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Georg Lukács's Theory of the Novel

Author(s): Paul De Man

Source: MLN, Vol. 81, No. 5, General Issue (Dec., 1966), pp. 527-534
Published by: The Johns Hopkins University Press
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The ratherbelated discoveryof the workof Georg Lukacs in the

West and, mostrecently,in this country,has tended to solidifythe
notion of a verydeep split between the early,non-Marxistand the
later MarxistLukacs. It is certainlytrue that a sharp distinctionin
tone and purpose sets offsuch early essays as Die Seele und die
Formen (1911) and Die Theorie des Romans (1914-15) fromre-
centlytranslatedessayson literarysubjects such as the Studies in
European Realism (1953) or the political pamphlet Wieder den
mij3verstandenen Realismus (1957) published here under the title
Realism. But the distinctioncan be overstatedand misunderstood.
It would be unsound, for instance,to hold on to the reassuring
assumptionthat all the evil in the later Lukacs came in as a result
of his Marxistconversion;a considerabledegreeof continuityexists
between a pre-Marxistwork such as Die Theorie des Romans and
the Marxist Geschichteund Klassenbewuf3tsein; it would be im-
possible for an admirer of the former to dismissthe latterentirely.
There is a similar danger in an oversimplifiedview of a good
early and a bad late Lukacs. The works on realism have been
treatedveryharshlyon theirAmericanpublication by such diverse
criticsas Harold Rosenberg (in Dissent) and Peter Demetz (in
the Yale Review); on the other hand, The Theory of the Novel
is being called by Harry Levin! (JHI, January-March1965,p. 150)

* Five of these articles were

given, in substance, as papers at the Yale Sym-
posium o7 Literary Criticismin the spring of 1965. ProfessorJacques Ehrmann
of Yale Universitywas the Director of the Symposium.

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528 M L N

"possibly the most penetratingessay that ever addressed itselfto

the elusive subject of the novel." If the blanket condemnationof
the books on realism is clearlyunjustified,especially if one bears
in mind the considerableamount of debatable but interestingtheo-
retical justificationofferedin Lukacs's late Asthetik (1963), the
almost unqualifiedendorsmentof The Theory of the Novel seems
equally unwarranted. Whatever one may think of Lukacs, he is
certainlyan importantenough mind to be studied as a whole, and
the criticalinterpretation of his thoughthas not been helped by the
oversimplified division that has been established. The weaknesses
of the later workare alreadypresentfromthe beginning,and some
of the earlystrengthremainsoperative throughout.Both weakness
and strength,however,exist on a meaningfulphilosophical level
and can only be understoodin the largerperspectiveof nineteenth
and twentieth-century intellectualhistory:theyare part of the heri-
tage of romantic and idealist thought. This stressesagain the
historicalimportanceof Georg Lukacs and rejects the frequentre-
proach made againsthim thathe remainsoverconcernedwith nine-
teenth-century modes of thought (a reproach that appears in both
the Demetz and the Rosenbergreviews). Such criticismis inspired
by an ill-conceived modernism or is made for propagandistic
I certainlydo not intendto addressmyselfto the complex taskof
definingthe unifyingelements in Lukacs's thought. By a brief
criticalexaminationof The Theory of the Novel, I hope to make
some preliminarydistinctionsbetweenwhat seems to remain valid
and what has become problematicin this very concentratedand
difficultessay. Writtenin a language thatuses a pre-Hegelianterm-
inologybut a post-Nietzschianrhetoric,with a deliberate tendency
to substitutegeneral and abstract systemsfor concrete examples,
The Theory of the Novel is by no means easy reading. One is par-
ticularlyput offby the strangepoint of view that prevails through-
out the essay: the book is writtenfromthe point of view of a mind
that claims to have reached such an advanced degree of generality
thatit can speak,as it were,forthe novelisticconsciousnessitself;it
is the Novel itselfthat tells us the historyof its own development,
verymuch as, in Hegel's Phenomenology,it is the Spirit who nar-
rates its own voyage. With this crucial difference,however,that
since Hegel's Spirit has reached a full understandingof its own

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M L N 529

being,it can claimunchallengeableauthority, a point which Lukacs's

novelistic consciousness,by its own avowal, is never allowed to
reach. Being caught in its own contingency,and being indeed an
expression of this contingency,it remains a mere phenomenom
withoutregulativepower; one would be lead to expect a reductive,
tentativeand cautiously phenomenologicalapproach rather than
a sweepinghistoryassertingits own laws. By translatingthe work
in a less exalted language,one loses itsmovingand impressivephilo-
sophical pathos, but some of the preconceptionsbecome more
Compared to a formalisticwork such as, for instance,Wayne
Booth's Rhetoric of Fiction, or to a work grounded in a more tra-
ditional view of historysuch as Auerbach'sMimesis, The Theory of
the Novel makes much more radical claims. The emergenceof the
novel as the major moderngenreis seen as the resultof a changein
the structureof human consciousness;the developmentof the novel
reflectsmodificationsin man's way of defininghimselfin relation
to all categoriesof existence. Lukics is not offeringus, in this
essay, a sociological theorythat would explore relationshipsbe-
tween the structureand developmentof the novel and those of
society,nor is he proposinga psychologicaltheoryexplaining the
novel in termsof human relationships. Least of all do we find
him conferringan autonomyon formalcategoriesthat would give
thema life of theirown, independentlyof the more generalintent
that produces them. He goes instead to the most general possible
level of experience,a level on which the use of termssuch as Des-
tiny,the Gods, Being, etc. seemsaltogethernatural. The vocabulary
and thehistoricalschemeis thatof latereighteenth-century aesthetic
speculation; one is indeed constantlyreminded of Schiller's philo-
sophical writingson reading Lukacs's formulationof the distinc-
tionsbetweenthe main literarygenres.
The distinctionbetween the epic and the novel is founded on a
distinctionbetween the Hellenic and the Western mind. As in
Schiller, this distinction is stated in terms of the category of
alienation, seen as an intrinsiccharacteristicof the reflectivecon-
sciousness. Lukacs's descriptionof alienation is eloquent, but not
strikinglyoriginal; the same could be said of his corresponding
descriptionat the beginningof the essay of a harmoniousunityin
the ideal Greece. The original unified nature that surroundsus
in " the blessed times. . . when the firethat burns in our souls is

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530 M L N

of the same substance as the fire of the stars"' has now been
split in fragmentsthat are " nothingbut the historicalformof the
alienation (Entfremdung) between man and his works (seine
Gebilden) ." And the followingtextcould take its place among the
greatelegiac quotationsof the earlynineteenthcentury:" The epic
individual, the hero of the novel, originatesin the alienation from
the outside world. As long as the world is inwardlyone, no real
qualitative distinctionsoccur among its inhabitants;theremay well
be heroes and scoundrels,worthymen and criminals,but the great-
est hero only risesby a head's lengthabove his fellow-men, and the
noble words of the wise can be understoodeven by the fools. The
autonomyof inwardnessbecomespossible and necessaryonly when
the differences betweenmen have grownto be an unbreachablegap;
when the gods have grown silent and no sacrificeor prayeris ca-
pable of loosening their tongues; when the world of action loses
contact with that of the self, leaving man empty and powerless,
unable to grasp the real meaning of his deeds . . .: when inward-
ness and adventureare foreverdistinct." We are much closerhere
to Schillerthan to Marx.
A definitelypost-Hegelianelement is introducedwith Lukacs's
insistenceon the need fortotalityas the inner necessitythat shapes
all worksof art. The unityof the Hellenic experienceof the world
has a formalcorrelativein the creationof closed, total forms,and
this desire for totalityis an inherentneed of the human mind. It
persistsin modern,alienated man, but instead of fulfillingitselfin
the mere expressionof his given unitywith the world, it becomes
instead the statementof an intentto retrievethe unityit no longer
possesses. Clearly,Lukacs's idealized fictionof Greece is a device to
state a theoryof consciousnessthat has the structureof an inten-
tional movement. This implies, in turn, a presuppositionabout
the nature of historicaltime,to which we will have to returnlater.
Lukacs's theoryof the novel emergesin a cogent and coherent
way out of the dialectic between the urge for totalityand man's
alienated situation. The novel becomes " the epic of a world from
which God has departed" (p. 87). As a result of the separation
between our actual experience and our desire, any attempt at a
total understandingof our being will stand in contrastto actual
experience,which is bound to remain fragmentary, particularand
1All quotations from Die Theorie des Romans, Zweite Auflage, Berlin 1963.
The firstedition is from 1920.

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M L N 531

unfulfilled. This separation between life (Leben) and being

(Wesen) is reflectedhistoricallyin the decline of the drama and
the parallel rise of the novel. For Lukacs, the drama is the medium
in which, as in Greek tragedy,the most universal predicamentof
man is to be represented.At a momentin historyin which such
universalityis absent fromall actual experiences,the drama has to
separateitselfentirelyfromlife,to become ideal and otherworldly;
the German classical theaterafterLessing servesLukacs as an ex-
ample forthisretreat. The novel, to the contrary,wishingto avoid
this most destructivetype of fragmentation remainsrooted instead
in the particularityof experience; as an epical genre,it can never
give up its contactwith empiricalreality,which is an inherentpart
of its own form. But, in a time of alienation,it is forcedto repre-
sent thisrealityas imperfect, as steadilystrivingto move beyondthe
boundariesthat restrictit, as constantlyexperiencingand resenting
the inadequacy of its own size and shape. " In the novel, what is
constitutedis not the totalityof life but ratherthe relationship,the
valid or mistakenposition of the writerwho entersthe scene as an
empiricalsubject in his full stature,but also in his full limitation
as a mere creature,towardsthis totality." The themeof the novel
is thusnecessarilylimitedto the individual,and to thisindividual's
frustrating experienceof his own inability to acquire universaldi-
mensions. The novel originatesin the Quixotic tension between
the world of romance and that of reality. The roots of Lukacs's
later dogmaticcommitmentto realismare certainlyto be found in
this aspect of his theory. However, at the time of The Theory of
the Novel, the insistenceon the necessarypresenceof an empirical
elementin the novel is altogetherconvincing,all the more so since
it is counterbalancedby the attempt to overcome the limitations
of reality.
This thematic duality, the tension between an earth-bound
destinyand a consciousnessthat tries to transcendthis condition,
leads to structuraldiscontinuitiesin the formof the novel. Totality
strivesfor a continuitythat can be compared with the unity of an
organic entity,but the estrangedreality intrudes upon this con-
tinuityand disruptsit. Next to a "homogeneous and organic sta-
bility" the novel also displays a "heterogeneous and contingent
discontinuity" (p. 74). This discontinuityis definedby Lukacs as
irony. The ironic structureacts disruptively,yet it reveals the
truth of the paradoxical predicament that the novel represents.

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532 M L N

For this reason, Lukacs can state that irony actually provides the
means by which the novelist transcends,within the form of the
work, the avowed contingencyof his condition. "In the novel,
ironyis the freedomof the poet in relation to the divine . . . for
it is by means of ironythat,in an intuitivelyambiguous vision,we
can perceivedivine presencein a world forsakenby the gods." This
concept of irony as the positive power of an absence also stems
directlyfromLukacs's idealist and romanticancestors;it revealsthe
influenceof FriedrichSchlegel,of Hegel and most of all of Hegel's
contemporarySolger. Lukacs's originalityresidesin his use of irony
as a structuralcategory.
For if irony is indeed the determiningand organizingprinciple
of the novel's form,then Lukacs is indeed freeinghimselffrom
preconceivednotions about the novel as an imitation of reality.
Irony steadilyunderminesthis claim at imitation and substitutes
for it a conscious,interpretedawarenessof the distance that sepa-
rates an actual experience fromthe understandingof this experi-
ence. The ironiclanguage of thenovel mediatesbetweenexperience
and desire,and unitesideal and real withinthe complexparadox of
the form. This formcan have nothingin commonwith the homo-
geneous, organic formof nature: it is founded on an act of con-
sciousness,not on the imitationof a natural object. In the novel
. . . the relationshipof the parts to the whole, although it tries
to come as close as possible to being an organic relationhip,is in
fact an ever-suspendedconceptual relationship,not a trulyorganic
one" (p. 74). Lukacs comes veryclose, in statementsof this kind,
to reachinga point fromwhich a genuine hermeneuticof the novel
could start.
His own analysis,however,seemsto move in a different direction;
the second part of the essay contains a sharp critical rejection of
the kind of inwardnessthat is associatedwith a hermeneutictheory
of language. In the 1961 prefacewhichLukacs added to the recent
reissue of his essay,he scornfullyrefersto the phenomenological
approach as a " right-wing epistemology,"that runs counterto left-
wing ethics. This criticismwas alreadyimplicitin the originaltext.
When he comes closestto dealing with contemporarydevelopments
in the novel and with momentsin which the novel itselfseems to
become consciousof its real intent,a revealingshiftin the argument
takes place. He shows us, convincinglyenough, how inwardness
for its own sake can lead to an evasion of the novel into a falsely

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M L N 533

Utopian realm "a Utopia which, from the start,has a bad con-
scienceand a knowledgeof its own defeat" (p. 119). The romantic
novel of disillusion (Desillusions-romantik)is the example of this
distortionof the genre, in which the novel loses contact with em-
pirical reality;Lukacs is thinkingof Novalis, who was attackedin
similar termsin an essay fromthe earlier book Die Seele und die
Formen, but he also gives examples fromJacobsen'sNiels Lyhne
and Gontcharov'sOblomov. He fullyrealizes,however,that these
examples do not account for other developments in European
fictionin which the same themeof disillusion is obviouslypresent
and which he neither can nor wishes to dismiss. Flaubert's
SentimentalEducation, of course, is the most strikinginstance,a
trulymodern novel shaped by the overpoweringnegativityof an
almostobsessiveinwardnessbut whichnevertheless, in Lukacs's own
judgment,represents the highestachievement of the genre in the
nineteenth century. What is present in Flaubert's Sentimental
Education that saves it frombeing condemned togetherwith other
post-romantic novels of inwardness?
At this momentin the argument,Lukacs introducesan element
that had not been explicitlymentioned up till now: temporality.
In the 1961 Preface,he points withpride to the original use of the
categoryof time, at a moment when Proust's novel was not yet
known to the public. For the decadent and belated romantic,time
is experiencedas pure negativity;the inward action of the novel
is a hopeless "battle against the erosive power of time." But in
Flaubert, according to Lukacs, this is preciselynot the case. In
spite of the hero's continuous defeats and disappointments,time
triumphsas a positive principle in the SentimentalEducation, be-
cause Flaubert succeeds in recapturingthe irresistiblefeeling of
flowthat characterizesBergsonianduree. " It is time which makes
possible this victory. The uninterruptedand irrepressibleflow of
time is the unifyingprinciple that gives homogeneityto the dis-
jointed parts,by puttingthemin a relationshipthat,althoughirra-
tional and ineffable,is neverthelessone of unity. Time gives order
to the randomagitationof men and confersupon it the appearance
of organic growth. .." (p. 128). On the level of true temporal
experience,the ironic discontinuitiesvanish and the treatmentof
time itself,in Flaubert,is no longer ironic.
Can we admit Lukacs's interpretationof the temporalstructure
of the SentimentalEducation? When Proust, in a polemical ex-

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534 M L N

change with Thibaudet, discussedFlaubert's stylein termsof tem-

porality,what he emphasized was not homogeneitybut precisely
the opposite: the manner in which Flaubert's use of tenses al-
lowed him to create discontinuities,periods of dead and negative
time alternatingwith momentsof pure origination,complexities
in memorystructurescomparable to those achieved by Gerard de
Nerval in Sylvie. The single-directed
flowof mereduree is replaced
by complex juxtaposition of reversiblemovementsthat reveal the
discontinuousand polyrhythmic nature of temporality.But such
a disclosureof authentic temporalitydemands reductivemoments
of real inwardnessin which a consciousnessconfrontsits own true
self; and this moment is preciselythe one at which the organic
analogybetweensubject and object revealsitselfas false.
It seems that the organicismwhich Lukacs had eliminated from
the novel when he made ironyits guiding structuralprinciple,has
reenteredthe picture in the guise of time. Time in this essay acts
as a substitutefor the organic continuitywhich Lukacs seems un-
able to do without. Such a linear conception of time had in fact
been presentthroughoutthe essay. Hence the necessityof narrating
the developmentof the novel as a continuous event,as the fallen
formof the archetypalGreek epic which is treatedas an ideal con-
cept but given actual historicalexistence. The later development
of Lukacs's theorieson the novel, the retreatfromFlaubert back
to Balzac, fromDostoevskyto a rathersimplifiedview of Tolstoi,
froma theoryof art as interpretationto a theoryof art as reflected
imitation (Wiederspiegelung)should be traced back to the reified
idea of temporalitythat is so clearly in evidence at the end of
Theory of the Novel.

Cornell University

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