are not chosen due to certain endearing qualities, Tess Hutchinson is

not mentioned as her non-conformity is clearly a burden on them. If they showed any more enthusiasm

for the ritual they’d likely express they are glad to see her die.

The climax of the two stories are essentially one and the same, the revelation of the protagonists

true nature, that of the sacrificial lamb for the benefit of others. Paul does not die immediately on the

horse for chance that at some point his mother may afford him some piece of gratitude, which will never

come. Tess Hutchinson could be said to have arrived at the Lottery with a black mark upon her, having

disregarded so many traditions. And her pleas of unfairness might be answered by a merciful audience,

but no such person exists, not even with her own family. I am reminded of a story from The Legends of

the Jews by Louis Ginzberg in which the sins of the cities of Sodom and Gomorrah are fleshed out in

greater detail. According to Ginzberg, Lot’s daughter Paltit was burned to death on a pyre for giving a

beggar food and drink. Similarly in nearby Admah, the daughter of a rich man gave a weary traveler food

and drink, and for this she was sentenced to death. She was covered from head to toe in honey and hung

from the city wall where the bees would cluster and sting her to death. It is said her cries of terror were

what prompted God to act in destroying these wicked cities. (Ginzberg 1909)

The denouement of both stories are short and to the point, Tess Hutchinson continuing to profess

the Lottery she willingly exposed herself and her family to was unfair, even as she is stoned to death.

Little Paul is left with no justification for his actions even as his mother heartlessly admits he was right…

and he dies later that night. The story ends with her brother’s words that she profited from the boy’s

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death, but at least now he was in a place where he could ride his rocking-horse to his own satisfaction. As

with all Faustian literature the protagonist is deposited at deaths door with the realization that there are no

certainties in life but death, and that faithful devotion to ill-gotten gain is no gain at all.

Conclusion

In January of 1953 a science fiction magazine called “Worlds of Science Fiction” published a

short story by Lynn Venable titled Time Enough to Last. The story followed Henry Bemis, a thick glassed

banker at Eastside Bank and Trust. He was hiding in one of the vaults when the bombs were dropped,

presumably leaving him the last man alive on Earth. Since all he wants is time to read, this is a

serendipitous moment for him. Unfortunately shortly thereafter an earthquake knocks his glasses off,

which shatter on the ground. Since Henry cannot see the hand in front of his face without his glasses, the

full measure of his predicament now hits him.

Time Enough to Last would later be adapted for the television show “The Twilight Zone,” and

was one of its more memorable episodes. As Faustian literature goes, the story is simple and hits the mark

rather quickly… that which mankind desires for his own self ultimately becomes his undoing. That is the

legacy of this form of literature, and as Christians we should have a special appreciation for it. These

stories tell us the nature of man, the wants of man, and what man gets when he’s not aligned with God.

It is a reminder of an often overlooked truth of our fallen nature. Even before the snake tempted

Eve, mankind harbored a secret distrust, a jealousy of God. Even if he was not fully aware of it, and when

the opportunity came he made that desire manifest… and all of Creation was grieved. Faustian literature

reminds us of that reality, that try as we might we too have secret, dark desires of the heart. Only with

God’s help can we overcome them.

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American Heritage®. The American Heritage® Dictionary of the English Language, Fourth Edition. Boston: Houghton Mifflin Company, 2009.

Caesar, Julius. Commentarii de Bello Gallico (The Gallic Wars). Oxford, England: Oxford University Press, USA; New edition, 1999.

Card, Orson Scott. Empire. New York: Tom Doherty and Associates, 2006.

Encyclopædia Britannica. "Faust (Literary Character)." Encyclopedia Britannica. n.d. http://www.britannica.com/EBchecked/topic/202814/Faust (accessed September 12, 2011).

Ginzberg, Louis. "The Legends of the Jews." Sacred-Texts.com. 1909. http://www.sacred-texts.com/jud/loj/loj107.htm (accessed September 13, 2011).

Stratton, Stephen Samuel. Nicolo Paganini: his life and work. Westport, Connecticut: Greenwood Press, 1907.

Truffaut, François, Hitchcock, Alfred, Scott, Helen G. Hitchcock. New York: Simon & Schuster, Inc., 1985.

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