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Theses on the Transition from the Aesthetics of Literary Works to a Theory of Aesthetic Experience
The following propositions evolved originally in the context of the German debate concerning new
theories of the so-called aesthetics of reception,1 the literary theory aiming at the inclusion of the
reader, listener, or observer as a mediating moment on the history of authors and works. This debate
has again brought to light the opposition between an ‘idealist’ and a ‘materialist’ point of view. My
theses represent an attempt to give the discussion a new goal. Until now, the idealist and the
materialist schools – as well as the formalist and hermeneutic methods – were primarily concerned
with an understanding of texts which corresponds to the classical concept of the autonomous work.
All schools of literary theory confront new difficulties once they abandon the substantialist idea of a
self-contained work, which is not appropriate to either medieval or modern literature. Difficulties
also result when the problem of interpretation and verification is extended to instances of
intertextuality, which until now has scarcely been explained historically or systematically.
1
For status of this debate see Rezeptionsästhetik – Theorie und Praxis, ed. R. Warning (München: W. Fink, 1975).
2
Cf. Eugenio Coseriu, Synchonie, Diachronie und Geschichte – Das Problem des Sprach-wandels (München: W. Fink, 1974);
R. Koselleck and W. D. Stempel, eds, Geschichte – Ereignis und Erzählung (München: W. Fink, coll. Poetik und Hermeneutik
V, 1973).
RELATED TRENDS IN THE THEORIES OF AESTHETIC EXPERIENCE
The step from a substantialist conception of a work towards a definition of art arising from its
historical and social function is synonymous with granting to the receiver (reader or audience) those
rights so long denied. The notion of the work as an entity which supports or represents the truth is
replaced by the progressive concretization of meaning. This meaning is constituted by the continuous
convergence of text and reception, of the given structure of the work and the appropriating
interpretation. The productive and receptive aspects of the aesthetic experience are dialectically
related. The work does not exist without its effect; its effect presupposes reception, and in turn the
audience’s judgment conditions the author’s production. Thus literary history is represented as a
process in which the reader as an active but collective subject confronts the individual producing
author. As the mediating, long-forgotten element in literary history, the reader can no longer be
ignored.
3
Literaturgeschichte als Provokation (Frankfut: Suhrkamp, 1970) 199.
4
Ibid. 173-4.
the relief from the restraint and monotony of everyday life, in the acceptance of an invitation to
identify with a model, or more generally, in the enrichment of a new or widened experience. But this
fusion may also take place more reflectively as a distanced contemplation, the recognition of a
challenge to our comprehension, the discovery of a stylistic or aesthetic device, the response to a
flight of thought, and, in all this, an appropriation or a refusal of a new aesthetic experience. With
this explanation I also hope to have demonstrated that the concept of the ‘fusion of horizons’
introduced by H. G. Gadamer is not as ‘conservative’ as it is imputed to be. Instead, his concept
permits us to discover and define different achievements of the literary experience which work to
transgress or to fulfil, but also to invent new norms of behavior.
5
Wolfgang Iser, Der implizite Leser: Kommunikationsformen des Romans von Bunyan bis Becket (München: W. Fink, 1972)
8, 92.
6
‘Soziologie und empirische Forschung’ (1957), in Logik der Sozialwissenschaften, ed. E. Topitsch (Köln/Berlin: Kiepenheuer
u. Witsch, 1966), 511-25.
the divergent forms of reception of historical and social groups, it is not surprising to be faced in the
end not with aesthetic attitudes and judgments but with simple hypostases of role behavior or
prejudices which depend upon stratum or status, both incapable of articulating an aesthetically
mediated experience. The implied reader cannot totally sacrifice the universal claim made by
Rousseau if the text is to appeal to the aesthetic freedom of historical readers. Whoever reduces the
role of the implied reader to the behaviour of an explicit reader, whoever writes exclusively in the
language of a specific stratum, can only produce cookbooks, catechisms, party speeches, travel
brochures, and similar documents. He will not excel in these genres either, as may be seen from
eighteenth-century cookbooks which aimed at universal good taste and not at limited structures of
pre-understanding.
7
La Prodution de l’intérêt romanesque (The Hague/Paris : Mouton, 1973).
may be compared with today’s irresistible television series. In view of this phenomenon we might ask
whether trivial literature and art, which distinguished themselves so clearly from the ‘entertaining
arts’ of earlier periods, did not in fact arise in the nineteenth century as a result of the techniques of
reproduction (called art industriel!) but rather as a correlative to the needs which could not be filled
by the suspense-oriented serial novel.
Such forms of aesthetic experience which are not related to the classical idea of a self-contained
work are already common in eras of pre-autonomous art, to the extent that the reader’s relation to
the book as a work seems to be but one episode in literary history. If we accept this hypothesis, some
difficulties that medievalists continually encounter may be resolved. The prevailing scholarship,
which considers itself strictly positivistic, had to suffer, for instance, the ruinous criticism of Eugène
Vinaver on the question of the ‘unity of the Song of Roland,’ a topic treated in thousands of essays
during the past hundred years. Vinaver pointed out that the quarrel about unity was without
foundation in the current debate, but was rather the unrecognized consequence of an applied
aesthetics that every French positivist carries with him from his classical training in Corneille and
Racine.8 Indeed, the old Romance epic is part of an oral tradition which cannot be traced back to the
closed form of the ‘original’ work, nor can it be reduced to ‘impure’ or ‘corrupt’ variants which
require special editorial attention. The chanson de geste was performed in instalments with a serial
structure of reception. It was poetry meant for recitation and permitting, by means of the style
formulaire, a certain amount of improvisation so that each performance resulted in a different, and
never definitive, form of the text. Increasing continuations and variations had the effect of making
the work’s boundaries seem still more flexible and of secondary importance. Thus, the epic fable
itself could not be regarded as definitive. In the cycle of the Roman de Renart I encountered a
noteworthy phenomenon; the cycle’s core fable about the court day of the lion is retold by a series
of narrators who continually alter the trial of the rogue-figure of the fox by changing both the initial
motive and the final outcome. What positivist scholarship considered to be a series of ‘corrupt
variants’ of a lost original version was received by the medieval audience as a sequence of
instalments introducing an element of suspense within a static framework. This principle, running
counter to humanist understanding of original versions and their receptions by a reading audience as
well as to the ideal of the purity of a work and the faithfulness of imitation, is not only to be found at
the level of popular literature or lower style. The great Latin works which were written in the
elevated style of philosophical and theological epic and composed in the aftermath of the allegorical
tradition of Claudian and Boethius by the twelfth-century Chartres school may also be explained by
the principle of what I would call the continuation within an imitation. These series, wherein every
new variant of one allegorical fable represents a new answer, could be read according to the
perspective of constantly formulated questions. I found this phenomenon in the series of De
universitate mundi by Bernhard Silvestris, the Planctus Naturae and the Anticlaudianus by Alanus ab
Insulis, the Roman de la Rose in the thirteenth century, and finally Brunetto Latini’s Tesoretto.9
Examples in other genres which were neither conceived nor received in terms of definitive form will
be mentioned here only in passing. The religious drama, because it was related to the story of the
Passion, transcended with every performance the telos of a created work. Lyrics passed on through
song sheets (canzone) or improvised in accordance with rules of public competition (partimen) were
also subject to similar fluidity. And finally, the so-called poésie formelle of the Middle Ages did not
exist in definitive form; this is proven by the instability of textual tradition as well as by the serial
reception of the poems. Its particular charm, as Robert Guiette shows us, consisted in perceiving the
variations from text to text. What today’s critics call ‘intertextuality’ finds its best manifestation in
the medieval enjoyment of poetry.
All in all, these examples confirm a situation already pointed out by C. S. Lewis: ‘We are inclined to
wonder how men could be at once so original that they handled no predecessor without pouring
8
A la Recherche d’une poétique médiévale (Paris : Nizet, 1970).
9
See my “Brunetto Latini als allegorischer Dichter,’ in Formenwandel – Festschrift zum 65. Geburtstag von Paul Böckmann,
eds. W. Müller-Seidel and W. Preisendanz (Hamburg: Hoffmann. Campe, 1964). 70.
new life into him, and so unoriginal that they seldom did anything completely new.’10 A particular
work in the medieval literary tradition should be considered neither as a unique and final creation
closed in itself nor as an individual product of its author. The categories of classical aesthetics of
production were first proclaimed by the Renaissance after poetry’s autonomous quality had attained
a new status. The notion of the uniqueness of the original hidden in the distant past, the pure form
of which was first to be sought and reconstructed from the distortions of its usage through time,
then saved from future profanation by an editio ne varietur, made the work into a hypostasized
product. If it can be confirmed that the classical equation of the work with the original has its origin
with humanism, we could add a further hypothesis on the formation of the concept of autonomous
art during the bourgeois period. Has not the rising bourgeois class, in competition with humanism
and with the representative art of the aristocratic courts, attempted to create for itself its own works
of art, or in other words, ‘contemporary originals?’ How then otherwise could this new bourgeois art
compete with the originals of antiquity, the number of which could no longer be increased?
Post-romantic modernity may again in many respects be understood in terms of a suspension of
the classical aesthetics of the self-contained, fetichized work matched by the solitary interpreter. This
statement requires only a few references. All the camps of literary theory have by now absorbed
Benjamin’s famous essay Das Kunstwerk im Zeitalter seiner technischen Reproduzierbarkeit (The
Work of Art in the age of its Technical Reproducibility, 1936, full text in 1963). In this article Benjamin
associates, not without nostalgia, the concept of the aura of uniqueness with the status of the
autonomous work of art, a notion at which he has arrived, via negationis, through the loss of his own
aura by mass-reception. Not as well known is the fact that André Malraux’s Les Voix du silence (1951)
represents an unavowed case of ‘Benjamin-reception.’ Once the original work is separated from its
cultural or historical context it becomes a ‘not-original’, an aesthetic object no longer related to the
work’s concept. It can then be enjoyed by aesthetic consciousness, an attitude often unjustly
slandered. The negation of the work’s aura of uniqueness and the growing activation of the receiver
is most notable in modern painting since Duchamps’ ‘ready-mades’ in which ‘the act of provocation
itself replaces the status of what has been the work.’11 The term ‘text’ also belongs in this context,
which once would have been unthinkable in this function but today has been promoted to describe a
genre unto itself, thereby presupposing an actualization by a reader as its very mode of existence.
Being one of the spiritual fathers of our time, Paul Valéry should hold a central position in an
historical re-examination of the problem with which we are concerned. His provocative statement
‘mes verses ont le sens qu’on leur prête’ denies both the teleology of the completed work and the
ideal of its contemplative, but passive reception.
If it is true that the concept of the ‘auratic’ work of art remains, in its historical significance,
limited to the idealist period of art which is that of bourgeois society, then it must now be asked
how, post factum, the entire history of art has been conceived and represented in terms of the
priority of works over their experience, of authors over their readers.
University of Konstanz
JAUSS, Hans Robert; Theses on the Transition from the Aesthetics of Literary Works to a Theory of
Aesthetic Experience. In: VALDÉS, Mario J.; MILLER, Owen J. Interpretation of Narrative. Toronto:
University of Toronto Press, 1978. pp. 137-147.
10
The Discarded Image: An Introduction to Medieval and Renaissance Literature (Cambridge: Cambridge University Press,
1964). 209.
11
Peter Bürger, Theorie der Avantgarde (Frankfurt: Suhrkamp,1974) 77.