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The Function Of The Symbol In The Modern German Kurzgeschichte

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The Function Of The Symbol In The Modern German Kurzgeschichte

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Content THE FUNCTION OF THE SYMBOL IN THE MODERN GERMAN KURZGESCHICHTE by Marjorie Ormiston Tussing A Dissertation Presented to the FACULTY OF THE GRADUATE SCHOOL UNIVERSITY OF SOUTHERN CALIFORNIA In Partial Fulfillment of the Requirements for the Degree DOCTOR OF PHILOSOPHY (German) June 1971 72-3803 TUSSING, Marjorie Ormiston, 19M-0- THE FUNCTION OF THE SYMBOL IN THE MODERN GERMAN KURZGESCHICHTE. [Portions of Text in German]. University of Southern California, Ph.D., 1971 Language and Literature, modern University Microfilms, A X E R O X Com pany, Ann Arbor, Michigan (tp COPYRIGHT BY Marjorie Ormiston Tussing 1971 THIS DISSERTATION HAS BEEN MICROFILMED EXACTLY AS RECEIVED UNIVERSITY O F SO U TH ER N CALIFORNIA TH E GRADUATE SCHOOL UNIVERSITY PARK LOS ANGELES, CALIFORNIA 9 0 0 0 7 This dissertation, w ritten by QRMIS.TDH..HUSS.IliG..... under the direction of h&r . . . Dissertation C o m m ittee, an d a p p ro v e d by a ll its m em bers, has been presented to and accepted by T h e G radu ate School, in partial fulfillm ent of require ments of the degree of D O C T O R O F P H I L O S O P H Y Dean D a te....June.. .197.1 y y Chairman DISSERTATION COMMITTEE PLEASE NOTE: Some Pages have i n d i s t i n c t p r i n t . Film ed as r e c e i v e d . UNIVERSITY MICROFILMS ACKNOWLEDGMENTS As this dissertation is concluded* I should like to express my grateful appreciation to Dr. Klaus WeiBenberger* chairman of my dissertation committee* for his valuable guidance. His sincere interest and encouragement were the basis for developing and concluding this investigation. I should also like to express by appreciation to the other members of my committee* Dr. Harold von Hofe and Dr. Rosario Armato* who furthered this study with their invaluable and constructive criticism. ii TABLE OF CONTENTS Page ACKNOWLEDGMENTS ii Chapter I. INTRODUCTION 1 Statement of the Problem -II. THE KURZGESCHICHTE AS A GENRE IN Discussion of the Elements Attributed to the KURZGESCHICHTE Comparison of the KURZGESCHICHTE to Related Genres The Significance of the Symbol for the Modern Narrative III. REPRESENTATIVE TYPES OF KURZGESCHICHTEN .... 104 The Dialectic KURZGESCHICHTE The Ironic KURZGESCHICHTE The Paradoxical KURZGESCHICHTE The Satirical KURZGESCHICHTE The Humorous KURZGESCHICHTE The Grotesque KURZGESCHICHTE The Absurd KURZGESCHICHTE LITERARY CRITICISM 18 IV. CONCLUSION 220 BIBLIOGRAPHY 233 CHAPTER I INTRODUCTION Statement of the Problem The German literary term KURZGESCHICHTE first appeared as a translation of the English term "short story*the meaning of which has numerous possibilities* according to English-speaking critics. An examination of the many sources dealing with the American and English short story reveals that the only consensus rests on a single aspect of form— the length— and thus the term "short story" may refer to any one of several limited narrative forms. Although the limitation of length has remained the only constant factor distinguishing the English short story from other related narrative forms* additional formal criteria have been ■^The term "short story" refers here to the narrative as it is used in American and English literature. The term KURZGESCHICHTE is used only to refer to a particular narra tive genre in German literature which is the focus of this s tudy. 1 established which vary considerably from one generation of literary criticism to another. Early in the twentieth cen tury the short story was defined in terms quite similar to 2 the NOVELLE; during the twenties, however, the form began to change and critics applied new criteria. The influence of Edgar Allan Poe's review of Nathaniel Hawthorne's Twice-Told Tales appears to have established the one characteristic which has remained with the short story. Poe demanded a narrative which could be read at one sitting and would thereby have a unity of effect not otherwise pos- 3 sible. Thus critics have stressed the length of the narra tive as the main distinguishing feather among major narra tive forms. These forms can be divided into longer and shorter types. The short short story is said to have up to 500 words. There is also a longer form between 500 and 15,000 or 20,000 words which is considered a short story, a ! novella, or a novelette. Longer than the short story is the short novel, which is a form between 20,000 and 50,000 words 2 Benjamin West, The Short Story in America 1900-1950 (Chicago, 1952), p. 4. ^Edgar Allan Poe, The Works of Edgar Allan Poe (New York, 1914), VII, 38-40. (Review originally published in Graham's Magaz ine, May 1842.) 3 and which is to be distinguished from the novel, which has 4 50,000 or more words. In addition to the length of the narrative, a defini tion of the plot was a focal point of early critics whose criticism was based on the unity of external form. A single event was the basis of the tale. It provided a climax, denouement, and conclusion which revealed the direction of the action toward some definite end. 5 In The American Short Story in the Twenties Austin M. Wright identifies a new trend in this narrative form which reduces the elements of the plot to the very minimum and stressed the reflections and the relationships of an inci dent in the life of an individual. Many short-story writers of this generation developed a technique which employed very different means from those of their nineteenth-century counterparts. The use of suggestion, implied action, in direct narration, and symbolism conveys meaning through a series of seemingly unrelated events which stand in sharp contrast to the tightly constructed tales of earlier 4 William Flint Thrall and Addison Hibbard, A Handbook to Literature (New York, 1960), p. 458. ^Chicago, 1961. 4 generations. Even though this genre assumes several very different forms, many critics feel that the short story has been in existence as long as stories have been told, and that since it is continually undergoing change, its definition must be based on that one characteristic which remains constant: the length.6 Miller and Slote, writing in 1966, seek to define the short story in terms of three elements that stress the changes having taken place in the twentieth cen tury which, however, still adhere to a sense of the story as it was defined by Poe. These critics stress the brevity of a narrative which can be read at one sitting, a density that limits the form, and a unity which will guarantee a single ness of impact. Given these three elements, a story could then be classified according to kind. It might be an anec- Jdote, sketch, episode, or study. It could be further clas sified according to content as being a story of adventure or romance. In other words, it may or may not have the C. Fred Lewis Pattee, The Development of the American Short Story (New York, 1923); Henry Seidel Canby, A Study of the Short Story, rev. ed. (New York, 1935), p. 14; H. E. Bates, The Modern Short Story: A Critical Survey (London, 1941), pp. 13-17; Henry Seidel Canby and Robeson Bailey, The Book of the Short Story (New York, 1948), p. 4. 5 elements of a plot, it may be static or dynamic, it may be 7 almost anything that is a short narrative. Thus the English term "short story" serves to designate a number of very different independent genres. It makes the problem inherent in this term apparent, if the German term is meant to designate the equivalent of those genres in cluded in the English. The use of the term "short story" is partially equivalent to the term "Erzahlung," which, as a 1 |"Sammelbegriff," generally designates the narrative as it is (found in a number of genres, and also refers to a particular Igenre which can be distinguished from other narrative forms. The English term "short story" is used to designate the difference between the longer genre, the novel, and other j (relatively shorter narrative forms. This term serves to ! linclude a number of very different independent genres which, | ;if applied to examples of German literature in the same way, would include such genres as ANEKDOTE, ERZfiHLUNG, KALENDER- jGESCHICHTE, NOVELLE, SKIZZE, as well as those narratives 7 James E. Miller, Jr. and Bernice Slote, The Dimensions l of the Short Story: A Critical Anthology (New York, 1966), Ip. 510; Norman Friedman, "What Makes a Short Story Short?" Modern Fiction Studies, IV (1958), 103-117; Mark Schorer, The Story: A Critical Anthology (Englewood Cliffs, N. J., jl967) . 6 g which have been designated as "Einfache Pormen." It would therefore have such a wide range of meaning that the term would add little to the understanding of narrative genres. The term KURZGESCHICHTE has appeared only recently in the history of narrative forms and has been widely used only in the last fifty years. Since the above-mentioned genres have an established tradition in German literature, neither the question of understanding the nature of narrative through a study of those elements which distinguish one genre from anotherj nor the matter of the uniqueness of the KURZGE SCHICHTE would be served by an adoption of the term KURZ GESCHICHTE as a synonym for the English "short story." The use of this borrowed term makes it necessary to define the KURZGESCHICHTE through an analysis of the German examples and to disregard the influence of the English term "short story" in spite of its widespread use. When the term KURZGESCHICHTE was first introduced into German it was used by many critics in much the same way as its English equivalent. The ambiguity of the term is ob vious when one compares the earlier sources which refer to i 8 / Andre Jolles, Einfache Formen: Legende, Sage. Mythe, Ratsel, Spruch, Kasus, Memorabile, Marchen, Witz, 3. un- veranderte Aufl. (Tubingen, 1965). 7 this term. As long as critics use the term KURZGESCHICHTE to refer to any shorter narrative form, it remains a "Sam- melbegriff" which does not provide for the changes modern narrative genres have made. This study seeks to reveal that the KURZGESCHICHTE differs from other narratives and is a form which has developed in response to the demands of the twentieth century. The first reference to a new genre of narrative which was practically unknown to German writers, but which was found especially in the American periodicals and magazines, was called "die kurze Geschichte" or "Novelette" and can be found in A . E. Schonbach's essays from the year 1886: Eine Spezialitat der amerikanischen Erzahllitertur ist die kurze Geschichte, Novelette, die eine der belieb- testen Gaben der Monatsschriften geworden ist. Sie unterscheidet sich sehr von dem, was man in England short stories nennt; in Deutschland ist sie fast unbe- kannt . . v. aber im Wesentlichen ist doch diese ameri- 9 kanische short story etwas ganz Eigenartiges . . . Karl Bienenstein was the first critic to use the German term KURZGESCHICHTE.^ His review of kurze Geschichten by ^"tiber die amerikanische Romandichtung," Deutsche Rundschau, XLVII (April 1886), 197. 10"Kurze Geschichten," Das literarische Echo, VI (1904), 1344-1347. by nine different authors uses the term to refer to stories which were then appearing in newspapers and periodicals. Although these early references speak of a new form, there is little evidence that this term denotes a single concept in German literature or that the examples of this form which existed at that time were recognized as distinct from other narrative forms. KURZGESCHICHTE was used then as a term much as it has been used in English to denote almost any type of short narrative. It could be used as a synonym for any of the short narrative forms or for the FEUILLETON, which was considered to have played such an important role in the development of the American narrative. An examination of the literature which appeared at that time reveals the lack of a precise definition of the term. The Reallexikon der deutschen Literaturgeschichte^ of 1928 has no entry for KURZGESCHICHTE and not until the edition for the years 1926-1930 does the Deutsches Bucherverzeich- 12 nis show the first entry under the category KURZGESCHICHTE. ■^Begriindet von Paul Merker und Wolfgang Stammler, 2. Aufl. (Berlin, 1958-1966). (1. Aufl. 1928.) -^Deutsches Biicherverzeichnis ; vom Messenkatalog zum Deutsche Bucherverzeichnis 1931-35, hrsg. Kurt Fleischback (Leipzig, 1936). 9 The Deutsches Anekdotenbuch, edited by Paul Alverdes and Hermann Rinn and published in 1927, carries the subtitle Eine Sammluncr von Kurzqeschichten aus vier Jahrhunderten. Felix Langer is one of the first to define this genre and to compare it with the NOVELLE in an article "Die Kurzge- 13 schichte" which appeared in 1929. 1 * 3 A look at a sampling of sources which used the term KURZGESCHICHTE shows that it was little more than a Sammel- begriff for shorter narrative forms: W. Schmidt, "Kurze Geschichten," Das literarische Echo, VII (1904-1905), 908ff, discusses a number of newly appeared narratives which are all relatively short. Wilhelm Schafer's KURZGESCHICHTEN appeared first as Anekdoten and he referred to them as NO- VELLEN: "'Ich bemuhte mich— in einer Zeit naturalistischer Verwahrlosung der dichteristischen Formen— um die Form der Novelle und nannte mein kleines Buch "Anekdoten", weil unter den 18 Stiicken die meisten historischen Inhalts waren, die Weltgeschichte aber nur anekdotisch also gleichsam von der Seite hineinleuchtete'" (quoted by J. G. Sprengel, "Glosse uber die Anekdote von W. Schafer," Berliner Tageblatt, Nr. 396, August 22, 1935). Felix Langer, "Die Kurzgeschichte," Die Literatur, XXXII (1929-1930), 613-614, discusses here a new form which he compares to the NOVELLE: "Sie [die KURZ GESCHICHTE] unterscheidet sich von der Novelle nicht nur durch ihren geringeren Umfang . . . Die Novelle ist ein ab- geschlossener Organismus . . . Im Gegensatz zur Kurzge- schichte, die aus dem lebendigen Fluft allgemein bedeutsamer Ereignisse eine herausgreift, dessen eigenwillige Farbung den weiten Bezirk der Zeit Oder des Milieus, zu dem es ge- hort, bedeutsam illustriert. Die Kurzgeschichte endet nicht wie 'eine unerhorte Begebenheit' als einmaliges Phanomen mit einem Definitium, das keinerlei Folgerungen der Entwicklung aus Charakteren und Vorgangen gestattet. . . . Die Kurzge schichte ist eine Art stenoepischer Vermittelung problema- tischer Verknotungen von sich alltaglichen Ereignissen, die durch mehr Oder weniger zufallige Einwirkungen zu besonderer Beachtung drangen, ohne aber die Weiterentwicklung des 10 Still under the influence of the English models, German scholarly works in the following years do not generally con sider the KURZGESCHICHTE as an independent literary genre. H. A. Ebing's dissertation of 1936 is an attempt to show that the NOVELLE is a romance form and that the KURZGE SCHICHTE is the German equivalent. E. Mertner, writing in 1941, seeks to show that the KURZGESCHICHTE is simply the 14 Anglo-Saxon NOVELLE. One finds that this situation has groBen Zeitstromes, dessen Partikel ihre Vorgange sind, durch Anspruch auf monumentale Endgult.igkeit des in ihr Moglichen zu verhindern." Compare also Martin Elster, "Die Kurzgeschichte oder Skizze," Die Horen, VI (1930), 708-711. ^Hans Adolf Ebing, Die deutsche Kurzgeschichte: Wur- zeln und Wesen einer neuen literarischen Kunstform (diss . Bochum, 1936); Edgar Mertner, "Zur Theorie der Short Story in England und Amerika," Anglia, LXIV-LXV (1940-1941), 188- 204; Hermann Rinn und Paul Alverdes, Deutsches Anekdotenbuch . . . (Miinchen, 1927) . Compare also Robert Petsch, Wesen und Form der Erzahlkunst (Halle, 1942), p. 250. Here Petsch quotes Tieck and interjects the word KURZGESCHICHTE in a discussion of what was later termed NOVELLE where Tieck him self has used GESCHICHTE (Vorwort zum 11. Band der Gesamt- ausgabe, 1829, p. lxxxvi). Hellmuth Reitz, "Wie schreibt man Kurzgeschichten? Amerikanische Kurzgeschichten litera- rische Erfolgskunst," Welt und Wort, IV (1949), 364-365, limits his discussion of KURZGESCHICHTE to FEUILLETON and to American literature and does not refer to examples in German literature. Compare also Th. 0. Brandt, "The Modern German Kurzgeschichte," Monatshefte, XLIV (1952), 79-84; NOVELLE and KURZGESCHICHTE are used here as synonyms. Compare also Franz Link, "Tale, Sketch, Essay und Short Story," Die neue- ren Sprachen, VIII (1957), 345-352. These various types are considered together as one genre. Link finds Doderer's definition too narrow. changed little with more recent critics . Although the genre is not as often considered to be simply any short narrative form, it is often used as a synonym for NOVELLE. Many critics regard this new form as an extension of the nineteenth-century NOVELLE and thus the KURZGESCHICHTE as its twentieth-century form. Others still find examples of the NOVELLE among twentieth-century writers and view the 15 KURZGESCHICHTE as a distinct and separate literary form. •'■^Johannes Klein, "Streit um die Novelle, " Welt und Wort, XIV (1959), maintains that the NOVELLE is the original form of the narrative and suggests that the KURZGESCHICHTE is simply the development of the NOVELLE. Rafael Koskimies, "Die Theorie der Novelle," Orbis Litterarum, XIII-XIV (1958- 1959), 65-88, traces the NOVELLE from Boccaccio to the twentieth century and maintains that the NOVELLE has many forms depending upon the era and the individual author. See also Johannes Klein, Geschichte der deutschen Novelle von Goethe bis zur Gegenwart, 4. Aufl. (Wiesbaden, 1960). Although in his article "Wesen und Erscheinungsformen der deutschen Novelle," Germanisch-Romanische Monatsschrift, XXIV (1936), Klein defines the nature of the NOVELLE by comparing and contrasting it with other related genres much in the same way that he uses in his later book, there is no discus sion of the NOVELLE in comparison to the KURZGESCHICHTE. By the late 1950's, however, it had become necessary to define the NOVELLE in terms of the KURZGESCHICHTE. In Geschichte der deutschen Novelle Klein defines the KURZGESCHICHTE according to Poe's definition of the short story and finds that "die Kurzgeschichte ein illegitimes Kind der Novelle ist" (p. 16). He confines his discussions to nineteenth- century forms of the KURZGESCHICHTE and concludes by stress ing the two forms thus: "Eine Novelle ist gut, wenn sie etwas Uberraschendes hat. Eine Kurzgeschichte ist iiber- raschend, wenn sie gut ist" (p. 25). Compare Nino Erne, Kunst der Novelle, 2. Aufl. (Wiesbaden, 1961), Chap. VIII, 12 These early discussions of the KURZGESCHICHTE as an independent"genre gave little consensus as to the essential nature of this narrative form. The problem of an adequate definition is evident in the wide range of comparisons used in the discussions of this genre. Although German critics feel the length of the story is a superficial means of dis tinguishing one genre from another, they have sought to determine the essence of the KURZGESCHICHTE, as they have done with other Gattungen, by stressing the relationship of a number of formal characteristics which may or may not appear in any given example. The approach taken to deter mine the nature of the KURZGESCHICHTE has generally been to delimit the formal elements which constitute a technique as it is applied to the treatment of a particular subject mat ter. The specific technique is then compared to other established narrative forms. A summary of the literature "Novellistik in unserer Zeit." Here it is suggested that the NOVELLE has changed and may appear as the KURZGESCHICHTE (pp. 99-100). Compare Benno von Wiese, Novelle (Stuttgart, 1969) . Von Wiese also views the NOVELLE in the twentieth century as the KURZGESCHICHTE in his discussion of "die No velle der Moderne und die Entwicklung zur Kurzgeschichte" (pp. 74-81). Siegfried Unseld says: "Es gibt heute noch Novellen mit sinnvoll geschlossenen Handlungsablaufen, die ihre innere Gultigkeit aus Glaubensuberzeugung haben. S. G. von le Fort und W. Bergengruen" ("'An diesem Dienstag.' Unvorgreif liche Gedanken iiber die Kurzgeschichte, " Akzente, II [1955], 148)._________________________________________________ 13 dealing with the KURZGESCHICHTE will point out the strengths and weaknesses of these definitions. Some critics seek only to list a number of possible alternatives, the successful or unsuccessful application of which is supposed to result in a particular narrative form Others define the KURZGESCHICHTE in terms of related narrative forms. The discussions of those closely related forms can be especially helpful in forming a definition which will determine the elements unique to the KURZGESCHICHTE. The formal elements which make up a Kunstform are, however, only a part of that which is needed to establish a genre. One must also determine why these factors are included in this particular genre and how they function together to bring about the uniqueness of this form to establish the KURZGESCHICHTE as a genre distinct from all others . The first chapter of this study will reveal the direc tion the criticism of this genre has taken. Critics sought to determine this genre by comparing it first with the Eng lish equivalent and then with similar narratives in German literature. As the artist sought new means to express changing conditions, critics began to discuss the changing smphasis among those genres which they had previously in cluded under the KURZGESCHICHTE. Although, as has been 14 shown, German writers and critics have been influenced by [the use of the term "short story, " they have not sought to differentiate between narrative genres on the basis of an 16 exact number of words. The length has not become the main distinction among forms. The subject matter and its treat ment were considered to be the best means to distinguish between the nature of the KURZGESCHICHTE and other short prose genres. Certain formal elements were considered an •^Klaus Doderer, "Die Kurzgeschichte als literarische Form," Wirkendes Wort, VIII (1957-1958), 92. Compare Wil helm Helmich, Wege zur Prosadichtung des 20. Jahrhunderts: Eine didaktische Untersuchung (Braunschweig, 1960), p. 107: "[Die Kurzgeschichte] ist einfach eine kurze Geschichte, wenn auch die Kiirze bei der Entwicklung dieser Art aus der Zeitungsgeschichte mitgespielt hat." See also E. K. Bennett and H. M. Waidson, A History of the German Novelle (Cam bridge, 1965). Waidson compares the NOVELLE and the short story in a short chapter of that name and defines them gen erally according to length: NOVELLE, 20,000 to 40,000 words; short story, 2,000 to 4,000 words. He later admits Ithat this is at best unsatisfactory. In his introduction jto German Short Stories 1900-1945 Waidson again states that it is difficult to define the short story, which he here refers to as KURZGESCHICHTE. "While there is plenty of matter for discussion concerning the form of the novelle, the German short story lends itself less convincingly to precise definition, except in terms of length" (p. xi). Walter Hollerer says: "Die Kurzgeschichte ist ein Sammel- platz all der Eigenarten geworden, die die traditionellen Prosagattungen nur am Rande neu aufnehmen konnten, die sich ihnen aber in der neuesten Zeit mehr und mehr aufdrangten. Naher besehen kann sie, wenn uberhaupt, nur dadurch ihre Notwendigkeit haben" ("Die kurze Form der Prosa," Akzente, III [1962], 226) . 15 integral part of a given genre and their presence or absence was accepted as the indication of that genre. The way in which a particular event or incident was portrayed was used as the means to determine the essence of the genre. In order to understand the relationship between the narrative elements and their presentation, one must also consider the goal inherent in each genre. The KURZGESCHICHTE is con sidered to use narrative elements in a way which distin guishes it from other genres in keeping with its generic goal. This dissertation will concern itself with the study of one of these elements: the symbol and its function. A review of the literature reveals the unique nature of this genre and its position in the twentieth century. No attempt has been made to include narratives which, although included by some critics in the genre KURZGESCHICHTE, narrate within 17 the frame of "traditional" means. Since these narratives ^Although certain of Goethe's narratives from the col lection Unterhaltungen deutscher Ausgewanderten are consid ered by some critics to belong to the genre KURZGESCHICHTE, their use of traditional means of narration places them with the MARCHEN and the NOVELLE. Compare Katharina Mommsen's commentary to "Die Memorien des franzosischen Marschalls Bassompierre" in Unterhaltungen deutscher Ausgewanderten (Miinchen, 1962), p. 190. Compare also Gerhard Trabing, "Ansatze zu einer Theorie der deutschen Geschichte," Deut sche Vierteljahrsschrift fur Literaturwissenschaft und jGeistesgeschichte, XLVII, Heft 3 (1967), 472. Kleist's 16 are created within the framework of an established world view and reflect an author's perception of this ordered world through the primary means of the narrative, a narra tor, past event and a listener, they have not been included as representative of the KURZGESCHICHTE in the twentieth century. The first part of this study has been concerned with the presentation of the problem inherited with the trans lated term and the changes in meaning the term itself has undergone. The next area of study is concerned with the relationship of the KURZGESCHICHTE to other narratives and its establishment as a unique genre. In order to determine the essence of this genre, it will be compared with those genres felt by critics to be most closely related. Hebei's "Unverhofftes Wiedersehen," an ANEKDOTE, will be compared to Hoffmann's "Die Bergwerke zu Falun," a NOVELLE. This com- jparison will show how the emphasis has shifted from the use of the traditional narrative elements to the introduction of the "lyrical," through which each element is used to inter relate in a variety of ways to other elements in the "Bettelweib von Locarno" also narrates within the frame of a traditional world view and uses means characteristic of the NOVELLE. Compare Unseld, p. 140. 17 narrative. The narrator structures his art work, indirectly- using an event, situation, or attitude which need not be fixed in time or place for a listener who may or may not be cognizant of any particular direction. This relativity of elements places new emphasis on individual elements and reveals the function of one of them: the symbol. The many possible directions which the symbol may take will be dis cussed in a section which interprets individual KURZGE SCHICHTEN based on the direction provided by the symbol. It will be shown how the symbol -functions to reveal the dia lectic, ironic, paradoxical, satirical, humorous, grotesque, and absurd KURZGESCHICHTE. CHAPTER II THE KURZGESCHICHTE AS A GENRE IN LITERARY CRITICISM Discussion of the Elements Attributed to the KURZGESCHICHTE A review of secondary literature dealing with the KURZ GESCHICHTE reveals two primary means of attempting to define this genre through a discussion of certain formal elements and a comparison with other prose genres. Among the formal elements which are considered to play a decisive role are: the subject matter and its treatment, the effect on the reader, and a form which has developed in keeping with the changing demands of the world view which is at the center i jof the KURZGESCHICHTE. These elements are compared with i those which are considered to be characteristic of other existing genres such as the NOVELLE, the ANEKDOTE, the KALENDERGESCHICHTE, and the SKIZZE. Klaus Doderer seeks to define the KURZGESCHICHTE on the basis of the theme and the 18 19 treatment of the subject matter. In his article dealing with the literary form of the KURZGESCHICHTE, he stresses that one can scarcely speak of a plot or even of an event, since it is frequently a condition which is being described or a situation which is revealed that becomes the focal point of the KURZGESCHICHTE. There is an attempt not to depict a series of events but rather to reveal some aspect of a particular individual and to produce a setting which will reinforce this particular trait. The artistic repre sentation of a decisive moment in the life of an individual, a moment which alters the hero's existence in an unexpected way, is a main differentiation between this and other re lated prose forms. In Die Kurzgeschichte in Deutschland^ Doderer emphasizes the way in which the hero figure reacts to his fate as another device with which he determines types of KURZGESCHICHTEN and which emphasizes the role the subject | matter plays in distinguishing this from other genres. If, for instance, the hero does nothing to change his situation, ^Wiesbaden, 1953. The Schicksalsbruch is felt by some to be the primary element of the KURZGESCHICHTE. Wolf- jdietrich Schnurre maintains that this genre demands the revelation of a particular problem and that it is primarily suited to such conditions as existed after the war (compare in. 3 below) . 20 this is called passive, since the action, or fate, has the upper hand. Doderer calls this type "Handlungstyp." If the hero figure reacts in such a way as to change his fate, the reaction of the main figure becomes the important element, and this type Doderer calls "Haltungstyp." An event is never related for its own sake, but rather it serves to establish the atmosphere and the relationship between the action and the hero figure. "Das Ziel dieser Gattung ist nicht von einer unerhorten Begebenheit zu erzahlen, sondern die Offenbarung und psychologische Durchleuchtung eines Stuckes Lebenswirklichkeit zu erzeugen" (p. 47). Doderer contrasts the attitude of the central figure toward the event itself and stresses this treatment of the subject as a predominant element in the KURZGESCHICHTE. The theme which is constantly associated with the KURZ- GESCHICHTE is "Schicksalsbruch," the breakdown in the life lof an individual, a startling change of events over which l the central figure has no control. Ruth Kilchenmann stresses the underlying problematic nature of the KURZGE SCHICHTE as it appears in examples of riot only German but American, English, French, and Russian authors as well. She discusses examples in relation to the way in which they are a "Darstellung eines Existenz-Problems" and does not include 21 certain examples within this genre if they "an der eigent- lichen kurzgeschichtlichen Problematic seinem Verhalten dem 2 Tod gegenuber, vorbeigehen. " Siegfried Unseld views the break in cultural development which began in the late nine teenth century and is expressed in the works of Nietzsche and Kierkegaard as having brought with it the "Abfall vom Logos," the impossibility of living life with the means thus far provided and the inability to come to terms with the new life as it presents itself in the twentieth century. Das Wesen unserer Zeit ist unbestimmt, vieldeutig, gestaltlos, gleitend. Unsere Welt ist durch die neuen physikalischen Entdeckungen zwiegespalten in eine vor- stellbare, bekannte, und eine nur mathematisch faSbare Welt, wir haben kein Weltbild mehr, weil wir kein ein- deutiges Bild von der Welt mehr haben. Die Kurzgeschichte: Formen und Entwicklung, 2. Aufl. (Stuttgart, 1968), p. 102. ^Unseld, p. 148. Compare also Hermann Pongs, "Die |anekdote als Kunstform zwischen Kalendergeschichte und Kurz geschichte, " Der Deutschunterricht, IX (1957), 16: "Dieser Erfahrung, dieser seelische Schock spricht sich wieder in der Kurzgeschichte aus. Diese sind der unmittelbare Aus- druck von Angst, Grauen, Vereinzelung, Einsamkeit, Fremd- heit. Damit aber dringt in die neue Kurzgeschichte ein neuer Stil. Alles Vergangene stoBt sich ab, es bleibt nur die Gegenwartigkeit des grauenhaften Augenblicks." Helmut Motekat compares the situation in Germany after World War II with the United States after the Civil War and describes the situation thus: "Auch hier Unsicherheit der Verhaltnisse, auch hier der rasche und unvorhergehende Wechsel der Situa tion, auch hier die Erfahrung, daI3 noch in jungster Ver- gangenheit bestimmende gewesene Krafte im Gegenwartigen____ 22 Hermann Pongs maintains that it is not an incident or the jcharacterization which is the distinguishing feature but rather the basic tone of the story. It is not what happens to the central figure in the KURZGESCHICHTE but the elemen tal feeling elicited in the reader when he realizes the implications of life in an age of impersonalization, which distinguishes this form from other narratives. The reader plotzlich nicht mehr gelten, weil andersgeartete Krafte an ihre Stelle getreten waren" ("Gedanken zur Kurzgeschichte," Der Deutschunterricht, IX (1957), 26) . Robert Ulshofer lists the subjects which are frequently treated in this narrative: "Die Kurzgeschichte stellt ein zerstortes Leben der Gemeinschaft durch den Totalitarismus dar. Mogliche Themen: der Wahnsinn des Krieges, der Mechanismus der Tech- nik, die Herrschaft der Masse, der Mensch in seiner Ge- brechtlichkeit, der Mensch ohne Glaube, Mitte, Ausweg" ("Unterrichtliche Probleme bei der Arbeit mit der Kurzge schichte, " Der Deutschunterricht, X [1958], 5-36]). Wilhelm [Helmich says that "Die Kurzgeschichte ist eine besondere Art [kurzer Erzahlung] . Sie stellt kritische Augenblicke des Alltags dar, in denen das gewohnte Leben zerbricht und jder Mensch vernichtet oder vor eine Entscheidung gestellt jwird" (p. 107). Compare also Wolfdietrich Schnurre, "Kritik und Waffe: zur Problematik der Kurzgeschichte," Deutsche Rundschau. LXXXVII (1961): "Es ist unmoglich, daG es sich hier um eine deutsche Kunstform handeln kann. . . . Die amerikanische Kurzgeschichte hat sich zu einem der sensi- belsten Seismographen der sozialen, politischen und allge- mein menschlichen Verhaltnisse herausgebildet. Ja, mehr noch, sie ist zur Anklagerin geworden, zur Verteidigerin der Menschenwiirde, sogar zur Waffe" (p. 61) ; "Die Kurzgeschichte muG soziale oder politische MiGstande angreifen. In einem wohlhabenden Land ist die Kurzgeschichte unmoglich" (p. 63). In the years following the war the KURZGESCHICHTE fulfilled a particular need. Within five years, however, conditions had changed so that this form was no longer considered relevant. _____________________________________ 23 is made aware of his own limitations. He is shocked to see himself made powerless to determine his own existence. Die Kurzgeschichte erregt ein Elementargefuhl, ein schockhaftes Grauen vor dem Dasein. Der Deutsche habe ein so tiefes VerantwortungsbewuBtsein, daB ihm der Schauder vor dem heraufkommenden Massenzeitalter uber- fallt, mit dem schockhaften Grauen vor dem Widersinn des Lebens. So entsteht eine neue einfache Form, aus dem Grauen geboren: die Kurzgeschichte, die in grellen Kurzbegeg- nungen zwischen Mensch und Schicksal plotzlich das ver- anderte Zeitalter begreift, als das Zeitalter der Masse, das nichts mehr glaubt, das aus jeder Gnade Gottes herausgefallen ist, dessen Gefuhle geschrumpft sind. (p. 13) This inability to live with life as it presents itself reflects basic skepticism in those forms which traditions offer. This element influences not only the theme of the KURZGESCHICHTE but also the narrative elements used to por tray the problematic encounter. Elements which had previ ously offered acceptable means of interaction must be tested, and thus this genre establishes its own terms and their validity. That which is portrayed in the narrative becomes representative and reflects the artist's attempt to illustrate the possibilities of an encounter. Reality is viewed not as a "given, static" thing but as an attempt to reveal what is or what could or should be. The narrative 24 represents an artist's conception of the dimensions of the objects depicted. This change of emphasis puts new demands on not only the language, as the primary element of form, but also on the reader as well. Helmut Motekat says that the form which the KURZGESCHICHTE has assumed is an out growth of our culture. The formal elements, like the situa tion they represent, are determined by our time. The treat ment of the theme is variable and demands a means not appro priate to either NOVELLE or ROMAN or to other prose forms. "Zu ihrer dichterischer. Vergegenwartigung sind weder die langere Entwicklung und groflere Zusammenhange des Romans noch die strenge Kompositionsweise der Novelle geeignet" (Motekat, p. 25). The KURZGESCHICHTE dramatizes an incident without seek ing to reveal its ramifications and without following the possible implications which are alluded to. j Die Kurzgeschichte gestaltet eine sich ereignete Begebenheit, ohne Hinfuhrung, ohne SchluSfolgerungen, ohne irgendein geartetes erklarendes oder ausschmiicken- des Beiwerk. Sie blendet sich ein in das lebendige, gelebte und erlebte Leben im Augenblick der sich ereig- neten Begebenheit und blendet sich aus, sobald das Geschehen als solches zum AbschluB gelangt ist. (p. 27) Motekat emphasizes not the development of plot, but rather the appropriateness of the subject matter to its 25 representation as a primary characteristic of the KURZGE SCHICHTE. Those elements, which have assumed the role of the plot in other narratives, must be new, intriguing, and characteristic of today's life. "Der Erzahlgegenstand der i Kurzgeschichte muB neu, spannend und charakteristisch fur bestimmte Wesensziige des menschlichen Daseins sein" (p. 27). The plot and the narrator's relationship to its presentation have traditionally been a primary element in narrative genres. Wolfgang Kayser distinguishes three elements which characterize narrative forms: a situation in which a narra tor relates a past happening to a listener (reader). The narrator is not a direct part of what is being narrated in contrast to lyric forms. Since the happening is past, it is narrated as something unchangeable, something definite. This offers the narrator a point of view from which he can . . 4 relate objectively the ramifications of the narrative. The KURZGESCHICHTE demands a new form which does not make use of these elements in a way that has been established to distinguish narrative from either dramatic or lyric genres. The element which is stressed by many critics as the ^Wolfgang Kayser, Das sprachliche Kunstwerk: Eine Ein- fuhrunq in die Literaturwissenschaft, 13. Aufl. (Bern, 1968), pp. 349-350. 26 primary "characteristic" in the presentation of this modern narrative is its open but compact form. The goal of this genre is the presentation of a problematic encounter, which is based on a skepticism about existing values and norms, and thus it would be incongruent to expect an exact combina tion of stylistic devices to provide the limits of this prose form. There are, however, certain elements which recur as a means of attaining this goal. Klaus Doderer dis cusses some of them in his article "Die Kurzgeschichte als literarische Form." He stresses those elements which serve to distinguish the KURZGESCHICHTE from the restricted form of the NOVELLE and the loose form of the ERZAHLUNG. The KURZGESCHICHTE is i generally shorter than the nineteenth-century NOVELLE. It begins without an introduction, does not include any inter ruptions to the primary situation, and often has an open, Junexpected ending (Doderer, pp. 92-95). Hans Jurgen Skorna corroborates the viewpoint that it is not only the treatment of the theme which distinguishes this form from other prose forms but that the total arrange ment and organization of narrative elements combine to make the KURZGESCHICHTE a unique form. The meaning of tradi tional narrative has existed in the representation of an 27 appearance of reality- Its goal was to evoke the illusion of experiencing life. In the modern KURZGESCHICHTE, how ever, the illusion is removed; one has the feeling that what is happening is real. One is not viewing a possibility that could happen. The extraordinary congruence with reality forces the reader to become a part of what he is seeing portrayed before him. The meaning of the KURZGESCHICHTE becomes apparent to the reader only when he recognizes the inner relationships of what he has perceived. The meaning is revealed not through the dramatic persentation and the causal relationship of events but through the many ramifi cations of the narrative which are not a direct part of the 5 happening as related by the narrator. The meaning of the presentation becomes apparent only when the author can alienate the reader from reality. A typical incident must be presented out-of-focus so that the ramifications alluded jto but not developed can be brought into view. I Und gerade [das dichterische Anliegen] des modernen Autors zeigt sich in dem Bemiihen, hinter der vorder- grundigen Wirklichkeit das "Eigentliche," den "Logos des Seins" (G. Blocker) sichtbar zu machen. Hans Jurgen Skorna, Die deutsche Kurzgeschichte der Nachkriegszeit im Unterricht (Ratingen bei Diisseldorf, 1967), pp. 12-14. 28 Zum Wesen der modernen Kurzgeschichte gehort zudenij daft sie vielfach in Opposition zu der erfahrbaren Wirk lichkeit tritt, anders gesagt: sie will den Leser auf eine vollig ungewohnte Weise mit der Wirklichkeit kon- frontieren, so daft sie ihm durchaus nicht mehr vertraut erscheint. Die vielberufene "Verfremdung" der Wirklich keit in der modernen Literatur besagt eben nichts an- deres, als daft durch sie der Zustand des Vertrauens mit dem Vorgangen und Erscheinungen der Welt aufgehoben wird und der Leser die Freiheit gewinnt, sich fur das "Mog- liche" offenzuhalten. (p. 13) The roles which the individual elements and stylistic devices play are stressed by many critics. Since the KURZ GESCHICHTE is a concentrated form* all elements used become important components of the whole. This has the effect of reducing what seem to be the more important aspects of the narrative while stressing those which might otherwise seem unimportant. Events, objects, and situations appear to have many possible ramifications as they interact among each other and the reader. Walter Hollerer designates one such aspect "Kabinen des Erzahlens" which represent individual I moments, or separate features, which interact with each other ("Die kurze Form der Prosa," p. 232) . The direction which these elements take is left largely ■-o the reader. They are not presented in a "logical," cau sal relationship which can be deduced through the implica tions of a chain of events or through the intervention of an omniscient narrator. Ruth Lorbe stresses the open form 29 which has developed through this change of emphasis on in dividual narrative elements. Sie [die Elemente] haben nicht mehr nur dienende Funktion in gedachten Zusammenhangen. Der Augenblick erscheint in seinem ungeheueren Ausmafi: man erkennt das Nebeneinander verschiedenster, getrennter Ereig- nisse in einem Augenblick, wahrend man fruher diese Ereignisse linear, von einem Anfang zu einem Ende hin, aus der Wirklichkeit herauszugliedern versuchte. Nun- mehr scheint es weder Anfang noch endgultiges Ende zu geben . . . Alles Dargestellte ist Ausschnitt, eine Konstellation im Augenblick. Vor diesem Augenblick waren andere Augenblicke, nach diesem werden andere Augenblicke kommen.® One of the often discussed elements which contributes toward making the KURZGESCHICHTE a unique form is the role of the reader. Ulshofer compares this in his discussion on problems of interpretation with the effect of a stone hit ting the water. As the stone hits the surface it activates a series of waves which begin to ebb from the point of im pact even as the stone continues to sink. The KURZGE- I ;SCHICHTE makes no attempt to determine why the stone fell or how far it sinks; it depicts only the point o.f impact. Sie ist ein dynamisches, mehrdimensionales Gebilde mit verschiedenen Bewegungsrichtungen: einer horizon- talen und einer vertikalen, einer vordergriindigen und ®"Die deutsche Kurzgeschichte der Jahrhundertmitte," Per Deutschunterricht, IX (1957), 37. 30 einer hintergrundigen. Scharf gezeichnet ist lediglich der Augenblick und der Punkt des Zusaitimenpralls . Nach dem Rande zu verschwimmen die Konturen. (Ulshofer, p. 22) Felix Langer used a similar means of comparison to distinguish between the NOVELLE and the KURZGESCHICHTE: Man konnte aus einer vollendeten Novelle keinen Roman machen, weil sie selbst ihren Stoff vollstandig er- schopft im Gegensatz zur Kurzgeschichte, die, wie Goethe von dem abrupten Schlufi eines Gedichtes sagte: "einen Stachel im Herzen [zurucklafit], und die Phantasie ist angeregt, sich alle Moglichkeiten auszubilden, die nun folgen konnen." (p. 613) The elements of the narrative work together in a unique way upon the reader, who is forced to react to what is pre sented to him if the prose work is to have meaning. There is no narrator who indicates directly how the reader is to interpret the presentation. The author uses other stylistic devices to mold the prose work. He expects the reader to be able to recognize what is there and to direct himself. Die Kurzgeschichte ist anders zu lesen als eine No velle oder auch eine kurze Erzahlung, weil nicht der Geschehensablauf das eigentlich Wichtige ist, sondern die Beleuchtung der zur Situation zusammengehorigen Erscheinungen, hinter denen Daseinswahrheit fafibar wird. Deshalb muS die Kurzgeschichte der Betrachtung als Gan- zes gegenwartig sein, ein Beziehungsfeld, dessen Bezugs- punkte aufzusuchen sind. Keine Einfuhrung leitet den Leser, kein Geschehensziel lafit ihn am Schluft zur Be- friedigung kommen: er wird von der Geschichte weder empfangen noch entlassen, unmittelbar wird ihm Anschau- ung zugemutet vor einer irgendwo ins Wirkliche fallende 31 Belichtung. Ihm selbst ist es iiberlassen, zu erkennen, was dieses Wirkliche ist.^ The unique role of the reader is continually stressed by the critics. There are many means available to the author by which to guide the reader and thereby direct the interpretation of the work. Kenneth Burke describes this relationship: "Form is the creator of an appetite in the mind of the auditor, Q and the adequate satisfying of that appetite." A situation is created in which the audience is consciously or uncon sciously waiting for something to occur. The narrator may provide something else so that when that which was expected finally appears, the juxtaposition of elements causes the expected to come as a surprise. This element of surprise adds a new dimension to the presentation. When the prose work does not communicate meaning through a change within an individual figure which is evaluated by a narrator, then the author must seek other means to direct the reader. Elements of surprise and suspense which are most natural to 7 Erika Essen, Methodik des Deutschunterrichts, 2. Aufl. (Heidelberg, 1962), p. 210. ®Kenneth Burke, ed., "Psychology and Form," Counter- statement, 2nd ed. (Los Altos, Calif., 1953), p. 31. 32 the imparting of information within an event may no longer suffice and thus other stylistic devices become the primary means of directing the reader. The elements of change are subtilized, or carried down into the writing of a line or sentence until in all its smallest details the work bristles with disclosures, contrasts and restatements with a difference,— ellipses, images, aphorism, volume, sound-values, in short all that complex wealth of minu tiae which in their line-for-line aspect we call style and in the broader outlines we call form. (Burke, pp. 37-38) All elements combine to direct the meaning of the nar rative and to make the reader aware of the necessity for change. There is no plot to guide the reader. Instead the KURZGESCHICHTE uses a typical situation or condition which is shown at a decisive moment, a moment which could change man's existence and which projects itself in many direc tions . When the KURZGESCHICHTE does use an event to begin the point of impact, then the reader sees the portrayal of the critical moment in the central figure's encounter with this problem. Many KURZGESCHICHTEN can make the reader aware of the need for change without revealing an encounter i or a reaction within a central figure. The momentum of the narrative can be transmitted through other means: through the use of irony, satire, paradox, or the absurd portrayal of the symbolic representation. Critics all stress this 33 decisive point, which is analogous to the event in other prose forms, and use various terms to define it. Hollerer calls it an illustrative moment; Lorbe, "Momentaufnahme"; and Helmich, "Augenblicksbild." These terms stress the point of impact which may begin within the central figure and which is projected to the reader. Other critics empha size the encounter between a representative figure and the situation. Piontek terms this a "zeichenhafte Situation"; l Ulshofer diesgnates it a "Modellfall"; and Skorna emphasizes a "Begegnung." This study seeks to distinguish between those moments in which the narrative's central figure reacts i to a problem— a problematic encounter— and those in which no action takes place but in which the moment is still for that very reason critical. This point of impact which exists between the author and the reader is the artist's attempt to |reveal the need for change and is the element which deter- j jmines the form given to all other stylistic devices within j this genre. The importance which has been given to the presentation of this decisive moment is illustrated by a number of crit ics who use this as the means to distinguish among repre sentative types of KURZGESCHICHTEN. Some critics emphasize the importance of a situation as it is defined by Doderer and use the subject matter as the main distinction between the event and its effect on a figure. Kilchenmann (p. 102) excludes examples which do not include the typical problem of this genre. Hans Jurgen Skorna differentiates on the basis of subject and offers three basic types: Kafka's ab stract narratives, which are concerned with the metaphysical solitude of manj narratives dealing with war* misery, and psychological breakdown as written by Borchert, Boll, and Eich; and social-revolutionary narratives by Brecht which communicate a teaching (p. 25). Stressing not only the subject matter but also its treatment, Hollerer designates types of KURZGESCHICHTEN based upon the presentation of the situation. An "Augen- blickskurzgeschichte" is the presentation of one particular moment as in Boll's "Wir Besenbinder." An "Arabeskenkurz- Igeschichte" reveals a situation with many levels of meaning, as in Aichinger's "Rede unter dem Galgen." An "Uberdre- hungs- or Uberblendungskurzgeschichte" portrays a situation which becomes allusive and seems to offer no explanation at first glance, as in Boll's "Unberechenbare Gaste" or Diirren- matt's "Der Tunnel" (p. 239). Ruth Lorbe also differentiates among types of KURZGE SCHICHTEN. The presentation of the situation may be 35 portrayed as a central moment, which she calls "Augen- blickskurzgeschichte," as in Borchert's "Die Kiichenuhr .1 1 When several moments focus on the same theme, it is called "Mosaik," as in Borchert1s "An diesem Dienstag" or Bender's "Die Wolfe kommen zuriick." The tone of the narrative is also used to determine different types. Diirrenmatt's "Der Tunnel" has the qualities of a parable, Boll's "Unberechen- bare Gaste" is humorous, and "Dr. Murkes gesammeltes Schwei- gen" is satirical (Lorbe, p. 37). Alfred Andersch's collected narratives, Geister und Leute, are presented according to his means of rendering the story. He regards his KURZGESCHICHTEN as Momentaufnahmen die vielleicht am ehesten dem Genre der amerikanischen short story entsprechen. Die folgenden beiden Erzah- lungen "Cadenza Finale" und "Mit dem Chef nach Chenon- ceaux" schildern weder Lebenslaufe noch Geister noch Q Momente, sondern Zustande. Many critics have tried to determine the essence of this genre. The discussions of types of KURZGESCHICHTEN reveal the emphasis on the treatment of the subject matter and the presentation of the central moment. Critics dis- l cussing the formal elements of this genre stress the lack 9 . / Geister und Leute (Olten und Freiburg i/B, 1958), table of contents, pp. [5-6]. 36 of a delineation of characteristics which was often used in narrative forms prevalent in the nineteenth century. They emphasize the one factor which is predominant: the need to construct a narrative which can communicate to a world in which the obvious has become questionable, in which nothing can be assumed at face value. Kurt Kusenberg's article on the KURZGESCHICHTE may serve to summarize those elements stressed by recent critics: Alles muB in knappster Raffung zustande kommen, und ein gut Teil dessen, was zu sagen ist, sollte zwischen den Zeilen stehen: unsichtbar aber dennoch spiirbar. Das Gesetz der Kurzgeschichte ist Evolution. A comparison of shorter narrative prose forms will also reveal the basic difference in world view which must be considered as an integral part of the narrative goal ("Ge- staltungsziel"), since this will determine the appropriate ness of certain formal elements. The KURZGESCHICHTE seeks j to provide new means for coming to terms with the "reality" of the twentieth century. ■^"Uber die Kurzgeschichte," Merkur, XIX (1965), 832, 838. 37 Comparison of the KURZGESCHICHTE to Related Genres A review of the literature reveals that the genres most closely related, and with which the KURZGESCHICHTE is most often compared, are the ANEKDOTE and the NOVELLE. The pre dominant means of distinguishing between these genres has been through a discussion of the stylistic devices which occur most frequently and the difference in effect brought about through a particular combination of elements. Since this has been historically the primary means of determining the essence of a particular genre, and the basis of dis tinguishing between genres, it is necessary to include here a discussion of the ANEKDOTE and the NOVELLE as they have influenced the literature on the KURZGESCHICHTE. Since the means used to determine ANEKDOTE and NOVELLE are much the same as those used in the previous discussion on KURZGESCHICHTE, it is not surprising that the literature reveals such a range of definitions. The problem in estab lishing a definition for any of these narrative genres is further complicated by the inconsistency with which authors designate the form of their narratives. The term ERZAHLUNG or GESCHICHTE is given to almost all forms of narrative and thus a discussion of the KURZGESCHICHTE also includes narratives which have appeared under the designation of 38 KALENDERGESCHICHTE. Klaus Doderer stresses the similarities between the genres and reveals at the same time the ambi guity inherent in this method. He begins his discussion with that of Hans Franck in Deutsche Erzahlkunst. Franck defines the ANEKDOTE as any shorter narrative form which centers around those elements of a plot that determine a specific outcome and a change of events. This discussion includes MARCHEN, LEGENDE, SAGE, and SATIRE as well as ANEK- 12 DOTE. Doderer emphasizes, as did C. F. W. Behl, the per sonal element in the report of an event which is part of an established world view that reflects the general importance of the incident. Doderer defines the ANEKDOTE as a story which is either actually based on a historical occurrence or which strives to give the appearance of having been based on an actual event through some specific association with time or place. A short, dramatic event is portrayed which is i I jilluminated in the final sentence. A point may disclose the meaning of the event and give a characterization of the 11Trier, 1922. 12 "fiber das Anekdotische, " Die Literatur, XXXVIII (1935-1936), 8: "Die Anekdote ist personlich gebunden. Sie berichtet eine Begebenheit, die am Rand eines grofleren Ereignisses gesetzt ist, die aber zugleich durch die Haltung des Menschen in ihr einnehmen, eine allgemeine Bedeutung ^mpfangt. "________________________________________________ 39 individual or incident. Doderer distinguishes further be tween anecdotes of character or of situation and stresses that this narrative form is based upon extraordinary circum stances of individuals who have something exemplary to offer. He does not limit his discussion to external forms but dis cusses the inner tension between the hero figure and his situation, which is transformed by a sudden unexpected change of events. The length of the anecdote is determined by the effect which is inherent in its narrative aim. Das Wesen der Anekdote liegt in der Kiirze. Aus die sem Grunde ist jede Ausweitung durch Hinzufiigung von Nebenhandlungen, Einfuhrung unnotiger Personen, wert- haufiger Schilderungen nicht nur handlungshemmend, son- dern geradezu strukturstorend. Denn dadurch wird die Spannung genommen und das Interesse des Lesers und des Horers in falsche Richtung gelenkt. (Doderer, Die Kurz- geschichte in Deutschland, p . 27) Siegfried Unseld also discusses the similarities be tween ANEKDOTE and KURZGESCHICHTE. The startling conclusion i which serves to illuminate the event in the ANEKDOTE and the | FEUILLETONGESCHICHTE distinguishes these two genres from the "pretentious" KURZGESCHICHTE which does not use this type of snding. The tensions which are developed in the interaction af elements of the narrative are not dissolved by the end ing. They are left to the reader to solve for himself. Unseld stresses the effect of the KURZGESCHICHTE as a 40 predominant element and compares this effect to that which i Goethe felt to be a part of a poem. . . . die auf das Ende drangende Spannung wird durch das Ende nicht gelost, die Spannung wirkt jenseits des Schlusses vom Leser weiter, so wie Goethe es einmal von einem Gedicht gesagt hat, "es liefie einen Stachel im Herzen des Lesers zuriick und die Phantasie ist angeregt* sich alle Moglichkeiten auszubilden^ die nun folgen konnen." (p. 139) jThe effect of the open ending of this genre has been dis- ! jcussed by Ulshofer in his graphic comparison of the stone i I hitting the water (see p. 29 above). This is the sting which causes the imagination to supply alternate possibili ties for that which has been alluded to but has not been developed by the author in the narrative. The tension built up in the KURZGESCHICHTE is not re leased through the point of the ANEKDOTE or the conclusion of the NOVELLE. The author does not provide a final solu- | jtion to the problem which the narrative poses . He may offer I a possible solution which seems to question the outcome of the presentation. This solution is not an explanation in the sense of the point or the conclusion. It is a possi bility to be explored by the reader. The urgency expressed through the need for change is a predominant element in the KURZGESCHICHTE and plays a similar role to the point in the 41 ANEKDOTE. Je notwendiger der Zwang ist, je eindringlicher der Ausgangspunkt wahrgenoxnmen und fortgefiihrt wird, desto unausweichlicher wirkt die Kurzgeschichte auf den Leser ein. Sie will nicht wie die Anekdote durch den erre- genden Zufall einer zentralen Pointe einwirken, sondern durch eine folgenrichtige, unausbleibende Notwendigkeit. (Unseld, p. 145) The KURZGESCHICHTE seeks to convey meaning through inevit able necessity. Ernst Bender also attempts to distinguish the ANEKDOTE from the KURZGESCHICHTE. He stresses the role of the point and the uniqueness of the situation upon which the ANEKDOTE is based. The ANEKDOTE may treat only one I aspect of an incident or its main figure, as may also be the case with the KURZGESCHICHTE. The ANEKDOTE, however, de picts the unique or the chance happening. The KURZGE SCHICHTE illustrates the typical, the commonplace, and al ludes to the dormant aspects which are not narrated di- j jrectly, but which lie behind the incident and are left to i 13 the reader to interpret. Historically, the KALENDERGESCHICHTE designated, as its name indicates, a story which appeared on a calendar. Al though a review of the narratives which have appeared under Ernst Bender, "Schwank und Anekdote," Der Deutsch unterricht , IX (1957), 64-65. 42 this title reveals that these collections include many genres, there are certain elements which distinguish the KALENDERGESCHICHTE from others and which emphasize its re lationship with the modern KURZGESCHICHTE. i j Most nineteenth-century narrative forms use either an exemplary individual or a situation as the central element, which serves as a standard worthy of imitation. The ANEK- |DOTE and the NOVELLE both employ one or the other as the central narrative element. The KALENDERGESCHICHTE intro duces objects in addition to individuals and situations to convey the central moment of the narrative. Kilchenmann stresses that "Die Dinge sind hier nicht mehr nur als Be- gleiter des Menschen da, sondern fiihren Eigenleben und haben eine selbstandige und damals noch ungewohnte Bedeutung" (p. 23) . | The goal of this genre differs considerably from that i iof the KURZGESCHICHTE. The KALENDERGESCHICHTE was written j jfor an age which believed in an ordered society. It at- i jtempts to give its readers not only an interesting story but jalso a moral judgment on the event of the narrative which the reader is expected to use as an example for his own life. The narrative goal of the KALENDERGESCHICHTE is to 'entertain and to teach. | 43 That which the KALENDERGESCHICHTE has in common with |the KURZGESCHICHTE is not the event narrated but rather the external structure and the manner of presentation used by the author. The main figures often have no names and are distinguished by their function: Muller, Barbier, Husar. The narration of the KALENDERGESCHICHTE makes use of sparse fragments of action and implied completion of a plot in a way similar to the modern form. The role of the subject and jobject is often exchanged, and thus things frequently serve to convey the meaning of the narrative. In an age which stressed the individual's predominance over his own environ ment the use of an object, a thing, as the central element offers a contrast to other narrative genres. The importance of everyday events and the relationship between the narrator and the reader, who sees his own situation portrayed before jhim, have a close similarity to the KURZGESCHICHTE-narrator and his reader. The naivete of the "Volksseele" is, according to Her mann Pongs, the decisive impulse of the KALENDERGESCHICHTE (p. 13). The firm conviction that one can master a given situation and a feeling for the role of the good and the bad in a society governed by one set of rules dominates the narrative perspective and world view of this form. The 44 simplicity of the "Volksseele," its respectful candor, is indicative of a view of the world which is no longer pos sible for most people in the twentieth century. The tone of the KURZGESCHICHTE differs greatly from that of the KALENDERGESCHICHTE and demands a form which is representa tive of its own time. The KURZGESCHICHTE represents the elements of a mass age, an age which no longer has the [strong convictions of the nineteenth century. Hans Bender pursues the anonymity of the hero figure in nineteenth-century prose forms and designates the KURZGE- i jsCHICHTE as the "Sakularisierte Kalendergeschichte unserer 14 Epoche." He includes a number of elements which were also stressed by other critics and emphasizes the ambivalence of these devices which contribute to this genre. His discus sion stresses those elements which differentiate this twentieth-century prose form from earlier narratives in keeping with its narrative goal. The effect upon the reader may vary, but its goal is to arouse, to pose a question, or "Ortsbestimmung der Kurzgeschichte," Akzente, III (1962), 205. Bender stresses the following elements: "(1) dem Leser den SchluBschock zu versetzen; (2) einen Pfeil ins Herz zu schieSen; (3) einen Tiefschlag zu versetzen; (4) Sie kann erheitern, den Leser benommen oder vertraut machen; (5) Sie will meist eine Frage stellen. Die Losung ist unwich- tig. Die Frage allein wird zum erregenden Moment" (p. 205) . 45 to reveal a problem. A review of the literature dealing with the KURZGE- SCHICHTE in relation to the NOVELLE reveals the problem in defining a genre based on formal elements and stresses the similarity in the definition which has prevailed regarding I these two closely related genres. In the many discussions which have evolved since Goethe's definition of the NOVELLE as "eine sich ereignete unerhorte Begebenheit," a number of formal criteria have been developed to distinguish this form from other narrative forms. Some critics feel that the NOVELLE is a form which j i has existed in one variation or another almost as long as narrative has been recorded (von Wiese, Novelle, pp. 33-41), and that it may change its form from one era to another l without substantially altering its basic elements. Others jview the NOVELLE as a narrative of the nineteenth century i 15 which can no longer represent modern life. ! | In general, critics reviewing the NOVELLE have not been in agreement as to the basic nature of this form. They do, however, agree on a number of formal elements which 15 Adolf von Grolmann, "Die strenge 'Novellenform' und die Problematik ihrer Zertrummerung," Zeitschrift fur Deutschkunde, XLIII (1929), 609-627. 46 distinguish this from other narratives. These elements which most often occur are an unheard-of event* a striking turning point* characters subordinate to a pattern of fate and the use of "Leitmotiv."^ These items are felt by many to comprise the essence of the NOVELLE as it has developed in German literature. The absence or presence of any of these elements does not of itself automatically assume that the narrative is a NOVELLE. They serve as guidelines to i jdistinguish among genres and* it is hoped* to arrive at the ! 17 Inature of the NOVELLE. Since the various theories and | |their discussions have not been able to adequately establish the nature of the NOVELLE* this method of literary criti cism* based on the isolation of unique elements* makes a distinction between such closely related narrative forms as the NOVELLE and the KURZGESCHICHTE difficult at best. These jforms seem so similar that when one uses the means thus far jemphasized there may be little or no distinction. i Among those elements considered to be basic to the Johannes Klein* "Formelemente der Novelle*" Welt und Wort, IX (1954)* 373-374; von Wiese* Novelle, pp. 1-13. 17 'Johannes Klein* Geschichte der deutschen Novelle von Goethe bis zur Geqenwart (Wiesbaden* 1958); von Wiese* No velle . 47 NOVELLE are, as mentioned earlier, the intervention of fate and a change of events over which the main figure has no Jcontrol. The crisis is the situation which depicts the deepest and most important questions of man's existence (von Wiese, Novelle, pp. 17-18). Georg Lukacs says: "Ein l Menschenleben [wird] durch die unendliche sinnliche Kraft einer Schicksalsstunde ausgedriickt" (quoted in von Wiese, jNovelle, p. 19). According to Robert Musil, the NOVELLE tenders "eine plotzliche und umgrenzt bleibende geistige jErregung." The writer does not create simply from within I I himself, but is at the same time influenced by something "das uber ihn hereinbricht, eine Erschutterung; nichts wozu man geboren ist, sondern eine Fiigung des Geschicks" (quoted ! | jin von Wiese, Novelle, p. 19) . Walter Silz also emphasizes jthe importance of the particular event to reveal something unusual. i Die Begebenheit mu!3 derart sein und kiinstlerisch so ! gestaltet werden, daS an einem Sonderfall etwas Bedeut- | sames iiber Menschennatur und Menschentum symbolisch , , ip j erwiesen wird. ° I According to Hugo Friedrich, 1 f t "Geschxchte, Theorie und Kunst der deutschen Novelle," Der Deutschunterricht, XI (1955), 89. 48 Die Novelle wird als diejenige literarische Gattung bezeichnet, worin die Zufalligkeit, die Schicksalslaune und der Zersplitterung des Lebens in Einzelfalle als ^ Grundzug des menschlichen Daseins zur Darstellung kommt. According to Doderer, however, the KURZGESCHICHTE ist die kiinstlerische Gestaltung eines bestiiranten Zeit- abschnitts aus dem Leben eines Menschen, in dem der gesetzmaSige Ablauf dieses Lebens durch ein unverhofftes Ereignis gestort wird. Diese Storung (Schicksalsbruch) stellt den Helden in eine Ausnahmesituation, auf die er reagieren muB. (Die Kurzgeschichte in Deutschland, p. 44) At first reading the treatment of the theme may seem similar | in these two forms; however, if this is the case, the dis tinguishing element must lie elsewhere. 20 | As the works of Hans Hermann Malmede and Karl Konrad ! 21 Polheim illustrate, part of the problem lies in the fact that there is so little agreement on the meaning of the term NOVELLE. This has also been the case with the KURZGE SCHICHTE . If the nature of this genre could be agreed upon, then it would be a simpler matter to discuss it in relation - * - 9 "Die Novelle," Der GroBe Brockhaus, 16. Aufl. (Wies baden, 1955), pp. 482ff. i ^Qwege zur Novelle; Theorie und Interpretation der Gattung Novelle in der deutschen Literaturwissenschaft (Stuttgart, 1966). ^xNove lien theorie und Nove llenf or s chung: e m For- schungsbericht 1945-1964 (Stuttgart, 1965). 49 to other narratives . The method used to determine the NO VELLE has been primarily based on a discussion of formal elements and, like that of the KURZGESCHICHTE, their rela tionship to other genres. Although the particular elements which are used to distinguish the NOVELLE play a very im portant role in determining the difference between this and other related genres, that is not their primary function. An unheard-of event, a turning point, the use of Leitmotiv j and the intervention of fate are elements which can also occur in other narrative genres, in dramatic or in lyric genres. The distinguishing feature of the NOVELLE does not lie in any particular number of specific elements, but l rather in the use and purpose of these elements. What is the goal of the NOVELLE and what does it seek to accomplish which is different from other narrative forms? These are two questions which must be asked in relation to a specific technique in order to determine the role of stylistic ele ments in this prose form and thus to differentiate clearly between two genres which seem to be so similar. The range of the NOVELLE is limited in comparison with the novel, but it may be at the same time greater than that of the KURZGESCHICHTE. The narrative effect of the NOVELLE seeks to intensify and to expand that which is narrated within a limited area and thus it uses certain devices such as Leitmotiv, turning point, an exceptional event, and the intervention of fate to achieve this effect. These elements reflect an attempt to narrate an incident in terms of a fixed perspective, a reflection of a particular world view for which the narrative is characteristic. 22 In "Narrative Purpose in the Novella" Judith Leibo- jwitz discusses the importance of the developmental goals of Ja genre in relation to the stylistic devices employed by an i author. She maintains that each narrative form assumes a manner of shaping its material in keeping with its purpose which differentiates it from other narrative forms. The emphasis previously placed on subject and stylistic devices leads to a definition which critics felt needed constant revision. Using the narrative shaping purpose ("Gestal- tungsziel") as the basic differentiation, Leibowitz stresses jthe effect inherent in the novella: a double effect of com pression and expansion (p. 9) which necessitates a form not found under other circumstances. | Qualifying the NOVELLE through "eine sich ereignete 2 o Unpublished Ph.D. dissertation (University of South ern California, 1970). 51 unerhorte Begeberiheit" and the KURZGESCHICHTE through a "Schicksalsbruch" emphasizes one element at the expense of many others. The "Gestaltungsziel" of a genre is an impor tant element which determines, and at the same time explains the use of certain stylistic devices. Although certain i typical devices may seem to overlap, there is an important difference in the generic goal of these two narrative forms. |The NOVELLE narrates a situation and expands it within the limits of its form. The KURZGESCHICHTE portrays a proble matic encounter without expanding it in the narrative it self. It may be expanded by the reader through certain j narrative elements inherent in this genre, but it does not achieve this effect in the same way as the NOVELLE. The two i genres reflect a different perspective, a world view which reveals basic changes in life. The open form of the KURZ GESCHICHTE is evidence of these changes. i Wir haben kein "Weltbild", weil wir kein eindeutiges Bild von der Welt mehr haben. So durfte es fur einen Heutigen ein unmogliches Unterfangen bedeuten, das Mannigfaltige zur Einheit zu verkniipfen und die Empfin- den oder Empfindungselemente zu neuen Einheiten zusammen- zufiigen, jene schopferische Synthese also zu vollziehen, wie sie noch dem klassischen Dichter gelungen ist. (Unseld, p. 148) Ihis change of perspective is not limited to the KURZGE SCHICHTE but has been discussed by critics of twentieth- 52 century literature in relation to the changing form of the novel and of dramatic and lyric genres as well. The impor tance of this aspect for a discussion of these two genres can be seen in Nino Erne's explanation of why the NOVELLE is no longer found among modern authors: "... die Novelle stirbt, weil sie keinen Rahmen mehr hat. Nicht den ge- schriebenen Rahmen meine ich jetzt, der nur farbiger Abglanz ist, sondern den Rahmen des Lebens" (p. 118). ! The NOVELLE seeks to reveal a possible explanation for ! |why something has occurred or for the way in which an in- jdividual reacts to a particular situation. The narrative I I |is effective when the means used to reveal this explanation ! jare exemplary of norms and are made known to the reader. An author may introduce previously unknown limits within the narrative through certain devices which often recur in the jNOVELLE such as the Leitmotiv and Dingsymbol, limitation to ja single theme which is portrayed in a number of situations i i jand to which a number of figures are allowed to react in 'addition to the central figure. This narrative reflects j jman's position in the center of his universe, even in those | iexamples in which the narrator is aware that the limits he sets are fictitious, or only a restricted perspective of reality. The NOVELLE emphasizes a central event, since this 53 element offers an explanation for a happening just as the event of the ANEKDOTE is a characterization of a norm. Erne stresses the changes that have occurred and which no longer allow the author to relate to man as the center of ['his world. The author can no longer create a fictitious world without revealing that the limits of that world are indeed fabricated. The use of "Rahmen" allows the author to set the limits of the narrative in much the same way as the role of the narrator provides an added perspective to the central event. The emphasis has shifted to reveal a multiperspective world jview so that for many the "frame" of the NOVELLE is too fictitious to apply to today's world. Benno von Wiese's introduction to Deutschland erzahlt explains this relation ship between those authors who can create the "frame" of the jNOVELLE and those who must create within the "reality" of ithe twentieth century. j Ein Zeitalter, das das Diskontinuierliche als Da- seinsproblem erfahrt, das die Zertrummerung der Konti- nuitaten erlebt, die dialektischen Antinomien des gesellschaftlichen und sittlichen Lebens* die Relati- vitat von Raum und Zeit, kann nicht mehr so nachahmend, so poetisch naiv erzahlen, wie es in fruheren Epochen noch moglich war. Statt dessen schafft der Erzahler mit virtuos gehandhabten Stilmitteln eine "verfremdete" Welt, die ihre eigene Gewichtserteilung, ihre eigene asthetische Reduktion, durch Verwischung der Trennungs- linie von Wirklichkeit und Tauschunq die Illusion__________ 54 zerstort, daB noch nach Ahnlichkeit mit der sogenannten wirklichen Welt gefragt werden k o n n e . ^ 3 Even when the means used to narrate seem similar* they may be used to convey a totally different perspective. The definition of the ANEKDOTE, NOVELLE, and KURZGE SCHICHTE seem very close if the event is accentuated as the primary narrative element. The ANEKDOTE uses an event to characterize a norm which is illuminated in the point. The KURZGESCHICHTE may make use of an event to reveal the critical moment or it may seek to do this through other means. For this genre the event is only one of many pos sible elements. The KURZGESCHICHTE is illustrative; 9 o JIntroduction to Deutschland erzahlt von Arthur Schnitzler bis Uwe Johnson (Frankfurt a/M, 1962), p. 11. Helmich concurs in the following statement: "Die Geschichte der Gattungsform der Novelle ist im 20. Jahrhundert also immer wieder die Geschichte der Auflosung einer klassischen 'Form. Ob es sich dabei wirklich um Auflosung oder aber um jzeitgemaBe Wandlung handelt, wird davon abhangen, ob es gelingt, eine unerhorte Begebenheit als zweischichtes Ge- schehen so darzustellen, daB nur der Vorgang in der realen Wirklichkeit ausgefuhrt wird, der obere Vorgang aber nur angedeutet erscheint und dennoch dem Zuhorer als vertraute Ordnung bewuBt wird. Sobald der Erzahler die hoherer Ord- nung uberhaupt nicht fiihlbar macht, ist die innere Form der Novelle verfehlt, und sobald er diese Ordnung als eine den Horern fremde mythische Gestalt verkiinden, als Wunder be- richten, als abstrakte Idee erortern und gleichnishaft ver- anschaulichen muB, tritt er leicht aus dem Bereich der No velle in den anderer Gattungsformen des Erzahlens hinuber" (Wege zur Prosadichtung. p. 107). 55 however, it does not base its illustration on an extra ordinary but rather on a very typical example. The point of the ANEKDOTE offers a kind of explanation to what has been portrayed. The point of the KURZGESCHICHTE must be supplied by the reader. The open form of this genre directs the reader, but it does not attempt to explain itself. When one considers the discussion of the NOVELLE given here3 then again the importance of the event becomes appar ent. The incident in a NOVELLE serves a different purpose from that of either the ANEKDOTE or the KURZGESCHICHTE. The NOVELLE expands a particular area and uses an event or events to explain the ramifications of the central element. The stylistic devices so often included in a definition of this genre also function to develop the central element. Thus the same device functions differently in each genre. |The use of certain stylistic devices reveals a different perspective since it serves a different goal in each genre. When a genre is viewed in terms of "its governing principle of composition" to achieve a certain effect and not in terms of its typical devices, then the problem of distinguishing one genre from another not only becomes easier, it also becomes more meaningful. The differences between the KURZGESCHICHTE and the ANEKDOTE, KALENDER- 56 GESCHICHTE, or NOVELLE will now become apparent in differ entiating the genres according to their narrative goal and not according to any number of particular techniques which can also occur in other genres. Since critics have con tinually stressed the relationship between these genres and the roles which they have played in the development of the KURZGESCHICHTE, an ANEKDOTE and a NOVELLE which are based on the same material will be explored in order to compare those elements which distinguish each genre and to determine how they are used differently in the KURZGESCHICHTE. When the ] jfunction which calls for a specific technique has been i lidentified, it will make the discussion of the particular I elements which distinguish genres more meaningful. In the following section of this studyj the comparison of the central event of an ANEKDOTE and a NOVELLE will show ihow each genre seeks to reveal a differing perspective and ! how that perspective differs from that of the KURZGE SCHICHTE . j j Hebei's "Unverhofftes Wiedersehen” and Hoffmann’s "Die i Bergwerke zu Falun" have used the same event to represent two different themes. In contrasting the two it will be shown that each chosses a different genre to demonstrate his theme and in comparing the treatment given to each 57 genre, those elements which contrast these narratives with a third, the KURZGESCHICHTE, will be established. Hebei has chosen to relate his narrative in the form of an ANEKDOTE which characterizes a world view in an individ ual but typical situation. His aim is to illustrate this theme in an unusual illustration which does not come as a startling revelation but is simply one example in a series of interrelated events which reinforce his point. Hoffmann and Hebei have different goals and thus they make use of stylistic devices which are in keeping with a particular genre. Both use a contrast of opposites to illustrate the theme and with varying results. Hebei se lects examples from a wide spectrum to illustrate the unity of his world. The most obvious is the unusual bride and groom: | Da wurden die Gemuter aller Umstehenden von Wehmut j und Tranen ergriffen, als sie sahen die ehemalige Braut jetzt in der Gestalt des hingewelkten kraftlosen Alters und den Brautigam noch in seiner jugendlichen Schone, und wie in ihrer Brust nach fiinfzig Jahren die Flamme der jugendlichen Liebe noch einmal erwachte; . . .^4 Here the reader sees the unity of opposites which in Hebei's 24 Johann Peter Hebei, Kalenderqeschichten (Frankfurt a/M, 1967), p. 71. 58 perspective is to be viewed as an integral part of life. The young groom* who has been preserved* offers a sharp contrast to the bride of fifty years* although her love is as fresh as his appearance. Love and life triumph over death* and yet death must be accepted as a part of the total spectrum which belongs to life. Hebei stresses death's role as a part of life through several stylistic devices. He reveals the passing of time through historical events and the deaths of world leaders. These incidents are contrasted with the ordinary lives of the people* who continue to live as they always have despite the activities that occur around them. Hebei completes the circle by bringing the reader back to the primary example: the miners. That death is an immediate part of their lives is accentuated in their black clothes: "... der Bergmann | hat sein Totenkleid immer an* ..." (p. 69). The logical [explanation of things is stressed in the reaction of the bride* "mehr mit freudigem Entzucken als mit Schmerz sank sie auf die geliebte Leiche nieder ..." She explains that God has allowed her to see him once again before her death. She does not try to change the course of events in any way* nor does she doubt the role God plays in her world. 59 Schlafe nun wohl, noch einen Tag oder zehn im kiihlen Hochzeitbett, und laB dir die Zeit nicht lang werden. Ich habe nur noch wenig zu tun und komme bald, und bald wirds wieder Tag. Was die Erde einmal wiedergegeben hat, wird sie zum zweiten Mai auch nicht behalten . . . (p. 72) Hebei has used the ANEKDOTE to characterize a world view. His primary example is from the world of the miner. How ever., all examples are of equal importance. The incident is related immediately without any interjections or the in clusion of an item not pertinent to the narrative goal. There is no introduction other than through establishing the reality of the incident which is an integral part of this genre. Hebei does not even divide the ANEKDOTE into para graphs but narrates directly to the point which explains the meaning of the incident. Each figure has a function to illustrate his role in an ordered universe. The identity is important only to illustrate this role. All elements of the I narrative— figures, incidents, objects, and other stylistic i devices— function as examples which illustrate Hebei's per- | i s p e c t i v e . I There is a causal relationship in the sequence of events which unlock the meaning of the point. No problem has been posed and no question raised, since all elements serve to reaffirm something which is known to the reader. 60 This unusual couple illustrates the triumph of love and the 25 jrole of death in God's universe. That this has occurred again and offers another example among many is the point of the ANEKDOTE. Hoffmann indicates that his aim is more than the re lating of an event in Ottmar's reaction to the narrative as it is included in part two of the first volume of Die Sera- pionsbriider. Ottmar compares this version to the simple description in G. H. Schubert's "Ansichten von der Nacht- seite der Naturwissenschaft" and maintains that the latter I had a more profound effect on him. Theodor* who relates the narrativej assures him that this is indeed the way in which the story appeared to him. The way in which Hoffmann struc tures the narrative is a direct reflection of its goal. He 1 2 5 j Kilchenmann stressed the similarity between the nar rative elements in this ANEKDOTE and those of the KURZGE SCHICHTE: "... Dinge spielen doch oft eine entscheidende |Und auBerordentliche Rolle. Das Halstuch mit dem roten Rand igilt in Unverhofftes Wiedersehen als Zeichen ewiger unver- jbruchlicher Liebe bis iiber den Tod hinaus ..." (p. 23) . jThe colors of the scarf represent the combined forces which are portrayed in the narrative: the triumph of love and llife over death. As a symbol the object functions in a jtraditional sense* not bringing new possibilities to the ANEKDOTE but illustrating a point through means well estab lished in its reader. The KURZGESCHICHTE makes use of the symbol* but it does this in a different way and to fulfill a very different goal. 61 has introduced the troubled, gloomy tone of the narrative, which contrasts with both the preceding and the following narrative of this collection, in anticipation of the reac tion his version will bring. There are many differences between this version and that of Hebei. Hoffmann's narrative is an attempt to offer a possible explanation of why the youth died in the mine |While Hebei explains how his death is a part of life. Since Hoffmann seeks to explain the motivations for an act, he chooses a genre which will offer intensive attention to this particular aspect of his main figure without developing I additional secondary influences. Unlike in the ANEKDOTE, narrative elements in the NOVELLE are not of equal value. The primary element is an incident or a character that will be explored in relation to one particular aspect. In this NOVELLE Elis Frobom's attitude toward the parallel realms I 'of fantasy and reality form the nucleus to which all other lelements are directed. This attitude, which is revealed in i i | 'a series of incidents culminating in the last scene, must first be established, then compared with other alternatives, and finally directed toward the consequent results. To reveal this attitude, Hoffmann introduces Elis and jhis inclination toward the realm of fantasy and then shows 62 how he is driven to his death by his inability to distin guish the real from the unreal. The first incident gives Elis an outlet for his fantasy. He returns from the sea to exchange imaginative tales of wonder with his mother, who adds to these with her own strange stories from the wonder ful travels of her husband through the northlands. Now that she has died, Elis is left with no one with whom he can share his adventures. He no longer feels at home among his peers and is branded a sad fool, a follower of Neriker who cannot partake of the joys of life. Elis seeks a world within himself and feels a kinship to the old man who relates the treasures buried in the mines at Falun. "Sowie Elis den Alten langer ansah, wurde es ihm, als trete in tiefer wilder Einsamkeit, in die er sich ver- loren geglaubt, eine bekannte Gestalt ihm freundlich tro- 2 6 stend entgegen." The life of a miner appeals to Elis, who iseeks to unlock the most secret treasures of nature, and so he follows this inclination, which represents itself in the figure of the old miner, to a new life. This direction is I reinforced in a dream in which the voice of his mother 26 E. T. A. Hoffmann, Poetische Werke, Band V (Berlin, 1957), p. 201. 63 appears in the figure of a young queen who controls the earth's treasures (p. 207). At Falun the sequence of events repeats itself. Here the world of reality offers Elis the guidance of Pehrson Dahlsjo, who counsels Elis against the dangers of the mine but who also sees those qualities which could make him an excellent worker. Es ist ein alter Glaube bei uns, daB die machtigen Elemente, in denen der Bergmann kuhn waltet, ihn ver- nichten, strengt er nicht sein ganzes Wesen an, die Herrschaft uber sie zu behaupten, gibt er noch anderen Gedanken Raum, die die Kraft schwachen, welche er un- geteilt der Arbeit in Erd1 und Feuer zuwenden soil. (p. 215) Here Hoffmann depicts a situation in which Elis could over come his drive toward the world of fantasy now represented in the underground world of the mine. Ulla, who represents the world of reality, offers Elis the opportunity to become j |a part of her world. He cannot believe that this world is j jreal and begins to view his chance at life as fantasy, thus exchanging the world of fantasy for that of reality. The reader has already been made aware that this would happen. The dreams and thoughts of the main figure run parallel and offer a commentary to his actions. As Elis stood before the opening of the mine, he was reminded of a tale he had heard 64 from an old sailor. During a fever Elis had believed he had seen down to the very depths of the ocean where he saw the remains of the most horrible creatures of the deep. The old sailor explained this view as a sign that someone would soon die, and soon after he was indeed thrown overboard and lost at sea (p. 211). The next encounter with Torbern echoes this warning: — Nimm dich in acht, du falscher Gesell, daB der Metallfiirst, den du verhohnst, dich nicht faBt und hinabschleudert, daB deine Glieder zerbrockeln am scharfen Gestein— und nimmer wird Ulla dein Weib, das sag ich dir!— (p. 218) The incidents which follow offer still more examples of Elis' inability to distinguish between fantasy and reality. Pehrson tests his feeling for his daughter, hoping that Elis will at last indicate his love for Ulla. This too serves to drive him further into the world of the mine. He is again called a poor fool who cannot differentiate the real from the unreal. "Mag," fuhr Pehrson Dahlsjo fort, "mag dem sein, wie ihm wolle, genug, ich argerte mich, daB Elis nicht offen und ehrlich von seiner Liebe zu mir sprach und deshalb, und weil ich dein Herz auch priifen wollte, forderte ich gestern das Marchen mit Herrn Eric Olawsen zutage, woriiber du bald zugrunde gegangen warst. Du toller MenschI— . . ." (p. 223) Reality becomes fantasy and the world of the mine 65 drives Elis to his death. Thus the prophecy of the old sailor is fulfilled. The incidents which follow show how the young miner's perspective has made life above ground impossible. The rational explanations which are offered can do nothing to stop the progression of events, and the reader is not at all surprised by the conclusion which the NOVELLE offers. The contrast between the young bridegroom and his bride of fifty years is not a positive element as it was in the ANEKDOTE. Here it represents a wasted life and a bitter death. Hebei's "... mehr mit freudigem Entzucken als mit Schmerz ..." contrasts with "... und mit dem herzzer- schneidendsten Ton der tiefsten Klage . . ." (p. 228). Ulla's explanation echoes the contrast as she explains that it is the spirit of the mine, Torbern, who assured her that she would see Elis again before she died. She has been Jnamed the Johannismutterchenj since she has been seen each i year on this day lamenting at the entrance to the mine. Hebei's bride also appears around Johannis, but it is God who directs her. Hoffmann's goal is to reveal how Elis' inability to distinguish between reality and fantasy caused his death. The genre he chose to depict this allows him to unfold the 66 central figure through his reactions and thoughts in rela tion to a series of events. There are a number of stylistic devices which enable Hoffmann to explain the relationship of secondary elements and to portray them only to the degree necessary to substantiate the main character. The intervention of the author has been discussed in the frame which has been given to the story within a story. The use of Leitmotiv was apparent in the discussion of the repetition of events introduced by supernatural figures. The recurring appearance of the mother-queen figure to rep resent the element of harmony in his life] Torbern, the miner who was possessed with secret powers and whose proph ecy was fulfilled on Johannistag] and the Neriker, all call attention to the inevitable course of Elis Frobom's fate. The contrast of opposites, not only in the mind of the main figure but also in the figures who try to dissuade him, is j another stylistic device which aids the reader in the un folding of Frobom's character. The sailors first compare Elis 1 ability to share the hardship of the sea with his in ability to celebrate their triumphant return of confiscated treasures. The life of Ulla, her father, and the miners of Falun, who can live with the treasures of the earth, offer a parallel perspective to Elis, whose death brings also the 67 end of their former life . The changes which Hoffmann gives to the ending of the' report may also serve as an example of his structuring within the limits of the NOVELLE. There is no mention here, as in Hebei's ANEKDOTE, of another realm, or another reunion. Ulla dies after having recognized Elis, whose body soon turns to dust. Both narratives and Schu bert's report explained that the iron in the water of the mine had preserved the body. Hoffmann adds another element when he contradicts reality, and with it the validity of Schubert's report, and allows the body to disintegrate. He removes all trace of life and accentuates the bitter fate of the two. A comparison of the same situation structured through the differing goals of the ANEKDOTE and the NOVELLE reveals how stylistic devices and narrative elements combine to form two distinct genres. As the review of the secondary litera ture indicated, the ANEKDOTE's aim is to characterize. In this example it characterizes a philosophical view of life held by an individual (Hebei) which is meant to serve as an example to others. The incidents portrayed offer equal illustration to give the culminating point its validity. The unexpected element is tempered by the reaction it re ceives in the narrative so that the point reflects upon all 68 elements together. No problem is posed and no solution offered. The ANEKDOTE portrays a norm against which the reader measures himself or his world view. The NOVELLE does offer both a problem and a new solu tion outside the established norms. It is concerned with a different aspect of the situation and consequently makes use of stylistic devices which are in keeping with its demands. The problem is revealed* and becomes more developed as the narrative progresses* until the outcome of the situation becomes clear to the reader. In order to explain this solu tion* the problem is viewed through several events* and directed through the use of Leitmotiv* repetition* and the contrasting of opposites* which serve to develop the pres entation of a new world view exemplified in the hero's reaction to the central event. In the ANEKDOTE* all elements served to exemplify a norm* which is given final evaluation by the reader. In the NOVELLE* the narrative elements combine to focus upon the eternal order which is being opposed by the main figure's view of life. The attitude of the hero is elaborated upon and expanded until the reader accepts the inevitability of the young miner's fate. When these two genres are compared with the 69 KURZGESCHICHTEj the similarities and differences are appar ent. The most obvious similarity is the limited range, the element which Goethe called "unerhorte Begebenheit," an in cident or situation upon which the narrative is based. As the ANEKDOTE seeks to characterize and therefore needs no development and the NOVELLE aims to reveal an absolute order and must reflect the reactions and attitude of the hero to this world view in order to explain the outcome of the nar rative, the KURZGESCHICHTE attempts to indicate a proble matic encounter. It reveals that a divine or absolute order has not been recognized or that, at least, what has commonly been accepted as the absolute order or value system no longer applies to this situation. The event, which is considered an important element in the tradition of the NOVELLE and ANEKDOTE, has been used differently in each narrative. In the KURZGESCHICHTE it must be considered, when it appears, as it interacts with other stylistic devices . It is not the primary element but one of many which direct the meaning of the narrative. If this same event were to serve as the basic situation in a KURZGESCHICHTE, its presentation would be quite different. The NOVELLE expands a particular area and uses an event or events to explain the ramifications of its theme. Critical 70 moment and problematic encounter are two terms for the point of impact in the KURZGESCHICHTE which explain the relation ship of the event to the total narrative form. If the situ ation is such that the figures portrayed reveal an awareness of their position, then the problematic encounter is pro jected from this realization to the reader, who develops it further. If the figures show no awareness of the problem, then there can be no encounter within the narrative. The point of impact is projected through this critical moment to the reader, who is forced to react to it without further direction. In Brecht's KURZGESCHICHTEN, the problematic encounter is enacted upon by the figures portrayed. The critical moment is continued beyond this portrayal. In other KURZGESCHICHTEN by Kafka and Nossack, there is no problematic encounter which is perceived by all of the nar rative's figures. This lack of encounter becomes the criti cal moment. The interpretations in Chapter III discuss this point in relation to the individual examples. The point of impact in the ANEKDOTE lies in an event which characterizes an individual perspective. The N0- VELLE's point of impact is developed through certain narra tive elements which explain the central event. The KURZ GESCHICHTE does not require an event to initiate its point 71 of impact. The definitions of the ANEKDOTE, NOVELLE, and KURZ GESCHICHTE seem very close when the event is accentuated as the primary narrative element. The ANEKDOTE uses an event to characterize a norm which is illuminated in the point. The KURZGESCHICHTE does not base its illustration on an extraordinary but rather on a very incidental and typical example. The point of the ANEKDOTE offers a kind of expla nation to what has been portrayed. The point of the KURZ GESCHICHTE is to reveal the need for change, to pose a ques tion, and to reveal a possible direction. In order to con tinue the momentum begun within the narrative, the author must make use of elements which project themselves beyond their presentation. The point of the KURZGESCHICHTE depends upon the interaction of all elements which must be synthe sized by the reader. Thus the material is shaped in keeping with the "governing principle of composition" which makes use of stylistic devices that are open to many possibilities and can direct the reader without attempting to offer a definitive explanation. One such stylistic device which may direct this point of impact and continue the momentum of the KURZGESCHICHTE is the symbol. Before a closer ex amination of the nature of the symbol can be made, let us 72 consider the relationship of yet another genre which is often used synonymously with the KURZGESCHICHTE. This con cept can be seen in the following discussion on the 27 SKIZZE. Max Hoffmann, writing in 1903, characterizes the SKIZZE 28 as "eine Art fluchtiger Momentphotographie." His discus sion is influenced by American literature of the nineteenth century and includes narratives by Bret Harte and Edgar Allan Poe which are more than momentary reflections of some unusual atmosphere or feeling. Hoffmann notes a difference between these narratives and others of this age: "Die feine Gabe der abgerundeten Novelle ist so gut wie verschwunden, und die Erzahlkunst pendelt zwischen kurz und lang, zwischen Roman und Skizze" (p. 1164). However, although the lyrical moment of this narrative distinguishes it from earlier genres, those same elements 27 Hans Martin Elster's article entitled "Die Kurzge- schichte oder Skizze" is concerned with all forms of shorter narratives which appear in newspapers and periodicals and cater of the tastes of the masses under the name of Kurzge- schichte, Erzahlung, Skizze, Novellette, Humoreske, Schwank, or Fabel. This article is primarily concerned with the "degenerate" nature of these narratives (pp. 708-711). 28"Die Skizze," Das literarische Echo. XVII (1903), 1161. 73 which have been used to characterize the NOVELLE and the ANEKDOTE are stressed here as particular to the SKIZZE: Die literarische Skizze ist eine im kleinsten Rahmen ausgefuhrtes, vollstandig fertiges Gemalde^ in dem haufig eine selten wiederkehrende Stimmung, eine merk- wurdige Situation^ eine sonderbare Begebenheit fest- gehalten ist. Sie ist dasselbe* was die Radierung neben dem Olgemalde, und nicht die Quantitate sondern die Qualitat macht ja den Wert eines Kunstwerks aus. (p. 1162) The unusual or exceptional is typically considered to be the characteristic element of this shorter prose genre and thus there is little emphasis on the unique nature which would otherwise distinguish this form. Klaus Doderer stresses those elements specific to the SKIZZE and distinguishes clearly between this genre and the KURZGESCHICHTE. He too emphasizes the lyrical^ but dis tinguishes an important element: "Ihr fehlt die Handlung, das Fundament aller Erzahlkunst. Die Skizze begnugt sich mit der Wiedergabe einer Stimmungj eines Eindrucks* oder der Schilderung eines Menschen" (Die Kurzgeschichte in Deutsch land, p. 73). Thus over a period of time those elements which serve a different purpose are used to distinguish the SKIZZE from other shorter prose forms. Gero von Wilpert emphasizes the meaning inherent in this term originating from the Italian schizzo. which means "hastig, fliichtig" or 74 abrupt, sudden, momentary. Gero von Wilpert relates the form to the painter's sketch which is meant to serve as a beginning of a more encompassing work and distinguishes it from the KURZGESCHICHTE, which is complete in itself: . . . im Malerei wie Literatur fliichtig hingeworfene Aufzeichnung aIs Entwurf fur eine weiter auszufuhrendes groBeres Werk; auch kleine Erzahlung, jedoch bewuBt fragmentarisch im Gegensatz zur gerundeten Kurzge schichte .29 When the narrative purpose is considered in relation to these typically appearing elements, they assume new meaning. The SKIZZE is not an attempt to reveal a complete form. Its goal is to portray an individual feeling or a response with out projecting its ramifications or aligning this projection with its implications. It is an individual view of a par ticular moment which does not attempt to qualify what might become the problematic nature of this portrait. The critics 1 insistence on an event or an action as the main distinction between these forms must also be evaluated in relation to the goal of the narrative. The KURZGE SCHICHTE may or may not incorporate an event or a happening in its encounter, or it may project the encounter to the o Q ^ Sachworterbuch der Literatur, 5. verb, und erw. Aufl. (Stuttgart, 1969), p. 713. 75 reader. The moment of the narrative may not appear critical to its figures or it may overwhelm them so that they are unable to act. The "action" is not confined to the narra tive but is projected toward the reader, who is expected to relate in some way to the presentation. Understanding the difference in narrative purpose in herent in each genre is essential in distinguishing the author's objectives for incorporating particular elements in the narrative . Although the SKIZZE and the KURZGE SCHICHTE have certain elements in common, they can be dis tinguished through the portrayal of the problematic encoun ter and the use of the lyrical. The SKIZZE evokes a feeling but does not provoke a response, since it is not basically problematic. The KURZGESCHICHTE uses the lyrical in another way. Its goal is not only a feeling but also a response and thus it causes elements to interrelate within the narrative so that the presentation is not static but dynamic, with each element projecting itself in relation to its interac tion within the narrative. The difficulties in coming to terms with the nature of this narrative form are evident in the varied approaches used to define the KURZGESCHICHTE. In addition to the dis cussions on the subject matter and its treatment and to the 76 comparisons among related shorter prose forms and between the particular types of KURZGESCHICHTEN which have appeared, attempts have been made to characterize this narrative through the predominant aspects of one or several of the basic components of poetics— either through the epic, dra matic, or lyrical elements or through the similarities with the graphic arts or with the cinema. As has been stressed throughout the review of the literature, the epic or narra tive elements do not function in a traditional sense. The narrative has become a "dramatic presentation" in which that which is being told tells itself. The components of the KURZGESCHICHTE are elements traditionally found in other areas. As in the lyric forms, the author now seeks to show the pregnant moment which will reveal itself beyond mere representation. The emphasis from the lyrical seeks not to reveal a causal or logical relationship between objects, but rather it strives toward a subjective, plastic, or symbolic relationship projecting itself on various levels of aware ness, each effective simultaneously. Such a presentation must consider how these elements will interact and make careful use of them in order to communicate most effective ly. This demands a close relationship between form and content. As in other lyrical genres, the KURZGESCHICHTE 77 seeks the significant moment or object as a basic element to direct meaning. Piontek stresses this dimension in his 30 comparison of the "graphic in prose." Hollerer too con firms the importance of the interaction of individual ele ments in a discussion of the similarities between litera ture, music, and art.^ To return to the point of departure: length and sub ject matter and its treatment, as predominant narrative elements, now seem secondary. They are the results of a particular narrative goal to transmit the momentum of the narrative. It is to be expected that a narrative whose goal is to reveal the essential will of necessity be a shorter genre. Nothing is gained by attempting to place limits on ^Heinz Piontek also agrees that the KURZGESCHICHTE is closer to the lyrical than the epic forms. "Die Geschichte wie das Gedicht suchen den aufleuchtenden Augenblick, der eine Wahrheit sinnfallig macht. Beide bemuhen sich tom die Gestaltung einer zeichenhaften Situation. Beide Formen verlangen den knappen lakonischen Ausdruck." And in his comparison with the graphic: "Das Zeichen ist in der bild- haften Kunst jenes Verfahren, welches die Realitat weit- gehend reduziert, von ihr bloS das Wesentliche stehen lafit." "Graphik der Prosa: Ansichten uber die deutsche Kurzge schichte, " in Buchstab-Zauberstab uber Dichter und Dichtung (ESlingen, 1959), pp. 69-71. ^Walter Hollerer, "Gibt es Gemeinsamkeiten moderner Literatur, Musik und bildender Kunst?" Akzente, VI (1961), 490-507. 78 this aspect. The elements of the narrative itself determine this factor just as the problematic encounter will determine the subject and its treatment, which can be as varied as the author's attempt to narrate within these dimensions. One of the elements which helps the author achieve his goal is the particular use given to the symbol in the KURZ GESCHICHTE. The nature of the symbol offers the artist the means to present the multivalent experiences of reality and fulfills most accurately the demands of the KURZGESCHICHTE. The interpretations in the main body of the dissertation will examine the interrelation of elements and show how the symbol functions as a key element in directing the meaning of this art form. Before the function of the symbol in various examples can be considered., it is important to dis cuss the nature of the symbol to ascertain how this sty listic device can best project the momentum of the KURZ GESCHICHTE . The Significance of the Symbol for the Modern Narrative A literary work of art conveys meaning through the interaction of elements of language. The unique way in which they combine transmits a significant design or ex pression which is dependent upon the particular use made of 79 these elements. Narrative forms have traditionally included three basic elements: a narrator, a past event, and a listener or reader (Kayser, Das sprachliche Kunstwerk, p. 349). Depending upon the goal of the author, these elements were shaped to provide the reader with a particular view of a situation. In modern twentieth-century literature, these three elements have lost their predominant role. The narra tor, if present, rarely takes the omniscient position of one who is guiding all events to a particular outcome. This role has often been given to the reader, who must connect the various elements of the narrative. The recounting of a past event has been exchanged for an exemplary situation not restricted to time or place. The KURZGESCHICHTE makes particular use of these basic narrative elements. The event or situation in itself is unimportant, since it serves as an illustration. It becomes representative of man's condition in this century and may thus be given any number of possible forms. As the review of the literature has shown, little can be gained by con fining the situation or problem of a narrative form, since this limitation alone does not significantly contribute to the understanding of an art form. An event or situation is given a particular treatment in keeping with the narrative 80 purpose of the genre. Thus this element undergoes change from one genre to another and from one age to another. The narrator no longer assumes the position of "direc tor" within the work or he does so only when qualified through a particular ironic or satirical tone. Structuring of the narrative must be indirect and must provide a flexi bility that reflects the demands of a constantly changing age. The listener is given a new and more demanding role. He must be prepared to take up the signals of the narrator and to interact with that which the narrative elements pro vide for him. The narrator is no longer in a position to direct from within the work, and thus he seeks an approach which will provide the reader with some indication of the meaning of his presentation. His choice of genre is one such indica tion. The stylistic devices which are employed within his choice are another. Since the goal of the KURZGESCHICHTE is to reveal the need for change, the author will also make use of stylistic devices which offer a number of perspec tives to a situation presented in order to emphasize this change. The KURZGESCHICHTE is heuristic in nature, since the author refuses to "tell" the reader the meaning of the narrative through traditional means. The reader must 81 "experience" the world of the narrative directly and estab lish his own order from the author's symbolic representa tion . This change of roles from narrator to reader is also evident in other narrative forms. Wayne Booth's The Rhe toric of Fiction deals with this in the changing nature of the novel. The fragmented nature of twentieth-century society poses new problems to the novelist and thereby de limits means through which he can communicate. Some of the alternatives are set forth: The modern [novelist] . . . seems to have no choice between simplicity and directness on the one hand or complexity and ambiguity on the other. If he tries to deal honestly with the fearful intangibilities of his own experience and the chaos of the twentieth- century human condition, he must, in some sense, in vent his own peculiar form. If he attempts to employ the traditional storytelling forms . . . he will run an overwhelming danger of accepting some sureties of the past inherent in the form, and, consequently, of dissipating into the mood of sentimentality and the mode of melodrama. The serious modern novelist is thus obliged to plunge into the abyss of value- creation, and his resultant novel, if successful, will necessarily communicate reflectively and symbolically [that is, without direct authorial statement of values on which the work depends].32 OO Earl H. Rovit, "The Ambiguous Modern Novel," The Yale Review, Apring 1960, p. 424, as quoted in The Rhetoric of Fiction, ed. Wayne Booth (Chicago, 1961), p. 393. 82 One of the elements which enables the author to present the multiperspective aspect of the KURZGESCHICHTE is the symbol. How he uses this and the direction he provides makes it a key element in this narrative genre. Traditionally a symbol is an element which conveys meaning according to its linguistic value as well as for a projected analogy which is based on the qualities inherent in the object. This object offers a point of comparison which is then projected outward to represent another object, attitude, or relationship. A symbol begins in the relation ship between the meaning of the object chosen and its in herent qualities which are transferred outward. The word symbol comes from the Greek and is combined 33 from auv ('together') and (3aA\eiv ('to throw'). It was used to indicate a sign or signal which had meaning when its parts were joined together. Certain elements were recog nized and gained meaning when brought together to form a whole. Based on this combination of elements, the symbol conveys meaning as it elicits an object or situation which suggests another expression of meaning. Unlike the sign •^Max Schlesinger traces the use and development of this word from the Greeks to the early twentieth century. Geschichte des Symbols: Ein Versuch (Hildesheim, 1967). 83 which stands for something in particular., the symbol elicits new possibilities as it interrelates with other narrative elements, so that it is not possible to limit the symbol to an exact equivalent. The use of the symbol in literature as well as in other art forms is an attempt to give meaning to some aspect of life by relating it to a "higher" concept, something for which there is an established value in a particular tradi tion or culture. The individual element assumes signifi cance as it is allied to an established order or world view and can be seen as representative for a particular concept. Man seeks not only to give new meaning to his life but also to offer explanations for "reality" through his pro jections in the various art forms. Fur den Dichter ist die Symbolschaffung ein Akt der kunstlerischen Weltbewaltigung. Er sucht im Bild die Spannung von konkreter und abstrakter Welt zu liber - winden, das scheinbar Zufallige ins Giiltige zu erheben, die der Wirklichkeit immanente ewige Wahrheit so sicht- bar zu machen, wie der Philosoph die Phanomene auf Begriffe reduziert.^ There are many ways in which the symbol may be employed to convey meaning. This is determined by the goal of the ■^Elizabeth Frenzel, Stoff-, Motiv- und Symbolforschung (Stuttgart, 1963), p. 34. 84 author and influenced by the age and the culture in which the symbol occurs. Those vehicles which transmit the mean ing of the symbol are also determined by a similar number of elements. When traditional images are used the reader has an immediate clue to its possible value. When the author chooses vehicles beyond those established by his literary heritage, the reader must pay close attention to the way in which this vehicle is used within the work to gain insight into the possible meanings of such a symbol. A symbol needs two basic element in order to begin this process. It must have something inherent in its primary value or it must be given a particular value within the narrative which can be conveyed to the reader. The reader combines these elements of the symbol with those of his own experience and thus the process begins. The symbol is one of several narrative elements which may combine to form the KURZGESCHICHTE. The way in which it is structured is influenced by the immediate goal of the author. One of the basic properties of the symbol is to project its inherent quality in order to reveal a comparison and to stress the similarities between this object or situa tion and another. The very nature of the KURZGESCHICHTE iemands elements which are fluid and which may be adapted. 85 The traditional narrative elements, a past event, narrator, and listener, can no longer combine to direct the author's attempt to communicate. If the narrative is to have mean ing, it must reveal itself through other means. The author seeks to depict a situation or attitude which offers many possible directions in order to create a point of departure for the reader. The symbolic nature of the problematic encounter offers a sense of direction. Thus, although this genre may make use of some of the traditional narrative elements found in the ANEKDOTE and the NOVELLE, it does so to achieve a different goal. The event, which is a concrete illustration of a norm in these genres, becomes a symbolic representation in the KURZGESCHICHTE. The ANEKDOTE reveals an unusual incident measured against an accepted norm which is meant to serve as an ex ample . The NOVELLE uses a central incident to offer an explanation of how or why this event has taken place. This explanation is to be interpreted according to a known norm or world view which has directed the main figure's reactions to his situation. The KURZGESCHICHTE portrays a situation which lacks an established world view or which calls the reader's attention to the need for a change in the accepted norm. 86 In the narrative tradition of the eighteenth and nine teenth centuries an individual example was considered repre sentative of a particular norm and thus could be used to portray an incident which was applicable to a group as a whole . An individual or an event could symbolize an ac cepted value as this reflected a characteristic inherent in the chosen subject. Goethe stressed these qualities in the nature of the symbol as he understood it. Das ist die wahre Symbolik, wo das Besondere das Allgemeine reprasentiert, nicht als Traum und Schalten, sondern als lebendig-augenblickliche Offenbarung des unerforschlichen. [Das Besondere im Allgemeinen] ist eigentlich die Natur der Poesie, sie spricht ein Besonderes aus, ohne ans Allgemeine zu denken oder darauf hinzuweisen. Wer nun dieses Besondere lebendig faflt, erhalt zugleich das Allgemeine mit, ohne es gewahr zu werden, oder erst spat.35 This definition of the symbol begins with the object repre sented and projects its meaning from a characteristic in herent in that object outward through the narrative and beyond. Goethe emphasized this relationship between inter nal characteristic and external application— which is the basic quality of this stylistic device— when he compared the 35 Johann Wolfgang von Goethe, Maximen und Reflexionen, hrsg. von Ernst Beutler (Zurich, 1949), p. 532. 87 symbol with allegory. The symbol is an abstract, the rep resentation of an idea. The allegory is concrete, an illus tration of a particular concept which cannot project itself 36 beyond what it is. The changes of the twentieth century have placed new demands on language as a means of communication and expres sion. Concepts and ideas previously accepted are continu ally being tested in terms of their relevance. The experi- 37 ence of "Lord Chandos" is but one example of the way m •^Northrop Frye, Analyse der Literaturkritik, aus dem Amerikanischen von Edgar Lohner und Henning Cledwig (Stutt gart, 1964), p. 93: "Der Unterschied zwischen Symbolik und Allegorie liegt in einer 'konkreten' Auffassung von Symbo- len, die mit Bildern von tatsachlichen Dingen beginnt und dann auf Ideen und Behauptungen hin arbeitet, und einer 'abstrakten' Auffassung, die mit der Idee beginnt und dann versucht, dafiir ein representatives konkretes Bild zu fin- den." ■^Hugo von Hofmannsthal, Gesammelte Werke in Einzel- ausgaben: Prosa II (Frankfurt a/M, 1951), "Ein Brief," p. 11: "Es mochte dem, der solchen Gesinnungen zuganglich ist, als der wohlangelegte Plan einer gottlichen Vorsehung er- scheinen, daB mein Geist aus einer so aufgeschwollenen An- maBung in dieses AuBerste von Kleinmut und Kraftlosigkeit zusammensinken mufite, welches nun die bleibende Verfassung meines Innern ist. Aber dergleichen religiose Auffassungen haben keine Kraft uber michj sie gehoren zu den Spinnen- netzen, durch welche meine Gedanken hindurchschieBen, hinaus ins Leere, wahrend soviele ihrer Gefahrten dort hangen- bleiben und zu einer Ruhe kommen. Mir haben sich die Ge- heimnisse des Glaubens zu einer erhabenen Allegorie ver- dichtet, die uber den Feldern meines Lebens steht wie ein leuchtender Regenbogen, in einer stetigen Ferne, immer 88 which accepted forms have lost their validity and must be infused with new meaning. The means of communication tra ditionally available to the artist must be adapted if they are to continue to be effective. The traditional means of interpreting life are no longer means but ends in them selves . They determine the perspective and thus the in terpretation. "Lord Chandos" could no longer interact with his universe when he realized that his means determined the results and prevented him from reaching his goal. The nature of language is questioned when the concepts and values which words represent have lost all meaning. As the concepts and meaning of "reality" change, language and the forms it assumes seek out new alternatives. The essays in Joseph Strelka's Perspectives in Literary 38 Symbolism show how the nature of the symbol may change as it assumes a new role in modern literature. A symbol may be designated through a number of possible types depending upon bereit, zuriickzuweichen, wenn ich mir einfallen lieSe hin- zueilen und mich in den Saum seines Mantels hiillen zu wol- len. Aber, mein verehrter Freund, auch die irdischen Be- griffe entziehen mir in der gleichen Weise. . . . Mein Fall ist, in Kurze, dieser: Es ist mir vollig die Fahigkeit abhanden gekommen, uber irgend etwas zusammenhangend zu denken oder zu sprechen." OQ Yearbook of Comparative Criticism, Vol. I (Universxty Park, Pa., & London, 1968) . ____________________________________ 89 the age and the culture in which it is used. There are certain objects which are common to large groups of people and which are therefore not limited in their possibilities . The archetypes are representations found in all cultures which are part of a shared literary experience. The symbol in western literature must be adapted to meet a changing world view. It is limited to a particular time and place as conditions and the terms used to describe them undergo change. Another level of representation through which the symbol seeks to communicate reflects the demands of an age which must seek new means to impart its values. Walter Hinderer's discussion of the nature of the sym bol stresses the ability of an object to assume proportions within a work which projects meaning based not on inherent value alone but in its implied value as it interrelates with other elements. The symbol in this case functions as the i means of fusing the significance of the representative ob ject with another level of expression beyond what is de picted. Thus the symbol functions as a multivalent object which directs the reader or viewer without qualifying the limits of that direction so that its meaning transcends the 90 39 original object indefinitely. Just as there are different kinds of symbols, there are also different ways in which the symbol may transmit mean ing. Wladimir Weidle calls attention to the levels of mean ing which are conveyed in language. In poetry an interrela tion begins between the sound-value and the primary lin guistic value of the word. Prose, it seems, does not empha size the sound-value of a word as much as the interaction between the initial and implied value of the elements of language which combine to being about a particular work. The symbol functions in either sphere and does this in dif ferent ways depending upon the elements which are combined in it. Weidle discusses the necessary interrelation through which literary language conveys meaning and differentiates between levels of communication in the symbol. He distin guishes two kinds of symbols: ! . . . die mimetischen Symbole, die ihren Sinngehalt bezeichnen, indem sie ihn darstellend ausdriicken, und die signitiven Zeichen, die entweder Einzeldinge oder Begriffe bezeichnen, durch deren Stufenweise geordnete Vermittelung uber die Einzeldinge gedacht wird.^® ■3Q Walter Hmderer, "Theory, Conception and Interpreta tion of the Symbol," in Strelka, pp. 83-127. 40 "Die zwei Sprachen der Sprachkunst. Entwurf zur 91 The "mimetische Symbole" contain the initial element of symbolic meaning in their inherent lexical value. The "sig- nitive Zeichen" do not contain inherently the primary value which begins the process of symbolic representation. The "signitive Zeichen" have an assigned value so that the vehicle of such a symbol may be substituted without destroying its meaning. The "mimetische Symbole" cannot be given an exact definition. Their value is assigned by their use in context so that it is not possible to substitute the vehicle with another without significantly altering their value. The symbol differs from the sign in that the sign in dicates or works by causal efficacy alone. The symbol is more than an association of elements which indicate or sig nal a given response. It relates to a concept or an idea and thus stands for something other than that which it is* so that the relationship which is called into play between the vehicle and its possible "meaning" or value depends in part upon the observer. The symbol does not simply happen but is employed with a particular purpose in mind, although Grundlegung einer nicht-asthetischen Kunsttheorie," Zeit- schrift fur Asthetik und allgemeine Kunstwissenschaft, XII, No. 2 (1967), 164. 92 there is no guarantee that this intention and not some other will be perceived by the interpreter. In an effort to understand the properties of the symbol, Philip Wheelwright discusses its various relationships in the following way: A symbol is understood to be "that which means or stands for something more than (not necessarily separate from) itself, which invites consideration rather than overt action and which characteristically (although not per- haps universally) involves an intention to communicate." The "signitive Zeichen" have an established meaning; the "mimetische Symbole" are given a meaning based on their ability to project their own initial value. The symbol in the KURZGESCHICHTE is mimetic and therefore may be given many meanings. Thus a most important element is its direc tion, since this is the point of function which is the first indication of its possible meanings. Meaning is derived from two or more aspects working simultaneously. To use the terminology of I. A. Richards, these two aspects include that which means and that which is meant: a semantic carrier (V— vehicle) and a semantic content (T— tenor). The vehicle may be almost anything, but it must be given shape (T) and thus a specific V-T 41 The Burning- Fountain: A Study in the Language of Symbolism (Bloomington, Ind., 1954), p. 24. 93 relationship develops which provides the necessary point of reference at which the contemplation of possible "meaning" 42 begins. The point of reference is the direction which the author provides the symbol through its relationship to all elements of the narrative. This direction offers the symbol in the KURZGESCHICHTE a means of expression similar to the "Rahmen" of the NO VELLE. It "frames" the vehicle of meaning through irony., satire, or paradox and thus offers the reader an implied direction or possible perspective(s) which begin to inter pret the critical moment. The function of the symbol is to direct or to project an assumed significance. The word object, person, or event which serves as such a symbol begins the necessary inter action not as the representation of what it is but rather of its function. In a world in which the center is no longer man but the interrelation between things, the symbol re flects this change in perspective and seeks new means to convey meaning. The basic function of the symbol is, as the etymology of the word itself implies, to combine several elements 42"The Archetypal Symbol," in Strelka, p. 215. 94 within the work and to relate them through the poet to the reader. Almost any element may be used— image, motive, the action of the plot, an object, or a figure— depending upon its inherent linguistic value and the function it is given within the work. Since the relationship between the inher ent value of the object and its projected value is based upon a combination of elements, not all aspects of a given symbol can be described or defined. There are many elements which must be considered in relation to its relative value I and they must be viewed together in the context in which the symbol appears. The process begun in this interrelationship of elements is continued in the reader, who adds his own values to each encounter with the symbol. "Es liebt in ihm eine innere Fiille, vor allem wirkt es durch diese innere Fiille und seine Anlage auf den ganzen Menschen, nicht nur 43 auf den Verstand, sondern vor allem auf das Gemut." The j symbol sets off a reaction which begins in the relationship between the concrete example of the object and its abstrac tion : Jedes Symbol steht zwischen Konkretion und Abstrak- i tion; es ist ein ganz bestimmtes Bild, ein bestimmtes 4 3 ^Herbert Seidler, Die Dichtung: Wesen, Form, Dasem (Stuttgart, 1959), p. 75.____________________________________ 95 Motiv, eine bestiinmte Person, aber es entfaltet in sich aucb ein allgemeines, das Wesentliche. (Seidler, p. 269) The symbol becomes an analogy for something unstated for which the normal channels of language have not provided an equivalent; it is an attempt toward communicating levels of meaning. Understanding the symbol depends upon under standing its function in the work of art. Perceiving the way in which it interrelates with stylistic devices and recognizing at least a part of its potential is a necessary beginning. The reader is aided only indirectly by the author in the KURZGESCHICHTE, which makes the symbol the essential carrier of meaning. Albert Camus discusses the role of the reader in understanding the means of the symbol in the works of Kafka. He stresses that the reader is forced to read carefully and to consider multiple perspectives and even the possibility of double interpretations. This is, however, a i part of the author's goal and is also to be considered in interpreting Kafka's symbols. A precise definition is not ipossible; the artist can render only the thrust of the sym bol, its impulse— not an exact equivalent. The symbol jtranscends its user and always says more in reality than the writer can consciously express. One can best understand the 96 work by approaching it without a preconceived idea and by not looking for any hidden currents. Particularly for Kafka* it is fair to consent to his rules, to approach the drama through its appearances and the novel through its ^Albert Camus, "L'Espoir et L'Absurde dans L'OEuvre de Franz Kafka," Essais (Paris, 1965), p. 201: "Tout 1'art de Kafka est d'obliger le'lecteur a relire. Ses denouements, ou ses absences de denouement, suggerent des explications, mais qui ne sont pas revelees en clair et qui exigent, pour apparaitre fondees, que l'histoire soit relue sous un nouvel angle. Quelquefois, il y a une double possibilite d 1inter pretation, d'ou apparait la necessite de deux lectures. C'est ce que cherchait 1'auteur. Mais on aurait tort de vouloir tout interpreter dans le detail chez Kafka. Un symbole est toujours dans le general et, si precise que soit sa traduction, un artiste ne peut y restituer que le mouve- ment: il n'y a pas de mot a mot. Au reste, rien n'est plus difficile a entendre qu'une oeuvre symbolique. Un symbole depasse toujours celui qui en use et lui fait dire en rea- lite plus qu'il n'a conscience d'exprimer. A cet egard, le plus stir moyen de s'en saisir, c'est de ne pas le provoquer, d'entamer 1'oeuvre avec un esprit non concerte et de ne pas chercher ses courants secrets. Pour Kafka, en particulier, il est honn^te de consentir a son jeu, d'aborder le drame par l'apparence et le roman par la forme. A premier vue, et pour un lecteur detache, ce sont des aventures inquietantes qui enlevent des personnages tremblants et entdtes a la poursuite de problemes qu'ils ne formulent jamais. Dans le Proces, Joseph K... est accuse. Mais il ne sait pas de quoi. Il tient sans doute a se defendre, mais il ignore pourquoi. Les avocats trouvent sa cause difficile. Entre- temps, il ne neglige pas d'aimer, de se nourrir ou de lire son journal. Puis il est juge. Mais la salle du tribunal est tres sombre. Il ne comprend pas grand-chose. II sup pose seulement qu'il est condamne, mais a quoi, il se le demande a peine. Il en doute quelquefois aussi bien et il continue a vivre. Longtemps apres, deux messieurs bien 97 The function of the symbol in the KURZGESCHICHTE is to impart the critical moment. The symbol projects this moment through the interaction between the elements of the narra tive indirectly structured by the author. The decisive element is the direction(s) it provides the reader, since this is a key to the possible "meanings" the symbol may assume. This study is concerned with the ways in which the symbol functions and the role this function assumes in this genre. Hinderer's essay on the "Theory, Conception and In terpretation of the Symbol" stresses "fixed points" which give the symbols their directing or aiming function. "Sym bols only mean if they stand in a correlative point of function which, however, can again become the correlative point of another point, and so forth" (in Strelka, p. 96) . This correlative point of functions begins in the inter- | relationship between the object, its inherent and its pro jected value. This relationship is continued in the change in meaning which the object is given in the narrative. Its habilles et polis viennent le trouver et 11invitent a les suivre. Avec la plus grande courtoisie, ils le menent dans une banlieue desesperee, lui mettent la t£te sur une pierre et l'egorgent. Avant de mourir, le condamne dit seulement: 'comme un chien'." 98 meaning is projected beyond the narrative through this in teraction which assumes new significance in the direction which it has been given. An absolute value cannot be as signed to these symbols, since they gain value according to the reader's perception and understanding of their function. The ability to perceive the directing role of the symbol is a key element in understanding the "meaning" of the KURZ- GESCHICHTE. The symbol's direction becomes evident to the reader when he relates its levels of meaning to other ele ments in the narrative. Most symbols in the KURZGESCHICHTE seem in a sense to work against themselves, to project mean ing through the loss of their initial function and the need for a new role as a vehicle of language. Thus the designa tions of the different directions are meant to reveal the various correlative points which may be expressed through the symbol. The direction the symbol may take in the KURZ- IGESCHICHTE does not differ from that of the symbol in other I modern narrative, dramatic, or lyric genres. Its unique function is determined by the changes in narrative elements which reflect the age of the twentieth century. The loss of the narrator as the immediate director of the outcome of an event or series of events illustrates the change in man's position as the central element in his universe. The 99 narrator can no longer assume a role which has no equivalent in reality. If he does act to direct the momentum from within the narrative, then his role is qualified through the acknowledgment of his limitations. The element of fiction, 45 "scheinhaftes Spiel," has been replaced through the repro duction of "reality" to reflect the loss of the sharp con trast between what actually is and what can be created by the poet. The event is not a specific illustration of reality; it has become an abstraction, a representation which alludes to I a number of situations simultaneously without becoming any one of them. The element of past time loses its signifi cance when the event is no longer a concrete example of an ideal "reality." Since the primary situation of the narra tive has become the representation of a critical moment Which is symbolic, an exact reference to time, place, or i iindividual is unnecessary. The predominant use of the symbol redefines the process of relating to the situation and thus the reader's world view as it recreates levels of "reality." It enables the 4 5. Wilhelm Emrich, "Die Erzahlkunst des 20. Jahrhunderts und ihr geschichtlicher Sinn," Deutsche Literatur in unserer Zeit (Gottingen, 1961). 100 reader to relate to multilevels of meaning simultaneously. t The meaning of the symbol becomes the relative value of an object, relationship, or situation. It is no longer a fixed equivalent which stands for an external relationship. The function of a particular symbol becomes apparent when the recurring pattern of an element is viewed in respect to its total relationship to the other elements in the narrative. The inherent value of an object may or may not be the de cisive factor in this relationship. When the element is j considered in relation to its effect on the others, then meaning becomes a pattern of relationships based upon the relativity of a word. The traditional composition of the symbol offers the twentieth-century author the means of establishing new points of relevance and bridging the gulf between the "real ities" of modern life. The KURZGESCHICHTE reflects an at tempt to communicate this basic change in reality even in i those narratives in which the use of "innerer Monolog" pmphasizes the prospect that there may be no listener, no | jone who is "there" at the moment, who is aware of what is I being offered! This study seeks to show that the key narrative ele ments are not length, subject matter, or its treatment but 101 the interrelation of internal poetic elements which combine to project the momentum of the narrative beyond its presen tation to be directed further by the reader. I i j On the basis of this concept of the symbol, in the main I jpart of the study examples of KURZGESCHICHTEN will be dis- I cussed to show how the symbol may be directed by differing perspectives to reveal the critical moment. The examples included here are only a few of the many available. The perspectives which will be reviewed are also only a selec tion of those which may direct the momentum of this genre. iThe symbol will be considered in relation to a number of jrecurring perspectives which reveal the varying directions jwhich this narrative form may assume in order to show how jthe symbol functions as a key narrative shaping element in the KURZGESCHICHTE. The discussion begins with Brecht, who felt that art generally should project itself beyond a representation of j"reality" in order to reveal its practical applications. In i his writings on the theater he includes a number of points in "Dialektik und Verfremdung" which reveal the direction i jhis art was intended to take. He incorporates the tradi tional element of the (mimetisch) symbol with a new per spective : 102 Das Besondere im Allgemeinen (der Vorgang in seiner Einzigartigkeit, Einmaligkeit, dabei typisch). Moment der Entwicklung (das Ubergehen der Gefuhle in andere Gefuhle entgegengesetzter Art, Kritik und Einfuhlung in einem) . Widerspruchlichkeit (dieser Mensch in diesen Ver- haltnissen, diese Folgen dieser Handlung) 1 |His typical happening is subject to change and must reveal itself at the critical moment so that a new perspective be- jcomes evident. Although Brecht begins with the traditional jconcept, he modifies it to reveal a new direction. His use I |of the symbol reveals a process of contrasting and combining | jopposites which he calls "dialectic." This is only one of i |the possible directions which the symbol may assume in the jKURZGESCHICHTE . ! The other interpretations in this part of the study will discuss further characteristic uses given to the sym bol. It may be used ironically to assume the opposite of its proposed function within the narrative. It may reveal !a paradox, a situation which is "real" in spite of its un- j realistic nature. The symbol may function to portray a i satirical moment in which it represents a "false" norm or j _ |it may simply be humorous without attempting to qualify its | I I I | 46Schriften zum Theater (Frankfurt a/M, 1963), p. 181. 103 meaning beyond a given point. The symbol may seem to assume a function which is so far beyond a norm that it is meaning less . By examining the interrelation of elements which make up the KURZGESCHICHTE, it will be shown that even the most extreme examples have been given a direction, whether it be grotesque, absurd, or a part of yet another perspective which could be added to those discussed here. It is the aim iof this study to reveal some of the possibilities in the few |KURZGESCHICHTEN taken as examples. In some cases there are 1 ja number of perspectives which work together to provide I | idirection. It would be presumptuous to suppose that all had | been discussed in relation to any given example. This study |is meant to serve only as a beginning to reveal what is possible in the use of the symbol in the KURZGESCHICHTE. CHAPTER III REPRESENTATIVE TYPES OF KURZGESCHICHTEN The Dialectic KURZGESCHICHTE Bertolt Brecht's Kalendergeschichten' * ' offer a unique form of the KURZGESCHICHTE. Hermann Pongs discusses the change of emphasis between Brecht's Kalendergeschichten and other examples of this genre in its traditional form. KALENDERGESCHICHTEN seek to explain an event based on ac cepted norms. Their goal is to exemplify what is already known to the reader. Brecht's goal is to reveal the need for change and to question those norms and values which have 2 been accepted. The critical moment is reflected against two opposing world-views which point to a concluding ^Prosa II: Geschichten 2, Kalendergeschichten, Ge- schichten vom Herrn Keuner, Fluchtlingsgesprache (Frankfurt a/M, 1965) . 2 Hermann Pongs, "Die Anekdote als Kunstform zwischen Kalendergeschichte und Kurzgeschichte," Der Deutschunter- richt, IX (1957), 13-20. 104 105 solution that is to be made by the reader. The narrative is presented to reflect an accepted tradition which comes in conflict with a basic human need. This need gives rise in turn to another alternative which is to be evaluated* and in the "tradition" of Brecht* put into practice by the reader as a new solution to an existing problem. Brecht conceived his art with the intention that it offer the reader an immediate illustration* and thus he makes use of stylistic devices that reveal a new possibility which might have been unnoticed. The use of two alternate positions which are shown in the narrative and the stress upon a solution based upon a new means to solve the problem gives the symbols in his KURZGESCHICHTEN their particular counterdirection. Brecht's Kalendergeschichten begin by establishing the historical reality of the situation. He relates the occur rence to a time and a place and thus verifies the tradition which is to be challenged in the course of the narrative. The problem to be solved in the narrative is not identical with the "critical moment" of the KURZGESCHICHTE. A con flict arises which cannot be solved within the means already established and thus a new solution is sought to come to terms with this problem. These two opposing forces give 106 rise to a third possibility which then demonstrates the A "critical moment," critical because what should be is not what is. Although the situation seems to be solved, the narra tive leaves the judgment of the final outcome to the reader. It is the reader who must draw the relationship between the two opposing situations and evaluate the solution. Brecht's aim is to involve the reader actively to review the situa tion before him^ and to achieve this goal he structures his narratives to reveal the contrasting of opposites toward a new resolution. The actual "critical moment" is thus placed outside the narrative in the reader's reaction to this solution and the situation created from it. This reaction is strengthened through a comparison of the traditional or historical example and the technique which Brecht uses to direct his illustration. In "Der Augsburger Kreidekreis, " "Die unwiirdige Grei- 3 sen," and "Zwei Sohne," the motive which brings the oppos ing views into focus is the changing role of the mother. In the first narrative, the natural mother represents the tra ditional view which is called into question by the maid, •a In Brecht, Prosa II. 107 whose feelings of responsibility lead her to raise the abandoned child whom she later claims as her own. Brecht establishes the maid* in her relationship to the child, as the central figure of the narrative's three parts. In each section the traditional role of the mother is contrasted with the actions of Anna, who is motivated by a selfless love for the child. Helmut Schwimmer interprets the atti tude of the two mother figures as being exemplary of their social standing and stresses the historical, geographic, and sociological elements of this KURZGESCHICHTE. His discus sion emphasizes the antagonistic relationship not only be- 4 tween two figures, but also within a single figure. In the first part of the narrative, the natural mother leaves her child to save herself from the approaching soldiers. The maid returns, realizing that the child has been left alone, and takes him with her more because she cannot leave a baby in such a situation than from a desire to love this particular child. In the second section of the narrative, Anna's feelings of love and responsibility for the child grow and she directs her life toward providing a name and ^Bertolt Brecht: Kalendergeschichten (Munchen, 1963), pp. 41-43 . 108 a home for him. The two views come into conflict when the natural mother retrieves the child to establish a claim to her hus band's estate. In order to demonstrate which mother is best for the needs of the child., Brecht uses the appearance of a local judge whose role is to make this all-important deci sion. In keeping with the function of the dialectical proc ess, using the two opposing views of the mother which have been built up in the narrative thus far, the judge cannot simply render a decision. Instead, he allows the two views to portray themselves, and thus the women demonstrate in their actions which mother will be right for the child. The critical moment comes at this point when the reader realizes that the rightful mother is not after all the natural mother. The traditional view of the mother who acts always in the best interest of her child is shattered as it becomes apparent which view the judge has deemed "right." The con trast between the traditional concept of the mother and the "right" mother according to Brecht is further strengthened in the comparison between this and the Biblical version of the chalk circle. Werner Zimmermann compares these two versions in his interpretation of "Der Augsburger 109 5 Kreidekreis ." Brecht sets the limits of the situation which is to be questioned in the course of the narrative through the dia lectic process of contrasting opposing positions. The his torical setting affirms the actuality of the situation and contrasts with the new reaction exhibited by the central figures. Their reaction to the problem comes in conflict with the traditional view held by the narrative's secondary figures and is "resolved" by the reader, whose function it is to evaluate the outcome of the narrative. "Zwei Sohne" makes use of this process to resolve a problem which is also motivated by a mother's love for her child. The theme stresses the individual's need to adapt to changing circumstances in order to help her son. The mother again is the central figure, whose actions are reflected against the role she feels she should play as determined by her brother, family, and society. The human feelings toward a young soldier in need must be repressed or expressed only at the cost of exposing oneself. The problematic encounter in this narrative is revealed in two situations which show 5 Deutsche Prosadichtungen der Gegenwart (Diisseldorf, 1961), III, 75-76. 110 a reversal of conditions and reinforce Brecht's contention that one must constantly reevaluate his actions according to the changing demands of the situation. The conflict lies in the central figure, whose feelings would have her aid the enemy and provide for his well-being regardless of the political ramifications of such an act. These feelings are detected by her invalid brother, who represents the position motivated by the political situa tion. He can in no way aid the soldiers, whom he views only as the enemy. The mother is not able to help the soldiers in the way she would like since her brother detects her changing attitude. She is able, however, to extend some slight comforts to them before the situation is reversed. This reversal occurs twice within the narrative, in her own reactions and in those of the brother. He extends a kind ness which acts as a kind of warning to the soldiers, since it is so unexpected, and she, who at last had overcome her fears to bring food to the sick soldier, is forced to injure her own son in order to save him from himself. The process used to demonstrate the critical moment is again the dialectical process of contrasting opposing views which are brought to a solution that is to be evaluated by the reader. The solution reinforces the critical moment Ill when the reader recognizes that this action has become necessary due to the particular circumstances of the situa tion. The mother must take drastic action— even inflict bodily injury and deliver her own son into the hands of the enemy— in order to protect him. "Die unwurdige Greisin" reveals another variation of Brecht's technique in the KURZGESCHICHTE. In the first narrative, "Der Augsburger Kreidekreis," the opposing views are developed in causal relationships depicted through changes in time and place. In "Die unwurdige Greisin" the opposing views are acted upon simultaneously and the refer ences to time serve only to explain the changed position of the central figure. Again, as in the previous examples, the synthesis, the implications of the narrative, are left to the reader. The role of the reader is taken up in the nar ration by the grandson, who retells the past events through the eyes of his father. In this way Brecht begins the syn thesis which is carried on beyond the narrative. The changed life of the old woman is related through the eyes of her youngest son, who finds her actions and attitudes incomprehensible. He complains about the situation and would have others intervene to force his mother to conform to that which he thinks she should be. "Der Buchdrucker 112 war jetzt durch und durch alarmiert. Er wollte einen Arzt hinzugezogen haben. Mein Vater schuttelte den Kopf, als er den Brief las, lehnte aber die Hinzuziehung eines Arztes ab" (Prosa II, p. 100). The father too is surprised by the changes which have taken place, but he is not inclined to judge this new life. The grandson, reviewing both sides, compares the years of servitude with those of freedom and the comments of his father with those of his uncle. Any further discussions or evaluations are made on the basis of the views presented by the two sons and the grandson- narrator in the narrative and then are given to the reader to synthesize. Brecht uses a definite technique in order to direct the meaning of his symbols. His goal is to reveal to the reader the necessity for a change in the situation which he por trays . To do this he must cause the individual elements to interact with themselves in such a way that the inevitable change becomes apparent to the reader. Die Veranderbarkeit der Welt besteht in ihrer Wider- spruchlichkeit. In den Dingen, Menschen, Vorgangen steckt etwas, was sie so macht, wie sie sind, und zu- gleich etwas, was sie anders macht. Denn sie entwickeln sich, bleiben nicht, verandern sich bis zur Unkenntlich- keit. Und die Dinge wie sie eben jetzt sind, enthalten in sich, so "unkenntlich" Anders, Fruheres, dem jetzigen Feindliches. (Brecht, Schriften zum Theater, VII, 295) 113 Brecht's technique is based on an attempt to reveal this something in the situation which will bring about a new response, both in the symbolic representation and in the reader. In order to achieve this he must first show the need for change, then reveal the situation in an unfamiliar perspective, so that the reason for this unusual alternative also becomes apparent. The situation serves as an example of something which undergoes change. In these three narratives the most im portant element which symbolizes change is the role of the mother. Brecht contrasts three figures with the reader's traditional concept of what a mother is and the behavior which is expected of her. Anna, a "Bauerin," and the "Grei sin" incorporate three elements which allow them to symbol ize a new perspective or a new alternative in their respec tive positions. These elements are a very fundamental part of Brecht's art: "Historisierung," "Verfremdung," and "Widerspruch." The opening lines of each KURZGESCHICHTE establish the time and place of the incident and with it a traditional perspective which will be contrasted with a new alternative as the mother figure is forced to change in some way. The reader must be made aware of the situation which 114 necessitates change and of the alternative action taken by the mother. This alternative may contradict the reader's traditional perspective, but it is meant to be viewed as a new alternative which may be changed in time. The most obvious change is revealed in this difference between what the reader expects and the way in which the figures react to the situation. Brecht gives examples in each narrative which reveal how much the figures symbolize change by comparing a present with a past action within the situation itself. Anna does everything for the child she has come to accept as her own. She even tries to keep what she feels is now hers. Brecht includes this to establish the validity of the figure and to emphasize its ability to deviate from what has been demonstrated. "1st er deiner?" bellte der Richter. "Ja" sagte sie leise. "Wenn ich ihn nur so lange be- halten diirfte, bis er alle Worter kann. Er weifi erst sieben." (Prosa II, p. 18) The technique of making an object which is familiar to the reader appear in a new perspective is an important stylistic device in directing the function of the symbol in Brecht's KURZGESCHICHTEN. "Mein Vater hatte im Gasthof ein Zimmer genommen aber erwartet, dafi er zum Wohnen doch von seiner Mutter 115 eingeladen werden wurde, wenigstens pro forma., aber sie sprach nicht davon. Und sogar als das Haus voll ge- wesen war, hatte sie immer etwas dagegen gehabt, dafi er nicht bei ihnen wohnte und dazu das Geld fur das Hotel ausgab!" (p. 99) This example illustrates in an almost incidental ob servation the direction Brecht is giving all elements of the narrative- The action of the figures is first estab lished traditionally (Historisierung), then made to appear changed (Verfremdung) in a way which directs the reader to an inherent contradiction (Widerspruch) in each symbolic figure. Keeping this process in mind, the reader can easily discern the dialectic of Brecht's narratives. The conflict between the child's natural mother and Anna offers one example of the changing role of the mother when the reader realizes that Brecht has altered the tradi tional criterion for judgment. The mother who is best for the child is the rightful mother, according to this judge. Since this conflicts with the traditional concept of the right mother, the reader is expected to reconsider his cri terion when making a similar judgment. The farmer's wife offers another example of this same criterion. The action which is best for the son is also the "correct" alternative for the mother, even if this means that she must do something "wrong." This same criterion is 116 illustrated in the figure of the old woman, although in this case the perspectives are refracted through several figures. In "Der Augsburger Kreidekreis" Brecht illustrates the opposing views in two separate figures. In "Zwei Sohne" and "Die unwurdige Greisin" the main figures reflect opposing views in their own actions and in their interactions with others. The old woman, whose family now is no longer de pendent upon her, changes her life style completely and acts in a manner which causes concern among her children. She no longer relates to them in the way they have been accustomed to relate to their mother. She leads a new life which seems to have little connection with her family. Brecht calls her earlier existence a "Knechtschaft" and emphasizes the sacri fices which she continually made for her family. This for mer existence offers a sharp contrast to her life of later years during which she spends money on herself and enjoys the company of working people. Her action symbolizes the necessity for change that was also represented in Anna and in the farmer's wife. Brecht reveals a multiperspective, symbolized in the mother figures, and contrasts them with the limited understanding of the secondary figures, which reveal no change in outlook. The youngest son views his mother as the person who should provide what he himself is 117 not able to provide. He becomes continually more alarmed about the way his mother is living: "'Sie hat dem Kruppel jetzt einen Hut gekauft mit Rosen drauf', schrieb der Buch- drucker verzweifelt. 'Und unsere Anna hat kein Kommunions- kleid'" (p. 100) . His brother's outlook reveals more objectivity. His sense of humor allows him to view his mother's actions from another perspective. In this way Brecht provides the reader with several"perspectives which serve as contrasts to the central figure. The reader is expected to compare the alternatives and to judge for himself. The role of the narrator in this KURZGESCHICHTE is analogous to that of the reader. The story is narrated through the letters of the printer and the comments of the narrator's father on the activities of his mother's last two years of life. This offers the narrator the picture of his grandmother which he relates to the reader. In doing this, however, he makes casual observations which direct the reader's understanding of the narrative. His father learns that the old woman eats every other day in a restaurant: "'Was fur eine NachrichtJ GroSmutter., die zeit ihres Lebens fur ein Dutzend Menschen gekocht und immer nur die Reste aufgegessen hatte, a!3 jetzt im Gasthof! 118 Was war in sie gefahren?'" (p. 98). The printer cannot understand this change in his mother and he implores his brother to do something which will re store the mother-son relationship: "Die Briefe meines Onkels wurden ganz hysterisch, handelten nur von der 'un- wiirdigen Auffuhrung unserer lieben Mutter1 und gaben sonst nichts mehr" (p. 100). The father is surprised by the actions of his own mother, but he is not inclined to judge her new life. His father explains that his mother achieved a sense of freedom in the last six months of her life that few people are able to realize. She was able to rise at three in the morning during the summer and walk among the empty streets of the city without being disturbed. The priest, who came to offer this lonely old woman some company, was invited to accompany her to the movies. The narrator has revealed the contrasting perspectives first in the complete change in the grandmother's life style and then in the opposing comments of her two sons. In order to guide the reader even more directly, he leaves him with the following lines as he describes the last photograph of the old woman: Man sieht ein winziges Gesichte mit vielen Fa1tenund 119 einen schmallippigen, aber breiten Mund. Viel Kleines, aber nichts Kleinliches. Sie hatte die langen Jahre der Knechtschaft und die kurzen Jahre der Freiheit aus- gekostet und das Brot des Lebens aufgezehrt bis auf den letzten Brosamen. (p. 102) The evaluation of the illustration is given over to the reader, who is expected to use what has been portrayed in these KURZGESCHICHTEN as the occasion presents itself. The reaction of the reader to these narratives is dis cussed by both Helmut 'Schwimmer and Hans Jurgen Skorna. Although there are some innovations, Schwimmer feels that "Der Augsburger Kreidekreis" is a traditional narrative: "In scharfem Gegensatz zu dieser formalen Traditionalitat steht jedoch der revolutionare Inhalt der Novelle" (p. 56). His discussion stresses the "unerhorte Begebenheit" (that the natural mother is not the "right" mother for the child) and those stylistic devices which commonly are considered the means for determining the NOVELLE. He does not relate i all stylistic devices to Brecht's particular goal and thus a single element becomes the primary means to distinguish this genre from other related narrative forms. Skorna em phasizes not just the single occurrence illuminated in the judge's decision, but all elements of the narrative as they interrelate to represent a possible solution to a problem. His discussion stresses this interrelation of elements and 120 the portrayal of a situation which will reveal the "reality" behind the appearance of things, all of which combines to make the narrative an example of the genre KURZGESCHICHTE. Brecht's goal is to provide the opportunity for the reader to perceive the modern situation in "die auSerordentliche Verbindlichkeit einer Situation, in der der einzelne nicht mehr aus der Sicherheit uberlieferter Normen urteilen und handeln kann, sondern in dem unabwendbaren Anspruch selbst- standigen Ermessens in Wort, Werk und Tat steht."^ When the reader considers not just a single element, but all elements as an expression of the author's goal, then the direction of the KURZGESCHICHTE becomes apparent. The Ironic KURZGESCHICHTE The KURZGESCHICHTE uses many narrative elements to impart the critical moment. In most cases one element dominates and serves to direct all other elements toward the representation of the problematic encounter. Brecht's mother figures symbolize the changing indi vidual who must adapt to the situation and be open to new ^Hans Jurgen Skorna, Die deutsche Kurzgeschichte der Nachkriegszeit im Unterricht (Ratingen bei Dusseldorf, 1967), p. 21. 121 alternatives as they become necessary. The course of "ac tion" in each narrative gives another example of how one can adapt and thus these figures symbolize the change necessary to improve society. The exact meaning or value associated with the mother figure changes in each narrative. The ele ment which Brecht seeks to stress is change and the indi vidual's ability to adapt to varying circumstances. Brecht's KURZGESCHICHTEN use contrasting situations to help explain the meaning of his symbols. Other authors have sought to direct the interpretation of symbols used through different stylistic devices . One of the ways in which a symbol may be given direction is through irony. A figure or situation may have an established value, a meaning in tradition, which can be contrasted with its function within the narrative. The value usually associated with a particular role or ritual may have lost all significance and thus the effectiveness of an object as a means to communicate in established terms is questioned. An object may assume significance as it loses its established value and comes to represent something not at all related to its function. An additional possibility to indicate the changing function of the symbol can be found in those objects which are given multiple possibilities within the narrative. An object may assume both positive 122 and negative elements in the author's attempt to direct the interpretation of the narrative. 7 Andersch's "Vollkommene Reue," Borchert's "Kuchen- 8 9 uhr," and Schnitzler's "Blumen" reveal symbols which func tion ironically. These objects lose their established value and assume new possibilities within the narrative: possi bilities which accentuate the difference between the estab lished value and their assumed directive. Both figures and relationships are used here to symbolize the breakdown of a tradition which has become meaningless form. "Vollkommene Reue" consists of a number of individual scenes which are linked in a spiraling chain reaction. The critical moment is symbolized first in the reflections of the priest as he compares his life's work with his inability to carry out his role. It is repeated again in the relationship between father and child, and reflected further in the link between cultural heritage and man. An accepted tenet of Christianity is that one must love 7 Alfred Andersch, Geister und Leute (Olten und Freiburg i/B, 1958) . ^Wolfgang Borchert, Das Gesamtwerk (Hamburg, 1949) . ^Arthur Schnitzler, Gesammelte Werke: Die Erzahlenden Schriften (Frankfurt a/M, 1961), Vol. I. 123 even the one who does harm to him. Man is basically good and if one loves his fellow man, he will be loved in return. The service of communion is a symbol of the supreme sacri fice which God made to man through his mediator, Jesus. The role of the priest in confession, as in other extensions of the church, is to forgive man for his sins, to act as an intermediary for God no matter what sin has been committed. This accepted principle is reflected against a world in which man has inflicted such misery on himself and his fel low man that all means of communication are destroyed. Man's guilt is so great that he cannot allow himself to be forgiven. The rubble of a civilization destroyed in war, which provides the child's backdrop at play, is contrasted with the meaningless grandeur of the Baroque church where people come to partake of a ritual which can no longer communicate meaning. The church as the center of civilization has lost all meaning. Traditionally the church had the role of ex plaining the relationship between God and man. The edifice cffered man a meeting place, a place where he could come to communicate with the spirit which directed his life. The beauty of a past age now offers no consolation and the ac tions of man reflected in the rubble of war reveal the 124 discrepancy between the function of the church and the use it has now acquired. The church no longer functions as a ( means to direct life, and thus, like an empty shell, it i serves only to remind man of something which once had a purpose but now serves only to continue a tradition. The symbolic relationship between God and man is reflected in the father and child. The tradition of the family has also been dissolved and the father's attempt to re-establish this bond results in driving the wedge even deeper. His efforts to find meaning in his attempt to provide love and comfort for his daughter result again in an ironic twist in the relationship between father and child. What is intended to be a symbol of love and an attempt to help the child form a relationship with her father becomes a symbol of anger, harm, and injury. The gift meant to bring the two closer together serves only to drive them farther apart. The priest's role is to act as a symbolic member of the father- child relationship between God and man. This bond too is broken by a priest who cannot meet man except in terms of his ritual tradition. The priest accuses the man of being too arrogant to accept forgiveness and refuses to forgive him, at the same time realizing that this is only a super ficial response to man's plight. He then becomes the main 125 figure who embodies the next break in the link as he cries out to God asking why this impossible situation must exist. Why does God forgive man for his sins when man cannot be forgiven— when man is so cruel to his fellow man that he cannot forgive himself? Why does God give man a sense of guilt for which there is no absolution? Why has man been made to believe an impossible ideal? The irony of the situation is revealed in each attempt to relate to the problem. Each figure symbolizes another level of awareness, another link in the chain which fetters man and drives him away from himself. The child does not understand her reactions. Nor does she think about them except for those few moments when she realizes that she has made her father unhappy. She is not aware of the implica tions of her rejection. The father is surprised at his anger and feels ashamed. He cannot let himself be excused for what he did simply because he is sorry. The priest realizes that his ritual has lost its significance. It can no longer communicate meaning when each link in the chain has ceased to function. Knowing this, he is still not able to reach out for the one who comes to him asking for help. Each break in succession reveals the inability of man to approach his problem and depicts a tradition which 126 disintegrates in the moment when it is most needed to bridge the gap man cannot make himself. The critical moment is reflected in each individual encounter and the narrative element which directs the mean ing represented in each figure is the ironic result sym bolized in the actions of each figure. The meaning of a tradition reveals itself to be useless when the individual seeks to apply the resources he has been given to his own life. A basic premise of Christian civilization collapses and reveals its impossibility in life. The child receives only hollow forms from a culture in which her father can offer her nothing. Thus Andersch reveals the circular link from the single incident with the child to the basis of civilization which has placed mankind in this meaningless continuum. "Sie hat der Puppe den Kopf abgerissen. Ich habe sie dafur ins Gesicht geschlagen. Wer wird mich schlagen? Wer wird den schlagen, der mich schlagt? Warum kann Gott nicht einmal aufhoren, uns zu verzeihen? Es geht ja immer so weiter. Zuletzt wird Gott der Geschlagene sein." (Geister und Leute, p. 92) The key element here is not the reversal in the meaning of the words but of ideals turned into actions. The re course which has been taught by the culture reveals itself as meaningless. Each attempt to solve the problem brings 127 man further from his goal. Andersch stops here, leaving the |question open to the reader.^ ! 11 I The "Blumen" xn Schnitzler's KURZGESCHICHTE of the I j jsame name may serve as an example of a symbol which uses the j i !element of irony to direct its interpretation. Flowers are i used to represent both positive and negative elements, both life and death, or an activity even after death which con- j ! , jtrasts wxth the hero's actxvxtxes. The central figure has been receiving flowers from a iformer girl friend. After having learned of her death, how ever, these flowers take on new meaning. They represent a very personal contact and, although he had not thought about her much prior to this, he begins to ponder their relation ship. This new perspective stifles the narrator's attitude I toward life, toward interactions with others. He begins to question the validity of his relationship with others. He withdraws, becomes inactive, and finds it difficult to ■^No secondary sources with direct reference to this particular KURZGESCHICHTE were available to me. ! ^Although Gottfried Just does not discuss the genre of ithis narrative as such, he alludes to the difference between jthe traditional NOVELLE and the changes in this form in icalling it a "Novellette." Ironie und Sentimentalitat in i den erzahlenden Dichtungen Arthur Schnitzlers (Berlin, '1968), p. 46. 128 become a part of anything. He had not questioned his exis tence or the relationship he had established prior to this . Dejected by the realization that she had been unfaithful to him* he had sent her away and found comfort when he later learned that she too had been deceived. The flowers which previously had seemed humble and unassuming now cause him to question his interactions with others and to ponder the meaning of a true relationship. The flowers become a symbol of irony as they represent the attempt to regain the lost relationship and thereby reverse the meaning of life and death. The central figure begins to realize what the dead girl could have meant to him only when there is no oppor tunity for him to reciprocate. Although he attempts to convince himself rationally that the flowers have no special meaning for him., his actions— or his inability to act — contradict this . His former girl friend has a tighter hold on him now in death than she did in life. It seemed . . . als wollte sie noch immer, auch jetzt noch, als Tote, von ihrer Liebe, von ihrer— verspateten Treue erzahlen.— Ach, wir verstehen den Tod nichtj nie ver- stehen wir ihn; und jedes Wesen ist in Wahrheit erst dann tot, wenn auch alle die gestorben sind, die es gekannt haben . . .-*-2 12 Schnitzler, Gesammelte Werke. Die Erzahlenden Schriften, I, 224. 129 Death takes on new meaning which gives life another per spective. The narrator's inability to act would indicate a feeling of remorse which causes him to contemplate the rela tionships that form his life. He does not feel any contact with the living. "Wenn ich unter Menschen bin, fuhle ich keinen rechten Zusammenhang mit ihnen, die Faden alle reiSen ab" (p. 224). Even Gretel is able to hold him but for a short while. Her vivacity suffices only for a moment, and when she is no longer there, it is as if she did not exist for him at all. The flowers symbolize this relationship. The narrator feels himself powerless to remove the dead stalks from his room because they offer him a link with something he cannot find in life, it is the loss of this relationship which makes him aware of what might have been. He had made no attempt !to understand his former friend nor had he tried to commu- | jnicate with her while she was still living; now he is forced to form a relationship. "Tote Dinge spielen das Leben" (p. 227). Ironically, death can offer him the only sign of life through the contact symbolized in the flowers. The signs of spring outside, the bright sunlight, and the fresh smell of lilacs can all be shut out, cut off from his mind just as the people who go by him without concern are not a 130 part of his life. These things have lost meaning for him. Ich schliefie das Fenster, kein Fliederduft mehr weht urn mich, und der Fruhling ist tot. Ich bin machtiger als die Sonne und die Menschen und der Fruhling. Aber mach tiger als ich ist die Erinnerung, die kommt, wann sie will; und vor der es kein Fliehen gibt. Und diese durre Stengel im Glas sind machtiger als aller Fliederduft und Fruhling. (p. 227) Howeverj Gretel replaces the stalks with fresh white lilacs, the symbol of spring, light, and life. The narrator feels that the "Spuk" is no longer there and he lights the room. Now he has new flowers; the old ones have become part of the earth from which they came. The new flowers will also wilt, and what then? Will the narrator be able to become part of life or does death now represent to him more contact with others than life? His vacillation between the two realms is depicted throughout the narrative. It is Gretel who offers him the possibility to take part in life for the few moments when she is with him. And yet when he is left to himself his thoughts return to the flowers and his new awareness of life. Ich habe in irgend einem Augenblick gewuftt, daft es iiberhaupt weder Freuden noch Schmerzen gibt;— nein, es gibt nur Grimassen der Lust und der Trauer; wir lachen und weinen und laden unsere Seele dazu ein. [. . .] . . . Und wenn ich mancher lieben Menschen denke, die mir gestorben sind, so krampft sich das Herz nicht wie sonst— der Tod ist etwas Freundliches geworden; er geht unter uns herum und will nichts Boses tun. (p. 222) 131 There are a number of stylistic elements in the narra tive which give the reader the feeling that Gretel's lilacs are only a small part of the narrator's total spectrum. The narrative consists in the thoughts and "feelings" of the central figure, who relates first from his encounters with life and then from his response to death. The incidents are separated through the changing per spective of the narrator figure. The location remains in the mind of the central figure in which time plays an in direct role. Winter and spring are compared in the same way as death and life. He looks forward to spring at the end of winter and his perception of time reflects his changing attitude. Time passes with or without him. The dominant feeling is toward a cycle which encompasses all things. Life cannot be life if there is no contact between people and the dead are not yet dead as long as people think of them. Death comes to mean not the absence of life but its underlying motivation. Those elements which were previously the means of measuring life begin to lose their validity. Die Zeit geht ganz eigen hin. Ich lebe nicht anders als sonstj und doch ist mir manchmalj als waren die Umrisse meines Daseins weniger fest gezeichnet. Schon das Gestern verschwimmt, und alles, was ein paar Tage zuriick- liegt, bekommt den Charakter eines unklaren Traumes. (p. 225) 132 The flowers have changed his perspective and made him aware of the feelings which he does not have for his fellow man and which seem to be leading him in another direction. — Und ich begreife alien moglichen Unsinn, den ich be- lacht habe, ich begreife das Zwiesprachpflegen mit Gegenstanden der Natur . . . ich begreife, daS man auf Antworten warten kann, wenn man mit Wolken und Quellen spricht; denn auch ich starre ja diese Blumen an und warte daS sie anfangen zu reden . . . Ach nein, ich weiB ja, dafi sie immer reden . . . auch jetzt . . . daS sie immerfort reden und klagen, und daB ich nahe daran bin, sie zu verstehen. (p. 225) In the course of the narrative the flowers are a symbol of both life and death. They have revealed an ironic relation ship between what is assumed to be life and the life de picted in the narrative. The narrator becomes aware of a possibility only after he has lost contact with the one who would have made this possible. It is this contact, however, which causes the central figure to reflect on his own life, and to realize how meaningless these relationships had been for him— how little he had actually concerned himself with others. He becomes aware that he does not experience life but that it is some nebulous affair beyond himself. The symbols here are both positive and negative: negative in the sense that they seem to represent the end of life, but positive in the sense that they make one aware for the first 133 time of what life is, even if this life is death. Although Gretel's flowers symbolize life, the KURZGESCHICHTE does not indicate definitely how the main figure will react to them over a period of time. For the moment he is optimistic. The lilacs have driven out his thoughts of death and winter and have brought light into the room. But what will happen when he is again faced with the darkness of winter? This optimistic note gives the narrative a positive direction but not an alternative which had not appeared previously. The ironic use of the symbol is the key element in the interpretation of this prose work. It offers the link be tween the two realities of the main figure and reveals a new meaning for a true relationship, and a new perspective for life and death. Using a symbol to indicate the opposite of what it has been established to reveal is a key moment in Borchert's "Kuchenuhr." This object is used as a symbol which, in keeping with the inherent "nature" of the KURZGESCHICHTE, takes on meaning as much for what it is not as for what it actually is. The clock symbolizes the youth's life. To all appearances it is as it was before, but internally it does not function. He has lost everything, his parents, his home, the life he knew. His loss, however, has given him 134 an awareness of life which he previously did not have. Jede Nacht war es so. Und meistens immer um halb drei. Das war ganz selbstverstandlich* fand ich* dafi sie mir nachts um halb drei in der Kuche das Essen machte . Ich fand das ganz selbstverstandlich. Sie tat das ja immer [. . .] Und ich dachte* das konnte nie aufhoren. Es war mir so selbstverstandlich. Das alles. Es war doch immer so gewesen. (Borchert* Das Gesamtwerk, p. 2 03) The life which is no longer possible the youth calls paradise. It becomes paradise only now that he realizes what he had and can measure it against his loss . The mean ing of that life is symbolized in the everyday object* the kitchen clock. It is for him a personal symbol* a link* the concrete evidence of that which is lost. The youth cannot accept the explanation that the bomb caused the clock to stop. It has stopped to coincide with his life* and it is his insistence on this which reveals that the word paradise now has meaning for him. The reader has the feeling* as the youth sits on the bench* that this is not the first time he has related the experience of the broken clock. He has ex plained the incident to himself again and again. Although the man and woman sitting next to him seem not to respond* they too may begin to relate to this simple object. Werner Zimmermann and Hans Grafil offer some possible interpretations symbolized in the clock. Zimmermann 135 stresses the use of simple, everyday language which reflects the collapsed world of the youth in which existing norms and means of communication are no longer adequate. The youth's description and his treatment of this "worthless" object reveal some of the meaning which the clock has assumed for him (Zimmermann, II* 129-134). Graftl's interpretation em phasizes the relationship between the form of the clock, "eine Kiichenuhr, eine weifte Telleruhr mit aufgemalten blauen Ziffern und Zeigern von Blech" and the fate of the youth. The clock is a symbol of a life which has been lost. The form of the clock is for Graft1 an indication of the value of this loss . Aber die Uhr hat zugleich die Gestalt des Tellers, also jenes Behaltnisses, aus dem der Mensch iftt, eingeht in die Mahlgemeinschaft mit seinen Angehorigen. Diese Ge- meinschaft, das Essen und Sattwerden am Tisch der Mut ter, erhalt jene altere Bedeutung, die sich in der neueren Literatur nur selten einstellt. Es ist ein Motiv, das in Heldensagen, in den Sitten der Naturvolker vielfach iiberliefert wird. Mahlnehmen bezeichnet eine unverbruchliche Freundschaft, Treue, Genossenschaft im eigentliche Sinn, die nicht mehr verloren gehen kann. Das gemeinsame Essen und Trinken vom selben Tisch schafft die schicksaIsvolie Eiriheit der Familie, die niemand ungestraft zerbrechen d a r f . - * - ^ 13 Hans Graft1, "Die Kuchenuhr," m Interpretationen zu Wolfgang Borchert, ed. Rupert Hirschenauer and Albrecht Weber, 2. Aufl. (Miinchen, 1964), p. 83. 136 [This is the "Paradies" which the youth now realizes he has lost. What paradise means to each individual is not explained within the narrative. The reader must supply the meaning it may have for each of the figures. There is no direct at tempt to convey what each one is thinking at the moment. The boy has looked to those on the bench for understanding, but he does not seem able to find it. In this way Borchert links the lives of the three to the reader and beyond through the symbol of the clock. The object itself means nothing to the two on the bench, for they are occupied each with his own world; but that which the object symbolizes becomes for each the private meaning of paradise. The clock has ceased to function as the object it was created to be: it can no longer serve to measure the pass ing of time. It has taken on new meaning as the single con crete object which is left from an earlier way of life. It serves as a reminder of what the youth has lost and sym bolizes a world that is externally intact but internally broken. More importantly and ironically, it becomes the symbol of his new awareness. Like the narrator in "Blumen," the youth realizes only after he has lost his mother and his former life what they had meant to him. He accepted his 137 life and took his mother's part in it for granted, never suspecting that it could ever cease. Now that he has lost this, the clock becomes a symbol of his recognition. There is nothing in the narrative to determine whether the people, who hear the youth explain the meaning of his broken clock, are aware of its ironic meaning. They cannot look at him and may be thinking of a similar situation which they have experienced. The clock becomes the symbol of an unknown value for each listener who hears its tale and begins to relate it to his own life. Ironically, this simple object takes on meaning when it ceases to function. It does not measure time but rather an awareness of life and thus each reader is asked to assign its value according to his own terms. The Paradoxical KURZGESCHICHTE There are a number of different elements which may serve as symbols to direct the meaning of the KURZGESCHICH TE . It may be an object ("Kuchenuhr"), a situation ("Voll kommene Reue") individuals ("Zwei Sohne"), or any of these together. The object alone cannot direct meaning; it must be considered together with other stylistic devices which are also part of the narrative. The form of the 138 KURZGESCHICHTE is an important element to be considered in relation to the function given to the various symbols. Franz Kafka uses not only those elements mentioned but also the external form to direct the interpretation of his narra tives . This selection of KURZGESCHICHTEN by Kafka and Heinrich Boll will reveal the use of various symbols to disclose an underlying paradox. The basic situation which forms the nucleus of these narratives is reflected in their structure. Boll emphasizes the important relationship between theme and form in a dis cussion of this genre in which he uses Borchert's "Das Brot" as an example: "... ein Musterbeispiel fur die Gattung Kurzgeschichtej die nicht mit novellistischen Hohepunkten und der Erlauterung moralischen Wahrheiten erzahlt, sondern 14 erzahlt, indem sie darstellt." Both Kafka and Boll achieve this unity in which theme becomes form through the symbolic representation in the ^ 5 16 circle. "Auf der Galerie" and "Wir Besenbinder" •^Erzahlungen, Horspiele, Aufsatze (Koln, 1961), p. 354 . 15 Franz Kafka, Samtliche Erzahlungen, hrsg. Paul Raabe (Frankfurt a/M, 1970), p. 129. •^Heinrich Boll, Wanderer, kommst du nach Spa . . . Erzahlungen (Frankfurt a/M. 1962). p. 122.____________________ 139 symbolize a paradox of life. Although certain figures may stand outside society and are able to distinguish between the real and the unreal, the majority seem unable to do this. Each relates an encounter in which a figure attempts to react to what he feels is reality. In Boll's KURZGE SCHICHTE the figure cries out and attempts to take action. Kafka's figure recedes into himself, unable to express his feelings except through tears. Kafka reveals a situation through the perspective of the main figure narrator and then gives another, usually contradictory view from at least one other figure. The narrator makes comments, but here as in other KURZGESCHICHTEN by Kafka he is given the role of the puzzled onlooker. The reader is confronted with a multi perspective so that the same situation elicits a varied response from the reader as he considers each point of view presented within the narrative and lastly adds his own. Only in a few examples does Kafka seem to indicate one per spective over another ("Vor dem Gesetz"). His goal seems to be to present multilevel perspectives simultaneously. A closer examination of Kafka's narratives will reveal how he combines opposing symbols to reveal a very basic but prob lematic situation. One of the many forms which the KURZGESCHICHTE may take 140 is the extension of the critical moment to encompass a figurative comparison which is analogous to many possible situations. The narrative is so structured as to represent a basic condition which may be found in numerous situations. Kafka's figures symbolize a particular alternative which may be contrasted with other figures within the narrative or within the same figure in the course of the narrative. The structure of the narrative reinforces its theme, and thus the final condition of the narrative becomes the form it self. The situation may be projected ad infinitum in the circular portrayal of the sequence of events. A condition inherent in man is called into play when confronted with the possibility of grasping the unattainable. The action of the narrative symbolizes the underlying condition which is brought into focus through the directing function of each element. The circle functions as a symbol in many KURZGESCHICH- TEN and serves to reveal a basic paradox of life. This line without beginning or end becomes a continuum which could represent man's unity with his universe and the perfection Df creation. It is used here by both Boll and Kafka to point to the impossibility of such a perception. In "Wir 3esenbinder" it symbolizes both the positive and the negative 141 in man. It is the math instructor's impatience with such a small matter and his annoyance with the daydreaming boy which provide one element of meaning: "... und niemals trafen Anfangs- und Ausgangspunkt zusammen, so dafi ein grafl- lich klaffendes Gebilde entstand, wahrlich ein unerkanntes Symbol fur die schmerzlich zerrissene Schopfung" (Boll, Wanderer, p. 122). The meaning of the circle is also reflected in the figure of the Besenbinder. The schoolboy becomes a soldier who one day catches a glimpse of a real broombinder whose tranquillity and place in an ordered world stand in con trast to his own meaningless existence. The Besenbinder represents man in harmony with his role in life, while the math instructor's circle represents the unfilled potential in man. The soldier takes his place in the continuum through his symbolic action, which is an attempt to close the circle and to stop the force which has driven man away from himself. The flaming plane mirrors the unrecognizable symbol of a shattered universe caught in a continuum which man seems powerless to alter. The paradox of the situation is depicted in the oppos ing viewpoints held by the figures within the narrative. Boll compares the math teacher with the broombinder through 142 the eyes of the student-soldier. Each figure represents a particular perspective to which the narrator must relate. "Auf der Galerie" offers an example in which each figure, the gallery visitor and the rider, represents a paradox within itself. In this narrative Kafka presents two perspectives of a single situation: a rider circling before a group of spec tators . The circus has become a symbol of life in which those involved can no longer distinguish between reality and appearance. The gallery visitor is the detached observer whose objective viewpoint allows him to perceive the un reality and the truth of the situation. Those who are caught up in the inner workings of the circus cannot view it objectively and accept the illusion as reality. The juxta position of these perspectives might seem incongruous with the two positions of the gallery visitor and the rider. One j Imight expect that the visitor viewing a situation from a distance would be absorbed by the spectacle, and that those who form the center would not be taken in by their own posi tions . This KURZGESCHICHTE presents just the opposite per spective . The form of the narrative illustrates the same juxta position of perspectives and reflects the basic paradox 143 symbolized in the form of the circus. The first sentence describes the situation as unreal and reveals what might happen if the "Spiel" were considered to be reality. Per haps the visitor would leave his position in the gallery and try to stop the unsuspecting rider. Since this view is not reality, "Da es aber nicht so ist . . ." (Kafka, p. 129), the narrative uses the indicative to portray life as it is considered to be by all those who are taken in by its spec tacle . As Blake Lee Spahr points out in his analysis of this prose piece, the style reflects the content and forms an 17 . . integrated entity. The circular motion of the rider is reflected in the sentence structure, which uses the subjunc tive to present the truth of the situation and then reverts to the indicative to present the situation which in "real ity" is accepted by all but the visitor in the gallery. In the first sentence the rider is driven by the public and by the ringmaster ( " . . . vor einem unermiidlichen Publikum vom peitschenschwingenden erbarmungslosen Chef monatelang ohne Unterbrechung im Kreise rundum getrieben ..." [Kafka, ■^"Kafka's 'Auf der Galerie': A Stylistic Analysis," The German Quarterly. XXX (1960), 211-215. 144 p. 129]) . In the reversed perspective, she is driven un knowingly by herself, "... wahrend sie selbst von ihm gestiitzt, hoch auf den Fufispitzen, vom Staub umweht, mit ausgebreiteten Armen, zuriickgelehntem Kopfchen, ihr Gluck mit dem ganzen Zirkus teilen will . . .1 1 (p. 129) . Each perspective forms an entity unto itself, reflect ing its opposite in the other without effecting a change. The circus symbolizes life in which all but a few do not perceive the truth and are content to exist in an appearance of "reality." Because the one view has no effect on the other, there is no hope of altering the situation and the visitor resigns himself to his place outside the spectacle. The continuum of life, symbolized in the circle and reflected in the form of the circus, presents a representa tive situation which relates to several levels of awareness simultaneously. The sentence structure reinforces this as Kafka uses the subjunctive to convey the unreal which is, however, the "true" representation, and the indicative to designate the "real," the concrete actuality. Der erste Satz ist also wahr, aber diese Wahrheit ist nicht erkennbar, und deshalb, so wird man folgen diirfen, auch nicht erzahlerisch darstellbar, denn eine solche Erkenntnis wiirde ein unmogliches Heraustreten aus dem Lebenszusammenhang verlangen, der zweite Satz aber ist die Wirklichkeit, nicht Wahrheit, aber doch eine Ahnung 145 18 dieser Wahrheit, denn der Galeriebesucher— weint. Boll's figure seeks to alter reality and to bring it back on course in his attempt to close the circle. Kafka's figure remains outside the circle, since those within are not able to distinguish between the truth and reality. Paradox is a predominant narrative element in the KURZGESCHICHTE which allows a situation to be viewed from a number of perspectives simultaneously. Although a particu lar combination of opposites may seem to be incongruous, this element is used to call attention to a problem which is so obvious it could be overlooked otherwise. This juxta position of relationships raises a question regarding not only the relationship as it exists, but also the individual elements which are combined to produce the relationship. The components of a particular relationship no longer func tion in an expected way, so that the impact of elements coming together elicits an unusual response and demonstrates a critical moment which lies behind this narrative repre sentation . Kafka uses objects and relationships to symbolize a 18 Hartmut Binder, Motiv und Gestaltung bei Franz Kafka (Bonn, 1966), pp. 193-194. 146 number of possible directions and alternatives. These sym bols must be considered within the KURZGESCHICHTE as they are used in order to derive direction and meaning. Heinz Politzer's discussion of "Gib's auf" reveals some of the possibilities of interpretation in Kafka's seemingly unre- 19 lated rearranging of elements. Those objects, which have an accepted function, are not able to be used in a "normal" manner, and thus they symbolize a situation which has lost all coherence with "usually" acceptable values or means of interpretation. These symbols are multivalent. Although it is possible in other KURZGESCHICHTEN to indicate equivalents for the various symbols, to equate a direction of interpre tation and thus to find meaning for these symbols, in some cases there are many possible equivalents which give the narrative alternate interpretations. These, then, are some of the elements which are called into question through the juse of paradox and which must be re-evaluated in terms of their function within the narrative itself. Kafka questions not only the function of the various elements, he also questions the values and motivations which call for their ^ Franz Kafka; Per Kvinstler (Frankfurt a/M, 1965) , pp. 19-44. 147 use. Kafka's first-person narrative perspective reveals the use of paradox not only in the relationships between things and their use, but between individuals or within one single individual and in his ability to relate to himself. In "Das Ehepaar" the author stresses the delicate relationship be tween things and seeks to show how easily one can be thrown off balance. The narrative is built around a number of in congruities which are perceived by the main figure narrator and rationalized so that he may not be hindered in his at tempt to reach his objective. Although he realizes that a number of perspectives regarding any one particular situa tion must be considered in evaluating the action or reaction appropriate for a particular situation, he is unable to apply this to himself and is motivated from only one per- jspective. Thus he throws himself off balance without being aware of what he is doing, and his very actions keep him from reaching his objective. Kafka begins by explaining: Fur solche Storungen mussen gar nicht eigentliche Griinde vorhanden sein; in den heutigen labilen Verhalt- nissen entscheidet hier oft ein Nichts, eine Stimmung, und ebenso kann auch ein Nichts, ein Wort, das Ganze wieder in Ordnung bringen. (p. 354) 148 Tha narrator's objective is to improve the balance in his business; in order to do this he must make a visit. During his visit a number of incidents occur which the reader as well as the narrator figure find incongruous. Among them are: a business acquaintance is sitting at the son's bed side as if he were a doctor; the central figure succumbs to his habit of walking back and forth while he is talking; the business acquaintance frequently takes off his hat and puts it back on again; the father gets in bed with his son, lay ing his feet at the son's head, and then requests a news paper which he does not read. Although the narrator figure perceives more than one possible response to the situation, his actions are guided by only one perspective. He realizes that his walking back and forth would be suitable for the office but hardly appropriate in this situation. He has the jfeeling that no one is listening to his sales pitch and yet j Ihe continues . Dieses ganze, mir wenig Hoffnung gebende krankhafte Be- nehmen sah ich zwar, sprach aber trotzdem weiter, so als hatte ich doch noch Aussicht, durch meine Worte, durch meine vorteilhaften Angebote— ich erschrak selbst liber die Zugestandnisse, die ich machte, Zugestandnisse, die niemand verlangte— alles schlieBlich wieder ins Gleich- gewicht zu bringen. (p. 356) 3ere the narrator figure is responding verbally to an 149 incongruity in himself but he is unable at the same time to respond to himself overtly and to change his actions. He fails to realize that he is reacting to the situation through his own perception and although the reactions of others surprise him* he does not change his response accord ingly and thus responds inappropriately in the next moment. He assumes that N. has died. N.'s wife returns and awakens her husband* much to the surprise of the narrator figure. So much has happened during this visit that had to be ex plained away that the central figure almost gives up and ceases to seek an explanation for the reason for things. He accepts what he sees so that nothing seems strange to him. In leaving the apartment* the narrator again finds no response to his attempts to put things in balance. The wife's response to his attempt is unacceptable and thus he departs* having lost a part of what he had brought with him— the hope* the possibility of putting himself and his things in order. In this KURZGESCHICHTE the use of paradox reveals the inability of the narrator to relate to those around him based on his perception of the action of others. Although he questions what takes place, he is able to react only from a single perspective. He cannot change his basis for jaction. This juxtaposition of relationship is mirrored in !the narrator's rationalizations as they oppose his reac tions . There is no interaction with those gathered together to discuss a supposedly mutual problem. All attempts lead away from the goal and the narrator retreats dejected, not realizing that he has prevented himself from making contact. The incongruities in the mind of the narrator reflected against the actions of the secondary figures present a kind of narrative collage which brings into focus the unstable i I foundations upon which relationships are based. | Kafka again uses contrasting figures to symbolize the incongruity of the situation in the mind of the central figure. The narrator is unable to overcome the dichotomy between thought and action. Thus the reader is given two alternatives against which to evaluate the relationships presented in the narrative. The "Ehepaar" represents a i lunity and a relationship which remains stable in comparison with the thoughts and actions of the narrator figure. The "Ehepaar" offers a tranquillity which the narrator cannot find. The harmony of this couple presents an "idyllic" pic- jture of family life in which the outsider seems to have no jeffect. Some of the possible meanings which this symbol 151 ■projects are discussed in the following interpretations . Charles Neider contrasts the powers of the woman with the I 20 sickliness of man. Jarvis Thurston identifies the figures as symbols of Christianity and discusses modern man's search i 21 for his soul. Walter H. Sokel stresses the psychological relationship within the family and compares the sick son 22 with other similar Kafka figures. Helmut Richter empha- i I sizes the pressures of the business world which drive man ! . 23 to disregard all propriety. | The symbol in the paradoxical KURZGESCHICHTE reveals ithe dichotomy of man in the twentieth century. Even when i i i man is able to recognize the differences between the appear- jance of "reality" and what is behind this appearance, he seems powerless to change his most basic condition. Kafka offers the reader several perspectives simultaneously 'through the narrator figure and through those figures whose i o n The Frozen Sea: A Study of Franz Kafka (New York, jl962) , p. 83. I j "The Married Couple, " Franz Kafka Today (Madison, jWis., 1958), pp. 83-91. s I ^ Franz Kafka— Tragik und Ironie : Zur Struktur seiner Kunst (Miinchen, 1964), pp. 274-275. ^ Franz Kafka: Werk und Entwurf (Berlin, 1962), pp. 171-173. relationship to life remains unproblematic. Alfred Andersch gives another example of paradox. The basic conflict which is revealed in this KURZGESCHICHTE is jsymbolized in the "Blaue Rosen" (Geister und Leute) . Two Ifigures are contrasted in an unusual setting which reflects the critical moment in their relationship. The improbabil ity and unlikeliness reflected in the color of these flowers parallels the incongruity of the situation. j j Joachim likes order and a planned life. He wants to | control what is happening and to be able to feel at home ■with a situation. The longing to be accepted is reflected j iin his manner of dress . He feels reassured in the stifling hothouse atmosphere, although he senses at the same time i ! that this escapade is not enough to hold Bettina. j The conflict between the cold world outside and the 1 l protected environment needed to maintain the exotic plant jlife mirrors the polarity represented in the two figures . Bettina is aware of the dichotomies of life and can relate | to the changing demands of the situations: "Berlin ist I ! ptwas enger geworden, wissen sie! Angstlicher und enger; jsagte sie. Aber Platz und Leute zum Spielen sind immer noch 153 j ^ ;da" (p. 100). Joachim seems unable to make this distinc tion. He views both aspects of life as one and reacts as if they both required the same alternative. He feels close to | "Was fur Leute ubrigens?" fragte er. "Oh viele LeuteI Ich sehe sie selten aber manchmal rufen sie mich an und fragen: wie geht es dir. Herz- chen?" "Herzchen?" affte er sie nach. : "Das hat doch nichts zu bedeuten," erwiderte sie. "Herzchen," sagte Joachim. "Ich liebe dich!" "Freundlich, freundlich," meinte sie. "So aus der : Hand . . ." (p. 101) The situation which is presented to the reader from the beginning finally becomes clear to the main figure. It is ;the symbolism of the blue roses which brings the critical moment in focus. It is not the blockade which will take Hettina away from him but rather his inability to distin guish between real and unreal, for her life is partly a game and she is willing to play, knowing at the same time that each area requires different rules. Mozartisch schwerloses Passiflorengerank eines Flirts. 2^No secondary sources with direct reference to this pettina since they have spent the past few hours together a nd seems unable to understand why she does not share this feeling. particular short story were available to me. I 154 Eine Liebe im Glashaus. DrauBen war es anders. DrauBen war Berlin. [. . .] Dort muBte sich das "Ich ■ liebe dich" anders anhoren. Radikaler. Seltener. j [. . .] Sie hatte recht, "Blaue Rosen" und "Ich liebe dich"— wenn man Dingen, die es nicht gibt, einen i Namen verlieh, war man schlicht und einfach ein Lugner. | (p. 107) i The situation seems ridiculous and Joachim feels he has lost i Something he did not have. | The symbol reveals the paradox upon which the relation ship is based. The unreality of the situation is reflected in the immediate contrast of opposites and the stress given to the exotic atmosphere in which the narrative is set. The function of the symbol is to reveal the paradox in its to tality and not simply to contrast the real with the fantas- i tic. The critical moment, which is revealed in the meaning | of the KURZGESCHICHTE when considered as a whole, is not the contrast of opposites but the paradox of life— the realiza tion that reality holds both elements and that each must be recognized and interpreted as it is. The symbol functions as the "central focusing agent" to give the narrative the (direction which in other genres is achieved through author- I ial comments. Andersch tells the reader that the situation is unreal, and he does this long before the awareness of Joachim is evident, through the use of the symbol. The blue roses put the relationship of elements in the narrative into perspective and evaluate the presentation of the central l I l if igure. ; The Satirical KURZGESCHICHTE i j | The following interpretations will reveal how symbols | I luse the element of satire to give their interpretation an added dimension. The goal of satire is to present a dis tortion of "reality" which indirectly contrasts two opposing i ;sets of norms and compels the reader to re-evaluate his own Isituation. A number of stylistic devices are used in con nection with the symbol to convey satire. These may include exaggeration, overstatement, repetition, understatement, Icontrasting figures, irony, and paradox. These elements are j combined to create an "unreal" situation or circumstance which will reveal the critical moment that lies beyond the \ jnarrative. These devices form the contour of the KURZ GESCHICHTE and indicate to the reader the direction which is to be taken. ; Satire differs from irony in that irony reverses the i meaning of the situation given to indicate the opposite of |what is said or portrayed. Satire exaggerates a situation jwhich is "realistically" described to reveal the discrepancy j between an accepted norm and actual behavior for which the 156 jnarrative is representative. Satire differs also from I 'paradox since the situation depicted in satire is accepted | jas exemplary of some particular norm or norms. Paradox jdepicts an apparently unusual or impossible situation which, ihowever, on closer inspection, reveals itself in spite of I obvious contradictions to be real. i Boll uses satire to reveal how far man has deviated i i ifrom the standards he has set for himself. These KURZ- iGESCHICHTEN uncover the discrepancy between those values to jWhich the society pays lip service and those which is actu- ! ally incorporates in its day-to-day endeavors. The values jwhich Boll calls into question are a part of Western man's basic ethics and desire to perform and produce in order to [establish his existence. A look at three KURZGESCHICHTEN, ! 25 | "Es wird etwas geschehen," "Hier ist Tibten" (Boll, Er- zahluncren) , and "Der Bahnhof von Zimpren" (Boll, Erzah- lungen) will reveal how Boll uses elements of satire to [question commonly accepted values and how the devices form jthe counter of the narratives. ! I j i i j 2 5 | Deutschland Erzahlt, von Arthur Schnitzler bis Uwe ' Johnson, hrsg. von Benno von Wiese (Frankfurt a/M, 1962). 157 The basic trouble with contemporary society, as Boll i sees it, is the anxiety caused by the disparity between this [Christian] ideal and the actual state of affairs. j Now the awareness of such a glaring discrepancy between the real and the ideal, as Schiller pointed out, is the j source of satire, elegy and the idyll: the three domi- | nant moods in Boll's writing. When Boll chooses to be ! more aware of the real than the ideal, the result is | satire which occurs with varying degrees of intensity | from his earliest to his most recent w o r k s . ^6 i I ! Boll uses a number of devices to contrast those values ! which are followed in name only with those which actually determine man's actions. One of these is the contrast in primary and secondary figures. In the three narratives chosen as example, there is a central figure who is con trasted not with another individual but with a particular ;type or characteristic or even a function which is embodied |in a figure. The central figure symbolizes an exception to Jthe norm— an oddity whose values stand in contrast to that which has been accepted by the group. In "Hier ist Tibten," it is the station announcer who is contrasted with the / tourists and travellers. In "Es wird etwas geschehen," it is the non-goal-oriented figure who is contrasted with the personification of activity, the office manager. In "Der Bahnhof von Zimpren," there are two main figures who stand ; og Theodore Ziolkowski, "Heinrich Boll: Conscience and praft," Books Abroad, XXXIV (1960), 214. jin opposition to the general progress of events. The widow <Klipp and her farm helper Goswin are contrasted with the I ] many nameless figures who represent those values which have i j become the central motivating force in society: railroad and union officials, travellers, architexts, politicians, jtownspeople, and students. The station master does not jchange his position. Witwe Klipp and the non-worker in "Es iWird etwas geschehen" are influenced by the situation to change their action in the course of the narrative. Thus even the figures used as a point of contrast are subject to prevailing norms. These central figures who serve as ex ceptions to the norm are a product of their society. They joffer a caricature and are presented not as representative i (individuals but as functions. "Der Mensch wird nicht als Person, sondern als Werkzeug behandelt. Der Nur-Leistungs- 27 Mensch wird verlangt, der 'homo faber' . " Satire is in a sense ironic becuase it means something other than that which it portrays. Its symbols elicit more !than a surface meaning and they are active on many levels | j ^Fritz Egger, "Es wird etwas geschehen, " in Interpre- j tationen zu Heinrich Boll. Kurzqeschichten II, hrsg. von ■Rupert Hirschenauer und Albrecht Weber, 2. Aufl. (Miinchen, 11968), p. 95. I 159 I jsimultaneously. The work becomes critical as it accepts a l i ^standard that is a distortion or an exaggeration of what is Ipurported to be the norm and thus calls upon the reader to contrast what is with that which should be. ! Boll uses irony to change the meaning of what is por trayed. In "Es wird etwas geschehen" this ideal is dis torted and refracted to reveal two opposing points of view. I lit is the motto of the manager., whose existence is based on activity per se. Without relating this activity to a par- 28 ticular goal, the activity becomes the goal. There is no mention of why one should strive to be active, there is only activity. The nonachiever, who is forced to become a part |of this system, acts in a way that is contrary to his own i ! best interests in order to be accepted into the system. i ! Ich ahnte gleich, was meine Leidensgenossen nicht zu ahnen schienen: daft auch dieses Fruhstuck zur Priifung gehore; und so kaute ich hingebungsvoll, mit dem vollen Bewufttsein eines Menschen, der genau weift, daft er sei- nem Korper wertvolle Stoffe zufiihrt. Ich tat etwas, wozu mich normalerweise keine Macht dieser Welt bringen 28 j Brinkmann's discussion of the difference between "geschehen" and "Handeln" reveals how man has become the object in a world of meaningless activity. Hennig Brink- mann, "'Es wird etwas geschehen— Eine handlungsstarke Ge- schichte': Aufschlieftung eines literarischen Textes von (flen Satzmodellen aus," Wirkendes Wort. IV (1964), 365-373. 160 wurde: ich trank auf den niichternen Magen Orangensaft, lieS den Kaffee und ein Ei stehen, den groSten Teil i des Toasts liegen, stand auf und marschierte handlungs- schwanger in der Kantine auf und ab. (Deutschland erzahlt, pp. 264-265) He finds his place at last when he drops out to do what the ] jothers are no longer capable of doing. He becomes a pro fessional mourner— someone who is able to "feel" for the loss of others. His position becomes ironic/ since this lability to "feel" is required only when someone has died; I I ;he does not relate to those who are living. And thus this |"motto" is given new meaning by the reader, who realizes i that it is time something is changed. I Boll uses a similar statement ironically in "Hier ist jTibten, " where the contrary figure almost remains unnoticed. i [His role is to tell people where they are and he does this I jin such a way that each group of travellers can relate to it i t and still continue on their way untouched by the meaning of ;life around them. | Ich sage meinen Spruch so leise, so, daS die Schlafen- | den nicht erwachen, die Wachen ihn aber nicht uber- horen, und ich lege gerade so viel Beschworung in meine i Stimme, dab die Dosenden sich besinnen und uberlegen, ! ob Tibten nicht ihr Ziel war. (Erzahlungen, p. 88) ! i i jThe announcer speaks the truth but each group perceives what ! it hears only as it is able to accept it. The simple truth ! 161 i j jis more than man is able to comprehend and it matters little what form it takes. Frau Klipp and Goswin are colorful i Oddities whose wisdom falls on deaf ears. To others it be comes a source of amusement from two people who are so out I ;of touch with reality. i I Gern spendenten sie Flora Klipp einige Glas Starkbier, I urn sie sagen zu horen: "Trauet der Erde nimmer, nimmer I traut ihr, denn einhundertacht Zentimeter tief"; und Goswin wiederholte nach zwei, drei Schnapsen, sooft es verlangt wurde, den Spruch/ den die meisten seiner Zuhorer schon aus den Bekenntnissen der jungen Adligen kannten, die sich— zu Unrecht iibrigens— auch intimer Beziehungen zu Goswin geruhmt hatte* wer Goswin an- sprach, bekam zu horen: "Ihr werdet1s ja sehen, sehen werdet ihr's." (p. 174) These statements, which exemplify the position of the icontrast figures, take on meaning as they are used to verify the exaggerated standpoint of the group. This meaning may be changed several times within the KURZGESCHICHTE depending upon the speaker and the context. Witwe Klipp1s statement, "Trauet der Erde nimmer," is 'contrasted with the company SUB TERRA SPES . The hope of the earth becomes the exploitation of man in a community in which its leaders must perpetuate themselves at all costs: i "'Es ist unsere Pflicht^ dem unberechtigten pessimistischen Gemurmel der Masse eine optimistische Geste entgegenzu- setzen'" (p. 176). 162 This gesture of optimism is confirmed by the simple- rninded Goswin, who is able to change his statement from ifuture to present: "'Nun seht ihr's, seht ihr's nun?'" j(p. 176) and in so doing reaffirms his position outside of j I # jsocxety. The contrast of figures and statements are set in the background of an exaggeration situation. The community of jzimpren becomes the example of man's exploitation of his ^environment and of his fellow man and thus the train sta tion, at its center, becomes the symbol of a part of a cul- Iture that cannot accept reality. "Der Mensch und das Rad" I !is the motto which symbolized the situation of man on the jway to nowhere. The "Bahnhof" is a symbol which appears i i loften in Boll's KURZGESCHICHTEN and novels. It represents t modern life in which man is confronted with his fellow man ! i without coming in contact with him. Each one goes by the other without seeing him— as if he were not there . Man does not use this point of departure to come closer to reality or jto establish contact with his fellow man. He becomes like the wheel that spins without making contact. I The "Bahnhof" is given special meaning here within the context of satire. Based on false goals, it becomes the j i ^essence of futility, the reward for workers who have proven themselves ineffective in other situations. It is a nega tive symbol that represents the inability to serve its pur pose . Er wird in seinem Prunk und seiner GroBartigkeit- j Benzinbadj Aktualitatkino., Buchhandlung, Speisesaal^ j Fresko, etc.— zum Spiegel eines hochgepeitschten i Wohlstands. Er verkorpert die Suche nach Superlati- ven, die sich bei einer so kometenhaften Entwicklung einstellt, so wie Neureiche selten bescheiden sind. | (Egger, p. 91) i The grave of Tiburtius symbolizes the negative aspect i !of a culture which cannot distinguish between the real and |the unreal— the important and the unimportant. It is not jjust the tourists who come to see the unusual sightj it is | jalso the intellectual and the writer who add to the un reality of this situation by reinforcing it. The exaggeration of the situation becomes clear through j 'a number of stylistic devices. Repetition and overstatement ‘ direct the reader beyond the situation itself. "Es wird etwas geschehen" is repeated so often with its variations in i |tense and mood that the reader is quickly directed to con sider the activity and realizes that nothing is really hap pening. This overstatement is reinforced by the use of adjectives and by the individual situations they describe. The subtitlej "Eine handlungsstarke Geschichtej" directs the 164 reader's attention to the use of "Handlung" and its synonyms in this KURZGESCHICHTE. "[Er] marschierte handlungsschwan- i ;ger in der Kantine auf und ab. . . .am Anfang war die Tat" I i(Deutschland Erzahlt, pp. 264-265). "Tun^" "geschehen," ! ["handeln, " "Arbeit" occur more than forty times within the span of the narrative. Overstating the situation negates it and makes it seem unreal, and thus the reader laughs at the I i [image of the manager with a telephone in each hand, a pen in his mouth, and a knitting machine under his desk which he works with his feet. This distortion of reality is a kind I [ [of "Verfremdungseffekt." It reverses situations which in reality are not carried to the extreme portrayed in the inarrative but which are similar, and thus gives them new | meaning. | ' Understatement, like overstatement, is a form of dis tortion. The station master in Tibten understates his an nouncements. They have no visible effect on his listeners. i Nor are the tourists aware of the deception when they admire i the "1,000-year-old" toys. This technique is directed to- l ward the reader, who views the situation through the eyes of the central figure, whose actions question the very basis I bf this situation without disturbing it. I I The understatement is given an ironic twist by the 165 narrator* who closes with the comment that he does not [understand why people do not see his position as important. | iie admits that his present position as station announcer is i jincongruent with his educational background. Yet* he [acknowledges that he has provided his fellow man with the i opportunity to learn about truth. All this is unfortunately lost on them. ! I Und dann gleiten die Augen der Reisenden iiber die Tier- chen: Zwei Elephanten, ein Pferd und eine Dogge— und ! gerade an diesen konnten sie die Weisheit dieser Welt j studieren* aber sie tun's nicht. (Erzahlungen, p. 89) i : Another device used in all three KURZGESCHICHTEN is the i | [stereotyped behavior characteristic of the figures who rep resent the group attitude being questioned. The office workers cannot comprehend what has happened to Wunsiedel* jwho lies on the floor with a look of total disbelief: i ' Auf seinem Gesicht war etwas* wie es auf den Gesichtern der Kinder ist* die sich hartnackig weigern* ihren , Glauben an den Weihnachtsmann aufzugeben* obwohl die Argumente der Spielkameraden so iiberzeugend klingen. i (Deutschland Erzahlt, p. 267) | j : The interests of the railway workers prevent the clos ing of the station although the evaluation of all evidence calls for this action. This stereotyped behavior is viewed ;in a number of figures who are portrayed for their function 166 and the affirmation of the situation in question. The architectsj who proclaim the rare virtue of the fields which lie next to the station and prevent further building by the company,, and the student, who comes to photograph the sta tion but has no other use for it, reinforce the reality of what has taken place. The tourists, who flock to Tibten to view something which has in effect been constructed for their benefit, cannot differentiate between the real and the i [unreal. j Boll uses several stylistic devices to direct the i jsatirical tone of these KURZGESCHICHTEN and thereby to un- j jcover the critical moment. That which is valued by the I group is compared through contrasting figures so that "real ity" can be viewed two-dimensionally. These perspectives of I jreality are contrasted so that the "normal" world reveals i i iits faqade of false values . While Boll uses contrasting figures which maintain i [their position outside of the norms of "reality," Schnitzler ! juses a single figure who is unaware of the degree to which i [he exemplifies the standards of society. Here the narrator i I bay disappear behind the central figure. However, his sharpest criticism seems to lie in the many illustrations |of Leutnant Gustl's inability to perceive the consequences 167 of his actions as he is confronted by others (Schnitzler, 1, 342) . Schnitzler uses a single figure to reveal the innermost life of a particular kind of individual. Leutnant Gustl is an army lieutenant in turn-of-the-century Vienna. The sen- I sation which the release of the narrative caused indicates the degree to which people felt his commentary included 29 jthem; however, Leutnant Gustl and his situation symbolize ja condition which is still prevalent today: it is inability |to come to terms with himself and his own environment. | Leutnant Gustl's primary concern is that something I should happen, that he should be in some other place other than where he finds himself, or that he should be some other person, holding a more advantageous position. The incident in the foyer is not the focal point of the narrative but | irather one of many. These incidents which are related in ithe course of the narrative are examples which reveal a per spective toward life, a "philosophy" or the lack of one, through which Leutnant Gustl perceives his actions and OQ W. Fred, "Der Dichter vor dem Ehrengericht," Die Nation, XXXIX (29. Juni, 1901), 616-617. Fred speaks against Schnitzler's having lost his commission after the publication of "Leutnant Gustl." 168 reactions. His underlying feeling is that he should "have it better," that others are responsible for what happens to him, and that there is no firm basis which determines what happens in life. Schnitzler uses a number of elements which symbolize Leutnant Gustl's basic attitude toward life. His situation, the way in which he reacts and overreacts to his environ ment, the thought process which reveals his attitude toward I life, and the relationships which Leutnant Gustl cannot form, all combine to reveal to the reader a counterperspec- tive which forms an alternative to that of the narrative. I These elements all seem to work together to reinforce the figure which Leutnant Gustl symbolizes and to satirize the society which has produced such a person. The situation in the concert hall is the one on which jLeutnant Gustl tries to concentrate. His inability to do i [this reveals his weakness in dealing with life. It gives i | the reader, at the same time, the means to evaluate his thoughts and past actions as they are filtered through his own values. Although Leutnant Gustl is not able to explain why things "just happen" to him, the reader begins almost to anticipate what will take place. The lieutenant's dis traught frame of mind in the concert, together with his 169 unwillingness to leave a situation in which he is ill at ease, set the stage for the incident in the foyer. His overreaction to an unimportant encounter reveals his own insecurity, and his alternative solution to the problem— suicide— only serves to confirm his basic attitude toward life . Leutnant Gustl's underlying attitude toward what hap pens is that he is not the guiding force in his life. Things happen to him arbitrarily and without warning. There are others in life who are in this same situation, but there are also some much more fortunate than he. Steffi is one of the unfortunates: "Eigentlich schrecklich, so eine ab- hangige Existenz . . . Armes Ding!" (Schnitzler, I, 342); "— Von so was hangt man ab . . . Nachmittag war noch alies gut und schon, und jetzt bin ich ein verlorener Mensch und muB mich totschieBen . . ." (p. 346); "... ganz wehrlos sind wir gegen die Zivilisten . . ." (p. 347). His thoughts take him to his comrades and here too he evaluates the situation according to those who are more or less fortunate than he. — Ja, richtig, der Freiwillige, der uns auf dem Marsch die jiidischen Anekdoten erzahlt hat . . . Manchmal sind's ganz nette Burschen, die Einjahrigen . . . aber sie sollten alle nur Stellvertreter werden— denn was hat das fur einen Sinn? Wir miissen uns jahrelang plagen, 170 und so ein Kerl dient ein Jahr und hat genau dieselbe Distinktion wie wir . . . es ist eine UngerechtigkeitI — (p. 349) MuS iibrigens ein Jud' sein! Freilich, in einer Bank ist er, und der schwarze Schnurrbart . . . Reserve- leutnant soil er auch sein! Na, in mein Regiment sollt' er nicht zur Waffenubung kommen! Uberhaupt, daB sie noch immer so viel Juden zu Offizieren machen— da pfeif' ich auf1n ganzen Antisemitismus! (pp. 338-339) In reflecting on what has happened, he feels that he is basically good but has had some bad luck (p. 354). His luck can change as it does in the course of the narrative, if only he can be careful. "Nur Obacht geben heiBt's, gut zielen, daB einem nicht am End1 das Malheur passiert, wie dem Kadett-Stellvertreter im vorigen Jahr . . (p. 350). Thus he is able to conclude that all turns out well because he is after all not so bad. He visited the church and this, then, is his reward. "— Am End' ist das alles, weil ich in der Kirchen g'wesen bin . . ." (p. 365)^ "[. . .] ich darf leben, und alles g'hort wieder mein! . . .1 1 (p. 366). "Innerer Monolog" and "Erlebte Rede" are stylistic elements which reveal a thought process and symbolize an 30 attitude toward life. Sensual stimuli seem to be the 30 The relationship between these two forms are dis cussed by Werner Neuse in "'Erlebte Rede1 und 'Innerer Mono log' in den Erzahlenden Schriften Arthur Schnitzlers," PMLA, XLIX (1934), 327-355. More recent critics also stress the 171 motivating force which channels Leutnant Gustl's thoughts. The events of the past hours melt into a review which jumps from one area of Gustl's life to another. This review is interrupted by his feelings of heat or cold, or by his de sire for food or love. These perceptions alternate the recollections of his past with the "problem" at hand. Gustl is not at all sure that he has a "problem." It 31 may all be but a dream which he continually asks himself. This feeling is prevalent throughout the KURZGESCHICHTE and is part of his explanation of the entire matter, which turns out as he "expected." use of these two techniques. Heinz Politzer writes in "Arthur Schnitzler, the Poetry of Psychology," Modern Lan guage Notes, LXXVIII (1963), 353-372: "The designation 'stream of consciousness' story does not apply here either, for Schnitzler succeeds in penetrating the Lieutenant's con sciousness and in opening up the sphere of his pre- conscious" (p. 361). Theodore W. Alexander also emphasizes the use of "Innerer Monolog" and of "Erlebte Rede" to reveal various levels of consciousness before they are formulated for deliberate speech. "Arthur Schnitzler and Inner Mono logue: A Study in Technique," Journal of the International Arthur Schnitzler Research Association. VI (1967), 4-19. 31"Mir scheint, ich traum'l" (p. 344); "Urn Gottes Wil- len, hab' ich getraumt? . . ." (p. 344); "... und ich mocht lieber in Galizien alt und grau werden, als daB . . . als was? als was?— Ja, was ist denn? was ist denn?— bin ich lenn wahnsinnig, daB ich das immer vergeB'?" (pp. 349-350); "Ja, traum ich denn? . . ." (p. 356); "Ja, ist es denn wirk- lich g'scheh'n?— Mir ist im Kopf so merkwiirdig . . ." (p. 356) . 172 Leutnant Gustl represents a typical figure who reveals nis background and his values without ever gaining the dis tance necessary to critically assess his situation. Manfred Jager stresses the unchanging attitude of this "Kreisfigur" who finds himself at the same point at the end of the narra- 32 tive as at the beginning. Keiner weiG was, und nichts ist g'scheh'nl— Und das Mordsgliick, daB ich in das Kaffeehaus gegangen bin . . . sonst hatt' ich mich ja ganz umsonst erschossen— es ist doch wie eine Fiigung des Schicksals . . . (pp. 365-366) Because no one knows, nothing has happened. Ironically, it was just this element which led him to conclude that he was compelled to commit suicide: [. . .] heiliger Himmel, es ist doch ganz egal, ob ein anderer was weiB! . . . ich weiG es doch, und das ist die Hauptsache! Ich spur1, daG ich jetzt wer anderer bin, als vor einer Stunde— Ich weiG, daG ich satisfak- tionsunfahig bin, und darum muG ich mich totschieBen . . . (p. 346) His inability to relate one event or situation to an other is satirized through the element of irony and under scored by his position in society. Thinking of others, he concludes: "Unglaublich, weswegen sich die Leut' op "Schnitzler1s 'Leutnant Gustl'," Wirkendes Wort, XV (1965), 308-316. 173 totschieBen!" (p. 350). Thinking of his own situation and the reaction that others will have to the fact that he had breakfast before shooting himself, he says: 1 1 [ . . .]— und das Schonste ist, daB mich keiner zwingt.— Wenn ich wollt', konnt' ich noch immer den ganzen Krempel hinschmeiBen . . (p. 361). Here lies the critical moment of the KURZGE- SCHICHTE. Gustl is not aware of his real problem. He is not able to relate one incident to another in such a way that he can ascertain the cause and effect of any given situation. He floats through life totally unaware. His inability to establish relationships, his rationale that even his family will "get over" his death since life continues (p. 355), his feeling that the only real pleasures were sexual (p. 359), and that the only thing he has missed was a war, otherwise he has known it all (p. 356), form a composite which offers the reader a satirical comment on an individual figure and the culture which has produced him. Ironically Gustl feels that he has a code which he lives byj it is that of the soldier. Heut1 heiBt's: fruh ins Bett, morgen nachmittag frisch sein! Komisch, wie wenig ich daran denk', so egal ist mir das! Das erstemal hat's mich doch ein biBl aufge- regt. Nicht, daB ich Angst g'habt hatt1; aber nervos bin ich gewesen in der Nacht vorher . . . Freilich, der Oberleutnant Bisanz war ein ernster Gegner.— Und doch, I nichts ist mir g'scheh'n! . . . (p. 340)___________________ 174 This KURZGESCHICHTE consists of many examples of the same basic situation. Just as Gustl's thoughts at the con cert are a prelude to the action in the foyer., so also the numerous interrupted episodes from out of his past serve to reveal the concealed issue. In the following, Gustl is con- fronted with himself but ironically escapes the comparison: "Herr Leutnant, Sie werden mir doch zugeben, daB nicht alle Ihre Kameraden zum Militar gegangen sind, aus- schlieBlich vim das Vaterland zu verteidigen! " So eine Frechheit! Das wagt so ein Mensch einem Offizier ins Gesicht zu sagenl [. . .] Der Doktor hat das absolut in dem Ton gesagt, als wenn er direkt mich gemeint hatt1. Er hatt1 nur noch sagen mussen, daS sie mich aus dem Gymnasium hinausg1schmissen haben, und daB ich deswegen in die Kadettenschul1 gesteckt worden bin . . . Die Leut1 konnen eben unserein'n nicht versteh'n, sie sind zu dumm dazu . . . (p. 341) Yet he does not realize that he vacillates between one al ternative and the other, guided by his most basic needs and his unconscious "feeling" that life has no basis but is only appearances and "Spiel." He projects his attitudes on others and assumes that they would react the same way he does. What he cannot "rationalize" away, he does not want to think about, and when he is able to attribute something to his own actions, it is because he was nervous. Thus he provides himself with a built-in system which will comfort ably explain any wrong action on his part. 175 Schnitzler combines these elements in the main figure, who becomes a symbol of a situation which lies not in the events of the narrative, but in the problem which causes these events. Gustl's role in the KURZGESCHICHTE and the "meaning" which this symbol projects must be brought into focus by the reader. Gustl is a kind of symbol which func tions in reverse: he elicits meaning not so much for what he is as for what he is not. Gustl is not aware of himself and can only sense his lack of direction when things go badly. When all is well, there is no problem. His attitude toward life contrasts with that of the reader, who must link together the conflicting reflections of the central figure. Gustl discloses the reflections which motivate him and which contrast with those which have come to be expected from someone in his position. This "Selbstkritik" becomes the critical moment of the satirical KURZGESCHICHTE. The dif ference between what Gustl thinks and feels and what he is actually able to do reveals the direction of the narrative. Leutnant Gustl attempts to react to what is for him the central motivating incident: "Ehre verloren, alles ver- loren! ..." (p. 349). He cannot duel with someone un worthy of himself and thus he views suicide as his only alternative. The insult from Habetswallner becomes a 176 problematic encounter for the Leutnant. His code demands one course of action, yet his reaction to this as well as to other similar situations forms the critical moment of the narrative. He is willing to sacrifice himself in one moment and in the next he cannot remember what it is that is both- 33 ering him. The critical moment lies in Leutnant Gustl's inability to assess the situation in which he finds himself or to determine his course of action. He has no means of judging a situation, but does what he feels is expected of him. His attitude is a satirical comment on the society which has produced him. Schnitzler does not offer this comment on the central figure directly, but gives the reader a representative figure whose thoughts and reflections are their own commen tary . A final "judgment" is not made by the author; this role is left to the reader, for whom the critical moment is not the incident but the Leutnant's inability to come to terms with reality. Kafka offers another similar example of a symbol which •^George Fenwick Jones discusses Schnitzler's satire as an example of "Ridicule of Traditional Honor" in a study of Honor in German Literature (Chapel Hill, N. C., 1959), pp. 187-189. 177 functions in several ways simultaneously. "Der Nachbar" in the KURZGESCHICHTE of the same name (Samtliche Erzahlunqen, pp. 300-301) is given no physical description with the ex ception that he is always in a hurry. According to those who know, he seems to have a stable business with some fu ture, but there seems to be no definite evidence of his means. Thus the narrator ironically concludes that as usual one does not really know anything about the situation. The reader learns that the neighbor is called Harras and that he i has rented the unused apartment next to the central figure. All other information is given by the central figure, who projects his own hesitation and fear onto his neighbor and then reacts to these projections. The function of the "Nachbar" as a symbol is then to reflect the projections of the central figure. Harras's function is to reveal the main figure's attitude in his reactions to the situation in which he has placed himself. Harras becomes a symbol of what the narrator feels he is not. Kafka presents the situation in a seemingly objective manner, and yet he introduced the basic feeling of hesitation and the fear of not doing the right thing in the opening lines. The narrator insists that he is not complaining. This insistence is contrasted with the explanation of his behavior. He had foolishly allowed 178 the opportunity to rent larger quarters slip by. "Dieses kleinliche Bedenken war daran schuld, dafl ich mir die Woh- nung habe nehmen lassen" (p. 300). This is followed by the observation regarding Harras's financial status, that one invents rationales for situations for which one has no other explanations . "Die iibliche Auskunft, die man gibt, wenn man nichts weiS" (p. 301). From this point in the narrative the reader is given an example of such explanations in the projections of the cen tral figure. His feeling that he has lost something takes hold and motivates his interpretation. He realizes that he has given the matter more thought than it deserves, and yet this does not alter his basic attitude. He feels that he accepts his fate, that the situation which may be means of revealing the honest man can, at the same time, conceal the dishonest person. He feels himself in such a situation but mentions this merely as a somewhat ironic fact. This in sistence upon fact is an indication of the ambivalent atti tude of the narrator and of the changing function symbolized in Harras. This attitude was discussed in relation to the main figure in "Das Ehepaar." It is prevalent in many of Kafka's KURZGESCHICHTEN and reveals a basic paradox in man: his ability to assess a situation objectively and his 179 inability to act on that objective observation. This fact reveals the critical moment which lies behind the incident comprising the KURZGESCHICHTE. The narrator gives vent to his feelings and explains his actions based on his underlying attitude. Although he admits that his actions may not be justified, it is still necessary to consider this perspective in order to compen sate for what is happening to him. "Wollte ich sehr liber- treiben— aber das muB man oft, um sich Klarheit zu ver- schaffen— , so konnte ich sagen: Harras braucht kein Tele- phon, er benutzt meines, ..." (p. 301). The narrator now views Harras as the force which causes him to counteract his own actions: a force which acts against him automatically even when he seeks to prevent this . His compensation for this threat is to no avail. In spite of all attempts his neighbor probably works against him. Harras has become a multivalent symbol. He is ironic, because he functions as something which he is not. His role in the relationship is speculative, since there is no con firmation of the narrator's suppositions. Harras also serves to reveal the paradox which underlies the situation; in addition to this he serves as an element of satire. He reveals the narrator's distorted view and compels the reader 180 to supply an alternative possibility with which to compare the explanations contained in the narrative. Within the narrative Harras is the symbol of projected fears. He represents the potential which the narrator feels he cannot achieve. To the reader he represents the narra tor ' s inability to consider all aspects of the situation. Although the narrator attempts to give the feeling that he is telling it as it is, the reader is aware that the narra tor can act only on his own projections and thus Harras re flects an exaggerated position which satirizes the attitude of the narrator. The reader compares the perspective pre sented with others from his own experience and thus the critical moment is brought into focus . All three authors have used differing means to reveal a problem. They have used stylistic devices to reveal a perspective out of focus, and as is typical of the KURZ- GESCHICHTE, they have made little or no attempt to incor porate alternative perspectives within the narratives them selves . Activity has been used not to solve a problem but rather to reveal it, either through its absence or emphasis on happenings of the wrong kind. Each author has used symbols to reveal a problematic encounter. Boll has used figures that act contrary to the 181 established norm within the narrative. Schnitzler and Kafka have used figures who establish their own norms. These figures symbolize a basic attitude which is incongruent with reality and stress the feeling that the situations man finds himself in are not guided by what should be. These situa tions and the figures, who reflect the motivating forces behind them, reveal the critical moment in the narrative as they are refracted through a comparison between what they are and what the reader and narrator feel they should be. The Humorous KURZGESCHICHTE The element of the humorous plays an important role in the KURZGESCHICHTE. Critics have stressed the negative as pects of this genre and its emphasis on the presentation of a situation which reveals a loss of accepted values and tra ditional norms. The humorous serves to direct the possi bilities of the symbol as it adds an objective moment to the narrative. Traditionally the humorous has been used to disclose an incongruity between the experience being por trayed and that of the individual reader or viewer. From this discrepancy a moment of objectivity is attained which produces a new perspective. This altered perception is vital to the understanding of the KURZGESCHICHTE. In these 182 examples where the humorous is the predominant element there is no difficulty in grasping the direction of the narrative and thus the goal of the author toward the positive presen tation of the critical moment. The situation in these nar ratives is held within the bounds of the plausible through the element of humor. This moment of objectivity is also essential for an understanding of both the grotesque and the absurd KURZGE SCHICHTE. The seemingly meaningless and therefore negative elements of these two categories are tempered by this fixed point which offers the reader a means of evaluation. An art form would have no function if it ceased to communicate with anyone. It must contain some element which allows it to explain itself and its relation to man. The humorous func tions as a point of balance, a fulcrum, which reveals the direction of many KURZGESCHICHTEN. This element may be combined with the horrible or with that which to all "ap pearances" is meaningless. Whether used alone or combined with other elements, the humorous provides a positive direc tion for the narrative as it expands the reader's perception and broadens his perspectives. In this section of the study the function of the symbol as the directing element of the humorous, the grotesque, and 183 the absurd KURZGESCHICHTE will be discussed. It will be shown that although these narratives offer a negative pres entation of a critical moment, they serve a positive direct ing function in keeping with the "Gestaltungsziel" of this genre. Although many KURZGESCHICHTEN do not reveal the criti cal moment within the narrative itself, there are those which do include it and buffer it at the same time with the element of humor. In these KURZGESCHICHTEN the symbol re veals its meaning, as it has in others, through its particu lar function within the narrative which here remains within acceptable norms to suggest only a slight deviation into the realm of the humorous. Boll's "Unberechenbare Gaste" (Er- zahlungen) and Borchert's "Schischyphusch" (Das Gesamtwerk) are examples which reveal how the symbol functions to reveal the humorous. In a world in which accepted norms are constantly being i expanded, the reader of modern prose comes to accept many an unusual situation. Thus when one learns that a number of animals are included in the narrator's family— including a little hippo— it remains within the limitations of feasi bility, however impractical. At the same time this situa tion is indicative of a particular life style which finds 184 its expression in the children's evening prayer: "Herr, schicke uns Bettler und Tiere" (Boll, Erzahlunqen, p. 99). This family's life style is symbolized in the unexpected guests who appear from time to time: not just stray animals but also people. This situation reflects their basic accep tance of life. They can accept what others reject and are open to life even though it would seem to be to their own disadvantage. It proves, however, to be only a temporary disadvantage, since the narrator is able to compensate some what for his wife's inability to refuse an offer from a travelling salesman by his own skill as a salesman. The guests which have become a part of the family's household symbolize another aspect of life. They are con tent with themselves. As long as they are fed, they lead an untroubled existence which contrasts with the world outside and with the narrator's own position in this world. The children also share this untroubled existence and are un aware of the difficulty the narrator has in keeping his balance. The world outside is contrasted with the small group which makes up the narrator's family. They have long since ceased to include themselves in the realm of the average or normal: "... schon lange— dies gebe ich nur zogernd und 185 mit heftigem Erroten zu— } schon lange verdient unsere Kiiche jdie Bezeichnung biirgerlich nicht mehr" (p. 100); and as a consquence, their open life has made them aware of situa tions and circumstances to which they would otherwise not responde. The contentment of the animals reveals the underlying critical moment in this KURZGESCHICHTE which is both posi tive and negative. They do not question and are satisfied each in his own realm and yet all together. The narrator's wife and children share this basic assumption and are thus open to all changes life can bring. They expect to be pro vided for and willingly provide for others in return. It is the narrator who is forced to move between the two worlds: to maintain his family without losing contact with reality outside. The narrator finds this difficulty since he ba sically agrees with his wife and cannot be too hard or say no even though he realizes that this will cause him to lose his balance between the two worlds. It is also the only way he can maintain his balance. Meine Frau fing an zu weinen, und ich legte meine Hand auf ihren Kopf und sagte: "Es ist immerhin ungewohnlich, das wirst du zugeben." "Was ist nicht ungewohnlich?" sagte meine Frau, und darauf wuBte ich keine Antwort. (p. 103) 186 And so their unexpected guests come to symbolize a paradoxi cal situation: they are both positive and negative. They create a new situation as soon as the previous one is solved. They remain humorous, since they retain a sense of balance which is disturbed from time to time but never com pletely thrown into an extreme. They reveal a basic incon gruity in man in that he must protect himself against him self. The seriousness of the situation is diminished through the use of the animals. They make the situation seem unreal and improbable so that the reader does not tend to see himself in this same predicament and it therefore becomes humorous. Borchert's "Schischyphusch" employs a different aspect of humor. The situation portrayed here borders on the tragic and it is not simply the restoration of a sense of jbalance but a genuine feeling of mutual understanding and appreciation which establishes the humorous. "Schischyphusch" refers to the Greek mythical figure who was condemned to roll a stone uphill. Each time he pushed it to the top, it rolled down again. Such an impos sible situation may appear humorous when the viewer sees the obvious deficiency which can be corrected easily and thus solve the problem. In this narrative the deficiency may be 187 obvious but the correction is almost not allowed to take i place. The uncle's understanding of life initiates and sur mounts the critical moment. He is able to restore his sense of balance and at the same time offer the poor waiter the compassion which he had not found elsewhere in his life. jThe uncle is able to interject the element of humor which | jbridges the gulf between two individuals and washes away a j ;lifetime of anguish. His humor reveals the critical moment I 'as it unlocks the waiter to a new awareness of life. The iuncle's larger perspective tests the situation and demands i I !an explanation* not realizing at first that the waiter is serious. He accomplishes the impossible as he stands up to I , the waiter without leaving his chair. Borchert gives the i jreader here a description of the two in confrontation which i reflects the double perspective of "Schischyphusch" (Das Ge- samtwerk, pp. 287-290). At this moment the two confront ,each other: the sum total of their experiences is weighed i iby the reader. The one is beaten by life* the other has overcome it and can thus challenge those who confront him. | Since the uncle is able to challenge the situation* he i | has achieved a certain balance* a "Distanz" from life and he i has the necessary perspective to see the humor of the 188 situation. His understanding gives the waiter a new per spective and he is able to share his life's experience with someone who understands. The narrative reflects only the critical moment which brought the two together but the re lationship and with it the meaning symbolized in the figure of Schischyphusch goes beyond this encounter. The subtitle tells the reader that the uncle provides the waiter with a new life. The uncle extends himself as no one had done previously in the life of this waiter. It is as if he had come alive for the first time and realized that his defect was not the only one in the world— just the only one obvious to him prior to this encounter with the uncle. He, too, begins to realize that he can roll the stone to the top of the hill. "Das Sich-Offen-Halten fur das Leben" has regained the balance of the situation and bridged the gap between two perspectives. What was previously negative has been made positive through the understanding of the uncle. The waiter, still filled with doubt, almost reverts to his pre vious point of despair before the uncle again comes to his rescue and affirms the bondage between the two: Da liefi mein Onkel den Arm meiner Mutter los, humpelte schnell and schwer zwei Schritte zuriick, rift seinen Kruckstock wie ein Schwert hoch und stach damit in den 189 Hiiranel und briillte mit der ganzen groBartigen Kraft seines gewaltigen Korpers und seiner Kehle: "Schischyphusch! Schischyphusch! Horscht du? Auf Wiederschehen, alter Schischyphusch! Bisch nachschten Schonntag, dummesch Luder! Wiederschehen!" (p. 297) The function of the symbol in the humorous KURZGE- SCHICHTE is to restore the balance of perspective so that the critical moment may be viewed as positive. The proble matic encounter is not projected to an extreme but is tem pered with the objective viewpoint of one of the figures. The symbol is used to bring the varying elements into focus to be evaluated by the reader. The Grotesque KURZGESCHICHTE Wolfgang Kayser's study of the grotesque stresses the element of horror in a world in which the viewer suddenly becomes aware that he has lost his orientation. "Das Gro- 34 teske ist die entfremdete Welt." i j . . . Das Grauen uberfallt uns so stark, weil es eben unsere Welt ist, deren VerlaBlichkeit sich als Schein erweist. Zugleich spiiren wir, daB wir in dieser ver- wandelten Welt nicht zu leben vermochten. Es geht beim Grotesken nicht urn Todesfurcht, sondern urn Lebensangst. Zur Struktur des Grotesken gehort, daB die Kategorien unserer Welt-Orientierung versagen. (p. 199) 34 Das Groteske: Seme Gestaltunq xn Malerei und Dich- tunq (Oldenburg, 1961), p. 198. 190 This definition is limited to the appearance of the grotesque and emphasizes the viewer's negative reaction of disbelief which regards the object first as horrible, then as absurd. If the viewer rejects what is portrayed as un real or so far removed from his reality that it has no meaning, then the work of art has lost a most important element. Friedrich Diirrenmatt acknowledges the role of the gro tesque in modern literature as a means of establishing con tact with the viewer or reader. In order for art to be a positive experience it must not simply shock the viewer, it must offer him a new perspective . Diirrenmatt discusses the elements which combine to form his definition of the gro tesque in Theaterprobleme: . . . Im Lachen manifestiert sich die Freiheit des Men- schen, im Weinen seine Notwendigkeit, wir haben heute die Freiheit zu beweisen. Die Tyrannen dieses Planeten werden durch die Werke der Dichter nicht geriihrt, bei ihren Klageliedern gahnen sie, ihre Heldengesange halten sie fur alberne Marchen, bei ihren religiosen Dichtungen schlafen sie ein, nur eines fiirchten sie: ihren Spott. So hat sich denn die Parodie in alle Gattungen geschli- chen, in den Roman, ins Drama, in die Lyrik. Weite Teile der Malerei, der Musik sind von ihm erobert und mit der Parodie hat sich auch das Groteske eingestellt, oft ge- tarnt, iiber Nacht: Es ist einfach auf einmal da."^ 3^Theaterprobleme (Zurich, 1955), p. 55. 191 The horrible alone repels the viewer when in effect he must gain a certain objectivity, a distance from that which is portrayed, in order to gain the perspective which Diirrenmatt seeks to return to art. If the experience is to be effec tive it must allow the individual to relate to what is por trayed . The basic situation as it is portrayed may seem at first ridiculous, horrible, or meaningless. Yet, a closer look at the function of the narrative elements which impart the critical moment reveals that it is this combination of the ridiculous and horrible which discloses the meaning of the KURZGESCHICHTE. The relationship between these two main elements is important, since if either overpowers the other it will tend to place the KURZGESCHICHTE in the realm of the meaningless. If it becomes ridiculous it will have no bear ing on the life of the reader. Or if it overemphasizes the element of horror, the reader will lose the objectivity necessary to see the portrayal of the critical moment. Voraussetzung des Grauens ist die Betroffenheit vom Geschehen, Voraussetzung der Komik ist die Distanz zum Geschehen. Die groteske Erzahlung liegt daher im Widerspiel von Illusion (Betroffenheit) und Desillusion (Distanz) . ^6 Thomas Cramer, Das Groteske bei E. T. A. Hoffman (Munchen, 1966). p. 26._________________________________________ 192 It is this relationship of elements which works together to provide a multiperspective for the reader, who must combine these elements in order to recognize the critical moment. The element of horror or fear places the object or situation beyond established norms. The element of the ridiculous brings it back within the ethical and logical bounds of the reader when he realizes that such a thing is actually pos sible. This aspect of humor is the element which allows the reader to view the situation objectively. He must be able to gain this multiperpsective in order to expose the criti cal moment. Die groteske Struktur ist also ein doppelter Widerspruch: in Hinsicht auf das Ethische, in Hinsicht auf das Logi- sche . Es muB die groteske Zumutung, die in dem scheinbar so ganz Selbstverstandlichen liegt, vermitteln, indem es das Scheinbare durch die Gestaltung entstellt, es in seinem Wesen herstellt: entlarvt. Erst als das durch die Form kunstlich Entstellte, als das augenscheinlich Perverse kann es wiederum als das Selbstverstandliche erscheinen.^7 That which seems to go beyond the bounds of logic and ethic must be at the same time plausible and it must give new perspective to its representation and to the reader's 37 Arnold Heidsieck, Das Groteske und das Absurde im modernen Drama (Stuttgart, 1969), pp. 22-23. 193 perception of reality. This combination of elements results in a new perspective for the reader— a new ordering prin ciple through which one relates to the situation. The KURZGESCHICHTE uses a number of narrative elements to portray a basic situation. The symbol functions within the narrative to impart the critical moment and to unlock its meaning. In Diirrenmatt's "Der Tunnel" and Aichinger's "Spiegelgeschichte," symbols are used to portray both the ludicrous and the horrible. "Der Tunnel" is at once the place in which the proble matic encounter is met and the basic situation itself. The riders of the train find themselves in a tunnel which does not exist, a tunnel which seems to have no end— which could no longer be a tunnel, since this is a passageway leading through a larger object. The tunnel becomes symbolic of the situation which is at the same time ridiculous and horrible. | (The thought of being in such a situation fills the reader with fear, since there is no way outj and yet it seems ridiculous to get into such a situation in the first place. How can this be real? Werner Zimmermann compares the diverse elements in this KURZGESCHICHTE: Drastische Realistik verbindet sich in dieser 194 weitausgreifenden Periode mit Chiffren des Phantasti- schen, Alltagliches mit Numinosen, auBerte Prazision in zeitlichen Fixierung einer Situation der modernen Lebenswirklichkeit mit der vagen Andeutung einer ge- heimen Bedrohung. (Ill, 229) A closer examination of the KURZGESCHICHTE will reveal its grotesque reality. The young student's objective seems to be to move through the world without being touched by it in order to protect himself from the horrors which he sees. "Das war seine Fahigkeit, vielleicht seine einzige" ("Der Tunnel," Deutschland erzahlt, p. 249). . . . (alles, was er tat, war nur ein Vorwand, hinter der Fassade seines Tuns Ordnung zu erlangen, nicht die Ordnung selber, nur die Ahnung einer Ordnung, angesichts des Schrecklichen, gegen das er sich mit Fett polsterte, Zigarren in den Mund steckte, Wattebuschel in die Ohren), . . . (p. 250) This feeling of being pushed away from "reality," away from contact with those around him, is reflected in his inter actions with the train's passengers. They are portrayed as objects in his world which irritate his progress much the same way as the train in this inexplicable tunnel. The student becomes the symbol of the ultimate object when he realizes that the machine is tearing him down into the earth along with those passengers who are totally unaware of the situation. The emergency brake does not function against this machine running wild and the individual is left with 195 no defense— nothing to come to his aid except for his own sense of humor, which allows him to see his situation even at this moment somewhat objectively. The train is also an ambivalent symbol of the machine in society. It was made by man to be controlled by him and to aid him in achieving a better life. What is initially in the narrative a positive element becomes negative. The loss of control turns the machine into a monstrosity and turns man into a meaningless object. Those who should be in charge have either vacated their post ("der Lokomotivfuhrer") or else have chosen a plan of action completely incongruous with their position. The Zugfuhrer continues with the established routine and ration alizes his situation: "'Wir bewegen uns auf Schienen, der Tunnel muB also irgendwo hinfuhren. Nichts beweist, daB am Tunnel etwas nicht in Ordnung ist, auBer naturlich, daB er nicht aufhort1" (p. 253). He then leads the student through the succeeding levels of the train, reflecting an attempt to reach someone who might be in command of the situation while knowing that no one is there. The "Zugfuhrer" is not the only one who seeks to ex plain the situation away with rationalizations which are incongruent with reality. The "Schachspieler" is so deeply 196 engrossed in his game that he will not be touched by real ity . "Unsinn, wir fahren durch einen Tunnel. Man kann deut- lich den Fels sehen, Granit wie es scheint. In der Schweiz gibt es am meisten Tunnel der ganzen Welt. Ich habe es in einem statistischen Jahrbuch gelesen." (p. 252) As the situation begins to lose all trace of "logical" causality, the symbols of the KURZGESCHICHTE assume new meaning. The student first noticed the tunnel by measuring its length with his watch. Time ceases to have meaning when it is not related to some orderly progression. As the tun nel leads down into the earth., all measurement loses rela tive value. Der junge Mann war froh, nach der bedenklichen Nahe der Felswande auf etwas gelenkt zu werden, das ihn an die Alltaglichkeit erinnerte, in der er sich noch vor wenig mehr denn einer halben Stunde befunden hatte, an diese immergleichen Tage und Jahre (immergleich, weil er nur auf diesen Augenblick hinlebte, der nun erreicht war, auf diesen Augenblick des Einbruchs, auf dieses plotz- liche Nachlassen der Erdoberflache, auf den abenteuer- lichen Sturz ins Erdinnere). (p. 255) This downward progression is symbolic of man's movement from the meaningful, the "normal," or the accepted to the ridiculous and finally to the horrible. The KURZGESCHICHTE begins with a very realistic everyday situation which grad ually loses plausibility until it can have only one outcome. 197 The tunnel leads down into the earthy into a void which parallels man's "regression" from an individual to a func tion ("Zugfuhrer") to an object devoid of meaning. "Es ist meine Pflicht*" schrie der Zugfuhrer. "Gewifi" antwortete der Vierundzwanzigjahrige* ohne seinen Kopf nach dem sinnlosen Unternehmen des Zugfuhrers zu wenden. (p. 257) The situation maintains its ambivalent perspective by the student who still manages to hold some degree of objectivity toward the situation* "... doch nicht ohne eine gespen- sterhafte Heiterkeit* von Glassplittern iibersat* . . ." (p. 257)* and brings the downward motion into that resemb ling a circle which is to be found in so many KURZGESCHICH- TEN and which characterizes man's basic situation. Man is bringing himself to the end of the beginning— to his point of departure. "'Gott lielS uns fallen und so stiirzen wir denn auf ihn zu'" (p. 257). "In dieser Sicht erscheint nicht mehr das 'Ungeheuerliche'* sondern gerade das Alltag- liche unwirklich und grotesk" (Zimmermann* III* 235). Use Aichinger uses symbols to reveal the critical 38 moment in "Spiegelgeschichte*" stressing both the *50 Wo ich wohne. Erzahlungen, Dialoge, Gedichte (Frank furt a/M* 1963) . 198 ludicrous and the fearful. The theme of this KURZGESCHICHTE is the meaning of life through death. Through a combination of elements and the ambivalent meanings given the symbols within the narrative, Aichinger presents the reader with a new perspective for both life and death. The ludicrous and horrible seem here almost to be one element which applies not only to the basic situation but also to the narrative elements used to convey the critical moment. It is this combination of elements in both the basic situation and its portrayal which directs the meaning of this KURZGESCHICHTE. The basic means used to relate the narrative seem to be ridiculous . What can be gained by telling a story in reverse^ beginning with the moment of death and leading backwards to birth? Does this not tend toward the ludicrous by going beyond the limit of accepted norms? Does this not negate life completely if it shows a regression to nothingness? Does this not reveal the horror of life devoid of any meaning? Aichinger uses a number of ambivalent symbols within the narrative which will relate first to one aspect of the grotesque and then to another. Carol Bedwell's article "The Ambivalent Image in Aichinger's 199 39 1Spiegelgeschichte1" discusses the meaning of the symbols and images in this KURZGESCHICHTE. She equates the sky, sea, and river to three phases of human existence: the period of death and suffering, the time of love, and the years of childhood from youth to infancy. These objects are used to reflect the feelings of the central figure in her progression from death to life and back to death which is the beginning of life. The central element of this KURZGESCHICHTE is revealed in the direction given by the mirror and the image it re flects . It is both a positive and a negative element, since it reflects a particular combination of opposites. The mirror enables the central figure to do what has never been done and presents a situation through multiple perspectives. The mirror reflects a new perspective not of objects in place, but in time. The progression of events moves back ward into time, following a life to death and back to birth. This has the effect of negating the element of time and re lating it to a situation which unites past and future in the present, thus eliminating all the usual restrictions of life. Each situation is presented with this multiple aspect •^Revue des Lanques Vivantes, XXXIII (1967), 362-368. 200 of past and future melting into the present. The situation as well as the means used to reveal it seems at first ridiculous. Life moves forward, not back- ward, and yet within the KURZGESCHICHTE the meanings of these two concepts are reversed when the meaninglessness of life is revealed in a progression of events which lead one further from those elements which constitute life. It is the initial backward progression of the structure which re veals the grotesque situation which we call life. The key symbol used to unlock the meaning of the criti cal moment is the blind mirror. It reflects the basic as pect of life because it casts a total view; it reviews all that has happened. Not all figures perceive this point of view— only those who look back into the mirror, the narrator figure and the reader. This reversal of perspective is intensified in the ambivalent meanings which the mirror symbolizes. The mirror reflects all and yet it is blind. This is not simply a con tradiction, it is a ludicrous statement which reveals the key to the critical moment. The reflection of the mirror offers the primary direction in this KURZGESCHICHTE. It directs backwards and forwards simultaneously so that the critical moment is brought into its most meaningful 201 perspective. The critical moment is the reader's awareness of death in life. With this new perspective of death life gains its meaning. Erika Haas explains: "Der Tod ist der Augenblick der Erhellung der Grenze, an der sich Sinn und 40 Zusammenhang des Lebens auftut.1 1 Life as it appears has no meaning. Only when the viewer reverses his outlook can he clearly see life; and to reverse his perception means to gain a multiperspective of the situation. It is through the mirror and its reflection that this can be achieved. "Der blinde Spiegel mit den Fliegenflecken laSt dich verlangen, was noch keine verlangt hat" (Aichinger, p. 13). The mirror reverses the progression of events and gives them meaning. This backward progression is reflected in a number of devices throughout the narrative. The progression of time is the most obvious. Da reicht der Morgen noch lange in die Nacht hinein. (p. 10) Geh, eh sie wiederkommen und eh ihr Flustern wieder laut wird, geh die Stiegen hinunter, an dem Pfortner vorbei, durch den Morgen, der Nacht wird. (p. 12) "Differenzierende Interpretation auf der Oberstufe: Dargestellt an Use Aichingers 'Spiegelgeschichte', Robert Musils 'Die Amsel' und Franz Kafkas 'Das Urteil'," Der Deutschunterricht, XXI (1969), 66. 202 Fall also exemplifies the backward progression reflected in life: Es ist wieder Herbst. Die Bliiten sind lange schon zu Knospen geworden, die Knospen zu nichts und nichts wieder zu Friichten. (p. 17) Bis morgen sind die welken Bliiten frisch und schlieflen sich zu Knospen. (p. 10) This backward progression brings the reader to the next level of awareness gained through the mirror symbolism. This reversal of perspectives takes us to the beginning,, which is also the end from which one can begin again. This continuum is symbolized in the ships in the harbor. They call out to announce their arrival and departure, which becomes another aspect of the same motion (p. 11). The flowers also are used to symbolize the ambivalence of life. They are used in the funeral wreath to symbolize death and as a sign of spring to symbolize the coming of life. Links und rechts sind Hauser, und an alien Fenstern stehen gelbe Narzissen, wie sie ja auch in alle Kranze gewunden sind, dagegen ist nichts zu machen. (p. 10) When one has gained this ambivalent perspective, it is time to stop the senseless momentum in which one is caught unaware. The narrator dares to cry out and to demand what others cannot do. 203 Du hattest ihn warnen konnen, aber inn dieser Ehre wil- len ist noch keiner aus dem Sarg gestiegen. (p. 10) Und da erschrickt die Alte. Und in dem grolien Schrek- ken, in dem blinden Spiegel erfiillt sie deine Bitte. Sie weiS nicht, was sie tut, doch in dem blinden Spie gel gelingt es ihr. Die Angst wird fruchtbar, und die Schmerzen beginnen endlich wieder zu jubeln. (p. 13) Here again the backward progression reflected in the blind mirror reveals both the ludicrous and the horrible in the figure of the old woman who acts without knowing what she does. This action typifies the young man also. He is un able to "see" to perceive the results of his actions, and thus he cannot "feel" what has happened. The young man is not the only figure who does not "know" what he does. The vicar has not yet learned the meaning of his role, and he must first become helpless,, so that he can help. Thus the reader understands why the last test is the most difficult. When the narrator can forget everything, then she will be able to join those around her. Noch schwerer wird es sein, lesen und schreiben zu ler- nen, doch am schwersten ist es, alles zu vergessen. Und wenn du bei der ersten Priifung alles wissen muBtest, so darfst du doch am Ende nichts mehr wissen. Wirst du das bestehen? Wirst du still genug sein? Wenn du genug Furcht hast, um den Mund nicht aufzutun, wird alles gut. (p. 17) The meaning of life can be gained when it is combined with its opposite— death. The mirror reflects the reverse_______ 204 process of life and enables each object to reflect its ambivalent possibilities. The stylistic devices of this KURZGESCHICHTE reflect a multiperspective which becomes apparent only when each ob ject is viewed in its totality. The perspective of the mirror directs the meaning of the symbols. The sky reflects the sea and projects the results of an earlier incident. The river parallels the journey back to childhood and unites birth with death (Bedwell, p. 363). The direction reflected in the symbolism of the mirror permeates almost every element. Time is a reflection of past and future which negates its validity as a means of measuring progress, since each element contains both as pects . Life and death are also reflected in a single sym bol, in the flowers, the ships, and ironically in the child. The child is the beginning of life and yet it is because of a child that the woman dies . The progression from death to birth leads from the complicated to the simple and yet the last line of the narrative would indicate that only at this point can life begin again. There is yet another perspective which is proposed to the reader. The voices of those who care for the patient offer a rational explanation for life. For them the answer 205 is obvious. "Die Fiebertraume lassen nach," sagt eine Stiirane hinter dir, "der Todeskampf beginntl" Ach die! Was wissen die? (Aichinger, p. 12) "Es dauert nicht mehr lang," sagen die hinter dir, "es geht zu Ende!" Was wissen die? Beginnt nicht jetzt erst alles? (p. 16) Life as it is portrayed by the narrator is rationalized away by the nurses as the result of delirious dreams. This per spective contrasts with those illuminated by the mirror and intensifies the meaning of the symbolism used throughout. This false direction is reflected in man's awareness of nature and the environment around him. Die Kohlenberge weichen hinter euch zuruck, da seid ihr an der See und seht die weiBen Boote wie Fragen an der Grenze eures Blickes, seid still, die See nimmt euch die Antwort aus dem Mund, die See verschlingt, was ihr noch sagen wolltet. Von da ab geht ihr viele Male den Strand hinauf, aIs ob ihr ihn hinabgingt, nach Hause, aIs ob ihr weglieft, und weg, als gingt ihr heim. (p. 14) Man must be able to take a step backwards in order to come forwards into life and this he can do only when he is able to reverse his perspective and to perceive his situation from a multiple spectrum. It has been the function of the symbols, as they have been used within the narrative, to reverse the accepted progression of life in order to reveal 206 the critical moment which lies below the surface, here to view life through a new perspective of death. The elements of the grotesque (ludicrous— awesome) are found in the presentation of the narrative which gains meaning only when each element is considered in its entirety. The external structure may appear ludicrous but its meaning becomes ap parent through the function of the symbols and other narra tive devices. The elements of fear and alarm are also pres ent in the figures throughout the narrative. Man does not understand his role in life— what he is or should be. The vicar acts without realizing the appropri ateness of his actions and the young man feels his embar rassment at each encounter with the girl. The interaction of life can be grotesque if not viewed in its totality. Aichinger combines these elements in order to reveal the essence of life and to provide the reader with the perspective necessary to relate to this life. The func tion of the symbol is to unlock the meaning of the KURZ GESCHICHTE. Projecting the regression of life reveals the meaninglessness of existence as it is and demands a new perspective to give life purpose. The KURZGESCHICHTE seeks to reveal the problem and to call for a new method of eval uation as it incorporates the incongruous elements, the 207 ludicrous and the awesome combined in the symbol, to provide a perspective which attempts to provide this new evaluation of life. The Absurd KURZGESCHICHTE In addition to the functions of symbols which have been discussed, there is still another which should be included: the symbol used to disclose an absurd situation. The term "absurd" is used here in the sense which Albert Camus de- 41 velops in his essay "Le Mythe de Sisyphe." A situation is taken to its extreme, to the point at which it seems to have lost all meaning. Here there is an encounter which ques tions the validity of the representative situation: someone asks why it is so, and this why becomes a starting point. Absurd is used in this sense to reveal something without meaning. However, the realization of the meaningless should bring about a new perspective and from this perspective there is hope that the situation may become meaningful. The symbols used by Nossack function to reveal such a situation. In "Begegnung im Vorraum" and in "Das Mai" Nossack offers the reader situations which are representative and 41 Essais (Bruges, 1965), pp. 99-211. 208 which present the critical moment as a new beginning* a possibility to be considered in an attempt to give meaning 42 to life. In both KURZGESCHICHTEN Nossack creates a "Nullpunkt*" a vacuum* in which nothing can be found except for those who must confront the problematic encounter. The outside world recedes and there is the feeling that this moment exists outside of the restrictions of time and place. When and where are unimportant* since the critical moment lies within. In "Begegnung im Vorraum" this "Nullpunkt" is a large* white* brightly-lighted hallway which leads to a bar. In "Das Mai" it is an unmarked spot on a snow-covered plain. The bright light of the moon and the absence of any wind create an atmosphere of suspension. One has the feeling of having left all behind and being on the verge of something. The quietness contrasts sharply with* in the first case* the noise in the bar* and in the second* with the struggle against the elements which has made progress so difficult. The setting depicted becomes a symbol of the uniqueness of 42 Hans Erich Nossack* Begegnung im Vorraum: Erzah- 1ungen (Frankfurt a/M* 1963). 209 the encounter. That it is not associated with specifics, and that it occurs outside the limits customarily required to establish reality but well within what is probable and acceptable even to the more "cautious" reader, symbolize an attitude, an awareness which must be attained in order to be receptive to what is about to take place. This awareness of something unusual, incongruous, is the first step toward giving meaning to the situation. Nossack reinforces the importance of this attitude which is symbolized in the set ting for the encounter. Ein lebensgefahrliches Experiment; denn es bleibt ein empfindliches Vakuum zuriick, und nur wenige sind dem gewachsen. Die meisten Menschen, und vor allem Frauen, brauchen eine und sei es auch noch so kleine Vergangen- heit, an die sie sich anlehnen konnen. (Nossack, p. 7) This vacuum, which becomes the setting for the problematic encounter, is an important part of Nossack's narrative works. Christof Schmidt calls it die Grunderfahrung, "die den geistigen Ausgangspunkt und Hintergrund fur alle fol- genden Werke Nossacks bildet: das Erlebnis vom Zusammen- bruch aller herkommlichen Daseins inhalte in einem grolSen 43 Augenblick." What seems to be nothing is the potential A o JMonologische Kunst: Untersuchunqen zum Werk von Hans Erich Nossack (Stuttgart, 1968), p. 27. 210 for a new awareness if the individual is receptive and can disengage himself from his past. In "Das Mai" the narrator tries at first to determine where the man was from, and then realizes that this is unimportant. The narrator has the role of placing himself between the figures and the reader. He too is a representative figure whose role expresses the change in attitude from one who thought it impossible to one who can now perceive the possibilities of the situation. In relating the encounter with the woman, the narrator seeks to establish the reality of the situation. Yet he would like to apologize for his friend and feels that he must question E.'s actions. "Kanntest du sie denn?" fragte ich ihn. "Nein. Wieso?" "Man kann doch einer Fremden so etwas nicht sagen." "Fremd?" Er sah mich verwundert an. "Na, hor mal, weniger fremd kann man sich wohl nicht sein." (Nossack, p. 16) The narrator is aware of what has happened, but at the same time he is not certain how it is to be understood. He plays a similar role in "Das Mal." Here, however, he is more than aware of the encounter; he reflects a direction which is to be taken if not by Blaise then by a reader. Although he recognizes a new direction which may give mean ing to the situation, he does not attempt to convince Blaise 211 of this possibility. His comments to Blaise are directed toward the reader . "Komm", sagte ich und half ihm aus dem Schnee auf. Und dann sagte ich ihm noch, daS ich wohl seinetwegen vorhin nicht weggelaufen ware. Doch ich glaube, er hat es nicht gehort, weil ich naturlich nur leise sprach. (p. 261) The narrator seeks an explanation which will pacify Blaise and regrets that he has not been able to do more. His reac tion counteracts that of Blaise and offers the reader a multiperspective of the encounter. Nossack uses figures as symbols which bring the criti cal moment into focus and cause other figures to relate to them to expose varying perspectives of the same situation. In "Begegnung im Vorraum" it is a woman whose function it is to reveal E.'s awareness of himself. There is no actual physical description, since this is incidental to her func tion as a symbol. The word "Dame" is stressed and the au thor reinforces the connotation which differentiates between this word and either "Weib" or "Frau" in German. Und spielt es denn eine Rolle? Nur, wenn ich sie ohne zu iiberlegen eine Dame genannt habe, so meine ich das auch. Gott behiite mich davor, eine Definition des Begriffes "Dame" geben zu mussen. Man merkt es an irgend etwas Unbestimmbarem, an der Kleidung, am Gang, am Tonfall Oder woran auch sonst, und damit gut. (p. 11) 212 Here Nossack underscores the sincerity of her remark and the understanding which E. demonstrated in his "Liebes- erklarung." The "Dame" becomes the symbol of that element in man which is able to recognize the potential in another and which serves to activate this potential to give new meaning to the situation— even if it means, as in this case, to do nothing. Her remark causes E. to renew his perspec tive . "Wollen wir nicht das Wunder, daS wir uns trotz allem zu dieser spaten Stunde noch einmal begegnen, anders zu benutzen versuchen als bisher, damit die Welt iiber unser erneutes Versagen nicht ganz in Ver- zweiflung gerat? Bewahren Sie das Bild, das Sie von mir kennen, damit ich es nicht durch korperliche Ungeduld verderbe und mir nichts bleibt, woran ich mich vergleichen kann." (pp. 14-15) The "Dame" has only one function: to bring out that which lies dormant in E . As an individual she is unimpor tant and consequently she needs no physical description. She functions more as a concept than as a figure and for this reason Nossack seeks to establish the credibility of her remark as he reinforces her function. E. also has no name, since this is incidental to his function. Nossack clarifies this in the narrative by saying that he is a discrete and fairly well-known man. However, 213 the means used to evaluate such things have very little to do with understanding and knowing another, since we project our values on him. When we feel a kinship with another, we immediately expect that he is what we want him to be. We cease to view him as he is. This lack of individuality is also stressed throughout "Das Mal." Although two of the figures in this KURZGE SCHICHTE have names, this serves more to differentiate a perspective than to designate any real identity. The nar rator distinguishes himself through his first-person per spective and the comments directed to the reader beyond the narrative. The figure, which functions as the symbol that brings the critical moment into focus, has lost all trace of in dividuality with one important exception. Nossack under scores this aspect with a number of stylistic devices. One can be found in a way of life necessitated by the climate. The manner of dress can be changed little by those who come here and thus the snowman could just as well be one of this group. This does not take away from his effectiveness as a symbol. It makes him seem more immediate, since there is no way to determine how long he has been there without removing him from the spot. 214 There is no way the five can determine how he came to that place, where he is going, or where he is coming from. Nor for that matter can they establish his identity. Those things, which in other circumstances would determine his identity and place him in relation to the others, are of no importance here. They cannot help to explain the meaning of this encounter. The outer layer, which man has assumed to protect him from a harsh environment, serves to conceal al most all trace of what is inside. This does not allow the symbol to reveal the changes time may have made, and conse quently he represents a perspective which is placed beyond the limits of time or space. Another device, which emphasizes the function of the symbol and eliminates all traces of individuality, can be found in the terms used to designate this figure: "das Mal," "der Schneeman," "Mann," "Tote," "Kerl," "Eiszapfen," "Gott," "Bursche," "Erforene," and "Freund." These reveal the varying roles which have been assigned to the figure. The first and last reference and the title give the reader the direction which the symbol will take. "Das Mal" has a number of possible meanings in German. It can designate the repetition of the same situation at varying points in time. It can also indicate a mark, a sign of something particular 215 or unusual. (Duden's etymological dictionary relates this i jword to Latin metiri, 1[ab]messen' and meditari, 1[er]wagen, i I 44 jnachdenken1 .) Its function in the KURZGESCHICHTE is to i (indicate the way toward something. It serves as an example, |a point of comparison. Its goal is to cause the reader to consider the situation, to become aware of himself and to seek meaning in his existence. The narrator imagines "das Mal" as one of many, stretching out into the distance at spaced intervals like telegraph poles. Perhaps he too could J ibe like "das Mal." Near the end of the narrative, he re- i grets that he has not continued the line. "'Ach, wie gern hatte ich das Mal um ein paar Meter weiter hinausgeruckt'" I (Nossack, p. 261). i j As a symbol, "das Mal" functions in many ways. It j i jelicits a different response from each of those involved. i The narrator recognizes the one element which makes the snowman unique: his smile. The others sense this and yet they seem unaware of how it affects them. The narrator ascertains that the smile is no accidental occurrence caused I by a muscle reflex and describes it thus: ! ^ Der Grofie Duden: Etymologie, Herkunftsworterbuch der deutschen Sprache (Mannheim, 1963), p. 418. 216 Wie jemand, der einen schonen Gedanken hat, ganz fur sich aliein^ und weiB es selber nicht, dafi er dabei lachelt. Im Gegenteil, wenn jemand zusieht, lachelt man nicht so. Die Leute fragen dann, und es ist pein- lich, weil man ihnen keine Antwort zu geben vermag. Aber dieser Mann war erfroren, und deshalb sahen wir es. (pp. 248-249) Since the others do not seem aware of this, he does not mention it* and later the reader finds that he offers Blaise the explanation of the muscle reflex which they had earlier taken for a smile. The others comment only indirectly on the symbol. He makes them uncomfortable and causes them to stop and consider what is to be done. Their conclusion is that they have indeed accomplished something, since they have made it thus far without freezing, without succumbing to the elements. The narrator articulates what he assumes they feel as he says that they suddenly saw themselves as meaningless and absurd, which was worse than merely being startled or shocked (p. 249). They do not like what they are forced to examine and they feel that they should do something with what they have found. "Das Mal" represents an obstacle to their progress. Blaise's reaction to this encounter is that it is ab surd. He is not like the one with the smile. He finds no meaning in what is around him. His answer is to lose him- self in activity in order to provide an existence for those 217 who do not question and find activity an end in itself. He cannot endure the situation in which he now finds himself: the absolute stillness where there is no resistance. He is not yet able to accept this moment of absolute quiet in which one may come to examine the meaning of existence. For Blaise this moment reveals life as absurd. There is no answer. He is forced to return to the routine where he experiences existence as a maze of activity leading nowhere. Blaise differs from Patrick and the others since he is aware of his inability to face this encounter. This has become a critical moment for which the only alternative is to admit defeat and return to what he has known. The others are not aware of this moment. "Das Mal" represents an obstacle but it does not cause them to remove themselves from the process they have created nor does it cause them to question this progress. It is an irritation which inhibits their forward movement, but which they view as proof of the meaning of their own existence. The narrator offers another perspective and reveals an additional facet of the symbol. The smile represents for him a moment in which man has been able to step out of his limitations and ceaseless activity. He has detached himself from all that has gone on before and has gained an 218 awareness, an "objective viewpoint" from which he can re evaluate his existence. Just as Boll and Borchert used elements of humor to emphasize a certain detachment, Nossack uses the symbol of the smile to indicate a possibility, a new alternative, and an awareness which takes man outside the limits of his existence and offers him a new perspec tive. Nossack does not attempt to go beyond that point. As the possibilities of meaning incorporated in "Das Mal" indicate, this is not an isolated occurrence and its objec tive is to cause the individual to consider the alterna tives, to ponder the meaninglessness of life and from this awareness to find at some time some measure of significance in what one is and does. Not only figures but also a particular setting take on symbolic significance, since they create an atmosphere and direct a perspective which becomes a necessary part of jnarrative representation of the critical moment. Nossack has used a number of elements within the narra tive to symbolize varying levels of awareness. The primary symbol in each KURZGESCHICHTE is the object which elicits this awareness. In "Begegnung im Vorraum" it is the "Dame" and in "Das Mal" the Snowman. Their function is to initiate a response without being aware of how they influence others. 219 Her remarks and his smile bring a response which serves as an example to others to direct, to instigate, to become a catalyst. They do not provide an answer or solve a prob lem, but rather they serve to reveal an alternative to the one who is capable of recognizing it. Those influenced by the incident do not provide an explanation or a solution. They regard it as another encounter on the way toward what will, it is hoped, become a new means. This type of symbol may be called absurd, since it serves to reveal a meaningless condition or situation. It is the awareness of this meaninglessness which is the objec tive of the symbol and thus it functions in a positive sense. It does not attempt merely to reveal the critical moment but attempts to indicate to the reader the direction he can take if he can recognize the encounter. CHAPTER IV CONCLUSION This study has sought to reveal the need to examine the KURZGESCHICHTE according to its "Gestaltungsziel," its gov- I jerning principle of composition. When the goal of the nar- j | i 'rative is clear, then the function of a particular narrative jelement is apparent. | ! The review of the literature on this genre emphasizes I | jthat critics frequently discuss those elements which most joften occur, but seldom relate these stylistic devices to ! i jthe particular goal of the narrative. Those elements which jare traditionally felt to determine the KURZGESCHICHTE and f 'distinguish it from other narrative forms— length, subject, and its treatment— add little to the nature of the genre jwhen considered as ends in themselves . The comparison of ^related narrative forms and the many discussions by various i jcritics illustrate that the same devices may be used for a ^different purpose in other genres and that the 220 221 KURZGESCHICHTE shapes its material in a way which clearly i 'distinguishes it from other narrative forms . The element I stressed by all critics is the presentation of a single i moment which should bring about a change either in the nar rative's central figure or in the reader. This moment is an expression of a world view which is constantly undergoing change. In order to project the multiperspective of this (critical moment and to continue the momentum beyond the (limits of the narrative, the author makes use of the symbol, ja device which offers a possible analogy to carry the il- i ! (lustrative moment beyond its presentation. Through a com bination of elements the symbol suggests a direction of meaning which carries the reader beyond the "reality" of the i jpresentation. | The KURZGESCHICHTE reflects the change which has become (necessary if literary art is to continue to communicate with man in the twentieth century. It offers new channels as it jseeks to communicate on many levels simultaneously. This is (possible because the symbol which forms the nucleus of this I genre attempts to establish its value(s) by means of the i (interaction with other narrative elements. A symbol is (given its meaning through its direction, which is determined ! (according to the way in which it is made to react to its 222 ! i "inherent" value. In many cases its "inherent" value is I contrary to its projected value and the shock effect gener- ! i ated through this combination of opposites calls attention to this relationship between what is assumed and what is iimplied in the symbol. This initiates the moment of impact, j I : jthe critical moment, which radiates beyond the initial en- i icounter. I The symbol enlarges the periphery of the KURZGESCHICHTE! ! : i |as it develops direction and increases the reader's aware- 1 ; j hess of "reality." It acts as a linguistic catalyst, the j i [stone which hits the water, as it interrelates with other ! elements and disappears from sight. The symbol represents l 1 a potential relationship which cannot be stated explicitly i but must be experienced. This element replaces the objec tivity of the traditional narrative with the subjectivity i of lyric genres. Its values are not constant and reflect a world in which internal and external are only two fragmen- | tary perspectives of the same thing. The KURZGESCHICHTE is a modern form and offers a com- j parison to the twentieth-century novel. What is portrayed i jin the KURZGESCHICHTE is not basically different from what j jis found in the novel. The KURZGESCHICHTE offers only one [illustration, the novel a series of examples . Hans Erich 223 Nossack illustrates this fundamental difference in the in- i ;clusion of "Das Mai, " written in 1949, as Chapter V of the ! novel Spirale; Roman einer schlaflosen Nacht. ~ * ~ The same KURZGESCHICHTE appears with other narratives in at least two i . 2 separate collections: Das Mai und andere Erzahlungen and Begegnunq im Vorraum. Nossack is not the only author who jhas made a KURZGESCHICHTE an integral part of another narra- i i j 3 | ;tive. Franz Kafka's "Eine kaiserliche Botschaft" first | ! | jappeared in the collection Ein Landarzt, kleine Erzahlungen ! ’ I in 1919 and was later published as a part of the narrative | j I : Beim Bau der chines ischen Mauer in 1934. | ; i : j The traditional narrative elements no longer function j ias the primary means of imparting the direction to the prosej i i i ; ! |W o r k a n d t h u s t h e a u t h o r m u s t s e e k n e w m e a n s of e x p r e s s i n g |his "reality." The governing principle of composition in ! the KURZGESCHICHTE begins to structure the author's por- i trayal. The KURZGESCHICHTE offers certain alternatives ! which distinguish it from other genres. Since the means of representation have changed, new elements must be used to ! j i 1Frankfurt a/M, 1956. | j 2Frankfurt a/M, 1963. j j 2Samtliche Erzahlungen. convey this meaning. The word as the basic unit is no | J 1 longer given an exact equivalent which reflects only one | alternative. The basic unit must be multivalent. It must J jbe applicable to more than one situation and convey meaning !on many levels simultaneously. The relativity of the situa tion becomes its strongest element, since it reveals a basicj paradox of modern life . The inability of language to por tray life infuses language with new meaning as it is forced i I ; jto establish itself in relation to the situation portrayed. I ! I | Die widersprechende Fulle des modernen Lebens der Zeit- ! lichkeit dringt gleichzeitig auf ihn [den Dichter] ein, j er stellt alles unvermittelt nebeneinander, schafft aber | j dadurch indirekte Beziehungen, die gerade die Wider- j | spruchlichkeit und Absurditat des modernen Lebens offen- i baren. Die absolute Beziehungslosigkeit ist hier gerade | das Beziehungsvollste, die Funktionslosigkeit erhalt | hochste Funktionalitat i I j The traditional narrative elements presuppose a reflec- I Ition of a world view in which the event is exemplary of a norm and a perspective of a particular author. The struc- ! jture of the KURZGESCHICHTE and the direction it seeks to I jimpart can be found not in the effective "Losung" of the jNOVELLE or the ANEKDOTE but in the infinite perspectives and “ ^Wilhelm Emrich, "Die Struktur der modernen Dichtung, " Wirkendes Wort. Ill, Heft 4 (1953), 219. 225 relationships which are projected from the critical moment. Emrich stresses the function of the individual element in the structure of modern literary art forms: Als Antwort auf diese Vergegenstandlichung unseres realen Daseins ist die moderne Kunst entstanden. Sie kann, ja darf sich nicht mehr an feste, endliche Gegenstande, an raumzeitliche oder psychische Einheiten binden, da sie sonst selbst der Sinnleere dieser ver- gegenstandlichten Objektwelt verfiele. Ihre hoheren Sinnbeziige liegen daher uber den Dingen oder in unend- lichen Korrelationen zwischen den Dingen. Ihr absoluter Funktionalismus, ihre Vieldimensionalitat ist also die notwendige Konsequenz aus dieser Verendlichung und Ver gegenstandlichung unseres Daseins. ("Die Struktur der modernen Dichtung," p. 222) The symbol offers an alternative to the event in the nineteenth-century narrative. It is to be interpreted through the varying directions which it may take according to the goals of the individual author, who provides ample indication of the direction he has intended for a given KURZGESCHICHTE. Brecht's own use of the term "dialectic" indicates the direction he intended in his KURZGESCHICHTEN according to the function of his symbols. The value of the symbol is established first through its traditional meaning, and then it is given a new direction which offers a sharp contrast to what has been established. The synthesis of opposite values is given to the reader which follows a basic goal for Brecht's art in any genre: "fur den Gebrauch der Leser" i (Vorwort zu Kalendergeschichten) . His narratives are in tended to offer practical examples for twentieth-century [man. They become practical through Brecht's use of the jsymbol as he seeks to reveal a basic contradiction in ac- j 1 | icepted value and then comes to stress a previously unre- ' I ) I vealed alternative. The symbol is not static; it is a dy- j I jnamic source of action, since only through its contrasting \ I j function does it reveal its direction. Brecht's dialectic KURZGESCHICHTE differs from the ironic KURZGESCHICHTE in the primary function of the symbol.j i i iThe symbol which contradicts itself reveals a possibility : | and calls for yet another. The symbol which reveals irony ! ; i ! I [also reveals a change. This change is based on a tradi- jtional value which has lost its meaning so that it can no llonger function as was intended. It has become a symbol for what it is not. Yet in having lost its value it can assume j jnew value in its directing function. It may assume positive jvalue, as do many of the "negative" elements in the KURZ- | j iGESCHICHTE, as it reveals the loss of value and an apprecia tion or understanding of what has taken place. The ironic j jsymbol seeks to make man aware of its meaninglessness . In i [Borchert's "Kiichenuhr" the reader may ask how the incident 227 has affected those who hear of it. The KURZGESCHICHTE it- ! ; self does not attempt to explain or qualify the reactions of the secondary figures. It offers one individual's reaction, which is meant to be representative. The boy has reached a j critical moment in his life; how he adapts to this incident j i can be supplied only by the reader. j The symbol which functions to reveal a paradox differs from the former examples, since now there are many possible i ! i [directions which seem to be indicated by the same symbol. | | I !This symbol is multivalent and presents the critical moment i | ! las a narrative collage in which levels of meaning overlap j | | 'and constantly produce new directions. Kafka's KURZGE- ! iSCHICHTEN offer some of the best examples in which the sym- i |bol functions to reveal a paradox which represents many I I possible interpretations simultaneously. The symbol of the satirical KURZGESCHICHTE presents a limited and very carefully directed perspective. It uses an i i | (individual figure, activity, or attitude which is made to j 'contrast with the majority view represented by an anonymous jfigure(s) which function(s) silently to contrast with this imain figure as he is presented out of touch with "reality." | There may be no problematic encounter, as in Kafka's j i"Der Nachbar," but there is always a critical moment in 228 which the reader is made aware of the extreme difference in ! values between the figures in the narrative. Harras exists for the reader only through the assumptions of the narrator figure. The meaning of the neighbor becomes apparent when the reader recognizes that the entire presentation is de- j pendent upon the views of one figure. The satirical symbol offers a perspective out of focus which also functions ironicallyj since it presents the undesirable as that which 'is valued. The symbol which serves to direct the humorous KURZ GESCHICHTE offers a contrast to the seemingly negative tone j of this genre. Its function is to reveal a new perspective, | i i lanother alternative, or an openness toward life. This type | jof KURZGESCHICHTE offers a new possibility which remains j jwithin the bounds of the feasible. It too contains a criti- I i ;cal moment. But in these examples the possibility is not 1 projected to an extreme and the reader does not lose his i ! jsense of balance, but is able to regard the narrative and I jits illustration as probable. i | The important function of the humorous symbol is also i apparent in both the grotesque and the absurd KURZGE- bcHICHTE. The grotesque reveals reality in such an extreme I jsituation that it would cease to communicate if it were not 229 for the element of humor. This objectivity returns the j narrative to the realm of the probable and thus provides it ! with a meaningful direction. The absurd KURZGESCHICHTE must also provide some point of contact if it is to have meaning. This possibility too is dependent upon the use made of the j : symbol m the narrative. The symbol which represents the ' absurd might be left unnoticed if its function were not i j understood. It seeks to reveal the meaning where all appar-j ent meaning has been lost. Its function is a starting | i point, a point of departure from which man can begin again |when he understands the nature of himself and can come to J jterms with that realization. The problematic encounter for Ithose who are aware and conscious of the problem is at the 1 |same time the critical moment of the KURZGESCHICHTE. The I I jformer may be represented in the figures of the narrative, ! !the latter must take place for the reader when he under stands the nature of the symbol in this genre. It has been i jthe aim of this study to reveal some of the varying per- j ispectives which the symbol provides, and to show how they Ifunction within the "Beziehungsfeld" of various KURZGE- | | | jSCHICHTEN. The absurd KURZGESCHICHTE may serve as repre- j sentative of this genre and its function in twentieth- century literature. It offers ". . . ein unerkanntes Symbol 230 fur die schmerzlich zerrissene Schopfung" (Boll, "Wir ! Besenbinder," p. 122) and seeks to reveal the need for change. The varying perspectives which may be presented through the symbol indicate the key role this element plays in the KURZGESCHICHTE. The interpretations in the main body of this dissertation are meant to explain not the meaning ofj I the elements but their function. The KURZGESCHICHTE offers j i I a reflection of the dynamic life style of the twentieth cen-j ! ■ i Stury. Having borrowed certain elements from the lyric 1 ! I ! jgenres, the KURZGESCHICHTE, like the one-act play, depicts i |a representative moment in which individual words, objects, gestures, or situations appear multivalent (Hollerer, "Gibt j !es Gemeinsamkeiten, " p. 500). The ambivalent role which jthese elements have assumed reflects the various changes jwhich have occurred in many areas of modern life. Erich I von Kahler describes this as "die Erfahrung vom dynamischen Charakter unseres Lebensgrundes und unseres Lebensumkreises I |in seinem weitesten Begriff. Es gibt nichts mehr, das wir als restlos stabil annehmen diirfen. j The heuristic nature of the KURZGESCHICHTE as a genre j ! ~ *Unterqanq und Uberqang. Essays (Miinchen, 1970), p. 8. I i 231 proves that it must be considered representative of this change of life style. In addition, the author hopes to have contributed with this dissertation to the discussion of the modern narrative and to that of the genre in general, for if one wants to preserve the genre as a literary category for evaluation and criticism, one has to understand and define it not through historically limited or external criteria but rather on the basis of its constituent elements. f B I B L I O G R A P H Y 232 BIBLIOGRAPHY Primary Sources i Aichinger, Use. Wo ich wohne. Erzahlungen, Dialoge, Ge- dichte. Frankfurt a/M: S. Fischer Verlag, 1963. jAlverdes, Paul und Hermann Rinn, Hrsg. Deutsches Anekdoten- j buch: Eine Sammlung von Kurzgeschichten aus vier Jahr- hunderten. 6. Auf 1. Miinchen: Deutscher Taschenbuch Verlag, 1969. iAndersch, Alfred. Geister und Leute. Olten und Freiburg ! i/B: Otto Walter Verlag, 1958. Bingel, Horst, Hrsg. Deutsche Prosa: Erzahlungen seit 1945. i Stuttgart: Deutsche Verlags-Anstalt, 1963. | Boll, Heinrich. Erzahlungen, Horspiele, Aufsatze. 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Creator Tussing, Marjorie Ormiston (author)

Core Title The Function Of The Symbol In The Modern German Kurzgeschichte

Degree Doctor of Philosophy

Degree Program German

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag Literature, Modern,OAI-PMH Harvest

Language English

Contributor Digitized by ProQuest (provenance)

Advisor Weissenberger, Klaus (committee chair), Armato, Rosario P. (committee member), Von Hofe, Harold (committee member)

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c18-545077

Unique identifier UC11363199

Identifier 7203803.pdf (filename),usctheses-c18-545077 (legacy record id)

Legacy Identifier 7203803

Dmrecord 545077

Document Type Dissertation

Rights Tussing, Marjorie Ormiston

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the au...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus, Los Angeles, California 90089, USA