Monika F'ludernik University of Freiburg Uri Margolin University of Alberta

Introduction
1. Background and Purpose of These Issues
Theoretical work on literary narrative formsthat is. enquiry about narrative's basic elements or components, constructive principles, structures, techniques, modes of composition, and methods of portrayalhas had a long and rich history in German-language (i.e., German, Austrian, and Swiss) scholarship, and has traditionally proceeded under three different headings or labels: Narratologie or Narrativik, Erzahlforschung/Erzahltheorie (narrative research/ theory), and Romantheorie, or "theory of the novel." (For an excellent survey of the historical relations between the three, see Cornils and Schernus). Obviously, numerous studies could be placed under more than one heading, and contributions to all three areas have always been made by linguists and philosophers as well. Romantheorie began in the eighteenth century with Christian Friedrich von Blanckenburg's Versuch uber den Roman (1774) and had several major achievements in the late nineteenth and the first half of the twentieth century, associated with the classical studies of Otto Ludwig, Friedrich Spielhagen, Wilhelm Dibelius, and Rafael Koskimies. Some of this work looked for the universals or invariables of the novel, and studied systematically its basic components and modes of construction and functioning, while other work focused on generic typology and historical variability. Erzahlforschung presents a more variegated and complex field of studies. Since the end of the eighteenth century (the Goethe-Schiller correspondence, 1794-1805), German scholarship has employed the broad category of Epik to designate all artistic narrative, regardless of its length, generic affiliation, or historical period, and has sought to define in a relative and contrastive manner its basic constructive principles and its specificity in the context of the three presumed fundamental, transhistorical types of literary discourse: the epic, the dramatic, and the lyric. Two major contributions in this area are Kate Friedemann's Die Rolle des Work on these special issues was made possible by the Alexander von Humboldt Foundation which awarded Uri Margolin a three-month fellowship to Freiburg. We would also like to thank Jan Alber and Luise Lohmann for their help with the manuscript.

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Erzdhlers in der Epik (1910) and Robert Petsch's Wesen und Formen der Erzahlkunst (1934), both of which anticipated current narratological models and offered a systematics of all major components of narrative from motifs through actions, characters, space, and time to composition, order of presentation and speech varieties, including free indirect discourse and interior monologue. But Erzdhiforschung also tackled the exploration of one or more individual components, techniques, or artistic issues of narrative form from a defined theoretical perspective. It then typically utilized a corpus that may vary greatly in scope as regards genre and periods. Research in the area of folklore or simple forms (Andr6 Jolles's Einfache Formen [1930]) and philosophically oriented enquiries into the nature of fictionality and the worlds of the imagination round off the spectrum of work in this area. Narratology as a distinct integrated, and self aware discipline emerged, or rather burst upon the scene, in Germany as in the rest of the West in the late 1960s, following the structuralist revolution and the academic crisis of 1968. This work, which typically transcends linguistic borders and often also the oral/written, literary/nonliterary demarcation is anchored in a shared and explicitly formulated basic theoretical paradigm (structuralism, semiotics, discourse linguistics), and produced its own institutional manifestations. But it would be wrong to assume that narratology's birth was a conception ex nihilo. Much preceding work in the other two areas had anticipated current narratological models and was, or at least could be, integrated into them once it was made more explicit and rigorous, especially in the case of individual aspects of narrative. Many of the classical distinctions made by Romantheorie turn out to be generalizable to other kinds at least of literary narrative as well. One telling example of such a crossover involves the doyen of German narratology, Franz Stanzel, whose first book, entitled Narrative Situations in the Novel (1955), was later expanded in the light of structuralism to become A Theory of Narrative (1979) The universally acknowledged immediate precursors of current German narratology are four, and they all flourished in the 1950s. They are, first, Gtinther Muller and his follower Eberhardt Lammert, both of whom focused on the successivity or sequentiality of narration and the narrated alike, and explored the complex relations between these two temporal series (Gerard Genette's order, frequency, duration, and the layering of temporal perspectives). The other two are Wolfgang Kayser and Kate Hamburger. Kayser asked the pertinent question "Who tells the novel?" (Wer erzdhlt den Roman?), thereby reviving Friedemann's enquiry into the nature and role of the narrator, and also spoke of the inscribed reader's role. Hamburger, on the other hand, sought to define the specific ontic and epistemic status of fictional literary discourse on the basis of textual features of person and tense. Tlie scope and diversity of German work in all three areas listed above has not been sufficiently recognized and utilized in English-language scholarship, due

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primarily to the linguistic barrier. While currently active German narratologists read English and try to keep abreast of English-language publications, the reverse is not true. The net result is an intellectual asymmetry. While both English- and German-language narratologists are working more and more on the same issues and within the same global framework, the Germanless narratologist misses out on much that is relevant and potentially valuable to his own work, ranging all the way from unreliable narration to narrative across the media. It is true that some German narratologists (such as Manfred Jahn or Monika Fludernik) publish primarily in English, while others (like Wolfgang Iser) publish their major works in both languages; yet there is still a considerable number of narratological works published exclusively in German, and, in view of the large German-speaking academic audience and the relevance of narratological work for critics in departments of German, Romance, or Slavic studies, this situation is not going to change anytime soon. This two-part issue of Style is meant to redress in some small measure this asymmetry. Severe limitations of space have forced us to make some radical editorial decisions. The first was to include in our selection of the translations collected in this issue only independent articles, not chapters in books, and only works hitherto unavailable in English. The other was to begin with the first generation of narratologists proper, that is, around 1970. Moreover, the essays chosen had to be of current relevance and value, not merely classical landmarks. In several cases the articles printed in these special issues provide an overview of extensive research and publication by their authors over many years. We sought to include work from several generations since the 1970s, as well as research dealing with a wide range of issues. This last criterion forced us to exclude work, some of it excellent, by the youngest academic generation. Still, for every piece included, several of equal value had to be left out. We are painfully aware that we are here offering the reader a mere sampler or foretaste, not the full intellectual feast we would have liked to offer had we butspace enough and time. Anglo-American and German narratology each emerged against a different historical background and research tradition. While an ever-increasing convergence between them in terms of issues and methods can be discerned, there are still pronounced differences in terms of relative emphasis and orientation. In the first place, almost all German narratologists feel the need for an explicit metatheoretical component to accompany their work and a philosophical framework to underpin it. An acute awareness of the problems involved in theory formation and validation has been introduced by the linguistic orientation of the early 1970s and has since become an integral part of narrative theorizing. The perceived need for such philosophical foundation of course has a long tradition in Germany and is associated either with philosophy of the arts, for instance with fundamental aesthetic issues such as aesthetic illusionism, or with an enquiry into the ontological status of the verbal work of art and its mode of cognition. The

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phenomenological work of Roman Ingarden played a significant role in this context, as is attested by the publications of Iser and his disciples. The notions of fictionality and the fictive, and the need to include them as an indispensable component of any adequate theory of literary narrative, are another hallmark of German narratology. There is finally a high degree of methodological awareness, reflected in the felt need for explicit formulation of one's method or procedure and the steps it involves, and its justification in the light of a more basic model of cultural, linguistic, or symbolic enquiry. All literary training in German universities includes the study of general linguistics and of the linguistics and stylistics of one's chosen literature(s). German narratologists thus tend to emphasize discursive and stylistic patterns and their semantic impact as well as their potential for distinguishing fictional from factual discourse, especially as regards the representation of mental activities. Furthermore, narratological work, no matter how theoretical, is expected to draw on a wide variety of texts from different periods, and even languages where appropriate, to form both the basis and the testing ground for the theory's general concepts and claims. This insistence on wide historical coverage is clearly in the spirit of the traditional Epik category. On the other hand, German narratology contains far fewer Bakhtinian studies than the Anglo-American tradition, has only recently begun to employ possible-worlds semantics and cognitive models, and has not dealt consistently with the challenge posed to standard narratological models by postmodernist narrative. Work on the plot and action level has been discontinuous. In the 1970s it was associated with narrative deep structures in generative text-grammars, and then fell into oblivion until its recent revival in the work of Hilary Dannenberg and the narratology research group at the University of Hamburg. Studies of narrative as emplotted, that is, of syuzhet and composition issues, are also infrequent. Let us now move from crosscultural comparison to a brief survey of some prominent areas of research in which German narratology has excelled or in which German scholars were and still are particularly active.

2. Major Themes and Issues in German Narratological Work

German narratology has by and large focused on discourse and narration for which the plot level serves merely as a foil.' As regards the level of the narrative discourse, German narratology has had a continuous, keen interest in the modes of speech and thought representation, and especially in free indirect discourse (erlebte Rede), which was discovered by German scholars of French language and literature in the late nineteenth century. As Fludernik has demonstrated {Fictions 1 23), Germany produced numerous studies on free indirect discourse and indirect discourse before this device was first recognized in America (Cohn, "Narrated"; Hernadi, "Dual"). In particular, the historical perspective on free indirect discourse

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(sources of FID in the oral language; medieval instances of FID) emerged early in German work on speech and thought representation.^ At the same time, German narratological scholarship has had a curious predilection for the historical present tense and the analysis of tense in narrative in general. Besides Harald Weinrich's seminal Tempus (1964), which, on the basis of the tense system of the Romance languages, developed a model of narrating versus discussing tenses and introduced the concept of temporal metaphor, a whole range of philologists, linguists, and narratologists have been concerned with temporality and tense-patterns in narrative.' A third major area of research has been (and still is) narrative perspective. Clearly, Stanzel's categoriesreflector-mode narrative and the figural narrative situationcontinue to be prominent concepts in German academic discourse, but alternative discussions of focalization by Jahn, Goran Nieragden, and Burkhard Niederhoff, and of perspective structure by Ansgar Nunning complement the range of approaches. German narratological research has additionally emphasized the communicational model of narrative popular in the 1970s (Janik) which, in its update by Nunning, is still popular. In connection with the communicational approach to narrative, German scholars have been particularly interested in the various players in this communicational game, studying the implied author, the various reader figures and roles in literary fiction, and discussing the process of reading both speculatively (the implied reader) and empirically (e.g., Hans Robert Jauss and Siegfried J. Schmidt). Among the essays reprinted here in translation two deal with the reader-side of the literary communication, one (by Paul Goetsch) focusing on extra- and intrafictional narratees, the other (by Stanzel) on the actual reader's speculative intervention in the story. Many scholars expanded their interest in the processes of address and reader roles to cover second-person fiction.'' From the interest in narrative communication and the process of reading, it is but a short step to general issues of literary pragmatics. Interest in reader-response criticism (particularly in the work of Iser) and reader-focused, cognitive, and constructivist models of narrative have been extremely popular among German narratologists. Recent work on unreliability by Niinnnig and others also has a strong pragmatic orientation. Another area of literary pragmatics concerns studies of fictionality and the comparison between historiographic and literary narratives. Although this became a topic of some prominence in Anglo-American narrative study, especially in the wake of Hayden White's proposals, there has been extensive German work on the subject as well, particularly in connection with the question of fictionality. (See, e.g., Engler, Zipfel.) Finally, German narratology has always had a strong historical emphasis. This may simply be due to the continuing academic requirements of philological training and the study of works from all genres and periods in most M. A. courses.

Introduction

which result in an awareness of historical change as well as familiarity with a wide range of texts from different periods. The historical emphasis may also be the consequence of Stanzel's historical interests and the predominance of his theoretical model in German university education. Whatever the reason, even in theoretically-oriented studies many German narratologists feel it incumbent upon them to extend their analysis to questions of historical development. Thus, Barbara Korte's dissertation and habilitation (tenure) books do not merely, in their theoretical chapters, provide inventories of, respectively, techniques of novel endings and representations of the body, but go on to focus on historical shifts of emphasis (see Techniken, Body Language). Fludernik's work likewise is extensively concerned with diachronic issues; and Werner Wolf's study of techniques of (anti-)illusionism required a substantial diachronic section to be acceptable as a habilitation book. This emphasis on historical development could be regarded as a latter-day continuation of the earlier interest in narrative "morphology" and organic models of narrative that behave "like plants" and are subject to analysis in terms of ontogeny and phylogeny.

3. Narratological Work in English and American Studies (Anglistik)

A substantial amount of the narratological work done in Germany in the field oi Anglistik is available in English, but much else is not. Our presentation in this section will include both German- and English-language publications, and will concentrate on major figures whose names are probably familiar to Englishlanguage readers. Wolfgang Iser's work will not be discussed in our survey, since it has been part and parcel of English-language narratology since the 1970s. 3.1. F. K. Stanzel: The Classical Period of German Narratology Franz Karl Stanzel (1923-) came to dominate German narrative theory since the publication of his 1955 study. Die typischen Erzdhlsituationen im Roman, which was his habilitation book. After teaching in Gottingen and Erlangen, Stanzel was recalled to his alma mater, the University of Graz, in 1962, where he has been active ever since. Stanzel brought to his research a background of rich historical and philological knowledge not easily available to present-day academics. Besides the usual influences from the German academic scene, during a year at Harvard Stanzel also absorbed the theoretical models of Henry James, Percy Lubbock, and Rene Wellek and Austin Warren. His oeuvre is notable for combining categories from this American work with insights from the German tradition (Otto Ludwig's scenic versus proper narration; Friedrich Spielhagen's objective versus subjective narration) and other influences (Leo Spitzer's experiencing versus narrating self; Jean Pouillon's focalization categories).'^ In 1955 Stanzel published his seminal Die typischen Erzdhlsituationen im Roman which proposed a theory of three prototypical "narrative situations" and it

Monika Fludernik and Uri Margolin

should be arranged on, rather than in, a typological circle since items are arranged on the cricumference of the circle. The English translation of this book. Narrative Situations in the Novel (1971), was to take a long time to appear. Meanwhile Stanzel had produced another, more precise reformulation of the theory in 1964 (Typische Formen des Romans), and he was to revise the theory even more extensively in 1979 in Theorie des Erzahlens with reference to Genette and newer developments in linguistics (e.g., theme-rheme distribution, Roland Harweg's emic versus etic distinction for text beginnings, Charles Fillmore's work on indexicals, Roger Fowler's applied linguistics, Harald Weinrich's tempus theory) as well as in response to insights from the Prague School of structuralism. While Stanzel's theories had meanwhile become standard for curricula in literary studies in German-speaking countries, it was the English translation of Theorie des Erzahlens by Cambridge University Press {A Theory of Narrative, based on the revised second edition of 1982) that ensured Stanzel's model an international audience.'' Stanzel established his prominence in the field early on by engaging in a dispute with the leading theoretical scholar of the day, Kate Hamburger. In Die Logik der Dichtung (1957, transl. 1973) Hamburger started out from a rigid differentiation between epic, lyric, and dramatic texts. She argued that the firstperson novel had a real-world reference (Wirklichkeitsbezug), whereas the thirdperson novel did not, as could be seen from its use of the "epic preterite," which signaled fictionality rather than pastness. Hamburger moreover characterized the representation of figural consciousness as the crucial defining feature of epic literature: only in fiction can the "I-originarity" of a third person be represented or, put more simply, only in fiction do we get to look into other people's minds. Stanzel's major bone of contention in the debate with Hamburger was her denial of fictionality to the first-person novel, but the debate more specifically centered on the epic preterite. Hamburger's proof for her theory of the epic preterite lay in the possible combination of verbal preterite forms with proximal deictics (/, here, now, tomorrow, etc.) as in the key sentence from Mann's Buddenbrooks, "Tomorrow was Christmas" (Morgen war Weihnachten). By demonstrating that Hamburger's examples of epic preterite were in fact sentences of free indirect thought and by proving that first-person novels displayed analogous sentences combining the deictics referable to the experiencing self with a past tense deictically anchored in the act of narration of the narrating self, Stanzel was able to disprove Hamburger's theory and rose to unchallenged prominence in German narrative theory.' Stanzel's theory of narrative is based on the constitutive opposition between (prose) narrative (Epik) and drama. It defines narrative (i.e., novels, short stories, but also historiography) as mediated through narrative discourse, whereas drama presents the story in unmediated form on the stage. Stanzel's model therefore in principle allows for a common histoire that is mediated in narrative fiction by a

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narrator and his discourse andby analogycould give rise to different manifestations in a variety of media (performance for drama; the director's choices or the cutting device for film). Stanzel's focus on the representation of speech and thought derives precisely from the opposition between epic and drama. Secondly, Stanzel bases his theory on the distinction between telling and showing (origniating with Lubbock) and utilizes Henry James's notion of a "reflector" for a character through whose eyes the story is being presented. In the final setup ofthe theory, these two crucial aspects feed into the opposition between the teller mode (the narrative is mediated by a prominent teller figure, i.e., a narrator persona), and the reflector mode in which "showing" prevails and where the focus is on a character's consciousness to such an extent that the narrative

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Figure 1: Typological Circle (from Cohn, "Encirclement," 162)

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seems to render events immediately (without perceptible narratorial mediation), as if directly through that character's mind. This effect of "immediacy"according to Stanzelis an illusion, since the covert narrator merely slips into the background. Stanzel's central theoretical thrust concerns the existence of three narrative situations (NRSs) that he claims will, in their typological arrangement around a continuous circle, cover all possible types of narrative. As fiction became more and more innovative in the twentieth century, more and more of the hitherto empty spaces on the continuum became filled. For instance, the invention of the figural (reflector mode) novel filled the lower (reflector mode) half of the typological circle in the late nineteenth and early twentieth centuries. The three narrative situations can be characterized as follows." The authorial NRS, exemplified by Fielding's Tom Jones, combines an "omniscient" i.e., omnicommunicative narratorial presence above the world of fiction (extradiegetic and heterodiegetic with zero focalization) with a panoramic view of the fictional world and easy access to characters' thoughts and emotions. The narrator is typically intrusive and indulges in much metanarrative comment. By contrast, in the prototypical/jgMra/ NRS (example: Joyce's A Portrait of the Artist as a Young Man) the narrative conveys the illusion of unmediated access to the mind of the main protagonist(s) and there is no foregrounded narrator persona. Finally, there is i\\c first-person NRS (e.g. Dickens's David Copperfield), in which the narrator looks back on his previous experience, evaluating it in his function as a narrating self, but often immersing himself and the reader in his past, experiencing self. Since the three NRSs are merely prototypes, individual texts may combine characteristics of these NRSs. In particular, nineteenth-century fiction displays what Stanzel calls the authorial-figural continuum, the frequent move of the narrative between external and internal perspectives in a given section of the narrative. In his revision of the original typology in 1979, Stanzel grounded the three NRSs on three axes. The category person (homo-/heterodiegesis) is founded on the identity versus nonidentity of narratorial and fictional worlds with the firstperson NRS prototypical ly situated at the pole of identity; the category perspective (external versus internal) defines the authorial NRS as prototypically dominated by external perspective; and the category mode (teller versus refiector mode) defines the figural NRS as constituted by the refiector pole. Stanzel placed these NRSs on a typological circle that is supposed to illustrate the continua between the three NRSs and to signal the principal openness of categorizations. Despite these provisos, the model provoked heated debates." Stanzel's model works extremely well for some aspects of narrative and clearly has the advantage of diachronic extendability. For instance, the continuum between the autodiegetic first-person narrator (David Copperfield) and increasingly more marginal first-person narrators (peripheral first-person narrators

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like Nick Carraway in The Great Gatsby) to increasingly prominent authorial narrators as personae on the narratorial level of the fiction makes good sense and tends to render the existential boundary between homodiegetic and heterodiegetic narratives permeable and transgressible. Even more convincingly, the authorialfigural continuum on the east side of the typological circle characterizes a large corpus of mid- to late-nineteenth-century novels that precisely keep shifting between an authorial evaluative presentation of the story on the one hand and extended submerging into characters' psyche on the other {Tess of the d'Urbervilles is a good example of this). It is the historical relevance of such novels that speaks for the model. On the other hand, Stanzel has been less successful in peopling the western half of the typological cycle at the point where teller mode transforms into reflector mode within the first-person narrative situation and interior-monologue novels sit side by side with purely "figural" texts. Such transitions rarely occur within a single novel, and although the positioning of texts in this area (the southwest and south) is astute from a typological perspective, it has sparked extensive criticism inside the academic community.'" Another drawback of Stanzel's model has been the complexity of his theoretical proposals, which have given rise to a number of misunderstandings. In particular, the notion of prototypicality has been dismissed again and again, and critics took umbrage at the placing of texts on the typological circle which seemed to freeze a heterogeneous narrative on one specific spot. It is only with the influence of cognitive studies in literary theory in the past fifteen years that what used to be the stumbling block for an appreciation of Stanzel's theory now appears as a visionary anticipation of current cognitive models. Another aspect of narrative that Stanzel's theory has been unable to deal with satisfactorily is the so-called "neutral" type of narrative typically associated with the work of Ernest Hemingway and Raymond Chandler. In his original theory Stanzel had included a "neutral" narrative situation (see also Broich), only to eliminate it from the model later on and to introduce dialogue-only texts as a type of narrative to be fitted in practically anywhere on the typological circle. Since Hemingway and Chandler use external focalization both in first- and in thirdperson texts, this genre cannot easily be fitted on the typological circle. Here Genette' s analytic approach is much more adequate to defining this type of writing. However, if one looks at more experimental types of narrative, even the Genettean typology fails, e.g., with regard to second-person fiction which cannot be fitted into the homo-/heterodiegetic modes. Many aspects of narrative which Stanzel discussed have meanwhile become areas of intensive research. For instance, the use of tense in narrative texts is a fiourishing field of enquiry (see, among others, Margolin, "Of What Is Past"), as is the concept of person." Although Stanzel did not formally integrate the reader into his model, he nevertheless frequently referred to the process of reading, thus

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anticipating many recent constructivist approaches to narrative (esp. Nunning, "On the Perspective"). This focus on the reading process can be noted particularly clearly in the essay reprinted here in translation. Stanzellike Seymour Chatmanis a narratologist who concentrates on the discourse level of narrative. His work therefore deals less with plot structure, suspense, or the construction of character. To that extent, he is indeed a "lowstructuralist" (as he dubbed himself in 1990 ["Low-Structuralist"]), one not so much interested in the deep structure of narrative as in the fascinating variety of its surface. In the 1980s and 90s Stanzel added considerably to specific problems of narrative. We would particularly like to mention here his superb study of the firstperson/third-person oscillation in contemporary German prose ("Wandlungen des narrativen"), recently reprinted in his Unterwegs: Erzdhltheorie fUr Leser {2002), but still not translated into English, as well as his fine study of the author's revisions in Henry James's "The Liar" ("Wandlung und Verwandlung"). Since the 1980s Stanzel has also increasingly turned to other fields, with work on national stereotypes (Europder), on the Hungarian connections of Bloom in Joyce's Ulysses, and on procreation from a distance ("Telegony"). In this collection we are reprinting in translation one of Stanzel's classic essays which uses Roman Ingarden's work as a starting point for a discussion of the reader's active engagement with the narrative text. 3.2. Anglistic Contributions to Narratology since the 1980s: The New Generation In this section we wish to present a brief introduction to the narratological work of six scholars whose publications have been especially infiuential in German-speaking countries and, to the extent that they were written in English, have also had extensive international resonance. We regret that limits of space constrain us to elide discussion of numerous other important scholars and their work. Helmut Bonheim (1930- ), formerly Chair of American Literature at the English Department of Cologne University, made an indelible mark on the German narratological scene with his infiuential Narrative Modes: Techniques of the Short Story (1982), which was one of the first properly narratological studies of the short story (see also Goetsch, ed.). Bonheim focused on the surface structure of narrative texts, where he described a succession of what he called narrative modes. He isolated four modes of which every narrative discourse is made up: report, speech, description, and comment. Bonheim thus began an enquiry into the text modes of narrative that anticipated Chatman's Coming to Terms (1990). Bonheim's second major monograph (Literary Systematics) was devoted to the science of cladistics and applied this model of tracing genealogies in biology to the relationship between different genres. Bonheim played a key role in founding Europe's equivalent of the MLA for English Studies, the European Society for the Study of

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English (ESSE), which had its first convention in 1991 and for which he served both as Chair (1995-2000) and editor of its newsletter. The Messenger (19921994). In addition to his publications and promotional work, Bonheim was a sought-after dissertation supervisor, and among his former Ph.D. and habilitation candidates are some of the best-known German narratologists of the 1990s and beyond.'^ One of these students of Bonheim's is the second person on our list. Manfred Jahn (1943-) has been a faculty member of the Cologne department since 1971. He has published a series of important articles in major narratological journals and is coeditor of the forthcoming Routledge Encyclopedia of Narrative Theory (Herman et al., eds.). Jahn's special interest lies in the issue of focalization, for which he has proposed an alternative model ("Windows," "More Aspects")"; he is additionally very interested in cognitive issues, and has published several essays in this area ("Frames," "'Speak,'" "Stanley Fish," "He Opened"). Moreover, together with Ansgar Nunning, Jahn has been very active in producing introductory material for M. A. students. Besides the essay "A Survey of Narratological Models," coauthored with Nunning, which compares the typologies of Stanzel and Genette and discusses their usefulness for interpretative purposes, Jahn has set up a homepage with a guide to narratology (alongside introductions to film, poetry and drama) which contains explanations, definitions of key terms, and even exercises for students ("PPP"). Another Cologne graduate, Ansgar Niinning (1959- ), now professor of English at the University of Giessen, is Germany's most prolific narratologist and a major force behind a number of narratological projects. Nunning started his academic career with a dissertation on the narrator in George Eliot's fiction. He presented a model of the various levels of narrative communication and emphasized the numerous functions of narratorial comment. Nunning has shown that narratorial discourse need not be intrusive and anti-illusionistic and paid particular attention to the self-reflexive (metanarrative) aspects of the narrator's language. These aspects of the narrative text have continued to be a major focus of Nunning's work. Nunning's most innovative research, however, developed from his critique of Wayne C. Booth's concept of the "implied author," which Nunning demolished in an essay in 1993 (see "Renaissance" and [in translation] "Deconstructing"). Having replaced the implied author with the "meaning of the work as a whole," Nunning went on to present a new theory of unreliable narration (Unreliable Narration, "Reconceptualizing"); that shifted the responsibility for detecting unreliability to the reader; it also positioned unreliability in a context of signals alerting readers to the possible untrustworthiness of the narrator. The question of how meaning is constituted in narrative texts thus moves to the forefront, and Nunning went on to analyze how the various perspectives in a narrative text are to be coordinated and how ultimate overall meaning may be established ("On the Perspective"). This model, adapted from Manfred Pfister's

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influential drama theory (The Theory and Analysis of Drama), was then expanded by Ansgar and Vera Nunning in the introductory essay to their collection Multiperspektivisches Erzahlen. On another track, Nunning pursued his interest in narratological discourse not in the direction of self-disclosure but in the direction of metanarrative selfreflection ("Mimesis"). Nunning here probes a large spectrum of forms and functions of metanarrativity that are not synonymous with metafictional uses of the intrusive narrator, but frequently serve to enhance the reader's immersion in the narrative. In contrast, Nunning's habilitation book had been much more concerned with postmodernist phenomena. The two volumes of Von historischer Fiktion zu historiographischer Metafiktion deal with the relation between history and fiction in the postwar British novel, particularly in what has come to be called historiographical metafiction. One section of Nunning's contribution to the twopart special issues (to appear in Style 38.3) is a summary of this important study. Last but not least, Nunning has considerably influenced the German narratological landscape by a series of textbooks and, more recently, a series of surveys edited together with his wife, Vera Nunning. Among these surveys there is a volume called NeueAnsdtze in der Erzahltheorie (2002), a collection of essays on new developments in narrative theory that expands Nunning's 2000 article "Towards a Cultural and Historical Narratology." A second collection provides a survey of transgeneric and transmedia narratologies focusing on narratological approaches to drama, poetry, painting, music, hypertext, etc. (Erzahltheorie transgenerisch). Finally, a volume of essays on feminist narratology appeared in 2004 (Erzahltextanalyse und Gender Studies). Nunning's oeuvre, in development for only a little more than a decade, already spans an incredibly wide range of subjects which are focused on the narrator figure, the reader's sense-making activity, and on a variety of textual issues. Nunning has significantly extended the traditional German reader-response framework and also subscribes to literary constructivism. Besides his narratological oeuvre, Nunning has recently moved into cultural studies and has done extensive work on stereotypes in eighteenth- and nineteenth-century literature as well as writing numerous articles on a wide variety of subjects from the eighteenth century to literary modernism and postwar British fiction. His article in the sequel to this issue puts the case for a cultural narratology. Outside Cologne, Wilhelm Fiiger (1936-) represents the work that grew out of the application of structuralism to narrative studies. Fuger completed his dissertation in Munich in 1963 with a study on the rise of the historical novel, focusing on the fictive biographies of Daniel Defoe and Courtilz de Sandras. He habilitated at Munich in 1970 with a book on the prose poem and went on to a chair at the Freie Universitat in Berlin in 1973. His narratological work includes a dozen key essays, the most famous of which included in the next issue. As the titles of Fuger's essays show, he was especially influenced by generative grammar and text

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grammar approaches. A listing of his most important essays is included in the bibliography compiled by Jan Alber. Monika Fludernik's work shares some similarities with Nunning's. She, too, has adopted a constructivist position and concentrates on narrative discourse rather than the story level. Fludernik (1957-) studied under Stanzel in Graz, where she completed a doctoral dissertation on Ulysses in t982. From 1984 she was assistant professor of American literature at the University of Vienna, where she received her tenure in 1992 for The Fictions of Language and the Languages of Fiction (t993). This study of speech and thought representation criticized Ann Banfield's Unspeakable Sentences and argued that free indirect discourse was not completely describable in linguistic terms but required a conscious interpretative act on the part of the reader. Fludernik's trademarks already show in this book: a very close analysis of the linguistic surface structure of narrative texts, a linguistic methodology, a wide range of texts (spanning English and American fiction from Chaucer onwards as well as including nonfiction and oral discourse), and a predilection for reading traditional theories against the grain and proposing controversial solutions. Fludernik then went on to expand the theses first discussed with reference to speech and thought representation and to generalize them as a theoretical approach to narrative tout court. Her follow-up volume. Towards a "Natural" Narratology (1996), which won the Barbara and George Perkins Prize of the Society for the Study of Narrative Literature (SSNL), proposes a new theoretical model that extends Stanzel's notion of mediacy to argue that all narrative is mediated by consciousness, that of a teller, an experiencer, and a viewer or a reflecting consciousness, and that these frames rely on cognitive bases by means of which humans perceive their world and act in it. She goes on to posit a revised definition of narrativity that marginalizes plot and instead focuses on experientialitythe conjunction of a narrative's tellability and point. For Rudernik, conversational narrative serves as the prototype of all narrative. The theory was designed to accommodate all narrative from oral tales to postmodernist texts. The central part ofthe study therefore concentrated on the way in which substrates of conversational narrative structure can be located in medieval and early modern texts and how modifications of these patterns led to the invention of the novel. This important historical thrust in her work continues to dominate Fludernik's current narratological work ("Diachronization"). Fludernik has also done work on second-person texts {Style special issue [1994]) and gender issues ("The Genderization of Narrative"). Since her appointment to the chair in Freiburg, Fludernik has been reorienting herself away from narratology. In the context of an interdisciplinary research group, Fludernik turned to postcolonial studies and published on expatriate Indian writing, hybridity, multiculturalism, and the diaspora. She is also working on the eighteenth-century sublime and on law and

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literature. Work in progress on narrative structure from 1250-1750 will, however, return her to the narratological fold. Our final representative in this section is Werner Wolf (1955- ). Wolf completed his habilitation, enlitied Asthetische Illusion undlllusionsdurchbrechung in der Erzdhlkunst {199?)), in Munich and shortly after became Stanzel's successor at the University of Graz. Asthetische Illusion, whose theoretical outline is provided by Wolf in the essay included in these issues (in Style 38.3), was a major achievement in at least two respects. On the one hand, it served to redefine the vague notion of "realism" and "realistic" by targeting precisely what in narrative texts tends to enhance the reader's illusion of being confronted with a "real world." By calling this effect aesthetic illusion. Wolf is able to skirt the problems of reality, I'effetde reel, etc., which plague most analyses of literary realism. He can therefore restrict the use of the term Realism to the nineteenth-century literary movement. Secondly, by contrasting the creation of aesthetic illusion with its shattering in antiillusionistic texts and by following these passages on a continuous diachronic plane. Wolf sketches a tradition of anti-illusionistic writing from the Renaissance onwards which, though known in its elements, has not been treated as a tradition in its own right before. The most important and practical aspect of Wolf's magnum opus concerns its scheme of categorization for types of illusionistc and antiillusionistic techniques, including, for instance, the insight that both too little and too much plot in a narrative occasion anti-illusionist effects. Wolfs study significantly complements Brian McHale's narratological enquiries into postmodernist techniques and provides a systematic grid for deviations from illusionistic norms. In his more recent work Wolf has extended the discussion of aesthetic illusionism to the realm of lyric poetry, arguing for poetry's lack of narrativity but proposing that it displays an openness to the evocation of aesthetic illusion ("Aesthetic"). Most recently. Wolf has moved on to consider narrativity more closely by combining insights from Prince and Fludernik in an attractive model that allows for a cross-medial application of the concept of narrativity ("Narrative," "Das Problem"). Wolfs other main line of research concerns intermediality, especially the interface between music, painting, and fiction. Besides some fine studies in eighteenth-century aesthetics. Wolf has turned to the consideration of a number of writers particularly interested in music and the arts, among them Gabriel Josipovici {Musicalization, "Role"). Wolfs work thus links up with Nunning's concern for transgeneric and transmedial narratology.

4, Narratological Work in German, French, Slavic, and Comparative Studies

Very little German narratological work in these areas is available in English, and most names may well be unfamiliar to the English reader. In this section we have therefore opted for coverage by major topics, rather than individual scholars.

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4.1. Linguistic and Structuralist Developments in the 1970s The emergence of modern German narratology in the early 1970s was by and large a product of the structuralist revolution of the 1960s and the rise of text linguistics with the development of text grammars. The current rhetoric was one of a new beginning and of a radical break with the historical-hermeneutic tradition; the methodological ethos was that of a striving for maximum explicitness and formalization, of turning narratology into a scientific discipline and seeking to integrate it into a unified science of texts, a universal communicative model or a general semiology. Many of these lofty ambitions have turned out to be either unrealizable or excessively reductive, but have nevertheless left an enduring legacy in terms of intellectual rigor and global narrative models. Moreover, the narratologists ofthe 1970s were the first to define a large number of key aspects and issues, which still dominate narrative research. Many of their specific claims may indeed appear self-evident today, having become the common coin of narratological discourse, but one should not forget that at the time they were innovative, and often quite controversial. The stormy growth of narratology in the 1970s and the ensuing debates are best documented in several collections of essays published during this period. Between 1976 and 1978 Wolfgang Haubrichs published a three-volume collection of articles entitled Erzdhlforschung in which he noted the "flood of publications on narrative in recent years" (1:7), compiled a bibliography of about 2400 (!) items published between 1956-1976, and sought to present new articles by many scholars representing all current perspectives and approaches to narrative in various disciplines. In his view, narratological research could be subsumed under three categories in terms of levels of generality: (a) basic problems and approaches; (b) specific issues such as fictionality, narrative attitudes and positions, narrative inference, semantics and pragmatics of narrative, text grammatical models; and (c) narrative strategies in specific genres and text types. Haubrichs distinguishes three major approaches to narrative in the 1970s. The first is the quest for plot models, looking for invariant patterns or grammars of narrative. This approach started out from Vladimir Propp, A. J. Greimas, and Claude Bremond. Second, text linguistics looks for a coherent method to describe linguistic and logical connections beyond the individual sentence. The third approach might be called descriptive poetics. It deals with such issues as point of view, characters' discourse, and the like. Haubrichs expresses the hope for the emergence of an integrated model, which will include and interrelate all of these areas. The collection itself contains 38 articles from various disciplines, with most devoted to literary narrative, but some also to everyday storytelling and historical texts. The other major collection of this title and period, Lammert's edited volume Erzdhlforschung (1982), reports the results of a 1980 conference in which forty scholars, mostly from literary studies, were invited to discuss issues belonging to four areas. The areas: (a) the basic structures of narrative, narrative as

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communicative transaction and its levels and aspects, including the functioning of deictics, self-reflexivity and semantic equivalences; (b) basic structures of specific types of narrative such as the story cycle or novel; (c) narrative features that are period or movement specific; and (d) contrasts and interrelations between fictional and factual narratives, including historiographic discourse. Topics discussed under this last heading include the use of cliches by historians, referring expressions evoke a fictional domain, and the functions of narratives of diverse kinds. In this collection the text-linguistic side is minor, and most contributors could be described as moderate structuralists seeking to marry the structural and diachronic/ historic perspectives. Several scholars of the period sought to present comprehensive integrated models of narrative, combining the stratificational and communicative models of linguistics. In their 1977 book on linguistic text models {Linguistische Textmodetle) Elisabeth Gulich and Wolfgang Raible, for example, devote a major chapter to the description of narrative texts on the levels of action, textual macrostructures and communicative activity, both inside the text and between author, text, and reader. Their guiding methodological principles are the distinction of several levels of textual analysisnarrated, narration, and textand the quest for invariant textual macrostructures specific to each text type. The same attempt is made in a textbook written by various hands, Hans-Werner Ludwig's 1982 Arbeitsbuch Romananalyse, the theoretical claims of which actually apply to narratives of all kinds. The analysis starts with author-reader communication through the medium of the book, followed by a discussion of communication inside the narrative, the three levels of event, story, and discourse, the narrator, character and action, space and time, kinds of speech situations portrayed in narrative, including diary, epistolarity, free indirect discourse, and interior monologue, and fmally novel and reality, that is, the construction of a reality in narrative and its relations to actuality. Even though the different chapters are written by different scholars and draw on different paradigms, a satisfactory composite picture of both object and field emerges at the end. A similar pattern is provided by Erzdhltextanatysc edited by Cordula Kahrmann et al. (1977). In addition to global models, numerous studies were devoted to the theorization of individual narrative components or aspects, beginning with narrative communication and its levels. A well-formulated communicative model of narrative, based on semiotics and communication theory, is presented in Dieter Janik's Die KommunikationsstrukturdesErzdhlwerkes {1913,1985). In this model the speech of a narrator is the sine qua non of all narratives, and the narrative work as a whole consists of embedded circuits of communication, that of the narrator and those ofthe characters, and their respective perspectives. On this view texts without a narrator, such as an unframed interior monologue, cannot be assigned to the narrative category. Arguing along similar lines, Joachim von der Thuesen in his Erzdhlbewusstsein undpoetische Intelligenz {1915) reminds us that

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narrator, narrative, and narrated domain alike are all equally feigned, since they are the products of concurrent textual creation by the author and observation by the reader. Thuesen goes on to discuss degrees of individuation of narrators, from anonymous speech position to person and the narrator's disappearance in characters' inner monologues. He introduces the term "poetic intelligence" (for the implied or abstract author) to designate the instance that chooses all means of portrayal and defines the shifting relation between narrator and characters. The poetic intelligence is therefore responsible for the text's alternation between characters' perspectives or for the narrator's temporary adoption of the spatiotemporal, perceptual, and epistemic perspective of a character, as exemplified in free indirect discourse. The story/plot/action level was also the object of some detailed studies. In her 1979 book Erzahlstruktur und Texttheorie, Hannelore Donner-Bachmann starts out from Propp's invariant fabula scheme for the Russian wondertale, a prime example of structuralist analysis, and then uses the formalism of text linguistics to offer a general method for abstracting from narrative discourse its underlying content units (motifemes) and their sequence. She claims that her method can serve as a powerful tool for discovering isomorphisms, divergences, and transformations between the narrative syntaxes of different genres, such as the Russian wondertale and the Gothic novel. Likewise starting from the fairy tale, oral and artistic, Bernhard Paukstadt's Para^ii'gmen der Erzdhltheorie (1979) analyzes a wide range of paradigms of narrative theory, both traditional and structuralist, and tests their usefulness for describing the regularities of the genre. He accepts the (French) structuralist claim that the logic of action is the most basic aspect here, but rejects its rage for complex formal models, taxonomy, and abstract and deductive procedures as missing the main task of any narrative theory, namely, to elucidate literary structures for the reader. Structuralist (text)linguistics has inspired numerous detailed studies of specific textual phenomena and their impact on the reader's creation of the narrated domain. One such outstanding study, drawing on both west European and Slavic structuralist literary and linguistic theories, is Wolf Schmid's Der Textaufbau in den Erzahlungen Dostoevskijs (1973). For Schmid, a narrative is a text consisting of two kinds of speech: that of the narrator and that of the characters, each with its own I-here-now point of origin. The author goes on to propose nine pairs of features according to which a text segment can be relegated to one or the other, and points out that some segments of the narrative report (that is, the text minus those segments that clearly belong to the characters' discourse) may contain within one and the same utterance some features that identify it as belonging to the narrator, and others that relegate it to a character. This mixing of features is defined as the interference of the two kinds of discourse, its most obvious forms being indirect discourse and free indirect discourse. In the rest of his study, Schmid explores textual interference as the constructive principle of Dostoevsky's

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narratives and its different forms in first- and third-person narratives. He then explores a further form of interference consisting of the orientation of the narrator's speech to the semantic position of the inscribed fictional narratee (e.g., in Notes from Underground). His conclusion is that both forms of interference render meaning-construction by the reader more difficult, prevent an unequivocal concretization of the world presented in the text, and make the reader focus his attention on the very structure of the literary work. Another textual feature, which turns out to be of major constructive and aesthetic importance, is explored by Johanna Kahr in Entpersonlichende Personenerwahnung (1973), a study unique in its combination of linguistics (Emile Benveniste, Roman Jakobson), narrative theory, and philosophy of language both analytic and phenomenological (John Searle, Edmund Husserl). The author begins with the three ways by which a character can be referred to: proper name, definite description (i.e., "the X"), and personal pronoun. It turns out that referring to a character exclusively by means of a personal pronoun contributes to the depersonalization and reduction of this character to mere grammatical function. In Robbe-Grillet's Laya/o.yi'e the reduction takes another form, with the narrator of this first-person narrative never referring to himself as either character or narrator, not even by means of an "I." The book also provides a typology of the possible occurrence and varieties of first-, second-, and third-person pronouns on the levels of narrator and character in different kinds of narrative, thus providing an unexpected link to Stanzel's classic study of narrative situations. Kahr's study further correlates the greater or lesser illusionistic character of narrative as a whole, in its development from realism to postmodernism, with the more or less extensive use of personal pronouns as referential devices. The 1970s and early 80s also witnessed the publication of several structuralistoriented studies of narrative composition, tectonics, or architectonics, thus continuing a tradition started by Muller and Lammert. Following the methodological paradigm of linguistics, all of these studies begin by exploring the forms of the phenomenon under scrutiny and end with a detailed typology based on either binary oppositions or a continuum between two poles. This is followed by a functional enquiry, focusing on the role and impact of each variety on the work as a whole and sometimes also on the reader. While such studies may be mostly descriptive and classificatory, they provide a template for enquiry, not unlike many of Genette's works. Moreover, the conclusions of such works tend to remain valid for a long time, and in some cases (Neuhaus, Hartmann) anticipate more sophisticated current theorizing. For example, Reingard K\5chi\C s Einstrdngigkeit und Mehrstrdngigkeit (1981) deals with singular and multiple plot lines in Englishlanguage novels. She proposes to define a plot line in accordance with three parameters: temporal frame, location(s), and participants. Different plot lines in the same narrative differ from one another in one or more of these factors. The three main patterns of difference out of the eight possible ones are same persons.

Introduction

different times and locations; same place, different persons and times; and difference in all three. A rarer form is the case of sameness of persons and place, but disjoint time frames. It is the relative extent and theme of each plot line that decides which one is major and which minor. The different plot lines in a narrative can be interrelated in a variety of ways: shared person(s), convergence of locations, an event in one line triggering events in the other, parallel situations, reference in one plot line to events in another, and a shared thematic and symbolic dimension. Different plot lines in the same work may stand in hierarchical or equality relations to each other. Nischik sees the reasons for having multiple plot lines as functional: enrichment, generalization, aesthetic integration, reciprocal illumination, explanation, intensification (e. g., of suspense), and (comic) relief. Dietrich Weber (Theorie des analytischen Erzdhlens [1975]) is concerned with "analytic" narrative and defines its prototypical form as the combination of three factors. First, there is the awareness of characters in the current sequence of events of something undefined, usually a past series of events or actions, coupled with their attempts to clarify it. The second factor concerns the enigma-andsolution structure of these attempts at clarification, and the third consists in the achrony of textual presentation, such that certain events are textually presented outside their natural order (e.g., in medias res). The analytic story pattern is an economical way of introducing motifs without elaborate information. It must contain at least temporary ambiguity or indeterminacy and create suspense, surprise, and other emotional reactions for characters and reader alike. For the reader it may also serve as a way of distancing the terrible (since only its results are explored), of authenticating the improbable or supernatural, or of creating a game of frustrated expectations. Volker Neuhaus, in his Typen multiperspektivischen Erzdhlens (1971), studies the forms of multiperspectival narration on the basis of English-language texts. The simplest and oldest form is that of the oral symposium, with each participant speaking or telling in turn. The written equivalent of this form is the epistolary novel, followed by the archival novel, such as Dickens' s Pickwick Papers, in which documents of various kinds, written by different persons (sometimes also in different times and places), as well as oral testimonies, all concerning the same person, are gathered, arranged, annotated, and commented upon by an editor or publisher figure. The detective novel prefers the confrontation of a plurality of witnesses, each with their own perspective, but with no solution guaranteed. In the modern age, from Henry James to Faulkner, many multiperspectival novels consist of the representation of the minds of numerous characters. Multiperspectivism can also go beyond the single novel, as in Durrell's Alexandria Quartet. The confrontation of several perspectives may reveal them as identical, complementary, or contradictory in content. As for the final narrative truth, three tendencies can be distinguished. The simplest setup consists in one truth illuminated by different perspectives. In the second, multiperspectivism is

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supposed to help the reader arrive at a truth that cannot be formulated in any simple way, since each perspective can grasp only one dimension or aspect, while truth is complex and multidimensional. Only the synthesis of numerous subjective, incomplete, and sometimes contradictory insights enables the truth to emerge. In (he third variety, the different perspectives diverge widely. There is no unique, objective reality to be reconstructed, no general truth exists, and no approximation of it is possible from the comparison of the different perspectives. What we are left with are mere subjective images of the events and characters as twisted by each individual perspective. Karl-Heinz Hartmann's study of narrative repetitions (Wiederholungen im Erzdhlen, 1979) begins by noting the key role ascribed to textual recurrences or isotopies in text grammars. They are seen as a major source of semantic coherence. Reduplication and gradation in rhetoric serve as means of steering the reader's attention, and the device correlates with parallelism and equivalence in theories of literariness from those of the Russian formalists on. Hartmann proposes to establish a systematics of repetition (iteration) in narrative as regards actions, characters, and narrative discourse itself. In single-plot narratives, repetition can assume the form of reduplication of events or repetition with variations, such as similarity, contrast, addition and intensification. In multiplot narratives, any kind of repetition of events in different plot lines, whether coterminous or sequent, creates mutual illumination. With characters, any repetition concerns features or feature-complexes of some kind. In the discourse, iterations can occur within the narrator's discourse, such as prolepsis and analepsis, between characters' and narrator's discourses, and between characters' discourses. The book provides a very fine-grained set of distinctions within each group, of which only a rough outline can be presented here. Transcending the boundaries of narratology per se, yet of great importance for its theoretical foundations, are two collections of conference contributions in the series Poetik und Hermeneutik: one on event, story and history (Koselleck and Stempel, 1973), the other on the functions of the fictive (Henrich and Iser, 1983). Both volumes are multidisciplinary, including contributions from philosophers, linguists, historians, and literary scholars. Most contributors belong to the hermeneutic, historicist school, but even so their essays engage in a discussion with the structuralist and analytical approaches, and both volumes are dedicated to the clarification of shared basic categories of text studies. In the 1973 volume, KarlHeinz Stierle in "Geschehen, Geschichte, Text der Geschichte" explicates the term Ge.schichte as designating a sequence of actual events, as the way(s) of presenting such events as a coherent narrative or story, and as a particular kind of text or discourse with its own macrostructures and truth-claim criteria. Since these are precisely the three levels defined in narratology in the 1970s for the description of literary narratives, metatheoretical and methodological questions are consequently raised by many of the participants about the usefulness of literary models for

Introduction

clarifying both basic features and specifics of historiographie discourse. In another essay in the same volume, "Geschichte als Exemplum," Stierle points to the origin of numerous literary narrative genres in everyday text types with practical functions. He goes on to claim that the transition to the literary sphere involves a problematization of the schemata of practical speech activity. In his contribution to Henrich and Iser's 1983 volume Funktionen des Fiktiven, "Das Fiktionale und das Asthetische," Johannes Anderegg defines fictionality in pragmatic terms as a special mode of reception or communication, and the aesthetic as a wider category that may on occasion coincide with the fictional. In the same volume, Wolf-Dieter Stempel, in "Fiktion in konversationellen Erzahlungen," points out that, in everyday conversational narratives of personal experience, the opposition fiction versus nonfiction is not a binary but a gradient. He draws attention to the role of rhetorical embellishment and of fictionalization of the factual as means of enhancing tellabiltiy and impact. To the hearer, mere probability and not factual truth is enough to make such stories acceptable as records of genuine experience. Two other major contributions to this volume, by Wolfgang Iser (on the fictional and the imaginary) and by Rainer Warning (on fiction as staged discourse) are available in English translation in later reworkings (see Works Cited). The first major period of German narratological research in the 1970s was thus a time of intellectual excitement and optimism during which scholars focused both on the establishment of the basic outlines of narratological models (communication structure, fictionality, etc.) and on more specific issues and tried to apply and extend structuralist methodology in their work. In the 1970s, German narratology had to establish itself within academe as a distinct discipline, to justify its innovative models and methods, and to demonstrate their validity by applying them to standard German literary works. This battle was won at the latest by the early 1980s and, after a period of consolidation, the second generation appeared on the academic scene towards the end of that decade. 4.2. The 1990s to the Present The new hallmarks of German narratology in the 1990s are a greater openness to multidisciplinary perspectives, to international scholarship and literature, to newer theoretical approaches (poststructuralism, feminism, cognitivism, etc.), and to modernist and postmodernist texts. This reorientation has led to a series of impressive achievements, several of which have already been noted in section 3.2. Numerous integrated models of narrative were published in the 1990s. A narratological research group, centered round Rudolf Freudenberg at the University of Marburg, has developed its own model of narrative, stressing maximum explicitness of definitions and systematic procedure (e.g., Brandt). Freudenberg himself, in a long article from 1992, provided "elements of narratology on a semiotic basis" ("Zum Beispiel"). He discusses levels of

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narration, including frame narrative and embedded stories, the typology of firstand third-person narratives, narratorial perspective as the kind and extent of knowledge the narrator can have regarding his characters, and perspectival shifts and blends involving the narrator and the mind of one or more characters. In another study ("Indem ich") Freudenberg discusses in great detail the dual tense system of German and its functioning in literary narrative, paying major attention to the various kinds of present tense (of narration, of events, the historical present) in its many functions, and to the shift from one tense system to the other as a means of distancing a scene or rendering it more immediate. In the same group of integrative models one could also include publications by Matias Martinez and Michael Scheffel, Dietrich Weber, Wolf Schmid, and Jurgen Petersen. Martinez and Scheffel's very successful and up-to-date book Einfuhrung in die Erzdhltheorie (1999), begins with a discussion of fictionality as an indispensable basic component of all theories of literary narrative and then proceeds to a presentation of the narrative "how" (time, mode, voice, narrative situation, unreliable narration), followed by the narrative "what" (action and narrated world), introducing for the first time into German narratology considerations from possible-worlds semantics. The book concludes with narrative models in other disciplines such as sociolinguistics (conversational narratives), cognitive psychology, and historiography. Most remarkable in this work are the wide international (English, French, some Spanish) and multidisciplinary coverage, and the opening towards new directions on an international scale. Martinez and Scheffel's introduction has therefore acquired a status similar to Shlomith Rimmon-Kenan's textbook Narrative Fiction. Weber, in a slim but highly informative study, Erzdhlliteratur (1998), written in an almost aphoristic style, seeks to define "narrative literature" as a prototype based on the combination of several features. Taking into account contemporary experimental literature, the author prefers to be cautious and minimalist in his definitions. All narrative (literary or not) is understood as serial (unfolding) speech about temporally defined states of affairs. All narratives have two centers of orientation: the I-here-now of the narrator and that of the character(s) spoken of. Narration is always addressed to someone and is basically expanded reporting. While the core of narration consists in reporting, it may also include reproduction of the speech of others and supplementary narratorial speech about the topic and about the narrative act itself. Specifically literary narrative is an artistic written work, and written narratives are considered verbal art if they are fictional, and/or aesthetically stylized, and/or when what is reported in them is exemplary or symbolic in nature. Fictional literary narrative is ludic, whether it is illusionist or not. Its narrator can be the actual author in ludic guise, for example, when he introduces himself by his actual name, or it may be an authorlike unmarked speech position or an individuated person. The report may be about the narrator or another, and may occur in the first, second, and third person, or in an impersonal "one." '

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The most comprehensive and ambitious model of literary narrative to come outofGermanyinrecentyearsisnodoubtWolf Schmid's A'arrafo/og/a (2003), so far available only in Russian. In this book Schmid combines the best of western and Slavic theories of narrative, enriched by numerous innovative contributions of his own. The author begins by carefully defining what to him are the three basic aspects of literary narrative: narrativity (i.e., event sequence), fictionality, and aesthetic function. The next section deals with narrative instances, comprising the abstract author or organizing principle and strategy of the work as a whole, followed by the abstract reader, fictional narrator, and fictional narratee. This is followed by a discussion of perspective or focalization and its various systematizations. Next comes a four-step quasi-generative model leading though a series of transformations from the events (fabula) to the story (syuzhet), then to narrating discourse and finally to textuality. Schmid's most innovative point here concerns the major role ascribed to perspectivization in the transition from each of these steps to the next. The fifth section of the book deals with the relations between narrators' and characters' discourses, focusing extensively on skaz. In the final section the author discusses in detail the nature and functions of positive and negative equivalences on the compositional and thematic levels (characters, situations, actions). Staying entirely within German literature and literary theory, Jurgen Petersen, in his Erzdhlsysteme (1993), sets out to formulate a strictly ordered poetics or descriptive system of narrative, claiming to improve on the classical studies by Hamburger, Lammert, and Stanzel and to correct their supposed mixing up of heterogeneous categories and criteria. Petersen's system seeks to encompass all constitutive units of narration along three basic dimensions: fictionality as the ontological status of any literary-narrative illocution; the narrator and the narrative act; and narrative composition and architectonics. Fictional narrative texts create, according to Petersen, an absolute world, totally dissociated from actual space and time, and containing its own internal criteria of truth and falsehood. The world of any fictional narrative is essentially mediated through a narrative position. In the absence of a marked narrator, the preterite tense in fictional narrative indicates merely the having-taken-place of fictional events; as soon as a narrator and his present act of narration become marked, however, it begins to signify pastness with respect to this act. Since the Second World War, though, many German narratives have appeared in which the present tense is used as interchangeable with the preterite. The fictionality of a narrative can be thematized, for instance by the narrator's denial of the validity of his own previous claims, or by a discussion inside the narrative of the creation of the current fictional world. Basic compositional patterns are created by the use of a frame or inlay story, montage, the multiplication of plot lines, variations on the order of presentation, and shifts in emphasis between action, description, and pure textuality.

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Narration can occur in all three persons, and in each the degree of markedness of the narrator can vary from minimal to highly individuated. Narrators also vary as regards the degree of their spatial and temporal information about the narrated sphere, and the extent of their mental access to characters' minds. Rejecting Stanzel's model, Petersen offers his own typology and terminology (53-93), distinguishing between the Standort des Erzdhlers (spatial and temporal viewpoint of the narrator), Sichtweisen (focalization), Erzdhlhaltung (evaluative relation of the narrator towards his characters) /4r/en der Darbietung (the forms of speech and thought representations), Sprachstile (stylistic variants), and Rellefbildung (the perspectivism of narrative emphasis). Petersen is a defender of an "authorial" firstperson narrative and uses some of Stanzel's terminology to designate quite disparate features of narration. For instance, he distinguishes between auktorialem, personalem, and neutralem Erzdhlverhalten (i.e., a presentation stylistically keyed towards the narrator's language and perspective, those of the the character(s), and objective description). The unique contour of each narrative is defined by the scope, frequency, and modes of combination and alternation of all the components listed so far. The nature of the narrator is itself one of them, since the overall contour is the product of the actual author's aesthetic preferences. The narrative text is a system consisting of a multiplicity of elements, and can manifest either constancy or variability in their selection and combination throughout the text. Examples of variability abound, from factual reporting to the laying bare of fictionality, from authorial to neutral telling, from first- to thirdperson narration, variable focalization, and so on. Compositional variety is manifested in textual montage, where different text types (such as reflections, letter, diary) stemming from different individuals are juxtaposed. A variable textual system may still be capable of integration, say in terms of thematic unity. If not, we are facing incoherent system-plurality which may, as in some contemporary texts, lead to the disappearance of the very narrational system, leaving us with mere verbal materials, open to the creation of any text type by the reader. Petersen's system is noteworthy for its attempt to include modernist and postmodernist texts as well as present-tense and second-person narratives, all of which have been stumbling blocks for classical narratology. Finally, two pedagogically useful comprehensive surveys of current German and international narratological work deserve mention: Jochen Vogt's Aspekte erzdhlender Prosa (1998) and Matthias Bauer's Romantheorie (1991), which is in fact not limited to the novel at all. Besides the above overall studies of narrative by scholars of German and Slavic literatures, several contributions on specific narratologically relevant issues are to be noted. The issues focused on include perspective, plot, self-reflexivity, fictionality, and the specifics of postmodernist texts. Beatrix Finke's Genettian study Erzdhlsituation und Figurenperspektiven im Detektivroman (1983) is concerned with narrative situation (who speaks?) and

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character perspective (who sees?) in the detective novel, a genre in which reliability of speech and vision (perception), the manner of distribution of information, and the steering of the reader's sympathy and suspense are decisive, interconnected factors. Finke distinguishes six possible speech positions in this genre: two narratorial ones (authorial and neutral), and four belonging to character roles (detective, witness, victim, criminal). As for focalization, it may be external or internal, and, if internal, through one character throughout or multiple and shifting. The interplay of speech position, perspective, and rhetorical impact is then studied in detail in numerous detective novels in several languages. Finke's study thus links typology and the thematic groundings of genre fiction. Although the text linguistic approach to the modeling of action sequences abated after the 1970s, some work along these lines still continues. Joachim Liedlke'sNarrationsdynamik (1990) is a good example. Using concepts from both text-linguistic and narratological work in several languages, the author seeks to systematize the dynamic quality of the narrated according to four aspects: time, space, actants, and events. For each, a list of linguistic indicators is drawn up, and major criteria for subclassification are defined. The study thus proposes four basic aspects of the dynamics of the narratedchronological, topological, actantial, and episodicand a method for defining their specific nature in each narrative through the subclassifications offered. Narrative self-reflexivity is the object of two detailed studies. In Der Geistder Erzdhlung (1987), a study rich in examples from various periods and literatures, Hans-Rudolf Picard discusses the ways in which the act of narration and the narrator are portrayed within the narrated domain. These include, among others, frame narratives, stories embedded within a story told by one character to others, discourses by the narrator consisting almost entirely of the quotation of the main character's account of his life, the case of an author figure trying to write a story, and the thematization of the current act of narration qua an attempt at storytelling. The same issue is studied in Michael Scheffel's book Formen selbstreflexiven Erzdhlens (1997). The author distinguishes two basic kinds of narrative selfreflexivity: self-mirroring (isomorphy of part and whole, embedded and embedding, mise en abyme) and self-observation (narrative self-reference, narratological comment and discussion, metanarrative comments, general poetological discussion, and the like). While self-observation can occur on the levels of narration and narrated alike, self-mirroring is specific to the story level. Moreover, reflexivity of either kind does not necessarily destroy the narrative illusion. In the study, the various kinds of self-reflexivity are illustrated through a close analysis of six German texts from the Enlightenment to postmodernism. Issues of fictionality likewise continue to occupy an important place in German narrative studies. Of special value here is Frank Zipfel's magisterial survey of theories of fiction and fictionality, Fiktion, Fiktivitdt, Fiktionalitdt (2001). Adopting speech act theory as his overarching framework, Zipfel

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distinguishes four kinds of theories according to their location of the fictional: the narrated, the act of narration, the real-world writer's speech activity when he produces works of fiction, and the real-world reader's mode of reception and overall communicative situation. A final chapter discusses briefly fiction with respect to drama and lyrical poetry. Under each heading Zipfel presents in a systematic and lucid way a myriad of English, French, and German language theories from literary studies, linguistics, and philosophy, providing the reader with what currently is the best and most comprehensive overview of this theoretical minefield. In Doppelte Welten (1996), focusing on fiction as the fictive narrated domain, Matfas Martinez discusses a particular type of narrative which enables two incompatible kinds of emplotment of the same sequence of events, causal and teleological, without providing the means for deciding between them. The events in such a narrative can thus be understood in terms of realistic, empirical causality or in terms of teleology and providential force, hinting at a supernatural sphere. Postmodernist narrative has been a constant challenge to any standard narratological model. In his Der labyrinthische Diskurs (1987), Manfred Schmeling takes up this challenge on the level of narrative organization. Employing the concept of the labyrinth as his key metaphor, he focuses on discourses opposed to the ideal of causal, logical, straightforward or well-formed narration, and seeks to provide a general model for the manifestations of such labyrinthine texts on the levels of action, spatial and temporal organization, character reference, thematic progression, narrative situations, and perspective. The growing interest in recent years in the paratextual elements of narrative is reflected in Harald Stang's Einleitung, Fussnote, Kommentar (1992), a study of mock scholarly-editorial elements in literary narratives, including fake editors' or publishers' introductions/prefaces, mock commentaries, footnotes, documentation items, sources, quotations, indexes, and bibliographies. A wide variety of relevant narratives in several languages, ranging form the eighteenth century to postmodernism, are identified, and this is followed by an inductive analysis of the functions of such fake authenticating elements in each text, and of the reader's ability to recognize them as fake. When such ultimately expository elements turn into the constitutive principle of the text, as in some of Borges's story-essays, the narrative and the essayistic are fused, and the text's overall generic affiliation as well as the key to its reading become problematic. More dramatic still are the cases of authors who have written both a nonfictional biography of an actual person, and a fake biography of a nonexistent one (Wolfgang Hildesheimer's Mozart and Marbot, for example), or a learned commentary on a pre-existent text and a mock commentary on a text of their own invention (Nabokov's commentary on Eugene Onegin and his Pale Fire). Are there any invariable, reliable textual signposts that can help us distinguish authentic and mock varieties of the same kind of discourse? Once again, Stang's answers are case-specific, but the book is still valuable for the

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range of texts examined, the questions raised, and the numerous individual answers provided. Another issue concerning the framing of literary narrative and narrative communication that has evoked growing interest in recent years concems the ways in which the actual (real-world) author can (re-)insert himself into the narrative text and its world, and the absolute or relative nature of the author-versus-narrator distinction, a postulate of structuralist narratology. A numher of essays on this suhjeet are gathered in Fotis Jannidis et al., RUckkehr des Autors (1999). Most of the contributions suggest that this binary opposition, too, needs to he replaced hy a continuum, and that the fictional/actual dichotomy can, at least in special cases, assume an oscillating, dynamic and variable quality rather than obeying fixed hierarchical postulates. The most recent stage in the development of German narratology outside Anglistik is represented hy the activities of the narratology research group at the University of Hamburg. The perspective of research here is multidisciplinary, stressing theoretical rigor and explicitness, and going back to the fundamental disciplinary issues first formulated in the structuralist phase. The group's first book publication is a collection of essays in English, What is Narratology? (2003), edited by Tom Kindt and Hans-Harald Muller. It seeks to map out the nature and place of narratology relative to general literary theory, text theory, interpretation theory, theory of fiction, and cognitive, especially reception, studies. Two essays in the volume, by Wolf Schmid and Jan Christoph Meister, go back to the notion of event as the basic element of all narratives and of narrative studies. Meister's Computing Action: A Narratological Approach (2003), the second volume in the series, is devoted to a rigorous multidisciplinary defmition of event, action and episode, and to the construction of an event-parser computing program. Several other research projects by members of the group are in progress.'" The research undertaken by the Hamburg Forschergruppe is especially important also because it again tries to bring together a wide range of analyses that had focused on fairly specific issues and to return to basic questions of the discipline. This strategy is particularly commendable since the major contributions on the Anglistik side, even where they ended up proposing new theoretical models, tended to focus on very specific, if not marginal, issues, from the perspective of which they then went on to reconfigure the field. (This is true of Nunning's oeuvre, which has been proposing important insights on the basis of issues like narratorial function, unreliability, metanarration and historiographic metafiction. It is also true of Fludernik's work which generalized insights from the study of speech- and thought-representation.) Moreover, the Hamburg research group, by reflecting on the history of narratology, especially on the influence of Russian formalism in Wolf Schmid's project, is beginning to make a contribution to narratology's current self-reflexive turn as instanced in the opening section of the Blackwell Companion to Narrative Theory (Phelan and Rabinowitz, eds., chs. 1-3).

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5. Concluding Remarks
This concludes our survey of German narratology from the 1970s to the present day. As we have seen, there was a burst of creative energy in the 1970s and a reinvigoration of narratological studies in the 1990s when the students of the first generation of narratologists started to publish. The survey documents, moreover, that the developments in English studies differ from those in the other language disciplines. Whereas narratology became a widely researched focus in German and Romance departments but produced few internationally recognized figures narratological work conducted in Anglistik tended to cluster around a number of narratological centers, with the rest of scholars in English Studies concerning themselves with other issues. Likewise, whereas outside Anglistik, the 1970s appear like a gymnasium with numerous scholars jostling for their own turf, inside the field was dominated by the towering figure of F. K. Stanzel, even though superb narratological work was published by Bonheim, Fuger, Wolfgang Muller, and others. Overall, the 1970s experimented with the new tools derived from structuralism and the (re)discovery of Russian formalism, and this work resulted in the delineation of seminal models and typologies. In the 1970s, narratology was also most clearly aligned with semiotics. After the consolidation of narratological research in the 1980s, the 1990s, by contrast, both brought a return to structuralist principles and initiated an acknowledgement of theoretical developments outside Germany. Whereas Germans in the 1970s were influenced by French structuralism, German academia now started to orient itself towards theoretical innovations and fashions flourishing in North America. As a consequence, German literary studies have been widely affected by postcolonial theory, the New Historicism, cultural studies, and debates about the ethics of literature. In the field of narratology, these developments have concerned Anglistie scholars more than other philological disciplines, or they have done so only with a notable time lag. The emphasis on linguistic training in German humanities departments, moreover, has resulted in a continuing influence of linguistics, although linguistics itself has undergone drastic refigurations from Saussurean structuralism to Chomskyan generativism on to pragmatics, speech act theory, text linguistics, discourse analysis, corpus linguistics, cognitive linguistics, and historical pragmatics. This strong influence of linguistics in German academia may be partly responsible for the continuing popularity of postclassical and muted structuralisms and the continuing understanding of narratology as an empirical science. Paradoxically, given these conditions, the empirical study of literature has remained a relatively marginal project centered mostly on Siegfried J. Schmidt's work in the 1970s and 80s which has been continued and expanded in the Netherlands, Canada, and Israel, but had no prominent successors inside Germany

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after the generation of Schmidt, Klaus Hempfer, and Harald Posner. As we have seen, the internationally most interesting developments in German narratology arose in the Anglistik camp where the influx of poststructuralism, feminism, gender studies, and postcolonial theory was strongest and had lasting effects. As a consequence, it will presumably be contributions to narratology by Germanspeaking AngUsten and work focused on postmodernist texts that "speak" most to the American academic public addressed here because this work partly rests on similar theoretical assumptions and overlapping theoretical concerns. On the other hand, knowledge about research conducted in Germany that profits from the conceptual clarity of revised structuralisms and from the linguistic expertise and historical depth that critics bring to their subject willso we hopeoffer a glimpse into perspectives on narrative that are less familiar, but precisely by this process of defamiliarization, may serve to enhance the reader's re-cognition of narratological features and important aspects. In the essays that follow the emphasis falls on the importance of the reception process in German narratological work and its anticipation of cognitivist and constructivist approaches in the 1990s (see the essays by Goetsch, Stanzel, Grabes, and Vera Nunning, in this issue). A second thematic group is constituted by an emphasis on logic and fictionality (the contributions by Harweg, Fuger, and Hempfer, to appear in the companion issue) and documents sophisticated developments from structuralist sources into possible worlds theory. The fmal two essays (by Wolf and Ansgar Nunning) illustrate work that focuses on postmodernism and marries this perspective with the German concern for literary history.

Notes
' An exception to this general emphasis can be observed in Ralf Schneider's work on literary character and Hilary Dannenberg's analyses of plot structure and coincidence patterns. ^ Highlights of this prolific tradition are, among others, Behaghel, Uber die Entstehung (1877); Lorck, Die "erlebte Rede" (1921); Walzel, "Von 'erlebter Rede'" (1926); Gunther, Probleme der Rededarstellung (1928); Buhler, Die "erlebte Rede" (1937); Glauser, Die erlebte Rede (1948); Neubert, Die Stilformen (1957); Hoffmeister, Studien (1965); Steinberg, Erlebte Rede (1971); Schmid, Der Textaufbau (1973); and Neuse, Geschichte (1990). ' Among the most prominent one can mention Christian Paul Casparis, Weinrich, Roland Harweg, Werner Hullen, Dieter Wunderlich, and Monika Fludernik (Fictions, Towards). "See Korte ["Das Du"], Wolfgang Muller, Fludernik [Second-Person], and Wiest-Kellner.

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^ For a brief summary see Paul Hernadi's preface to Stanzel's Theory of Narrative; on earlier German contributions to the theoretical study of narrative see Darby, Herman, Cornils and Schernus, and Bleckwein. ^ The book was translated almost immediately into Czech (1989), Japanese (1989), and later into Greek (1999). ' For a more extensive discussion of the epic preterite see Hamburger ("Das epische"), Stanzel ("Episches"), and Fludernik ("Chronology"). " For good surveys see Stanzel, "Towards" and "Teller," and Jahn and Nunning. '' For discussion and criticism of Stanzel's theory see Cohn, "Encirclement," and Genette (114-22). For very critical discussions of the model see Petersen (Review) and Wiegemann. '" Most prominently, one needs to mention Dorrit Cohn's seminal review of Theorie des Erzahlens ("Encirclement") in which she weighs the pros and cons of Stanzel's model in comparison to Genette's. In Germany, Stanzel's most relentless critic has been Jurgen Petersen, who in his Erzdhlsysteme (1993) presented his own model of narrative theory based on a series of categories largely incommensurable with the work of Stanzel and the Anglo-American and French traditions of narratology. Petersen's critique of Stanzel is based on Stanzel's failure to have used the more extensive categories invented by Petersen (see esp. 159, and more generally 157-61, 172-74). " In his revised edition of The Rhetoric of Fiction (1983) Booth had to admit that his earlier denigration of the category person was "plain wrong" (412). Person has become a crucial category in the wake of the discovery of large numbers of texts in the second person (Fludernik, Second-Person), in the first-person plural (Margolin, "Telling in the Plural") and in other experimental pronominal forms. '^ Cologne used to be among the top English departments in Germany; many of the most renowned chair positions in English studies in Germany were filled with scholars from Cologne. '^ For further publications by Jahn see Jan Alber's bibliography of major German work in narratology in this issue. '" See the homepage of the project, http://www.narrport.uni-hamburg.de/ePort/Nan-Port/FGN03.nsf/FrameByKey/MKEE-4WLMF3-DE-p.

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