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The University of Chicago Tradition, Transmission THE UNIVERSITY OF CHICAGO TRADITION, TRANSMISSION, TRANSLATION: NARRATIVE FRAMES IN NINETEENTH-CENTURY GERMAN NOVELLAS A DISSERTATION SUBMITTED TO THE FACULTY OF THE DIVISION OF THE HUMANITIES IN CANDIDACY FOR THE DEGREE OF DOCTOR OF PHILOSOPHY DEPARTMENT OF GERMANIC STUDIES BY MAEVE CATHERINE HOOPER CHICAGO, ILLINOIS DECEMBER 2018 For Mom Table of Contents Acknowledgements…………………………………………………………………………….…iv Introduction………………………………………………………………………………………..1 Chapter 1. Alle beisammen: Unification in Clemens Brentano’s Romantic Nationalism………………….…9 Chapter 2. Alles ist wie Märchen und Traum: Ludwig Tieck’s Late Romanticism…………………………54 Chapter 3. Ansichten über Großes und Kleines: On Iteration in Adabert Stifter’s “Bergkristall”…………..96 Chapter 4. In die Sprache unserer Zeit: Translating Past into Present in C.F. Meyer’s Das Amulett……...129 Bibliography……………………………………………………………………………………176 iii Acknowledgements This dissertation owes its existence to the guidance, encouragement and persistence of David Wellbery. I am deeply grateful for his insight, patience and generosity at every stage of this process. I would also like to thank Christopher Wild and Florian Klinger for their thoughtful contributions to this project. I am deeply grateful to Cathy Baumann for her mentorship, and for giving me countless opportunities to pursue what I love most. I am proud to belong to a community of graduate students who never cease to support, energize, challenge, and care for each other. I have benefitted from knowing every student in the Department of Germanic Studies and feel truly lucky to have found a home here. I wish to thank in particular the Dissertation Writing Group, without whom I would likely still be writing my proposal. Having been a member of this group for a number of years, there are many members to whom I owe a debt of gratitude, including Mirjam Berg, Ethan Blass, Daniel Carranza, Emily Dreyfus, Peter Erickson, Joela Jacobs, Matthew Johnson, Tamara Kamatović, Marcus Lampert, Jessica Resvick, Amy Stebbins, and Noah Zeldin. I hope I have adequately signposted this paragraph – though perhaps I should move it up? Special thanks to Michelle Zimet for her invaluable advice and enthusiasm. iv For her friendship from the first to the final day of graduate school and beyond, my thanks to the brilliant Amy Stebbins. To my families, Hooper, Kane and Sugg, my thanks for their encouragement, humor and wisdom. To my father and brother in particular, for always making me feel mighty. My deepest gratitude, appreciation, and love to my husband Phil, whose selflessness and unwavering support over many years made the completion of this project possible. Finally, this experience will forever be framed by great joy and great sadness. I thank my mother, Aileen Kane, who was present at the beginning of this journey, for instilling in me a sense of strength and love that has made it possible to carry on even in her absence, and dear Owen, who is here at the end, for the boundless joy he has brought our family. v Introduction Frames are everywhere. They are found in fields as diverse as sociology, computer science, cognitive psychology, and, of course, literary studies. Broadly defined as structures that support or enclose a system, concept, or object, frames are used to present and store information, organize knowledge, and contextualize social interactions. Frames, it seems, are fundamental to our very way of knowing and understanding the world. Our reliance upon frame structures to help make sense of our experiences becomes apparent in a consideration of any literary tradition across the globe. As William Nelles notes, narrative frames are “so widespread among the narrative literature of all cultures and periods as to approach universality.”1 Yet despite, or perhaps because of the ubiquity of narrative frames, their significance is often underestimated and they are written off as mere formal devices that fail to contribute substantively to the “meaning” of a text. My primary goal in this dissertation is to give the narrative frame interpretive force. Through close textual analyses, I demonstrate the ways in which narrative frames generate a new significance or understanding that is not explicit in the texts themselves and that would not otherwise exist. My understanding of the frame, then, is not as a static structural element, but rather as a dynamic, active intervention that has the capacity to direct interpretation. I make this argument through an investigation into the function(s) of narrative frames within one specific tradition: German-language novellas of the nineteenth century. My project looks at the works of four authors from four distinct moments in literary history across this century: Clemens Brentano, Ludwig Tieck, Adalbert Stifter, and Conrad Ferdinand Meyer. 1 William Nelles, “Stories within Stories: Narrative Levels and Embedded Narrative,” Studies in 1 More than any other period in German literary history, the nineteenth century is characterized by systematic experimentations with narrative forms and techniques, and with the form of the novella above all. Though writers such as Christoph Martin Wieland ventured theories of the novella earlier in the eighteenth century,2 it is generally agreed upon that the genre did not become part of the German tradition until Johann Wolfgang von Goethe’s Unterhaltungen deutscher Ausgewanderten in 1795. Presented as a collection of stories orally narrated by a group of characters, Unterhaltungen maintains the connection between the genre of the novella and frame narratives first established by the “father” of the novella, Giovanni Boccaccio, in The Decameron (1351). As all four of my authors were consciously working within the novella tradition, it is necessary to address briefly the three most prominent theories of the novella to emerge from the nineteenth century, as developed by Goethe, Tieck and Heyse, and consider how they contribute to this discussion of frame narratives. First, Goethe’s famous epigram defining the novella as “eine sich ereignete, unerhörte Begebenheit,” which appears in Johann Peter Eckermann’s Gespräche mit Goethe: Goethe in den letzten Jahren seines Lebens. While the conversation took place in 1827, the record of it was not published until 1836, and Goethe’s contribution to Novellentheorie thus became available to the public somewhat belatedly. Es kam sodann zur Sprache, welchen Titel man der Novelle geben solle; wir taten manche Vorschläge, einige waren gut für den Anfang, andere für das Ende, doch fand sich keiner, der für das Ganze passend und also der rechte gewesen wäre. “Wissen Sie was,” sagte Goethe, “wir wollen es die ‘Novelle’ nennen; denn was ist eine Novelle anders als eine sich ereignete, unerhörte Begebenheit. Dies ist der eigentliche Begriff, 2 In the second edition of Don Sylvio (1772), Wieland offers the following definition of the novella: “Novellen [sind] eine Art von Erzählungen” to be differentiated from the novel “durch die Simplizität des Plans und den kleinen Umfang der Fabel.” Siegfried Weing, The German Novella: Two Centuries of Criticism (Columbia, S.C.: Camden House, 1994), 18. 2 und so vieles, was in Deutschland unter dem Titel Novelle geht, ist gar keine Novelle, sondern bloß Erzählung oder was Sie sonst wollen.”3 In this conversation, Goethe strictly defines the novella as the narration of a unique, unexpected event that has taken place. The inclusion of “sich ereignete” in Goethe’s definition excludes subject matter that may otherwise conform to his definition of an unexpected event, but which includes an element of the fantastic. Goethe thus limits the subject of the novella to that which could plausibly occur or have occurred in real life. Goethe also emphasizes the novella as a distinct genre not to be confused with other short forms of prose such as the “Erzählung.” The hint of frustration that is detectable here indicates the frequency with which such generic confusion or conflation occurred during this period. Second, though Tieck generally shied away from publishing purely theoretical texts, he expressed his thoughts on the genre of the novella in a foreword to Volume 11 of the 1829 edition of his collected works: …daß sie einen großen oder kleinern Vorfall in’s hellste Licht stelle, der, so leicht er sich ereignen kann, doch wunderbar, vielleicht einzig ist. Diese Wendung der Geschichte, dieser Punkt, von welchem aus sie sich unerwartet völlig umkehrt, und doch natürlich, dem Charakter und den Umständen angemessen, die Folge entwickelt, wird sich der Phantasie des Lesers um so fester einprägen, als die Sache, selbst im Wunderbaren, unter andern Umständen wieder alltäglich sein könnte.4 I will discuss Tieck’s theory of the novella in greater detail in the second chapter of this dissertation. For the moment, it is important to note how Tieck’s understanding of the genre seems to align with Goethe’s, particularly in his claim that the novella focuses on a single, unique incident: “einen großen oder kleinern Vorfall…[der] vielleicht einzig ist.” Further, this passage is noteworthy because it includes Tieck’s concept of the turning point, or 3 Johann Peter Eckermann, Gespräche mit Goethe in den letzten Jahren seines Lebens, ed. H.H. Houben (Wiesbaden: F.A. Brockhaus, 1959), 171. 4 Ludwig Tieck, Ludwig Tiecks Schriften (Berlin: Reimer, 1829), 11:LXXXVI. 3 “Wendepunkt.” Undoubtedly Tieck’s most celebrated contribution to the theory of the novella, the turning point is defined here as a natural, yet dramatic change of direction in the story line that leads to an unforeseen, but logical, ending. Several lines later, Tieck insists again that that a genuine novella (“ächte Novelle”) will always have the turning point as its distinguishing feature. Finally, in the introduction to his Deutscher Novellenschatz (1871), Paul Heyse identifies what he believes to be an essential feature of the novella, thus immortalizing himself in German genre theory. Using the falcon featured in the ninth novella of the fifth day in Boccaccio’s Decameron as an example, Heyse suggests that a genuine novella must contain a problem or a conflict around which the action revolves, and which may be represented by an object.
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