Analyzing Novels

& Short Stories

Literary analysis looks critically at a work of fiction in order to understand how the parts
contribute to the whole. When analyzing a novel or short story, you’ll need to consider
elements such as the context, setting, characters, plot, literary devices, and themes.
Remember that a literary analysis isn’t merely a summary or review, but rather an
interpretation of the work and an argument about it based on the text. Depending on
your assignment, you might argue about the work’s meaning or why it causes certain
reader reactions. This handout will help you analyze a short story or novel—use it to
form a thesis, or argument, for your essay.
Summary
Begin by summarizing the basic plot: “Matilda by Roald Dahl is about a gifted little girl in
small town America who learns to make things move with her mind and saves her
teacher and school from the evil principal.” This will help ground you in the story. (When
you write your paper, you probably won’t include a summary because your readers will
already be familiar with the work. But if they aren’t, use a brief summary to orient them.)
Context
Research the author’s background and other work. This can give insight into the
author’s perspective and bias, as well as tell the reader what he might be commenting
on. For example, Tolkien’s The Lord of the Ringsis about a group of friends who embark
on an epic journey and fight a great war. Knowing Tolkien fought in the Battle of Somme
during World War I and that his closest friends were killed helps explain his sentiments
about war.
Other questions about context can stem from the story itself. Consider the narrator’s
personality and their role in the story. In The Outsiders, the narrator is the character of
Ponyboy Curtis and not the author, S.E. Hinton. Also consider who the narrator is
addressing. At the end of The Outsiders, for example, you find out that the entire book
was an essay for one of Ponyboy’s teachers, which makes the story seem more honest
and real.
Setting
When and where a story takes place can be profoundly significant. Consider where the
author’s story is placed and why the author made that decision. In
Shakespeare’s Othello, for example, the setting is Italy, although Shakespeare was
writing in England. He set his play elsewhere, in part, so he could make social
commentary about England without incurring the wrath of English rulers.
Remember, many stories would be irretrievably altered if their setting were different and
setting is, therefore, integral for interpreting the story’s meaning. For instance, the
setting for Faulkner’s work—the American South after the Civil War—is essential to his
overall message. Faulkner’s characters are people who can’t move on, and through
them he suggests that the South similarly can’t get past the Civil War and the wrongs of
slavery.
Plot
Story lines usually follow patterns like those in the example below. Identifying essential
plot points will help you to analyze, interpret, and explain the story.
Main Problem (Conflict): The plot hinges on some major problem, often a conflict
between characters or an obstacle that must be overcome.
Ex. In Roald Dahl’s novel Matilda, Matilda’s parents neglect her and the Trunchbull is
evil to everyone, including Miss Honey. The Trunchbull is Miss Honey’s aunt and
cheated her out of her inheritance.
Climax: The high point of the action, when the conflict or problem could either be
resolved or cause a character’s downfall.
Ex. Matilda uses her telekinetic powers to scare the Trunchbull into believing the ghost
of Miss Honey’s father is haunting her. The Trunchbull runs away, leaving Miss Honey
her house and belongings.
Resolution: The conflict or problem is solved and normalcy or a new order is restored.
Ex. Matilda’s family flees so her dad can escape prison, but Matilda gets to stay and live
with Miss Honey.
Characters
Characters are the driving force behind stories, both major characters and minor ones,
and authors use them to broadcast their most important messages. You won’t be able
to analyze every character, but pick out several important ones to consider.
First, describe the character for yourself; next, consider why the character was
portrayed in that way. The following are some guiding questions:

What are the character’s main personality traits? Why did the author give him these
traits?
Ex. In the Harry Potter series by J.K. Rowling, the character Dumbledore is wise,
calm, courteous, protecting, encouraging, powerful, and ambitious. As the story
progresses, his faults and imperfections appear. Rowling creates Dumbledore as
a force to protect and guide Harry.

What is the character’s role in the story? Is she the hero? The bad guy? A secondary
character? Why did the author give her this role?
Ex. Dumbledore is the classic “teacher wizard” figure, in that he is all wise and
has magical powers that others do not. People have an instinctive trust in this
type of character; he voices many of Rowling’s most important themes.

What are the character’s morals or ethics? Why does the author give him those?
Ex. Dumbledore’s morality is based on compassion, understanding, and respect
for all. If the respected, powerful teacher says something, Rowling’s readers, and
Harry, will be more likely to believe it.

Why does the character do what she does? Why did the author make her act that way?
Ex. Readers find out that Dumbledore was not born wise and all knowing, but was
ambitious and egotistical when he was young. His wisdom was gained through
pain and tragedy. This illustrates Rowling’s theme that a normal, flawed person,
with courage and love, can save the world.

What is the character’s relationship to other characters and why? Why did the author
create the relationships?
Ex. To Cornelius Fudge, Dumbledore is a threat because of his power and
influence. In being frightened and resentful of Dumbledore, Fudge shows himself
to be a weak man who blames others for his mistakes—Rowling’s comment on
government.

Literary Devices
Various literary devices help convey meaning or create a mood. Look for these in a
story to identify key points and their contribution to the author’s overall meaning. The
following are a few common literary devices.
Allusion. An indirect reference to another artistic work or person, event, or place (real or
fictitious). The author makes the allusion with the intention that the well-known object
will create an association with the new object in the reader’s mind. For example, the title
of William Faulkner’s novel The Sound and the Fury is an allusion to a line in
Shakespeare’s Macbeth—a futile speech made by an embittered man who has ruined
his life. Alluding to that speech in the title helps Faulkner set the tone for his story of a
family in ruins.
Foil. A character used to contrast a second, usually more prominent character in order
to highlight certain qualities of the more prominent character. In Shakespeare’s Hamlet,
Fortinbras is a foil for Hamlet in that he is unhesitating in action and war-like in nature;
in contrast, Hamlet is thoughtful, analytical, and careful.
Foreshadowing. The use of hints or clues to suggest what will happen later in a literary
work. For example, in Shakespeare’s Romeo and Juliet, Juliet tells her nurse to find
Romeo’s name: “Go ask his name. If he be married, my grave is like to be my wedding-
bed.” This foreshadows the danger of Romeo’s name being Montague and of Juliet’s
death because of their marriage.
Irony. An implied discrepancy between what is said and what is meant. There are three
kinds of irony: verbal irony is when an author says one thing and means something
else; dramatic irony is when an audience perceives something that the characters don’t
know; and situational irony is a discrepancy between the expected result and the actual
result. For example, in Macbeth, the three witches recount the prophecies that must be
fulfilled for Macbeth to fall. He therefore believes he is invincible—ironic because these
prophecies cause his downfall.
Symbolism. The use of an object or action to mean something more than its literal
meaning. For example, in Faulkner’s The Sound and the Fury, one of the principle
characters, Caddy, falls and stains her white dress when she’s a child. The stained
dress symbolizes (and foreshadows) her later loss of purity. A character can also be
equated with an object throughout a work, another form of symbolism. In Eudora
Welty’s Delta Wedding, an aunt is repeatedly seen carrying an empty bag, which
symbolizes her childlessness.
Themes
Themes are big ideas that authors comment on throughout a work using tools such as
context, setting, and characters. Common themes are good vs. evil, human nature,
religion, social structure, authority, coming-of-age, human rights, feminism, racism, war,
education, sex, friendship, love, compassion, and death. Most books deal with multiple
themes, some more obvious than others. Identifying an author’s themes gives you a
starting place for your thesis. It gives you a general topic. However, a theme is general.
You have to dig a little deeper to identify the author’s statement or attitude about that
topic.
Ex. Theme T.H. White’s The Once and Future King deals with the theme of authority,
among others.
Ex. Specific Theme Other Arthurian writers associate King Arthur’s greatness with
military glory and valorous deeds. White is different in that he presents Arthur as a
political innovator and implies that king is not great because of an aptitude for war, but
because of his ability to balance government strength and social justice.
Tying It Together
Once your analysis is complete, develop a thesis that makes an arguable claim about
the text. It should connect one of the themes you’ve identified with specific proof from
the text (i.e. setting, context, plot, characters, symbolism, allusions, etc.). Sometimes,
you will also use the support of other analysts or literary experts.
Ex. Thesis in The Once and Future King, White shows that the ideal leader is not one of
military strength, but one who balances government power and social independence.
He achieves this through his satire of the knighthood, his depiction of Merlin’s
philosophical experiments, and his portrayal of Arthur.

Remember that a thesis for a literary analysis should NOT merely:

• Summarize the plot (“The Once and Future King tells the story of the legendary
King Arthur.”)
• Announce a general theme (“The Once and Future King gives important ideas
about leadership.”)
• Offer a review of the book (“The Once and Future King is a literary classic that
everyone should read.”)