Testaments Betrayed

An Essay in Nine Parts

Milan Kundera
Translated from the French by Linda Asher
TESTAMENTS BETRAYED. Copyright !""# $y Milan Kundera. Translation %opyright
!""& $y 'inda Asher. ()RST ED)T)*N
This $oo+ ,as originally pu$lished in (ran%e under the title Les testaments trahis.
)SBN --.-!/!0&.
PART *NE The Day Panurge No Longer Makes People Laugh 1
PART T1* The astrating !hado" of !aint #arta $%
PART T2REE &mpro'isation in (omage to !tra'insky %%
PART (*3R A !entence ))
PART ()4E A la *echerche du Present Perdu 1+1
PART S)5 ,orks and !piders 1-.
PART SE4EN The /nlo'ed hild of the Family 1.)
PART E)62T Paths in the Fog 1))
PART N)NE 0ou1re Not in 0our 2"n (ouse (ere3 My Dear Fello" +-1
PART *NE
The Day Panurge No Longer Makes People Laugh
The &n'ention of (umor
The pregnant Madame 6randgousier ate too mu%h tripe7 and they had to gi8e her a purgati8e9 it
,as so strong that the pla%enta let go7 the :etus 6argantua slipped into a 8ein7 tra8eled up her
system7 and %ame out o: his mania;s ear. (rom the 8ery :irst lines7 Ra$elais;s $oo+ sho,s its
hand< the story $eing told here is not serious< that is7 there are no statements o: truths here
=s%ienti:i% or mythi%>9 no promise to des%ri$e things as they are in reality.
Ra$elais;s time ,as :ortunate< the no8el as $utter:ly is ta+ing :light7 %arrying the shreds o: the
%hrysalis on its $a%+. 1ith his giant :orm7 Pantagruel still $elongs to the past o: :antasti% tales7
,hile Panurge %omes :rom the yet un+no,n :uture of the no8el. The e?traordinary moment o:
the $irth o: a ne, art gi8es Ra$elais;s $oo+ an astounding ri%hness9 it has e8erything< the
plausi$le and the implausi$le7 allegory7 satire7 giants and ordinary men7 ane%dotes7 medita@
tions7 8oyages real and :antasti%7 s%holarly disputes7 digressions o: pure 8er$al 8irtuosity. Today;s
no8elist7 ,ith his lega%y :rom the nineteenth %entury7 :eels an en8ious nostalgia :or the super$ly
heterogeneous uni8erse o: those earliest no8elists and :or the delight:ul li$erty ,ith ,hi%h they
d,elt in it.
Aust as Ra$elais starts his $oo+ $y dropping 6argantua onto the ,orld;s stage :rom his mama;s
ear7 so in The !atanic 4erses3 a:ter a midair plane e?plosion7 do Salman Rushdie;s t,o heroes :all
through the air %hattering7 singing7 and %arrying on in %omi% and impro$a$le :ashion. 1hile
Ba$o8e7 $ehind7 $elo, them in the 8oidB :loat re%lining seats7 paper %ups7 o?ygen mas+s7 and
passengers7 one o: themC6i$reel (arishtaCs,ims Bin air7 $utter:ly@stro+e7 $reast@stro+e7
$un%hing himsel: into a $all7 spreadeagling himsel: against the almost@in:inity o: the almost@
da,n7B and the otherCSaladin Cham%haCli+e Ba :astidious shado, :alling head:irst in a grey
suit ,ith all the Da%+et $uttons done up7 arms $y his sides. . . a $o,ler hat on his head.B The no8el
opens ,ith that s%ene7 :or7 li+e Ra$elais7 Rushdie +no,s that the %ontra%t $et,een the no8elist
and the reader must $e esta$lished :rom the outset9 it must $e %lear< the story $eing told here is
not serious7 e8en though it is a$out the most dread:ul things.
The marriage o: the not@serious and the dread:ul< ,itness this s%ene :rom Ra$elais;s Fourth
5ook6 on the open sea7 Pantagruel;s $oat meets a ship :ull o: sheep mer%hants9 one o: them7
seeing Panurge ,ith no %odpie%e and ,ith his eyeglasses :astened to his hat7 ta+es the li$erty o:
tal+ing $ig and %alls him a %u%+old. Panurge is Eui%+ to retaliate< he $uys a sheep :rom the
:ello, and thro,s it into the sea9 it $eing their nature to :ollo, the leader7 all the other sheep
start Dumping into the ,ater. )n a pani%7 the mer%hants gra$ hold o: the sheeps; :lee%e and horns7
and are dragged into the sea themsel8es. Panurge pi%+s up an oar7 not to sa8e them $ut to +eep
them :rom %lim$ing $a%+ onto the ship9 eloEuently7 he e?horts them7 des%ri$ing the miseries o:
this ,orld and the $ene:its and delights o: the ne?t7 de%laring that the dead are more :ortunate
than the li8ing. E8en so7 should they $y some %han%e pre:er to go on li8ing among humans7 he
,ishes them a meeting ,ith some ,hale7 li+e Aonah. The mass dro,ning a%%omplished7 the good
(rere Aean %ongratulates Panurge7 only reproa%hing him :or ha8ing paid the mer%hant $e:orehand
and thus thro,n a,ay money. Says Panurge< BBy 6od7 ) got a good :i:ty thousand :ran%s; ,orth
o: :un :or itFB
The s%ene is unreal7 impossi$le9 does it7 at least7 ha8e a moralG )s Ra$elais denoun%ing the
stinginess o: the mer%hants7 ,hose punishment should please usG *r does he mean to ma+e us
indignant at Panurge;s %rueltyG *r7 as a good anti%leri%al7 is he mo%+ing the stupidity o: the
religious %li%hes Panurge re%itesG 6uessF E8ery ans,er is a $oo$y trap.
Says *%ta8io PaH< BThere is no humor in 2omer or 4irgil9 Ariosto seems to :oreshado, it7 $ut
not until Cer8antes does humor ta+e shape. . . . 2umor7B he goes on7 Bis the great in8ention o: the
modern spirit.B A :undamental idea< humor is not an age@old human pra%ti%e9 it is an in'ention
$ound up ,ith the $irth o: the no8el. Thus humor is not laughter7 not mo%+ery7 not satire7 $ut a
parti%ular spe%ies o: the %omi%7 ,hi%h7 PaH says =and this is the +ey to understanding humor;s
essen%e>7 Brenders am$iguous e8erything it tou%hes.B People ,ho %annot ta+e pleasure :rom the
spe%ta%le o: Panurge letting the sheep mer%hants dro,n ,hile he sings them the praises o: the
herea:ter ,ill ne8er understand a thing a$out the art o: the no8el.
The *ealm ,here Moral 7udgment &s !uspended
): ) ,ere as+ed the most %ommon %ause o: misunderstanding $et,een my readers and me7 )
,ould not hesitate< humor. ) had only re%ently %ome to (ran%e7 and ) ,as anything $ut $lase.
1hen a :amous pro:essor o: medi%ine as+ed to meet me $e%ause he admired The Fare"ell Party3
) ,as most :lattered. A%%ording to him7 my no8el ,as propheti%9 in my %hara%ter S+reta7 a do%tor
,ho treats apparently sterile ,omen at a spa $y inDe%ting them se%retly ,ith his o,n sperm :rom
a spe%ial syringe7 ) ha8e hit on the great issue o: the :uture. The pro:essor in8ites me to a
%on:eren%e on arti:i%ial insemination. 2e pulls a sheet o: paper :rom his po%+et and reads me the
dra:t o: his o,n presentation. The gi:t o: sperm must $e anonymous7 :ree o: %harge7 and =here he
loo+s me in the eye> impelled $y a three:old lo8e< lo8e :or an un+no,n o8um that see+s to
a%%omplish its mission9 the donor;s lo8e :or his o,n indi8iduality7 ,hi%h is to $e perpetuated $y
the donation9 and7 third7 lo8e :or a %ouple that is su::ering7 un:ul:illed. Then he loo+s me in the
eye again< mu%h as he admires my ,or+7 he does ha8e one %riti%ism< ) did not manage to e?press
po,er:ully enough the moral $eauty o: the gi:t o: semen. ) de:end mysel:< this
is a %omi% no8elF My do%tor is a %ra%+potF You shouldn;t $e ta+ing it all so seriouslyF BSo7B he
says7 suspi%ious7 Byour no8els aren;t meant to $e ta+en seriouslyGB ) am $a::led7 and suddenly )
realiHe< there is nothing harder to e?plain than humor.
)n The Fourth 5ook3 there is a storm at sea. E8eryone is on de%+ struggling to sa8e the ship. All
e?%ept Panurge7 paralyHed ,ith :ear7 ,ho Dust ,himpers< his great lamentations go on :or pages.
1hen the storm a$ates7 his %ourage returns and he $a,ls all o: them out :or their laHiness. And
this is ,hat;s odd< not only does this %o,ard7 this liar7 this :a+er7 pro8o+e no indignation7 $ut it is
at the pea+ o: his $raggado%io that ,e lo8e him most. These are the passages ,herein Ra$elais;s
$oo+ $e%omes :ully and radi%ally a no'el6 that is7 a realm "here moral 8udgment is suspended.
Suspending moral Dudgment is not the immorality o: the no8el9 it is its morality. The morality
that stands against the ineradi%a$le human ha$it o: Dudging instantly7 %easelessly7 and e8eryone9
o: Dudging $e:ore7 and in the a$sen%e o:7 understanding. (rom the 8ie,point o: the no8el;s
,isdom7 that :er8id readiness to Dudge is the most detesta$le stupidity7 the most perni%ious e8il.
Not that the no8elist utterly denies that moral Dudgment is legitimate7 $ut that he re:uses it a pla%e
in the no8el. ): you li+e7 you %an a%%use Panurge o: %o,ardi%e7 a%%use Emma Bo8ary7 a%%use
Rasti@gna%Cthat;s your $usiness9 the no8elist has nothing to do ,ith it.
Creating the imaginary terrain ,here moral Dudgment is suspended ,as a mo8e o: enormous
signi:i%an%e< only there %ould no8elisti% %hara%ters de8elopC that is7 indi8iduals %on%ei8ed not
as a :un%tion o:
some pree?istent truth7 as e?amples o: good or e8il7 or as representations o: o$De%ti8e la,s in
%on:li%t7 $ut as autonomous $eings grounded in their o,n morality7 in their o,n la,s. 1estern
so%iety ha$itually presents itsel: as the so%iety o: the rights o: man9 $ut $e:ore a man %ould ha8e
rights7 he had to %onstitute himsel: as an indi8idual7 to %onsider himsel: su%h and to $e
%onsidered su%h9 that %ould not happen ,ithout the long e?perien%e o: the European arts and
parti%ularly o: the art o: the no8el7 ,hi%h tea%hes the reader to $e %urious a$out others and to try
to %omprehend truths that di::er :rom his o,n. )n this sense E. M. Cioran is right to %all
European so%iety Bthe so%iety o: the no8elB and to spea+ o: Europeans as Bthe %hildren o: the
no8el.B
Profanation
The remo8al o: gods :rom the ,orld is one o: the phenomena that %hara%teriHe the Modern Era.
The remo8al o: gods does not mean atheism7 it denotes the situation in ,hi%h the indi8idual7 the
thin+ing ego7 supplants 6od as the $asis :or all things9 man may %ontinue to +eep his :aith7 to
+neel in %hur%h7 to pray at his $ed7 $ut his piety shall hen%e:or,ard pertain only to his su$De%ti8e
uni8erse. 2a8ing des%ri$ed this situation7 2eidegger %on%ludes< BAnd thus the gods e8entually
departed. The resulting 8oid is :illed $y the histori%al and psy%hologi%al e?ploration o: myths.B
The histori%al and psy%hologi%al e?ploration o: myths7 o: sa%red te?ts7 means< rendering them
pro:ane7
pro:aning them. BPro:aneB %omes :rom the 'atin pro9fanum6 the pla%e in :ront o: the temple7
outside the temple. Pro:anation is thus the remo8al o: the sa%red out o: the temple7 to a sphere
outside religion. )nso:ar as laughter in8isi$ly per8ades the air o: the no8el7 pro:anation $y no8el
is the ,orst there is. (or religion and humor are in%ompati$le.
Thomas Manns tetralogy7 7oseph and (is 5rothers7 ,ritten $et,een !"I. and !"0I7 is an
e?%ellent Bhistori%al and psy%hologi%al e?plorationB o: sa%red te?ts7 ,hi%h7 re%ounted in Mann;s
smiling and su$limely tedious tone7 instantly %ease to $e sa%red< 6od7 ,ho in the Bi$le e?ists :or
all eternity7 $e%omes in Mann;s ,or+ a human %reation7 the in8ention o: A$raham7 ,ho $rought
him out o: the polytheisti% %haos as a deity ,ho is at :irst superior7 then uniEue9 re%ogniHing to
,hom he o,es his e?isten%e7 6od %ries< B)t;s un$elie8a$le ho, ,ell that dust@dumpling +no,s
MeF );m starting to ma+e a name through himF Truly7 );m going to anoint himFB But a$o8e all<
Mann emphasiHes that his no8el is a humorous ,or+. The 2oly S%riptures ma+ing us laughF As
in the story o: Aoseph and Potiphar;s ,i:e< %raHy ,ith lo8e7 the ,oman $ites her tongue and then
pronoun%es her sedu%ti8e lines lisping li+e a $a$y7 Bthleep ,ith me7 thleep ,ith me7B ,hile the
%haste Aoseph7 day a:ter day :or three years7 e?plains patiently to the lisper that they are
:or$idden to ma+e lo8e. *n the :ate:ul day7 they are alone in the house9 she starts up again7
demanding Bthleep ,ith me7 thleep ,ith me7B and he yet again patiently7 pedanti%ally e?plains
,hy they must not ma+e lo8e7 $ut as he e?plains he gets hard7 harder7 my 6od he gets so
super$ly hard that Potiphar;s ,i:e is dri8en
mad $y the sight9 she rips his garment o:: him7 and ,hen Aoseph runs a,ay7 still ,ith his
ere%tion7 sheC demented7 desperate7 enragedCho,ls and shouts :or help7 a%%using Aoseph o:
rape.
Mann;s no8el ,on uni8ersal respe%t9 proo: that pro:anity ,as no longer %onsidered an o::ense
$ut ,as hen%e:or,ard an element o: %ustomary $eha8ior. *8er the %ourse o: the Modern Era7
non$elie: %eased to $e de:iant and pro8o%ati8e7 and $elie:7 :or its part7 lost its pre8ious
missionary or intolerant %ertainty. The sho%+ o: Stalinism played the de%isi8e role in this
e8olution< in its e::ort to erase Christian memory altogether7 it made $rutally %lear that all o: us
C$elie8ers and non$elie8ers7 $lasphemers and ,orshipersC $elong to the same %ulture7 rooted
in the Christian past7 ,ithout ,hi%h ,e ,ould $e mere shado,s ,ithout su$stan%e7 de$aters
,ithout a 8o%a$ulary7 spiritually stateless.
) ,as raised an atheist and that suited me until the day ,hen7 in the dar+est years o:
Communism7 ) sa, Christians $eing $ullied. *n the instant7 the pro8o%ati8e7 Hest:ul atheism o:
my early youth 8anished li+e some Du8enile $rainlessness. ) understood my $elie8ing :riends and7
%arried a,ay $y solidarity and $y emotion7 ) sometimes ,ent along ,ith them to mass. Still7 )
ne8er arri8ed at the %on8i%tion that a 6od e?isted as a $eing that dire%ts our destinies. Anyho,7
,hat %ould ) +no, a$out itG And they7 ,hat %ould they +no,G 1ere they sure they ,ere sureG )
,as sitting in %hur%h ,ith the strange and happy sensation that my non$elie: and their $elie:
,ere oddly %lose.
The ,ell of the Past
1hat is an indi8idualG 1herein does his identity resideG All no8els see+ to ans,er these
Euestions. By ,hat7 e?a%tly7 is the sel: de:inedG By ,hat a %hara%ter does7 $y his a%tionsG Yet
a%tion gets a,ay :rom its author7 almost al,ays turns on him. By his mental li:e7 thenG By his
thoughts7 $y his hidden :eelingsG But is a man %apa$le o: sel:@understandingG Can his se%ret
thoughts $e a +ey to his identityG *r7 rather7 is man de:ined $y his 8ision o: the ,orld7 $y his
ideas7 $y his ,eltanschauung: This is Dostoye8s+y;s aestheti%< his %hara%ters are rooted in a
8ery distin%ti8e personal ideology7 a%%ording to ,hi%h they a%t ,ith un$ending logi%. (or
Tolstoy7 on the other hand7 personal ideology is :ar :rom a sta$le $asis :or personal identity<
BStepan Ar+adie8i%h %hose neither his attitudes nor his opinions7 no7 the attitudes and opinions
%ame to him on their o,n7 Dust as he %hose neither the style o: his hats nor o: his %oats $ut got
,hat people ,ere ,earingB ;Anna <arenina=. But i: personal thought is not the $asis o: an
indi8iduals identity =i: it has no more importan%e than a hat>7 then ,here do ,e :ind that $asisG
To this unending in8estigation7 Thomas Mann $rought his 8ery important %ontri$ution< ,e thin+
,e a%t7 ,e thin+ ,e thin+7 $ut it is another or others ,ho thin+ and a%t in us< that is to say7
timeless ha$its7 ar%hetypes7 ,hi%hCha8ing $e%ome myths passed on :rom one generation to the
ne?tC%arry an enormous sedu%ti8e po,er and %ontrol us =says Mann> :rom Bthe ,ell o: the
past.B
Thomas Mann< B)s man;s ;sel:; narro,ly limited and sealed tight ,ithin his :leshly ephemeral
$oundariesG Don;t many o: his %onstituent elements %ome :rom the uni8erse outside and pre8ious
to himG . . . The distin%tion $et,een mind in general and indi8idual mind did not preo%%upy
people in the past nearly so po,er:ully as it does us today. . . .B And again< B1e may $e seeing a
phenomenon ,hi%h ,e ,ould $e tempted to des%ri$e as imitation or %ontinuation7 a notion o: li:e
in ,hi%h ea%h persons role is to re8i8e %ertain gi8en :orms7 %ertain mythi%al s%hema esta$lished
$y :ore$ears7 and to allo, them rein%arnation.B
The %on:li%t $et,een Aa%o$ and his $rother Esau is only a replay o: the old ri8alry $et,een A$el
and his $rother Cain7 $et,een 6od;s :a8orite and the negle%ted7 Dealous one. This %on:li%t7 this
Bmythi%al s%hema esta$lished $y :ore$ears7B :inds its ne, a8atar in the destiny o: Aa%o$;s son
Aoseph7 himsel: one o: the :a8ored. )mpelled $y the immemorial sense o: the :a8ored one as
%ulpa$le7 Aa%o$ sends Aoseph to re%on%ile ,ith his Dealous $rothers =an ill@:ated mo8e< they ,ill
%ast him into a ,ell>.
E8en su::ering7 that seemingly ungo8erna$le rea%tion7 is only Bimitation and %ontinuationB< ,hen
the no8el gi8es us the ,ords and $eha8ior o: Aa%o$ mourning Aoseph;s death7 Mann %omments<
BThis ,as not his usual style o: spee%h. . . . Noah had pre8iously used analogous or similar
language a$out the :lood7 and Aa%o$ adopted it. . . . 2is despair ,as e?pressed in :ormulas that
,ere more or less traditional . . . though this should not %ast the slightest dou$t on his
spontaneity.B An important note< imitation does not mean la%+ o: authenti%ity7 :or the indi8idual
%annot do other@
,ise than imitate ,hat has already happened9 sin%ere as he may $e7 he is only a rein%arnation9
truth:ul as he may $e7 he is only a sum o: the suggestions and reEuirements that emanate :rom
the ,ell o: the past.
oe>istence of 4arious (istorical Periods ,ithin a No'el
) thin+ $a%+ to the time ,hen ) ,as $eginning to ,rite The 7oke6 :rom the start7 and 8ery
spontaneously7 ) +ne, that through the %hara%ter Aarosla8 the no8el ,ould %ast its gaHe into the
depths o: the past =the past o: :ol+ art> and that the B)B o: my %hara%ter ,ould $e re8ealed in and
$y this gaHe. )n :a%t7 all :our protagonists are %reated that ,ay< :our personal %ommunist
uni8erses gra:ted onto :our European pasts< 'ud8i+< the %ommunism that springs :rom the
%austi% 4oltairean spirit9 Aarosla8< %ommunism as the desire to re%onstru%t the patriar%hal past
that is preser8ed in :ol+lore9 Kost+a< %ommunist 3topia gra:ted onto the 6ospel9 2elena<
%ommunism as the ,ellspring o: enthusiasm in a homo sentimentalis. Ea%h o: these personal
uni8erses is %aught at the moment o: its dissolution< :our :orms o: %ommunism;s disintegration9
,hi%h also means the %ollapse o: :our an%ient European 8entures.
)n The 7oke3 the past appears only as a :a%et o: the %hara%ters; psy%hes7 or in essayisti%
digressions9 later7 ) ,anted to put it dire%tly on stage. )n Life &s ?lse"here3 ) set the li:e o: a
young poet o: our time against the $a%+drop o: the ,hole history o: European poetry so that his
o,n :ootsteps should mingle ,ith those o: Rim$aud7 o: Keats7 o: 'ermonto8. And ) ,ent still
:ur@
ther7 in this mingling o: di::erent histori%al periods7 in &mmortality.
As a young ,riter7 in Prague7 ) detested the ,ord Bgeneration7B ,hose smell o: the herd put me
o::. The :irst time ) had the sense o: $eing %onne%ted to others ,as later7 in (ran%e7 reading Terra
Nostra $y Carlos (uentes. 2o, ,as it possi$le that someone :rom another %ontinent7 so distant
:rom me in itinerary and $a%+ground7 should $e possessed $y the same aestheti% o$session to
$ring di::erent histori%al periods to %oe?ist in a no8el7 an o$session that till then ) had nai8ely
%onsidered to $e mine aloneG
)mpossi$le to grasp the nature o: the terra nostra3 the terra nostra o: Me?i%o7 ,ithout loo+ing
do,n into the ,ell o: the past. Not as a historian ,ould do7 in order to see the %hronologi%al
un:olding o: e8ents7 $ut in order to %onsider< ,hat does the concentrated essence o: the Me?i%an
terra mean to a manG (uentes grasped that essen%e in the :orm o: a dream no8el ,here 8arious
histori%al periods teles%ope into a +ind o: poeti% and oneiri% metahistory9 he thus %reated
something almost indes%ri$a$le and7 in any %ase7 hitherto un+no,n to literature.
Most re%ently7 ) had the same sense o: se%ret aestheti% +inship in Philippe Sollers; La Fete a
4enise3 that strange no8el ,hose story o%%urs in our o,n time $ut is a stage setting :or 1atteau7
CeHanne7 Monet7 Titian7 Pi%asso7 StendhalC:or the display o: their remar+s and their art.
And in the meantime %ame The !atanic 4erses6 the %ompli%ated identity o: a EuropeaniHed
)ndian9 terra non nostra@ terrae non nostrae@ terrae perditae@ to grasp that shredded identity7 the
no8el e?plores it in
di::erent lo%ations on the planet< in 'ondon7 in Bom$ay7 in a Pa+istani 8illage7 and then in
se8enth@%entury Asia.
The %oe?isten%e o: di::erent periods sets the no8elist a te%hni%al pro$lem< ho, to lin+ them
,ithout ha8ing the no8el lose its unityG
(uentes and Rushdie :ound :antasti%al solutions< in (uentes7 his %hara%ters mo8e :rom one period
to another as their o,n rein%arnations. )n Rushdie7 it is the %hara%ter o: 6i$reel (arishta ,ho
ensures that supratemporal %onne%tion $y $eing trans:ormed into the Ar%hangel 6i$reel7 ,ho in
turn $e%omes a medium :or Mahound =the no8el;s 8ariant o: Mohammed>.
)n Sollers; $oo+ and in mine7 the lin+ has nothing :antasti%al to it. )n his7 the paintings and the
$oo+s seen and read $y the %hara%ters ser8e as ,indo,s into the past. )n mine7 the past and the
present are $ridged $y %ommon themes and moti:s.
Can our underground aestheti% +inship =unper@%ei8ed and imper%ei8a$le> $e e?plained $y some
in:luen%e on one anotherG No. By in:luen%es undergone in %ommonG ) %annot see ,hat they
might $e. *r ha8e ,e all $reathed the same air o: historyG 2as the history o: the no8el7 $y its
o,n logi%7 set us all the same tas+G
The (istory of the No'el as *e'enge on (istory &tself
2istory. Can ,e still dra, on that o$solete authorityG 1hat ) am a$out to say is a purely personal
a8o,al< as a no8elist7 ) ha8e al,ays :elt mysel: to $e ,ithin history7 that is to say7 part,ay along
a road7 in dialogue
,ith those ,ho pre%eded me and e8en perhaps =$ut less so> ,ith those still to %ome. *: %ourse7 )
am spea+ing o: the history o: the no8el7 not o: some other history7 and spea+ing o: it su%h as )
see it< it has nothing to do ,ith 2egel;s e?trahuman reason9 it is neither predetermined nor
identi%al ,ith the idea o: progress9 it is entirely human7 made $y men7 $y some men7 and thus
%ompara$le to the de8elopment o: an indi8idual artist7 ,ho a%ts sometimes tritely and then
surprisingly7 sometimes ,ith genius and then not7 and ,ho o:ten misses opportunities.
2ere ) am ma+ing a de%laration o: in8ol8ement in the history o: the no8el7 ,hen all my no8els
$reathe a hatred o: history7 o: that hostile7 inhuman :or%e thatC unin8ited7 un,antedCin8ades
our li8es :rom the outside and destroys them. Yet there is nothing in%onsistent in this dou$le
attitude7 $e%ause the history o: humanity and the history o: the no8el are t,o 8ery di::erent
things. The :ormer is not man;s to determine7 it ta+es o8er li+e an alien :or%e he %annot %ontrol7
,hereas the history o: the no8el =or o: painting7 o: musi%> is $orn o: man;s :reedom7 o: his
,holly personal %reations7 o: his o,n %hoi%es. The meaning o: an art;s history is opposed to the
meaning o: history itsel:. Be%ause o: its personal nature7 the history o: an art is a re8enge $y man
against the impersonality o: the history o: humanity.
The personal nature o: the history o: the no8elG But i: it is to :orm a ,hole o8er the %ourse o:
%enturies7 ,ould not su%h a history need to $e uni:ied $y some %ommon and enduringCand thus
$y de:inition supra@personalCmeaningG No. ) $elie8e that e8en this %ommon meaning is still
personal7 human9 :or o8er the
%ourse o: history the %on%ept o: this or that art =,hat is the no8elG>7 as ,ell as the meaning o: its
e8olution =,here has it %ome :rom and ,here is it goingG>7 is %onstantly de:ined and rede:ined $y
ea%h artist7 $y ea%h ne, ,or+. The meaning o: the history o: the no8el is the 8ery sear%h :or that
meaning7 its perpetual %reation and re@%reation7 ,hi%h al,ays retroa%ti8ely en%ompasses the
,hole past o: the no8el< Ra$elais %ertainly ne8er %alled his #argantua9Pantagruel a no8el. )t
"asn1t a no8el9 it became one gradually as later no8elists =Sterne7 Diderot7 BalHa%7 (lau$ert7
4an%ura7 6om$ro,i%H7 Rushdie7 Kis7 Chamoiseau> too+ their inspiration :rom it7 openly dre, on
it7 thus integrating it into the history o: the no8el7 or7 rather7 a%+no,ledging it as the :irst $uilding
$lo%+ in that history.
This said7 the ,ords Bthe end o: historyB ha8e ne8er stirred me to anguish or displeasure. B2o,
s,eet it ,ould $e to :orget the monster that saps our $rie: li8es as %ement :or its 8ain
monuments. 2o, s,eet it ,ould $e to :orget 2istoryFB ;Life &s ?lse"here= ): history is going to
end =though ) %annot imagine in %on%rete terms that BendB the philosophers lo8e to tal+ a$out>7
then let it happen :astF But applied to art7 that same phrase7 Bthe end o: history7B stri+es me ,ith
terror9 that end ) %an imagine only too ,ell7 :or most no8els produ%ed today stand outside the
history o: the no8el< no8eliHed %on:essions7 no8eliHed Dournalism7 no8eliHed s%ore@settling7
no8eliHed auto$iographies7 no8eliHed indis%retions7 no8eliHed denun%iations7 no8eliHed politi%al
arguments7 no8eliHed deaths o: hus$ands7 no8eliHed deaths o: :athers7 no8eliHed deaths o:
mothers7 no8eliHed de:lo,erings7 no8eliHed %hild@$irthsCno8els ad in:initum7 to the end o: time7
that
say nothing ne,7 ha8e no aestheti% am$ition7 $ring no %hange to our understanding o: man or to
no8elisti% :orm7 are ea%h one li+e the ne?t7 are %ompletely %onsuma$le in the morning and
%ompletely dis%arda$le in the a:ternoon.
To my mind7 great ,or+s %an only $e $orn ,ithin the history o: their art and as participants in
that history. )t is only inside history that ,e %an see ,hat is ne, and ,hat is repetiti8e7 ,hat is
dis%o8ery and ,hat is imitation9 in other ,ords7 only inside history %an a ,or+ e?ist as a 'alue
%apa$le o: $eing dis%erned and Dudged. Nothing seems to me ,orse :or art than to :all outside its
o,n history7 :or it is a :all into the %haos ,here aestheti% 8alues %an no longer $e per%ei8ed.
&mpro'isation and omposition
During the ,riting o: Don Aui>ote3 Cer8antes did not mind altering his hero;s %hara%ter as he
,ent. The :reedom $y ,hi%h Ra$elais7 Cer8antes7 Diderot7 Sterne en%hant us had to do ,ith
impro8isation. The art o: %omple? and rigorous %omposition did not $e%ome a %ommanding need
until the :irst hal: o: the nineteenth %entury. The no8els :orm as it %ame into $eing then7 ,ith its
a%tion %on%entrated in a narro, time span7 at a %rossroads ,here many stories o: many %hara%ters
interse%t7 demanded a minutely %al%ulated s%heme o: the plot lines and s%enes< $e:ore $eginning
to ,rite7 the no8elist there:ore dra:ted and redra:ted the s%heme o: the no8el7 %al%ulated and
re%al%ulated it7 designed and redesigned as that had ne8er $een done $e:ore. *ne need only lea:
through Dostoye8s+y;s notes :or The
Possessed6 in the se8en note$oo+s that ta+e up 0-- pages o: the Pleiade edition =the no8el itsel:
ta+es up /&->7 moti:s loo+ :or %hara%ters7 %hara%ters loo+ :or moti:s7 %hara%ters 8ie :or the status
o: protagonist9 Sta8rogin should $e married7 $ut Bto ,homGB ,onders Dostoye8s+y7 and he tries
to marry him su%%essi8ely to three ,omen9 and so on. =A parado? that only seems one< the more
%al%ulated the %onstru%tion ma%hinery7 the more real and natural the %hara%ters. The preDudi%e
against %onstru%tional thin+ing as a Bnonartisti%B element that mutilates the Bli8ingB Euality o:
%hara%ters is Dust sentimental nai8ete :rom people ,ho ha8e ne8er understood art.>
The no8elist in our time ,ho is nostalgi% :or the art o: the old masters o: the no8el %annot retie
the thread ,here it ,as %ut9 he %annot leap o8er the enormous e?perien%e o: the nineteenth
%entury9 i: he ,ants to %onne%t ,ith the easygoing :reedom o: Ra$elais or Sterne7 he must
re%on%ile it ,ith the reEuirements o: %omposition.
) remem$er my :irst reading o: 7acBues le Fataliste9 delighted $y its $oldly heterogeneous
ri%hness7 ,here ideas mingle ,ith ane%dote7 ,here one story :rames another9 delighted $y a
:reedom o: %omposition that utterly ignores the rule a$out unity o: a%tion7 ) as+ed mysel:< )s this
magni:i%ent disorder the e::e%t o: admira$le %onstru%tion7 su$tly %al%ulated7 or is it due to the
euphoria o: pure impro8isationG 1ithout a dou$t7 it is impro8isation that pre8ails here9 $ut the
Euestion ) spontaneously as+ed sho,ed me that a prodigious ar%hite%tural potential e?ists ,ithin
su%h into?i%ated impro8isation7 the potential :or a %omple?7 ri%h stru%ture that ,ould also $e as
per:e%tly %al%u@
lated7 %ali$rated7 and premeditated as e8en the most e?u$erant ar%hite%tural :antasy o: a %athedral
,as ne%essarily premeditated. Does su%h an ar%hite%tural intention %ause a no8el to lose the
%harm o: its li$ertyG )ts Euality o: gameG But Dust ,hat is a game7 a%tuallyG E8ery game is $ased
on rules7 and the stri%ter the rules7 the more the game is a game. As opposed to the %hess player7
the artist in8ents his o,n rules :or himsel:9 so ,hen he impro8ises ,ithout rules7 he is no :reer
than ,hen he in8ents his o,n system o: rules.
Re%on%iling Ra$elais;s and Diderot;s :reedom ,ith the demands o: %omposition7 though7 presents
the t,entieth@%entury no8elist ,ith pro$lems di::erent :rom those that preo%%upied BalHa% or
Dostoye8s+y. (or e?ample< the third and last o: the $oo+s that %onstitute 2ermann Bro%h;s no8el
The !leep"alkers is a Bpolyphoni%B stream %omposed o: :i8e B8oi%es7B :i8e entirely independent
lines< neither a %ommon a%tion nor the same %hara%ters tie these lines together7 and ea%h has a
%ompletely di::erent :ormal nature =A J no8el7 B J reportage7 C J short story7 D J poetry7 E J
essay>. )n the eighty@eight %hapters o: the $oo+7 these :i8e lines alternate in this strange order< A@
A@A@B@A@B@A@C@A@A@D@E@C@A@B@D@C@D@A@E@A@A@B@E@C@A@D@B@B@A@E@A@A@E@A@B@D@6@B@
B@D@A@B@E@A@A@B@A@D@A@C@B@D@A@E@B@A@D@A@B@D@E@A@C@A@D@D@B@A@A@C@D@E@B@A@B@
D@B@A@B@A@A@D@A@A@D@D@E.
1hat is it that led Bro%h to %hoose pre%isely this order rather than anotherG 1hat made him ta+e
pre%isely line B in the :ourth %hapter and not C or DG Not the logi% o: the %hara%ters or o: the
a%tion7 :or there is no a%tion %ommon to these :i8e lines. 2e ,as guided $y other %riteria< $y the
%harm that %omes :rom sur@
prising Du?taposition o: the di::erent :orms =8erse7 narration7 aphorisms7 philosophi%al
meditations>9 $y the %ontrast o: di::erent emotions per8ading the di::erent %hapters9 $y the
8ariety o: the %hapters; lengths9 :inally7 $y the de8elopment o: the same e?istential Euestions7
re:le%ted in the :i8e lines as in :i8e mirrors. (or la%+ o: a $etter term7 let us %all these %riteria
musical and %on%lude< the nineteenth %entury ela$orated the art o: %omposition7 $ut our o,n
%entury $rought musi%ality to that art.
The !atanic 4erses is %onstru%ted o: three more or less independent lines< A< the li8es o: Saladin
Cham%ha and 6i$reel (arishta7 t,o present@day )ndians ,ho di8ide their time $et,een Bom$ay
and 'ondon9 B< the Korani% story dealing ,ith the origin o: )slam9 C< the 8illagers; tre+ to,ard
Me%%a a%ross the sea they $elie8e they ,ill %ross dry@:ooted and in ,hi%h they dro,n.
The three lines are ta+en up in seEuen%e in the no8els nine parts in the :ollo,ing order< A@B@A@
C@A@B@A@C@A =in%identally< in musi%7 a seEuen%e o: this +ind is %alled a rondo< the main theme
returns regularly7 in alternation ,ith se8eral se%ondary themes>.
This is the rhythm o: the ,hole =) note parentheti%ally the appro?imate num$er o: pages>< A ="->7
B =0->7 A =K->7 C =0->7 A =!I->7 B =0->7 A =K->7 C =0->7 A =0->. )t %an $e seen that the B and C
parts are all the same length7 ,hi%h gi8es the ,hole a rhythmi% regularity.
'ine A ta+es up :i8e se8enths o: the no8els page total7 and lines B and C one se8enth ea%h. This
Euantitati8e ratio results in the dominan%e o: line A< the no8el;s %enter o: gra8ity is lo%ated in the
present@day li8es o: (arishta and Cham%ha.
Nonetheless7 e8en though B and C are su$ordinate lines7 it is in them that the aesthetic "ager o:
the no8el is %on%entrated7 :or it is these B and C parts that ena$le Rushdie to get at the
:undamental pro$lem o: all no8els =that o: an indi8idual;s7 a %hara%ters7 identity> in a ne, ,ay
that goes $eyond the %on8entions o: the psy%hologi%al no8el< Cham%ha;s and (arishta;s
personalities %annot $e apprehended through a detailed des%ription o: their states o: mind9 their
mystery lies in the %oha$itation in their psy%hes o: t,o %i8iliHations7 the )ndian and the
European9 it lies in their roots7 :rom ,hi%h they ha8e $een torn $ut ,hi%h7 ne8ertheless7 remain
ali8e in them. 1here is the rupture in these roots and ho, :ar do,n must one go to tou%h the
,oundG 'oo+ing into Bthe ,ell o: the pastB is not o:: the point9 it aims dire%tly at the heart o: the
matter< the e?istential ri:t in the t,o protagonists.
Aust as Aa%o$ is in%omprehensi$le ,ithout A$raham =,ho7 a%%ording to Mann7 li8ed %enturies
$e:ore him>7 $eing merely his Bimitation and %ontinuation7B 6i$reel (arishta is in%omprehensi$le
,ithout the Ar%hangel 6i$reel7 ,ithout Mahound =Mohammed>7 in%omprehensi$le e8en ,ithout
the theo%rati% )slam o: Khomeini or o: that :anati%al girl ,ho leads the 8illagers to Me%%a7 or
rather to death. They are all his o,n potentialities7 ,hi%h sleep ,ithin him and ,hi%h he must
$attle :or his o,n indi8iduality. )n this no8el7 there is no important Euestion that %an $e e?amined
,ithout loo+ing do,n the ,ell o: the past. 1hat is good and ,hat is e8ilG 1ho is the other;s
de8il7 Cham%ha :or (arishta or (arishta :or Cham%haG )s it the de8il or the angel that has inspired
the pilgrimage o: the 8illagersG )s their dro,ning a piteous disaster or the glorious
Dourney to ParadiseG 1ho %an sayG 1ho %an +no,G And ,hat i: this un+no,a$ility o: good and
e8il ,as the torment su::ered $y the :ounders o: religionsG Those terri$le ,ords o: despair7
Christ;s unpre%edented $lasphemy7 BMy 6od7 my 6od7 ,hy hast thou :orsa+en meGB< do they not
resound in the soul o: e8ery ChristianG Mahound;s dou$t as he ,onders ,ho put those 8erses
into his head7 6od or the de8il< does it not %on%eal the un%ertainty that is the ground o: man;s
8ery e?isten%eG
&n the !hado" of #reat Principles
Starting ,ith his Midnight1s hildren3 ,hi%h in its time =in !"K-> stirred unanimous admiration7
no one in the English@language literary ,orld has denied that Rushdie is one o: the most gi:ted
no8elists o: our day. The !atanic 4erses3 appearing in English in Septem$er !"KK7 ,as greeted
,ith the attention due a maDor ,riter. The $oo+ re%ei8ed these tri$utes ,ith no anti%ipation o: the
storm that ,as to $urst some months later7 ,hen the )mam Khomeini7 the master o: )ran7
%ondemned Rushdie to death :or $lasphemy and sent +illers a:ter him on a %hase ,hose end no
one %an predi%t.
That happened $e:ore the te?t %ould $e translated. Thus e8ery,here e?%ept in the English@
language ,orld7 the s%andal arri8ed $e:ore the $oo+. )n (ran%e7 the press immediately printed
e?%erpts :rom the still unpu$lished no8el to sho, the reasons :or the %ondemnation. Completely
normal $eha8ior7 $ut :atal :or a no8el. Represented e?%lusi8ely $y its incriminated pas@
sages7 it ,as7 :rom the $eginning7 trans:ormed :rom a ,or+ o: art into a simple corpus delicti.
1e should not denigrate literary %riti%ism. Nothing is ,orse :or a ,riter than to %ome up against
its a$sen%e. ) am spea+ing o: literary %riti%ism as meditation7 as analysis9 literary %riti%ism that
in8ol8es se8eral readings o: the $oo+ it means to dis%uss =li+e great pie%es o: musi% ,e %an listen
to time and again7 great no8els too are made :or repeated readings>9 literary %riti%ism that7 dea: to
the impla%a$le %lo%+ o: topi%ality7 ,ill readily dis%uss ,or+s a year7 thirty years7 three hundred
years old9 literary %riti%ism that tries to apprehend the originality o: a ,or+ in order thus to
ins%ri$e it on histori%al memory. ): su%h meditation did not a%%ompany the history o: the no8el7
,e ,ould +no, nothing today o: Dostoye8s+y7 or Aoy%e7 or Proust. (or ,ithout it a ,or+ is
surrendered to %ompletely ar$itrary Dudgments and s,i:t o$li8ion. No,7 the Rushdie %ase sho,s
=i: proo: is still needed> that su%h meditation is no longer pra%ti%ed. )mper%epti$ly7 inno%ently7
under the pressure o: e8ents7 through %hanges in so%iety and in the press7 literary %riti%ism has
$e%ome a mere =o:ten intelligent7 al,ays hasty> literary ne"s bulletin.
A$out The !atanic 4erses3 the literary ne,s ,as the death senten%e on the author. )n su%h a li:e@
and@death situation7 it seems almost :ri8olous to spea+ o: art. 1hat is art7 a:ter all7 ,hen great
prin%iples are under atta%+G Thus7 throughout the ,orld7 all dis%ussion %on%entrated on Euestions
o: prin%iple< :reedom o: e?pression9 the need to de:end it =and indeed people did de:end it7
people protested7 people signed petitions>9 religion9 )slam and Christianity9 $ut also this
Euestion< does a ,riter ha8e the moral right to $laspheme and there$y ,ound $elie8ersG And
e8en this pro$lem< suppose Rushdie had atta%+ed )slam only :or pu$li%ity and to sell his
unreada$le $oo+G
1ith mysterious unanimity =) noti%ed the same rea%tion e8ery,here in the ,orld>7 the men o:
letters7 the intelle%tuals7 the salon initiates7 snu$$ed the no8el. They de%ided to resist all
%ommer%ial pressure :or on%e7 and they re:used to read a ,or+ they %onsidered simply a pie%e o:
sensationalism. They signed all the petitions :or Rushdie7 mean,hile deeming it elegant to say7
,ith a super%ilious smile< B2is $oo+G *h no7 no7 noF ) ha8en;t read it.B The politi%ians too+
ad8antage o: this %urious Bstate o: disgra%eB o: a no8elist they didn;t li+e. );ll ne8er :orget the
8irtuous impartiality they paraded at the time< B1e %ondemn Khomeini;s 8erdi%t. (reedom o:
e?pression is sa%red to us. But no less do ,e %ondemn this atta%+ on religious :aith. )t is a
shame:ul7 %ontempti$le atta%+ that insults the soul o: peoples.B
*: %ourse7 no one any longer dou$ted that Rushdie a%tually had attacked )slam7 :or only the
a%%usation ,as real9 the te?t o: the $oo+ no longer mattered7 it no longer e?isted.
The lash of Three ?ras
A situation uniEue in history< Rushdie $elongs $y origin to a Muslim so%iety that7 in large part7 is
still li8ing in the period $e:ore the Modern Era. 2e ,rote his $oo+ in Europe7 in the Modern Era
Cor7 more pre%isely7 at the end o: that era.
Aust as )ranian )slam ,as at the time mo8ing a,ay :rom religious moderation to,ard a
%om$ati8e theo%ra%y7 so7 ,ith Rushdie7 the history o: the no8el ,as mo8ing :rom the genteel7
pro:essorial smile o: Thomas Mann to un$ridled imagination dra,n :rom the redis%o8ered
,ellspring o: Ra$elaisian humor. The antitheses %ollided7 ea%h in its e?treme :orm.
(rom this 8ie,point7 the %ondemnation o: Rushdie %an $e seen not as a %han%e e8ent7 an
a$erration7 $ut as the most pro:ound %on:li%t $et,een t,o eras< theo%ra%y goes to ,ar against the
Modern Era and targets its most representati8e %reation< the no8el. (or Rushdie did not
$laspheme. 2e did not atta%+ )slam. 2e ,rote a no8el. Rut that7 :or the theo%rati% mind7 is ,orse
than an atta%+< i: a religion is atta%+ed =$y a polemi%7 a $lasphemy7 a heresy>7 the guardians o:
the temple %an easily de:end it on their o,n ground7 ,ith their o,n language9 $ut the no8el is a
di::erent planet :or them9 a di::erent uni8erse $ased on a di::erent ontology9 an infernum ,here
the uniEue truth is po,erless and ,here satani% am$iguity turns e8ery %ertainty into enigma.
'et us emphasiHe this< not atta%+ $ut am$iguity. The se%ond part o: The !atanic 4erses =the
in%riminated part7 ,hi%h e8o+es Mohammed and the origin o: )slam> is presented in the no8el as
a dream o: 6i$reel (arishtas7 ,ho then de8elops the dream into a %heap mo8ie in ,hi%h he
himsel: ,ill play the role o: the ar%hangel. The story is thus doubly relati8iHed =:irst as a dream7
then as a bad :ilm that ,ill :lop> and presented not as a de%laration $ut as a playful in'ention. A
disagreea$le in8entionG ) say no< it sho,ed me7 :or the :irst time in my li:e7 the poetry o: the
)slami% religion7 o: the )slami% ,orld.
1e should stress this< there is no pla%e :or hatred in the relati8isti% uni8erse o: the no8el< the
author ,ho ,rites a no8el in order to settle s%ores =personal or ideologi%al> is headed :or total
and %ertain aestheti% ruin. Ayesha7 the girl ,ho leads the hallu%inating 8illagers to their deaths7 is
o: %ourse a monster7 $ut she is also sedu%ti8e7 ,ondrous =haloed $y the $utter:lies that
a%%ompany her e8ery,here>7 and o:ten tou%hing9 e8en in the portrait o: an emigre imam =an
imaginary portrait o: Khomeini>7 there is an almost respe%t:ul understanding9 1estern modernity
is 8ie,ed ,ith s+epti%ism7 ne8er presented as superior to *riental ar%haism9 the no8el
Bhistori%ally and psy%hologi%ally e?ploresB sa%red old te?ts7 $ut it also sho,s ho, mu%h they are
degraded $y T47 ad8ertising7 the entertainment industry9 and the le:t@,ing %hara%ters7 ,ho
deplore the :ri8olity o: this modern ,orldCdo they at least enDoy the author;s :ull sympathyG No
indeed7 they are misera$ly ridi%ulous7 and as :ri8olous as the :ri8olity around them9 no one is
right and no one entirely ,rong in the immense carni'al of relati'ity that is this ,or+.
There:ore7 ,ith The !atanic 4erses3 the art o: the no8el as su%h is in%riminated. That is ,hy7 in
this ,hole sad story7 the saddest thing is not Khomeini;s 8erdi%t =,hi%h pro%eeds :rom a logi%
that is atro%ious $ut %onsistent>9 rather7 it is Europe;s in%apa%ity to de:end and e?plain =e?plain
patiently to itsel: and to others> that most European o: the arts7 the art o: the no8el9 in other
,ords7 to e?plain and de:end its o,n %ulture. The B%hildren o: the no8elB ha8e a$andoned the art
that shaped them. Europe7 the Bso%iety o: the no8el7B has a$andoned its o,n sel:.
)t does not surprise me that the Sor$onne theolo@
gians7 the si?teenth@%entury ideologi%al poli%e ,ho +indled so many sta+es7 should ha8e made
li:e so hard :or Ra$elais7 :or%ing him o:ten to :lee and hide. 1hat seems to me :ar more amaHing
and admira$le is the prote%tion pro8ided him $y the po,er:ul men o: his time7 Cardinal du
Bellay7 :or instan%e7 and Cardinal *det7 and a$o8e all (ran%ois )7 the +ing o: (ran%e. 1ere they
see+ing to de:end prin%iplesG (reedom o: e?pressionG 2uman rightsG They had a $etter moti8e<
they lo8ed literature and the arts.
) see no Cardinal du Bellay7 no (ran%ois )7 in today;s Europe. But is Europe still EuropeG )s it still
Bthe so%iety o: the no8elBG )n other ,ords7 is it still li8ing in the Modern EraG *r is it already
mo8ing into another era7 as yet unnamed7 :or ,hi%h its arts are no longer o: mu%h importan%eG ):
that is so7 ,hy $e surprised that Europe ,as not distur$ed $eyond measure ,hen7 :or the :irst
time in its history7 the art o: the no8elC?urope1s art par e?%ellen%eC,as %ondemned to deathG
)n this ne, age7 a:ter the Modern Era7 has not the no8el :or some time already $een li8ing on
death ro,G
The ?uropean No'el
To de:ine pre%isely the art ) am dis%ussing7 ) %all it the ?uropean no'el. By that ) mean not only
no8els %reated in Europe $y Europeans $ut no8els that $elong to a history that $egan ,ith the
da,n o: the Modern Era in Europe. There are o: %ourse other no8els7 the no8el o: China7 o:
Aapan7 the no8el o: an%ient 6ree%e7 $ut they are not $ound $y any %ontinuous e8olutionary
line to the histori%al enterprise that $egan ,ith Ra$elais and Cer8antes.
) spea+ o: the ?uropean no'el not only to distinguish it :rom7 say7 the Chinese no8el $ut also to
point out that its history is transnational9 that the (ren%h no8el7 the English no8el7 the 2ungarian
no8el7 are in no position to %reate autonomous histories o: their o,n $ut are all part o: a
%ommon7 supranational history that pro8ides the only %onte?t %apa$le o: re8ealing $oth the
dire%tion o: the no8els e8olution and the 8alue o: parti%ular ,or+s.
At di::erent phases o: that e8olution7 di::erent nations7 as in a relay ra%e7 too+ the initiati8e< :irst
)taly ,ith Bo%%a%%io7 the great pre%ursor9 then (ran%e ,ith Ra$elais7 and Spain ,ith Cer8antes
and the pi%aresEue no8el9 the English no8el in the eighteenth %entury and then7 to,ard the
%entury;s end7 the 6erman %ontri$ution7 ,ith 6oethe9 the nineteenth %entury7 ,hi%h $elonged
almost entirely to (ran%e7 along ,ith the Russian no8el in the last third7 and7 immediately
therea:ter7 the arri8al o: the S%andina8ian no8el. Then the t,entieth %entury and its Central
European ad8enture ,ith Ka:+a7 Musil7 Bro%h7 and 6om$ro,i%H. . .
): Europe ,ere only a single nation7 ) do not $elie8e the history o: its no8el %ould ha8e lasted
,ith su%h 8itality7 su%h po,er7 and su%h di8ersity :or :our %enturies. )t ,as the e8er ne,
histori%al situations =,ith their ne, e?istential %ontent>7 arising in (ran%e7 then in Russia7 then
else,here7 and some,here else again7 that +ept the art o: the no8el going7 $rought it ne,
inspirations7 suggested ne, aestheti% solutions. )t is as i: in the %ourse o: its Dourney the history
o: the no8el +ept ,a+ing the di::erent parts o: Europe7 one a:ter
the other7 %on:irming them in their spe%i:i%ity and at the same time integrating them into a
%ommon European %ons%iousness.
)n our o,n %entury7 :or the :irst time7 the important initiati8es in the history o: the European
no8el are appearing outside Europe< :irst in North Ameri%a7 in the !"I-s and #-s7 and then7 in the
.-s7 in 'atin Ameri%a. 1hat ,ith the pleasure pro8ided me $y the art o: the (ren%h@spea+ing
Antillean no8elist Patri%+ Chamoiseau7 and then $y Rushdies7 ) ,ould pre:er to spea+ more
generally o: the no'el from belo" the thirty9fifth parallel3 the no'el of the !outh6 a great ne,
no8elisti% %ulture %hara%teriHed $y an e?traordinary sense o: the real %oupled ,ith an
untrammeled imagination that $rea+s e8ery rule o: plausi$ility.
) am delighted $y that imagination ,ithout understanding %ompletely ,here it %omes :rom.
Ka:+aG Certainly. (or our %entury7 it is he ,ho ga8e legitima%y to the implausi$le in the art o: the
no8el. Yet the Ka:+an imagination is di::erent :rom Rushdies or 6ar%ia MarEueH;s9 that teeming
imagination seems rooted in the 8ery spe%i:i% %ulture o: the South9 :or e?ample7 in its still li8ing
oral literature =Chamoiseau dra,ing inspiration :rom the Creole storytellers> or7 as (uentes li+es
to re%all7 in the 'atin Ameri%an BaroEue7 more e?u$erant7 more B%raHy7B than Europe;s.
*r another +ey to that imagination< the tropical9iCation of the no'el. ) re:er to Rushdie;s :antasy<
(arishta ho8ers a$o8e 'ondon and ,ishes to Btropi%al@iHeB that hostile %ity. 2e lists the
ad8antages o: tropi@%aliHation< Binstitution o: a national siesta . . . ne, $irds in the trees =ma%a,s7
pea%o%+s7 %o%+atoos>7 ne, trees under the $irds =%o%o@palms7 tamarind7 $anyans
,ith hanging $eards> . . . religious :er8our7 politi%al :erment . . . :riends to %ommen%e dropping
in on one another ,ithout ma+ing appointments7 %losure o: old :ol+s; homes7 emphasis on the
e?tended :amily . . . spi%ier :ood. . . . Disad8antages< %holera7 typhoid7 legionnaires; disease7
%o%+roa%hes7 dust7 noise7 a %ulture o: e?%ess.B
=BCulture o: e?%essB is an e?%ellent e?pression. The tenden%y o: the no8el in the last stages o: its
modernism< in Europe< the ordinary pursued to its utmost9 sophisti%ated analysis o: gray on gray9
outside Europe< a%%umulation o: the most e?traordinary %oin%iden%es9 %olors on %olors. The
dangers< in Europe7 tedium o: gray9 outside Europe7 monotony o: the pi%turesEue.>
The no8els %reated $elo, the thirty@:i:th parallel7 though a $it. :oreign to European taste7 are the
e?tension o: the history o: the European no8el7 o: its :orm and o: its spirit7 and are e8en
astonishingly %lose to its earliest $eginnings9 no,here else today does the old Ra$elaisian sap
run so Doy:ully as in the ,or+ o: these non@European ,riters.
The Day Panurge No Longer Makes People Laugh
1hi%h $rings me $a%+ one last time to Panurge. )n Pantagruel3 he :alls in lo8e ,ith a ,oman
and is determined to ha8e her at all %osts. )n %hur%h7 during mass =isn;t that a hell o: a sa%rilegeF>7
he addresses her ,ith some outrageous o$s%enities =in today;s Ameri%a7 su%h B8er$al rapeB ,ould
%ost him dear> and7 ,hen she re:uses to listen7 ta+es his re8enge $y sprin+ling her
go,n ,ith the min%ed genitals o: a $it%h in heat. As she lea8es the %hur%h7 all the dogs
rounda$out =si? hundred thousand and :ourteen7 says Ra$elais> run up and piss on her. )
remem$er li8ing in a ,or+ers; dormitory ,hen ) ,as t,enty7 my Ra$elais in CHe%h translation
under my $ed. The men ,ere %urious a$out this :at $oo+7 and time and again ) had to read them
the story7 ,hi%h they soon +ne, $y heart. E8en though these ,ere people o: a rather
%onser8ati8e peasant mentality7 their laughter hadn;t a tra%e o: %ondemnation :or that rhetori%al
and urinary harasser9 they adored Panurge7 so mu%h so that they ga8e his name to one o: our
%ompanions9 no7 not a ,omaniHer7 $ut a youngster +no,n :or his nai8ete and his e?aggerated
%hastity7 ,ho ,as ashamed to $e seen na+ed in the sho,er. ) %an hear their %ries as i: it ,ere
yesterday< BPanur+BCour CHe%h pronun%iation o: the nameC Bget into the sho,erF *r ,ell
,ash you do,n ,ith dog pissF
) %an still hear that hearty laughter7 ma+ing :un o: a pal;s modesty $ut at the same time sho,ing
an almost mar8eling a::e%tion :or it. They ,ere delighted $y the o$s%enities Panurge addresses to
the ,oman in %hur%h7 $ut eEually delighted $y the punishment the ,oman;s %hastity in:li%ted on
him and then7 to their great pleasure7 her o,n punishment $y the dogs; urine. 1ith ,hat or ,hom
did my erst,hile %ompanions sympathiHeG 1ith modestyG 1ith immodestyG 1ith PanurgeG 1ith
the ,omanG *r ,ith the dogs ,ho had the en8ia$le pri8ilege o: urinating on a $eautyG
2umor< the di8ine :lash that re8eals the ,orld in its moral am$iguity and man in his pro:ound
in%ompeten%e to Dudge others9 humor< the into?i%ating relati8ity
o: human things9 the strange pleasure that %onies o: the %ertainty that there is no %ertainty.
But humor7 to re%all *%ta8io PaH7 is Bthe great in8ention o: the modern spirit.B )t has not $een
,ith us :ore8er7 and it ,on;t $e ,ith us :ore8er either.
1ith a hea8y heart7 ) imagine the day ,hen Panurge no longer ma+es people laugh.
PART T1*
The astrating !hado" of !aint #arta
1
The image o: Ka:+a that is ,idely held these days %omes originally :rom a no8el. Ma? Brod
,rote it immediately a:ter Ka:+a;s death and pu$lished it in !"I.. Sa8or the title< The ?nchanted
<ingdom of Lo'e ;Dauberreich der Liebe=. This +ey@no8el is a roman a %le:7 a no8el ,ith a +ey.
)ts protagonist7 a 6erman ,riter in Prague named No,y7 is re%ogniHa$ly a :lattering sel:@portrait
o: Brod =adored $y ,omen7 en8ied $y the literati>. No,yLBrod %u%+olds a man ,ho7 $y 8ery
ela$orate ,i%+ed s%hemes7 gets him sent to prison :or :our years. 1e are instantly plunged into a
story %o$$led together $y the most impro$a$le %oin%iden%es =%hara%ters meet $y %omplete
%han%e on a ship out at sea7 on a 2ai:a street7 on a street in 4ienna>7 ,e ,itness the struggle
$et,een the good =No,y and his mistress> and the e8il =the %u%+old7 so 8ulgar that he :ully
deser8es his horns7 and a literary
%riti% ,ho systemati%ally pans No,y;s ,onder:ul $oo+s>7 ,e are pained $y melodramati%
re8ersals =the heroine +ills hersel: $e%ause she %annot $ear li:e %aught $et,een the %u%+old and
the %u%+older>7 ,e admire the sensiti8e soul o: No,yLBrod7 ,ho s,oons regularly.
This no8el ,ould ha8e $een :orgotten $e:ore it ,as ,ritten i: not :or the %hara%ter Carta.
Be%ause 6arta7 No,y;s %lose :riend7 is a portrait o: Ka:+a. 1ithout this +ey7 the %hara%ter ,ould
$e the most uninteresting in the entire history o: literature9 he is des%ri$ed as a Bsaint o: our
time7B $ut e8en a$out the ministry o: his saintliness ,e don;t learn mu%h7 e?%ept that :rom time to
time7 ,hen No,yLBrod is ha8ing lo8e trou$les7 he see+s ad8i%e :rom his :riend7 ,hi%h the
:riend7 as a saint ,ith no su%h e?perien%e7 is in%apa$le o: gi8ing him.
1hat a mar8elous parado?< the ,hole image o: Ka:+a and the ,hole posthumous :ate o: his
,or+ ,ere :irst %on%ei8ed and laid out in this simpleminded no8el7 this gar$age7 this %artoon@
no8el %on%o%tion7 ,hi%h7 aestheti%ally7 stands at e?a%tly the opposite pole :rom Ka:+a;s art.
2
Some Euotations :rom the no8el< 6arta B,as a saint o: our time7 a 8erita$le saint.B BPerhaps his
$est Euality ,as his remaining so independent and :ree7 so saintly rational in the :a%e o: all
mythologies7 e8en though deep do,n he ,as a+in to them and nearly a mythologi%al :igure
himsel:.B B2e ,anted to li8e in per:e%t
purityCrather7 he %ould not do other,ise. ...B
The ,ords Bsaint7B Bsaintly7B Bmythologi%al7B Bpurity7B are not a matter o: rhetori%9 they are to $e
ta+en literally< B*: all the sages and prophets ,ho ha8e ,al+ed the earth7 he ,as the Euietest. . . .
Perhaps he la%+ed one thing< sel:@%on:iden%e. 1ith it7 he ,ould ha8e $e%ome a guide to
humanity. No7 he ,as not a guide. 2e spo+e neither to the people nor to dis%iples7 li+e the
Buddha7 Aesus7 Moses. 2e did not spea+ that ,ay. 2e remained reti%ent. 1as that $e%ause he sa,
more deeply into the great mystery than those threeG Be%ause ,hat he undertoo+ ,as more
di::i%ult yet than ,hat the Buddha intendedG Be%ause i: he su%%eeded7 it ,ould $e %on%lusi8eGB
And again< BAll the :ounders o: religions ,ere sure o: themsel8es. *ne o: them7 ho,e8erChe
may ,ell $e the most sin%ere o: allC'ao@tHe7 retreated into the shado,s. Carta %ertainly did the
same.B
Carta is presented as someone ,ho ,rites. No,y Bhad agreed to $e 6arta;s literary e?e%utorC
6arta had as+ed him to do this7 $ut ,ith the unusual %ondition that e8erything $e destroyed.B
No,y Bsensed the reason :or that last ,ish. 6arta ,as not announ%ing a ne, religion9 he ,anted
only to li'e his faith. . . . 2e reEuired the ultimate e::ort o: himsel:9 as he had not su%%eeded7 his
,ritings =mere rungs to help him %lim$ to the heights> had no 8alue :or him.B
Still7 No,yLBrod did not ,ant to o$ey his :riend;s ,ish7 $e%ause in his 8ie,7 Carta;s ,ritings7
Be8en as attempts7 as mere s+et%hes7 $ring to ,andering humanity a presentiment o: something
irrepla%ea$le.B
Yes7 it;s all there.
3
1ere it not :or Brod7 ,e ,ould not e8en +no, Ka:+a;s name today. Right a:ter his :riend;s death7
Brod sa, to the pu$li%ation o: his three no8els. No rea%tion. So he realiHed that7 to esta$lish
Ka:+a;s ,or+7 he ,ould ha8e to underta+e a real and long ,ar. Esta$lishing a $ody o: ,or+
means presenting it7 interpreting it. Brod opened a 8erita$le artillery atta%+< pre:a%es< :or The
Trial =!"I&>7 :or The astle =!"I.>7 :or Amerika =!"I/>7 :or BDes%ription o: a StruggleB =!"#.>7
:or the diaries and letters =!"#/>7 :or the stories =!"0.>9 :or the on'ersations $y 6usta8 Aanou%h
=!"&I>9 then the dramatiHations< o: The astle =!"&#> and Amerika =!"&/>9 $ut a$o8e all7 :our
important $oo+s o: interpretation =ta+e good note o: the titlesF>< FranC <afka6 A 5iography
=!"#/>7 The Faith and Teachings of FranC <afka =!"0.>7 FranC <afka3 (e ,ho !ho"s the ,ay
=!"&!>7 and Despair and !al'ation in the ,ork of FranC <afka =!"&">.
Through all o: these te?ts7 the image outlined in The ?nchanted <ingdom of Lo'e is %on:irmed
and de8eloped< a$o8e all7 Ka:+a is primarily the religious thin+er7 der religiose Denker. True7 he
Bne8er systemati%ally set out his philosophy and his religious ,orld 8ie,. Nonetheless7 ,e %an
dedu%e rather %lear :undamentals :rom his ,or+7 :rom his aphorisms espe%ially $ut also :rom his
poetry7 his letters7 his diaries7 and then also :rom his ,ay o: li:e =:rom that a$o8e all>. . . .B
(urther on< Ka:+a;s true importan%e %annot $e understood Bunless t,o %urrents in his ,or+ are
distinguished< =!> the aphorisms7 =I> the narrati8e ,ritings =no8els7 stories7 :ragments>.
B)n his aphorisms Ka:+a e?pounds the positi8e ,ord Edas positi'e ,ortF that he gi8es to
man+ind7 a :aith7 a stern %all :or ea%h indi8idual to %hange his o,n li:e.B
)n his no8els and stories7 Bhe des%ri$es the horri$le punishments in store :or those ,ho do not
,ish to hear the ,ord Edas ,ortF and do not :ollo, the path o: righteousness.B
Note the hierar%hy< at the top< Ka:+a;s li:e as an e?ample to $e :ollo,ed9 in the middle< the
aphorisms7 that is7 all the meditati8e Bphilosophi%alB passages in his diaries9 at the $ottom< the
narrati8e ,or+s.
Brod ,as a $rilliant intelle%tual ,ith e?%eptional energy9 a generous man ,illing to do $attle :or
others9 his atta%hment to Ka:+a ,as ,arm and disinterested. The only pro$lem ,as his artisti%
orientation< a man o: ideas7 he +ne, nothing o: the passion :or :orm9 his no8els =he ,rote t,enty
o: them> are sadly %on8entional9 and a$o8e all< he understood nothing at all a$out modern art.
1hy7 despite all this7 ,as Ka:+a so :ond o: himG 1hat a$out youCdo you stop $eing :ond o:
your $est :riend $e%ause he has a %ompulsion to ,rite $ad 8erseG
But the man ,ho ,rites $ad 8erse turns dangerous on%e he starts to pu$lish the ,or+ o: his poet
:riend. Suppose the most in:luential %ommentator on Pi%asso ,ere a painter ,ho %ould not e8en
manage to understand the impressionists. 1hat ,ould he say a$out Pi%asso;s paintingsG Pro$a$ly
the same thing Brod said a$out Ka:+a;s no8els< that they des%ri$e Bthe horri$le punishments in
store :or those ,ho ... do not :ollo, the path o: righteousness.B
4
Ma? Brod %reated the image o: Ka:+a and that o: his ,or+9 he %reated Ka:+ology at the same
time. The Ka:+ologists may distan%e themsel8es :rom their :ounding :ather7 $ut they ne8er lea8e
the terrain he mapped out :or them. Despite the astronomi%al num$er o: its te?ts7 Ka:+ology goes
on ela$orating in:inite 8ariants on the same dis%ussion7 the same spe%ulation7 ,hi%h7 in%reasingly
un%onne%ted to Ka:+a;s ,or+7 :eeds only on itsel:. Through innumera$le pre:a%es7 post:a%es7
notes7 $iographies and monographs7 uni8ersity le%tures and dissertations7 Ka:+ology produ%es
and sustains its o,n image o: Ka:+a7 to the point ,here the author ,hom readers +no, $y the
name Ka:+a is no longer Ka:+a $ut the Ka:+ologiHed Ka:+a.
Not e8erything ,ritten on Ka:+a is Ka:+ology. 2o, then to de:ine Ka:+ologyG By a tautology<
Ka:+ology is dis%ourse :or Ka:+ologiHing Ka:+a. (or repla%ing Ka:+a ,ith the Ka:+ologiHed
Ka:+a<
!> (ollo,ing Brod;s e?ample7 Ka:+ology e?amines Ka:+a;s $oo+s not in the large conte>t o:
literary history =the history o: the European no8el> $ut almost e?%lusi8ely in the microconte>t o:
$iography. )n their monograph7 Boisde::re and Al$eres %ite Proust reDe%ting $iographi%al
e?pli%ation o: art7 $ut only to say that Ka:+a reEuires e?%eption to that rule7 as his $oo+s are Bnot
separa$le :rom his person. 1hether he is %alled Aose: K.7 Rohan7 Samsa7 the Sur8eyor7
Bendemann7 Aose:ine the Singer7 the 2unger Artist7 or the TrapeHe Artist7 the hero o: his $oo+s is
none other than Ka:+a himsel:.B Biography is the prin%ipal +ey :or under@
standing the meaning o: the ,or+. 1orse< the only meaning o: the ,or+ is as a +ey :or
understanding the $iography.
I> (ollo,ing Brod;s e?ample7 in the hands o: the Ka:+ologists <afka1s biography becomes
hagiography@ su%h as the un:orgetta$le $om$ast ,ith ,hi%h Roman Karst ended his tal+ at the
:amous !".# %on:eren%e on Ka:+a in CHe%hoslo8a+ia< B(ranH Ka:+a li8ed and su::ered :or usFB
4arious +inds o: hagiography< religious9 se%ularCKa:+a7 martyr to his solitude9 le:tistCKa:+a
BassiduouslyB attending anar%hist meetings and B8ery interested in the !"!/ Re8olutionB
=a%%ording to a mythomania%al assertion :reEuently %ited $ut ne8er 8eri:ied>. To e8ery %hur%h its
apo%rypha< on'ersations "ith <afka $y 6usta8 Aanou%h. To e8ery saint a sa%ri:i%ial gesture<
Ka:+a;s ,ish to ha8e his ,or+ destroyed.
#> (ollo,ing Brod;s e?ample7 <afkology systematically dislodges <afka from the domain of
aesthetics6 either as a Breligious thin+erB or else7 on the le:t7 as a protester against art7 ,hose
Bideal li$rary ,ould in%lude only $oo+s $y engineers or me%hani%s7 and de%laratory DuristsB =in
the $oo+ $y DeleuHe and 6uattari>. Ka:+ology is tireless in e?amining his %onne%tions to
Kier+egaard7 to NietHs%he7 to the theologians7 $ut ignores the no8elists and poets. E8en Camus7
in his essay7 dis%usses Ka:+a in terms one ,ould use not :or a no8elist $ut :or a philosopher. 2is
pri8ate ,ritings are treated the same ,ay as his no8els7 $ut ,ith a mar+ed pre:eren%e :or the
:ormer< ta+ing at random the Ka:+a essay Roger 6araudy ,rote ,hile he ,as still a Mar?ist<
:i:ty@:our times he Euotes Ka:+a;s letters7 Ka:+a;s diaries :orty@:i8e times9 the Aanou%h
on'ersations thirty@:i8e times9 the stories
t,enty times9 The Trial :i8e times7 The astle :our times7 Amerika not on%e.
0> (ollo,ing Brod;s e?ample7 <afkology ignores the e>istence of modern art@ as though Ka:+a
did not $elong to the generation o: the great inno8atorsC Stra8ins+y7 1e$ern7 Barto+7
Apollinaire7 Musil7 Aoy%e7 Pi%asso7 BraEueCall $orn7 li+e him7 $et,een !KK- and !KK#. 1hen7
in the !"&-s7 someone proposed the notion o: his +inship ,ith Be%+ett7 Brod immediately
protested< Saint Carta has nothing to do ,ith su%h de%aden%eF
&> Ka:+ology is not literary %riti%ism =it does not e?amine the 8alue o: the ,or+< the pre8iously
un+no,n aspe%ts o: e?isten%e that the ,or+ re8eals7 the aestheti% inno8ations $y ,hi%h it
a::e%ted the e8olution o: the art7 et%.>9 <afkology is an e>egesis. As su%h7 it %an see only
allegories in Ka:+a;s no8els. They are religious =Brod< the Castle J the gra%e o: 6od9 the
sur8eyor J the ne, Parsi:al in Euest o: the di8ine9 et%.7 et%.>9 they are psy%hoanalyti%al7
e?istentialisti%7 Mar?ist =the sur8eyor J a sym$ol o: re8olution7 $e%ause he underta+es land
redistri$ution>9 they are politi%al =*rson 1elles;s The Trial=@ Ka:+ology does not loo+ to Ka:+a;s
no8els :or the real ,orld trans:ormed $y an immense imagination9 rather7 it de%odes religious
messages7 it de%iphers philosophi%al para$les.
5
B6arta ,as a saint o: our time7 a 8erita$le saint.B But %an a saint go to $rothelsG 1hen Brod
pu$lished Ka:+a;s diaries he %ensored them some,hat9 he deleted
not only the allusions to ,hores $ut anything else tou%hing on se?. Ka:+ology has al,ays
e?pressed dou$ts a$out its su$De%t;s 8irility7 and it delights in dis%ussing the martyrdom o: his
impoten%e. Thus Ka:+a long ago $e%ame the patron saint o: the neuroti%7 the depressi8e7 the
anore?i%7 the :ee$le9 the patron saint o: the t,isted7 the precieuses ridicules3 and the hysteri%al
=in the *rson 1elles :ilm7 K. ho,ls hysteri%ally7 ,hereas Ka:+a;s no8els are the least hysteri%al
in the entire history o: literature>.
Biographers +no, nothing a$out the intimate se? li8es o: their o,n ,i8es7 $ut they thin+ they
+no, all a$out Stendhal;s or (aul+ner;s. A$out Ka:+a;s ) ,ould dare say nothing $ut this< the =not
8ery easy> eroti% li:e o: his time had little resem$lan%e to ours< girls in those days did not ma+e
lo8e $e:ore marriage9 :or a $a%helor7 that le:t only t,o possi$ilities< married ,omen o: good
:amily7 or easy ,omen o: the lo,er %lasses< shopgirls7 maids7 and o: %ourse prostitutes.
The imagination o: Brod;s no8els dre, on the :irst sour%e9 ,hen%e their +ind o: eroti%ismC
rapturous7 romanti% =in8ol8ing dramati% %u%+oldries7 sui%ides7 pathologi%al Dealousies>7 and
ase?ual< B1omen are ,rong to $elie8e a good man %ares only a$out physi%al possession. That is
merely a sym$ol and is $y :ar less important than this :eeling< the ,oman lo8es me7 and so she is
entirely ,ell@disposed to,ard me. All o: man;s lo8e see+s to ,in ,oman;s good ,ill and
+indnessB ;The ?nchanted <ingdom of Lo'e=.
The eroti% imagination in Ka:+a;s no8els7 on the %ontrary7 dra,s almost e?%lusi8ely on the other
sour%e< B) ,al+ed past the $rothel as though it ,ere the house o: a $elo8edB =diary7 !"!-7
senten%e %ensored $y Brod>.
Master:ul as they ,ere at analyHing all the strategies o: lo8e7 nineteenth@%entury no8els le:t se?
and the se?ual a%t itsel: hidden. )n the :irst de%ades o: our %entury7 se? emerged :rom the mists o:
romanti% passion. Ka:+a ,as one o: the :irst =%ertainly along ,ith Aoy%e> to un%o8er it in his
no8els. 2e un8eiled se? not as the playing :ield :or a small %ir%le o: li$ertines =in eighteenth@
%entury style> $ut as a %ommonpla%e7 :undamental reality in e8eryone;s li:e. Ka:+a un8eiled the
e>istential aspe%ts o: se?< se? in %on:li%t ,ith lo8e9 the strangeness o: the other as a %ondition7 a
reEuirement7 o: se?9 the am$iguous nature o: se?< those aspe%ts that are e?%iting and
simultaneously repugnant9 its terri$le tri8iality7 ,hi%h in no ,ay lessens its :rightening po,er7
et%.
Brod ,as a romanti%. By %ontrast7 at the root o: Ka:+a;s no8els ) $elie8e ) dis%ern a pro:ound
antiro@manti%ism9 it sho,s up e8ery,here< in the ,ay Ka:+a sees so%iety as ,ell as in the ,ay he
%onstru%ts a senten%e9 $ut its origin may lie in Ka:+a;s 8ision o: se?.
6
Young Karl Rossmann =the protagonist o: Amerika= is put out o: the parental home and sent to
Ameri%a $e%ause o: his un:ortunate se?ual mishap ,ith a housemaid7 ,ho Bhad sedu%ed him and
got hersel: a %hild $y him.B Be:ore the %oition< B;Karl7 oh my KarlF; she e?%laimed . . . ,hile he
%ould see nothing at all and :elt un%om:orta$le amid all the ,arm $edding that she had
apparently piled on espe%ially :or his sa+e. . . .B Then she Bshoo+ him7 listened to his
heart$eat7 o::ered him her %hest so that he %ould listen to hers the same ,ay.B Ne?t she Bgroped
$et,een his legs in so disgusting a manner that Karl;s head and ne%+ %ame thrashing out :rom
among the pillo,s.BBut then she ;B;pushed her $elly against him se8eral timesChe :elt she ,as a
part o: himsel: and that may $e ,hy he ,as o8er%ome $y a terri$le need.B
This minor %opulation is the %ause o: e8erything to :ollo, in the no8el. RealiHing that our
destiny is determined $y something utterly tri8ial is depressing. But any re8elation o: some
une?pe%ted tri8iality is a sour%e o: %omedy as ,ell. Post coitum omne animal triste. Ka:+a ,as
the :irst to des%ri$e the %omi% side o: that sadness.
The %omi% side o: se?< an idea una%%epta$le to puritans and neoli$ertines $oth. ) thin+ o: D. 2.
'a,ren%e7 that $ard o: Eros7 that e8angelist o: %oition7 ,ho7 in Lady hatterley1s Lo'er3 tried to
reha$ilitate se? $y ma+ing it lyri%al. But lyri%al se? is e8en more ridi%ulous than the lyri%al
sentimentality o: the last %entury.
The eroti% gem o: Amerika is Brunelda. She :as%inated (ederi%o (ellini. (or a long time7 he
dreamed o: ma+ing a :ilm o: Amerika3 and in his &nter'ista there is a s%ene that sho,s the %asting
:or this dream proDe%t< a $un%h o: in%redi$le %andidates turn out :or the role o: Brunelda7 ,omen
(ellini had pi%+ed ,ith the e?u$erant delight he ,as +no,n :or. =But ) say it again< that
e?u$erant delight is the same as Ka:+a;s. (or Ka:+a did not suffer :or usF 2e en8oyed himsel: :or
usF>
Brunelda7 the :ormer singer7 Bthe 8ery :rail ,omanB
,ith Bthe gout in her legs.B Brunelda ,ith her plump little hands and the dou$le %hin7
Bimmeasura$ly :at.B Brunelda7 sitting legs apart7 B,ith the greatest e::ort7 a:ter many tries and
:reEuent pauses to rest7B $ending o8er Bto tug at her sto%+ing@tops.B Brunelda hit%hing up her
dress and using the hem to dry the ,eeping Ro$insons eyes. Brunelda una$le to %lim$ t,o or
three steps and needing to $e %arriedCa sight that so impresses Ro$inson that :or the rest o: his
li:e he ,ill sigh< B*h 6od7 oh 6od7 ho, $eauti:ul she ,asF 1hat a ,omanFB Brunelda standing
na+ed in the $athtu$7 moaning and %omplaining as Delamar%he ,ashes her do,n. Brunelda lying
in that same tu$7 :uriously pounding the ,ater ,ith her :ists. Brunelda ,hom it ta+es t,o men
t,o hours to get do,n the stairs and put in a %art7 ,hi%h Karl then pushes a%ross the %ity to some
mysterious pla%e7 pro$a$ly a $rothel. Brunelda in this hand%art7 ,ith a sha,l %o8ering her up so
,ell that a %op ta+es her :or a %argo o: potato sa%+s.
1hat is ne, a$out this portrait o: massi8e ugliness is that it is alluring9 mor$idly alluring7
ridi%ulously alluring7 $ut still alluring9 Brunelda is a monster o: se? on the $orderline $et,een
the repugnant and the e?%iting7 and men;s admiring %ries are not only %omi% =they are %omi%7 to
$e sure7 se? is %omi%F> $ut at the same time entirely true. )t is not surprising that Brod7 that
romanti% ,orshiper o: ,omen7 :or ,hom %oition ,as not reality $ut a Bsym$ol o: :eeling7B %ould
see no truth to Brunelda7 not the :aintest shado, o: real e?perien%e $ut only the des%ription o:
Bthe horri$le punishments in store :or those ,ho ... do not :ollo, the path o: righteousness.B
7
The :inest eroti% s%ene Ka:+a e8er ,rote is in the third %hapter o: The astle6 the a%t o: lo8e
$et,en K. and (rieda. S%ar%ely an hour a:ter seeing that Bunprepossessing little $londeB :or the
:irst time7 he is em$ra%ing her $ehind the $ar7 Bamong the $eer puddles and the other :ilth
%o8ering the :loor.B (ilth< it is insepara$le :rom se?7 :rom its essen%e.
But immediately therea:ter7 in the same paragraph7 Ka:+a sounds the poetry o: se?< BThere hours
,ent $y7 hours o: mutual $reaths7 o: mutual heart$eats7 hours in ,hi%h K. %ontinually had the
:eeling that he ,as going astray7 or that he ,as :arther inside the strange ,orld than any person
$e:ore him7 in a strange ,orld ,here the 8ery air had in it no element o: his nati8e air7 ,here one
must su::o%ate :rom strangeness and ,here7 in the midst o: a$surd enti%ements7 one %ould do
nothing $ut +eep going7 +eep going astray.B
The length o: the %oition turns into a metaphor :or a ,al+ $eneath the s+y o: strangeness. And
yet that ,al+ is not ugliness9 on the %ontrary7 it attra%ts us7 in8ites us to go on still :arther7
into?i%ates us< it is $eauty.
A :e, lines later< Bhe ,as :ar too happy to $e holding (rieda in his hands7 too an?iously happy as
,ell7 $e%ause it seemed to him that i: (rieda ,ere to lea8e him7 e8erything he had ,ould lea8e
him.B So is this lo8eG No indeed7 not lo8e9 i: a person is $anished and dispossessed o:
e8erything7 then a tiny little ,oman he hardly +no,s7 em$ra%ed in puddles o: $eer7 $e%omes a
,hole uni8erseClo8e has nothing to do ,ith it.
8
)n his Manifesto of !urrealism3 Andre Breton spea+s se8erely a$out the art o: the no8el. 2e
%omplains that the no8el is in%ura$ly ho$$led $y medio%rity7 $y $anality7 $y e8erything that is
%ontrary to poetry. 2e mo%+s its des%riptions and its tiresome psy%hology. This %riti%ism o: the
no8el is immediately :ollo,ed $y praise o: dreams. Then he ends $y saying< B) $elie8e in the
e8entual :usion o: these t,o states7 dream and reality7 ,hi%h are seemingly so %ontradi%tory7 into
a +ind o: a$solute reality7 a surreality7 i: one may so spea+.B
Parado?< the B:usion o: dream and realityB that the surrealists pro%laimed7 ,ithout a%tually
+no,ing ho, to $ring it a$out in a great literary ,or+7 had already o%%urred7 and in the 8ery
genre they disparaged< in Ka:+a;s no8els7 ,ritten in the %ourse o: the pre8ious de%ade.
)t is 8ery di::i%ult to des%ri$e7 to de:ine7 to gi8e a name to the +ind o: imagination ,ith ,hi%h
Ka:+a $e,it%hes us. The B:usion o: dream and realityBCthat phrase Ka:+a o: %ourse ne8er heard
Cis illuminating. As in another phrase dear to surrealists7 'autreamont;s a$out the $eauty in the
%han%e en%ounter $et,een an um$rella and a se,ing ma%hine< the more alien things are :rom one
another7 the more magi%al the light that springs :rom their %onta%t. );d li+e to %all it a poeti%s o:
surprise9 or $eauty as perpetual astonishment. *r to use the notion o: density as a %riterion o:
8alue< density o: imagination7 density o: une?pe%ted en%ounters. The s%ene ) %ited7 o: the %oition
o: K. and (rieda7 is an e?ample o: that diHHying density< the short passage7 s%ar%ely a page long7
en%ompasses three %ompletely
distin%t e?istential dis%o8eries =the e?istential triangle o: se?> that are stunning in their s,i:t
su%%ession< :ilth9 the into?i%ating dar+ $eauty o: strangeness9 and tou%hing7 an?ious yearning.
The ,hole third %hapter is a ,hirlpool o: the une?pe%ted< ,ithin a :airly tight span %ome7 one
a:ter the other< the :irst en%ounter $et,een K. and (rieda at the inn9 the e?traordinarily realisti%
dialogue in the sedu%tion7 ,hi%h is disguised $e%ause o: the presen%e o: a third person =*lga>9
the moti: o: a hole in the door =a trite moti:7 $ut it shi:ts a,ay :rom empiri%al plausi$ility>7
through ,hi%h K. sees Klamm sleeping $ehind the des+9 the %ro,d o: ser8ants dan%ing ,ith
*lga9 the surprising %ruelty o: (rieda7 ,ho runs them o:: ,ith a ,hip7 and their surprising :ear as
they o$ey her9 the inn+eeper7 ,ho arri8es as K. hides $y lying :lat under the $ar9 the arri8al o:
(rieda7 ,ho dis%o8ers K. on the :loor and denies his presen%e to the inn+eeper =mean,hile
amorously %aressing K.;s %hest ,ith her :oot>9 the a%t o: lo8e interrupted $y the %all :rom
Klamm7 ,ho has a,a+ened7 outside the door9 (riedas astonishingly %ourageous gesture o:
shouting to Klamm7 B);m ,ith the sur8eyorF;9 and then7 to top it all o:: =and here empiri%al
plausi$ility is %ompletely a$andoned>< a$o8e them7 on the $ar %ounter7 sit the t,o assistants9 they
,ere ,at%hing the %ouple the ,hole time.
9
The t,o assistants :rom the %astle are pro$a$ly Ka:+a;s greatest poeti% :ind7 the mar8el o: his
:antasy9 their e?isten%e is not only in:initely astonishing7 it is
also pa%+ed ,ith meanings< they are a %ouple o: patheti% $la%+mailers and nuisan%es9 $ut they
also stand :or the ,hole threatening BmodernityB o: the %astles uni8erse< they are %ops7 reporters7
paparaHHi< agents o: the total destru%tion o: pri8ate li:e9 they are the inno%ent %lo,ns ,ho
,ander a%ross the stage as the drama pro%eeds9 $ut they are also le%herous 8oyeurs ,hose
presen%e im$ues the ,hole no8el ,ith the se?ual s%ent o: a smutty7 Ka:+aesEuely %omi%
promis%uity.
But a$o8e all< the in8ention o: these t,o assistants is li+e a le8er that hoists the story into that
realm ,here e8erything is at on%e strangely real and unreal7 possi$le and impossi$le. Chapter
T,el8e< K.7 (rieda7 and the t,o assistants %amp in a grade@s%hool %lassroom that they ha8e
turned into a $edroom. The tea%her and the pupils %ome in Dust as the in%redi$le menage a Euatre
are starting their morning toilet< they get dressed $ehind the $lan+ets hung :rom the parallel $ars7
,hile the %hildren ,at%hCamused7 intrigued7 %urious =8oyeurs themsel8es>. )t is more than the
en%ounter o: an um$rella ,ith a se,ing ma%hine. )t is the super$ly in%ongruous en%ounter o: t,o
spa%es< a grade@s%hool %lassroom ,ith a du$ious $edroom.
This s%ene ,ith its enormous %omi% poetry =,hi%h should head the list in an anthology o:
modernism in the no8el> ,ould ha8e $een unthin+a$le in the pre@Ka:+a era. Totally unthin+a$le.
) stress this in order to ma+e %lear the :ull radi%al nature o: Ka:+a;s aestheti% re8olution. ) re%all a
%on8ersation7 $y no, t,enty years $a%+7 ,ith 6a$riel 6ar%ia MarEueH7 ,ho told me< B)t ,as
Ka:+a ,ho sho,ed me that it;s possi$le to ,rite another "ay.B BAnother ,ayB means< $rea+ing
through the plausi$ility $arrier. Not in order to es%ape the real ,orld =the ,ay the Romanti%s did>
$ut to apprehend it $etter.
Be%ause apprehending the real ,orld is part o: the de:inition o: the no8el< $ut ho, to $oth
apprehend it and at the same time engage in an en%hanting game o: :antasyG 2o, $e rigorous in
analyHing the ,orld and at the same time $e irresponsi$ly :ree at play:ul re8eriesG 2o, $ring
these t,o in%ompati$le purposes togetherG Ka:+a managed to sol8e this enormous puHHle. 2e %ut
a $rea%h in the ,all o: plausi$ility9 the $rea%h through ,hi%h many others :ollo,ed him7 ea%h in
his o,n ,ay< (ellini7 MarEueH7 (uentes7 Rushdie. And others7 others.
To hell ,ith Saint 6artaF 2is %astrating shado, has $lo%+ed our 8ie, o: one o: the no8el;s
greatest poets o: all time.
PART T2REE
&mpro'isation in (omage to !tra'insky
The all of the Past
)n a !"#! radio le%ture7 S%hoen$erg spea+s o: his masters< Bin erster Linie 5ach unci MoCart@ in
C"eiter 5eetho'en3 ,agner3 5rahms3BCBin the :irst pla%e7 Ba%h and MoHart9 in the se%ond7
Beetho8en7 1agner7 Brahms.B )n %on%ise7 aphoristi% remar+s7 he goes on to spe%i:y ,hat he
learned :rom ea%h o: these :i8e %omposers.
Bet,een the Ba%h re:eren%e and the others there is a 8ery great di::eren%e< in MoHart7 :or
e?ample7 he learns a$out Bthe art o: uneEual phrase lengthsB or Bthe art o: %reating se%ondary
ideas7B that is to say an utterly indi8idual s+ill that $elongs to MoHart alone. )n Ba%h7 he
dis%o8ers prin%iples that had also operated in all the musi% :or %enturies $e:ore Ba%h< :irst7 Bthe
art o: in8enting groups o: notes su%h that they pro8ide their o,n a%%ompanimentB9 and se%ond7
Bthe art o: %reating the ,hole :rom a single +ernelBCBdie <unst3 alles aus einem Cu erCeugen.B
These t,o senten%es summariHing the lesson S%hoen$erg dre, :rom Ba%h =and :rom his
prede%essors> %an $e ta+en to des%ri$e the ,hole t,el8e@tone re8olution< in %ontrast to Classi%al
musi% and Romanti% musi%7 ,hi%h are $uilt on the alternation o: di::ering musi%al themes
o%%urring one a:ter the other7 $oth a Ba%h :ugue and a t,el8e@tone %omposition7 :rom $eginning
to end7 de8elop :rom a single +ernel7 ,hi%h is $oth melody and a%%ompaniment.
T,enty@three years later7 ,hen Roland Manuel as+s Stra8ins+y< B1hat are your maDor interests
these daysGB the latter responds< 6uillaume de Ma%haut7 2einri%h )saa+7 Du:ay7 Perotin7 and
1e$ern.B )t is the :irst time a %omposer pro%laims so :irmly the immense importan%e o: the
musi% o: the t,el:th7 the :ourteenth7 and the :i:teenth %enturies7 and relates it to modern musi% =to
1e$ern;s>.
Some years a:ter that7 6lenn 6ould gi8es a %on%ert in Mos%o, :or the students o: the
%onser8atory9 a:ter playing 1e$ern7 S%hoen$erg7 and Krene+7 he gi8es his audien%e a short
%ommentary7 saying< BThe greatest %ompliment ) %an gi8e this musi% is to say that the prin%iples
to $e :ound in it are not ne,7 that they are at least :i8e hundred years oldB9 then he goes on to
play three Ba%h :ugues. )t ,as a %are:ully %onsidered pro8o%ation< so%ialist realism7 then the
o::i%ial do%trine in Russia7 ,as $attling modernism in the name o: traditional musi%9 6lenn
6ould meant to sho, that the roots o: modern musi% =:or$idden in Communist Russia> go mu%h
deeper than those o: the o::i%ial musi% o: so%ialist realism =,hi%h ,as a%tually nothing $ut an
arti:i%ial preser8ation o: romanti%ism in musi%>.
The T"o (al'es
The history o: European musi% %o8ers a$out a thousand years =i: ) ta+e as its $eginnings the :irst
e?periments in primiti8e polyphony>. The history o: the European no8el =i: ) ta+e as its start the
,or+s o: Ra$elais and Cer8antes> %o8ers a$out :our %enturies. 1hen ) %onsider these t,o
histories7 ) %annot sha+e the sense that they de8eloped in rhythms resem$ling7 so to spea+7 the
t,o hal8es o: a so%%er game. The %aesuras7 or hal:time $rea+s7 in the history o: musi% and in that
o: the no8el do not %oin%ide. )n the history o: musi%7 the $rea+ stret%hes o8er a $ig part o: the
eighteenth %entury =the sym$oli% apogee o: the :irst hal: o%%urring in Ba%h;s The Art of Fugue3
and the start o: the se%ond hal: in the ,or+s o: the earliest Classi%al %omposers>9 the $rea+ in the
history o: the no8el %omes a little later< $et,een the eighteenth and the nineteenth %enturiesC
that is7 $et,een 'a%los and Sterne on the one side and7 on the other7 S%ott and BalHa%. This asyn@
%hronism sho,s that the deepest %auses go8erning the rhythm o: the history o: the arts are not
so%iologi%al or politi%al $ut aestheti%< $ound up ,ith the intrinsi% nature o: one art or another9 as
i: the art o: the no8el7 :or instan%e7 %ontained t,o di::erent potentialities =t,o di::erent ,ays o:
$eing a no8el> that %ould not $e ,or+ed out at the same time7 in parallel7 $ut %ould $e ,or+ed out
only su%%essi8ely7 one a:ter the other.
The metaphor o: the t,o hal8es o: a game %ame to me some time ago in the %ourse o: a
%on8ersation ,ith a :riend and does not %laim to $e at all s%holarly9 it is an ordinary7 elementary
o$ser8ation7 nai8ely o$8ious<
,hen it %omes to musi% and the no8el7 ,e are all o: us raised in the aestheti% o: the se%ond hal:.
A mass $y *%+eghem or Ba%h;s The Art of Fugue are :or the a8erage musi% lo8er as di::i%ult to
%omprehend as 1e$ern;s musi%. 2o,e8er en%hanting their stories7 the no8els o: the eighteenth
%entury intimidate the reader $y their :orm7 to the point ,here they are mu%h $etter +no,n in
mo8ie adaptations =,hi%h ne%essarily denature $oth their spirit and their :orm> than through their
,ritten te?ts. The ,or+s o: the eighteenth %entury;s most :amous no8elist7 Samuel Ri%hardson7
%annot $e :ound in $oo+stores and are pra%ti%ally :orgotten. BalHa%7 on the %ontrary7 e8en though
he may seem old@:ashioned7 is still easy to read9 his :orm is %omprehensi$le7 :amiliar to the
reader7 and e8en more important7 it is :or that reader the 8ery model o: the no8el :orm.
The %hasm $et,een the aestheti%s o: these t,o hal8es ma+es :or a multitude o:
misunderstandings. 4ladimir Na$o+o87 in his $oo+ on Cer8antes7 gi8es a pro8o%ati8ely negati8e
opinion o: Don Aui>ote6 o8er8alued7 nai8e7 repetiti8e7 and :ull o: un$eara$le and implausi$le
%ruelty9 that Bhideous %rueltyB ma+es this $oo+ Bone o: the most $itter and $ar$arous e8er
pennedB9 poor San%ho7 mo8ing along :rom one dru$$ing to another7 loses all his teeth at least
:i8e times. Yes7 Na$o+o8 is right< San%ho loses too many teeth7 $ut ,e are not in the ,orld o:
Mola7 ,here some %ruel a%t7 des%ri$ed pre%isely and in detail7 $e%omes the a%%urate do%ument o:
a so%ial reality9 ,ith Cer8antes7 ,e are in a ,orld %reated $y the magi% spells o: the storyteller
,ho in8ents7 ,ho e?aggerates7 and ,ho is %arried a,ay $y his :antasies7 his e?%esses9 San%ho;s
three hundred $ro+en teeth %annot $e ta+en literally7 no more than anything else in this no8el.
BMadame7 a steamroller has Dust run o8er your daughterFB BYes7 yes7 );m in the $athtu$. Slide her
to me under the door.B Must ,e $ring %harges o: %ruelty against that old CHe%h Do+e :rom my
%hildhoodG Cer8antes; great :ounding ,or+ ,as ali8e ,ith the spirit o: the nonseri@ous7 a spirit
that ,as later made in%omprehensi$le $y the Romanti% aestheti% o: the se%ond hal:7 $y its
demand :or plausi$ility.
The se%ond hal: not only e%lipsed the :irst7 it repressed it9 the :irst hal: has $e%ome the $ad
%ons%ien%e o: the no8el and espe%ially o: musi%. Ba%h;s ,or+ is the $est@+no,n e?ample< Ba%h;s
reno,n during his li:etime9 Ba%h :orgotten a:ter his death =:orgotten :or hal: a %entury>9 the slo,
redis%o8ery o: Ba%h o8er the length o: the nineteenth %entury. Beetho8en alone almost su%%eeded
to,ard the end o: his li:e =that is7 se8enty years a:ter Ba%h;s death> in integrating Ba%h;s
e?perien%e into the ne, aestheti% o: musi% =his repeated e::orts to insert :ugue into the sonata>7
,hereas a:ter Beetho8en7 the more the Romanti%s ,orshiped Ba%h7 the :urther they mo8ed a,ay
:rom him in their stru%tural thin+ing. To ma+e him more a%%essi$le they su$De%ti8iHed and
sentimentaliHed him =Busoni;s :amous arrangements>9 then7 rea%ting against that romanti%iHation7
%ame a desire to re%o8er his musi% as it ,as played in its o,n time7 ,hi%h ga8e rise to some
nota$ly insipid per:orman%es. )t seems to me that7 ha8ing on%e passed through the desert o:
o$li8ion7 Ba%h;s musi% still +eeps its :a%e hal: 8eiled.
(istory as a Landscape ?merging from the Mists
Rather than dis%uss the :orgetting o: Ba%h7 ) %ould turn my idea around and say< Ba%h is the :irst
great %omposer ,ho7 $y the enormous ,eight o: his ,or+7 %ompelled the audien%e to pay
attention to his musi% e8en though it already $elonged to the past. An unpre%edented
phenomenon7 $e%ause until the nineteenth %entury7 people li8ed almost e?%lusi8ely ,ith %ontem@
porar8 musi%. They had no li8ing %onta%t ,ith the musi%al past< e8en i: musi%ians had studied the
musi% o: pre8ious times =and this ,as rare>7 they ,ere not in the ha$it o: per:orming it in pu$li%.
During the nineteenth %entury7 musi% o: the past $egan to $e re8i8ed and pla8ed alongside
%ontemporary musi% and to ta+e on an e8er greater presen%e7 to the point that in the t,entieth
%entury the $alan%e $et,een the present and the past ,as re8ersed< audien%es heard the musi% o:
earlier times mu%h more than they did %ontemporary musi%7 and no, the latter has 8irtually
disappeared :rom %on%ert halls.
Ba%h ,as thus the :irst %omposer to esta$lish his pla%e in the memory o: later generations9 ,ith
him7 nineteenth@%entury Europe not only dis%o8ered an important part o: musi%s past7 it also
dis%o8ered musi% history. Europe sa, that Ba%h ,as not Dust any past $ut rather a past that ,as
radi%ally di::erent :rom the present9 thus musi%al time ,as re8ealed a$ruptly =and :or the :irst
time> not Dust as a series o: ,or+s $ut as a series o: %hanges7 o: eras7 o: 8arying aestheti%s.
) o:ten imagine him in the year o: his death7 in the
e?a%t middle o: the eighteenth %entury7 $ending ,ith %louding eyes o8er The Art of Fugue3 a
%omposition ,hose aestheti% orientation represents the most ar%hai% tenden%y in Ba%h;s oeu8re
=,hi%h %ontains many orientations>7 a tenden%y alien to its time7 ,hi%h had already turned
%ompletely a,ay :rom polyphony to,ard a simple7 e8en simplisti%7 style that o:ten 8erged on
:ri8olity or laHiness.
The histori%al position o: Ba%h;s ,or+ there:ore re8eals ,hat later generations had $egun to
:orgetC that history is not ne%essarily a path %lim$ing up,ard =to,ard the ri%her7 the more
%ulti8ated>7 that the demands o: art may $e %ounter to the demands o: the moment =o: this or that
modernity>7 and that the ne, =the uniEue7 the inimita$le7 the pre8iously unsaid> might lie in some
dire%tion other than the one e8ery$ody sees as progress. )ndeed7 the :uture that Ba%h %ould
dis%ern in the art o: his %ontemporaries and o: his Duniors must to his eyes ha8e seemed a
%ollapse. 1hen7 to,ard the end o: his li:e7 he %on%entrated e?%lusi8ely on pure polyphony7 he
,as turning his $a%+ on the tastes o: his time and on his o,n %omposer sons9 it ,as a gesture o:
de:ian%e against history7 a ta%it reDe%tion o: the :uture. Ba%h< an e?traordinary %rossroads o: the
histori%al trends and issues o: musi%. Some hundred years $e:ore him7 another su%h %rossroads
o%%urs in the ,or+ o: Monte8erdi< this is the meeting ground o: t,o opposing aestheti%s
=Monte8erdi %alls them prima and seconda prattica3 the one $ased on erudite polyphony7 the
other7 programmati%ally e?pressi8e7 on monody>7 and it thus pre:igures the mo8e :rom the :irst to
the se%ond hal:.
Another e?traordinary %rossroads o: histori%al
trends< the ,or+ o: Stra8ins+y. Musi%s thousand@year history7 ,hi%h o8er the %ourse o: the
nineteenth %entury ,as slo,ly emerging :rom the mists o: o$li8ion7 suddenly to,ard the middle
o: our o,n %entury =t,o hundred years a:ter Ba%h;s death> stood re8ealed in its :ull $readth li+e a
lands%ape dren%hed in light9 a uniEue moment ,hen the ,hole history o: musi% is totally present7
totally a%%essi$le and a8aila$le =than+s to histori%al resear%h7 to radio7 to re%ordings>7 totally
open to the e?amination o: its meaning9 this moment o: 8ast reappraisal seems to :ind its
monument in the musi% o: Stra8ins+y.
The Tribunal of the Feelings
Musi% is Bpo,erless to e?press anything at all< a :eeling7 an attitude7 a psy%hologi%al state7B says
Stra8ins+y in hronicle of My Life =!"#&>. This assertion =surely e?aggerated7 :or ho, %an one
deny musi%;s a$ility to arouse :eelingsG> is ela$orated and re:ined a :e, lines later< musi%;s
raison d1etre.3 says Stra8ins+y7 does not reside in its %apa%ity to e?press :eelings. )t is %urious to
note ,hat irritation this attitude pro8o+ed.
The %on8i%tion7 %ontrary to Stra8ins+y;s7 that musi%;s raison d;etre is the e?pression o: :eelings
pro$a$ly e?isted al,ays7 $ut it $e%ame dominant7 ,idely a%%epted and sel:@e8ident7 in the
eighteenth %entury9 Aean@Aa%Eues Rousseau states it ,ith a $lunt simpli%ity< li+e any other art7
musi% imitates the real ,orld7 $ut in a spe%i:i% ,ay< it B,ill not represent things dire%tly7 $ut it
,ill arouse in the soul the same impulses that ,e :eel at seeing them.B That reEuires a
%ertain stru%ture in the musi%al ,or+9 Rousseau< BAll o: musi% %an $e %omposed o: only these
three things< melody or song7 harmony or a%%ompaniment7 mo8ement or tempo.B ) emphasiHe<
harmony or a%%ompaniment9 that means e8erything else is su$ordinate to melody< it is melody
that is primordial7 and harmony is merely a%%ompaniment7 Bha8ing 8ery little po,er o8er the
human heart.B
The do%trine o: so%ialist realism7 ,hi%h t,o %enturies later ,as to muHHle Russian musi% :or o8er
hal: a %entury7 asserted this same thing. B(ormalistB %omposers ,ere $erated :or negle%ting
melody =the %hie: ideologue7 Mhdano87 ,as indignant $e%ause their musi% %ould not $e ,histled
on the ,ay out o: the %on%ert>9 they ,ere e?horted to e?press Bthe ,hole range o: human
:eelingsB =modern musi%7 :rom De$ussy on7 ,as denoun%ed :or its ina$ility to do so>9 musi%;s
:a%ulty :or e?pressing the :eelings reality arouses in man ga8e it BrealismB =Dust as Rousseau
said>. =So%ialist realism in musi%< the prin%iples o: the se%ond hal: trans:ormed into dogmas to
$lo%+ modernism.>
The most se8ere and thorough %riti%ism o: Stra8ins+y is surely Theodor Adorno;s in his :amous
$oo+ The Philosophy of Modern Music =!"0">. Adorno depi%ts the situation in musi% as i: it ,ere
a politi%al $attle:ield< S%hoen$erg the positi8e hero7 the representati8e o: progress =though a
progress that might $e termed tragi%7 at a time ,hen progress is o8er>7 and Stra8ins+y the
negati8e hero7 the representati8e o: restoration. The Stra8ins+ian re:usal to see su$De%ti8e
%on:ession as musi%;s raison d;etre $e%omes one target o: the Adorno %ritiEue9 this
Bantipsy%hologi%al :urorB is7 he says7 a :orm o: Bindi::eren%e to,ard the ,orldB9
Stra8ins+y;s desire to o$De%ti8iHe musi% is a +ind o: ta%it a%%ord ,ith the %apitalist so%iety that
%rushes human su$De%ti8ity9 :or it is the BliEuidation o: the indi8idual that Stra8ins+y;s musi%
%ele$rates7B nothing less.
Ernest Ansermet7 an e?%ellent musi%ian and %ondu%tor7 and one o: the :oremost per:ormers o:
Stra8ins+y;s ,or+ =Bone o: my most :aith:ul and de8oted :riends7B says Stra8ins+y in hronicle
of My Life=3 later $e%ame his impla%a$le %riti%9 his o$De%tions are :undamental7 they are
%on%erned ,ith Bmusi%;s rai@son d;etre.B Ansermet says it is Bthe a::e%ti8e a%ti8ity latent in men;s
hearts . . . that has al,ays $een the sour%e o: musi%B9 the Bethi%al essen%eB o: musi% lies in the
e?pression o: that Ba::e%ti8e a%ti8ityB9 ,ith Stra8ins+y7 ,ho Bre:uses to in8est his person in the
a%t o: musi%al e?pression7B musi% Bthere$y %eases to $e an aestheti% e?pression o: the human
ethi%B9 thus7 :or instan%e7 Bhis Mass is not the e?pression o: the mass $ut its portrayal3 ,hi%h
might Dust as ,ell ha8e $een ,ritten $y an irreligious musi%ianB and ,hi%h7 %onseEuently7
pro8ides only a Bready@made religiosityB9 $y thus under%utting the true raison d;etre o: musi% =$y
su$stituting portrayals :or religious a8o,al>7 Stra8ins+y :ails in nothing less than his ethi%al
o$ligation.
1hy this :uryG )s it the lega%y o: the pre8ious %entury7 the romanti%ism in us stri+ing out at its
most signi:i%ant7 its most thorough negationG 2as Stra8ins+y 8iolated some e?istential need
hidden ,ithin us allG The need to %onsider damp eyes $etter than dry eyes7 the hand on the heart
$etter than the hand in the po%+et7 $elie: $etter than s+epti%ism7 passion $etter than serenity7 :aith
$etter than +no,ledgeG
Ansermet pro%eeds :rom %riti%ism o: the musi% to %riti%ism o: its author< i: Stra8ins+y Bneither
made nor tried to ma+e his musi% an a%t o: sel:@e?pression7 it;s not out o: :ree %hoi%e7 $ut out o: a
+ind o: limitation in his nature7 a la%+ o: autonomy in his a::e%ti8e a%ti8ity =not to spea+ o: his
po8erty o: heart7 a heart that ,ill stay poor until it has something to lo8e>.B
DamnF 1hat did Ansermet7 that most :aith:ul :riend7 +no, a$out Stra8ins+y;s po8erty o: heartG
1hat did he7 that most de8oted :riend7 +no, a$out Stra8ins+y;s %apa%ity to lo8eG And ,here did
he get his utter %ertainty that the heart is ethi%ally superior to the $rainG Are not 8ile a%ts
%ommitted as o:ten ,ith the heart;s help as ,ithout itG Can;t :anati%s7 ,ith their $loody hands7
$oast o: a high degree o: Ba::e%ti8e a%ti8ityBG 1ill ,e e8er $e done ,ith this im$e%ile
sentimental )nEuisition7 the heart;s Reign o: TerrorG
,hat &s !uperficial and ,hat &s Profound:
The soldiers o: the heart assail Stra8ins+y7 or else7 in an e::ort to sal8age his musi%7 they try to
dis%onne%t it :rom its author;s BerroneousB ideas. That no$le determination to Bsal8ageB the musi%
o: %omposers ,ho might ha8e too little heart o%%urs Euite o:ten ,ith regard to the musi%ians o:
the :irst hal:7 in%luding Ba%h< BThe t,entieth@%entury epigones7 "ho "ere frightened $y the
e8olution o: the musi%al languageBC meaning Stra8ins+y ,ith his re:usal to :ollo, the t,el8e@
tone s%hoolCBand ,ho $elie8ed they %ould redeem their sterility through ,hat they %alled the
;return to Ba%h; are deeply mista+en a$out Ba%h;s musi%9 they had the effrontery to represent it as
;o$De%ti8e7; a$solute musi% ,ith none $ut a purely musi%al meaning. . . . *nly me%hani%al
per:orman%es7 in a %ertain period o: cra'en purism7 %ould gi8e the impression that Ba%h;s
instrumental musi% is not su$De%ti8e and e?pressi8e.B ) ha8e emphasiHed the terms that sho, the
passionate Euality o: this !".# te?t $y Antoine 6olea.
By %han%e7 ) %ame upon a little %ommentary $y another musi%ologist9 it %on%erns Ra$elais;s great
%ontemporary Clement AaneEuin and his so@%alled des%ripti8e ,or+s7 li+e B'e hant des
oiseau>G =BBirdsongB> or B'e aBuet des femmesG =B1omen;s ChatterB>9 the determination to
Bsal8ageB is the same =here again the itali%s are mine>< BNonetheless7 these pie%es remain rather
superficial. No,7 AaneEuin is a :ar more %omplete artist than people are ,illing to admit7 :or
aside :rom his undenia$le pictorial gifts3 his ,or+ displays a tender poetry3 a penetrating ardor
in the e>pression of feelings. . . . This is a poet o: su$tlety7 sensiti8e to nature;s $eauties9 he is
also a peerless bard of "omankind3 to ,hose praise he $rings tones of tenderness3 admiration3
respect ...B
Note the 8o%a$ulary< the poles o: good and e8il are designated $y the adDe%ti8e Bsuper:i%ialB and
its understood %ontrary7 Bpro:ound.B But are AaneEuin;s Bdes%ripti8eB %ompositions a%tually
super:i%ialG )n these :e, ,or+s7 AaneEuin trans%ri$es nonmusi%al sounds =$irdsong7 ,omen;s
%hatter7 the ra%+et o: the streets7 the sounds o: a hunt or a $attle7 and so on> $y musi%al means
=%horal singing>9 that Bdes%riptionB is ,or+ed out polyphoni%ally. The union o: Bnaturalisti%B
imitation =,hi%h pro8ides AaneEuin ,ith some ,onder:ul ne, sonorities> and erudite polyphony7
a union7 that is7 o: t,o nearly in%ompati$le e?tremes7 is :as%inating< this is an art that is elegant7
play:ul7 Doyous7 and :ull o: humor.
And yet< it is pre%isely the ,ords Belegant7B Bplay:ul7B BDoyous7B Bhumor7B that sentimental
rhetori% sets in opposition to the pro:ound. But ,hat is pro:ound and ,hat is super:i%ialG (or
AaneEuin;s %riti%7 super:i%ial are the Bpi%torial gi:tsB and Bdes%riptionB9 pro:ound are the
Bpenetrating ardor in the e?pression o: :eelingsB and the Btones o: tenderness7 admiration7
respe%tB :or ,oman+ind. Thus Bpro:oundB is ,hat tou%hes on the :eelings. But one %ould de:ine
Bthe pro:oundB in another ,ay< pro:ound is ,hat tou%hes on the essential. The pro$lem AaneEuin
tou%hes on in his %ompositions is the :undamental ontologi%al pro$lem o: musi%< the pro$lem o:
the relation $et,een noise and musi%al sound.
Music and Noise
1hen man %reated a musi%al sound =$y singing or $y playing an instrument>7 he di8ided the
a%ousti%al ,orld into t,o sharply distin%t parts< that o: arti:i%ial sounds and that o: natural
sounds. )n his musi%7 AaneEuin sought to put them together. )n the middle o: the si?teenth
%entury7 he thus pre:igured ,hat in the t,entieth %entury ,ould $e done $y7 :or instan%e7 Aana%e+
=his studies o: spo+en language>7 Barto+7 or7 in an e?tremely systemati% ,ay7 Messiaen =in the
,or+s inspired $y $irdsong>.
AaneEuin;s art reminds us that there e?ists an a%ousti% uni8erse outside the human soul7 one that
%onsists not merely o: nature sounds $ut also o: human 8oi%es spea+ing7 singing7 and gi8ing
soni% :lesh to e8eryday li:e as ,ell as to :esti8e o%%asions. 2e reminds us that the %omposer %an
gi8e a great musi%al :orm to that Bo$De%ti8eB uni8erse.
*ne o: Aana%e+;s most original %ompositions< The !e'enty Thousand =!"-">< a pie%e :or mens
%horus a$out the :ate o: the Silesian miners. The se%ond hal: o: the ,or+ =,hi%h should $e in
e8ery anthology o: modern musi%> is an e?plosion o: shouts :rom the %ro,d7 shouts that tangle
together in a :as%inating tumult< a %omposition that =despite its amaHing dramati% emotional
%harge> %omes %uriously %lose to the madrigals that7 in AaneEuin;s time7 turned the street %ries o:
Paris and 'ondon into musi%.
) thin+ o: Stra8ins+y;s Les Noces =,ritten $et,een !"!0 and !"I#>< a portrayal =the term
Ansermet uses as a peDorati8e is a%tually Euite appropriate> o: a 8illage ,edding9 ,e hear songs7
noises7 spee%hes7 shouts7 %alls7 monologues7 Do+ing =a tumult o: 8oi%es pre:igured $y Aana%e+>7
a%%ompanied $y an or%hestration =:our pianos and per%ussion> o: :as%inating harshness =,hi%h
pre:igures Barto+>.
And ) thin+ o: Barto+;s piano suite 2ut of Doors =!"I.>7 the :ourth part< nature sounds =the
8oi%es o: :rogs at a pond7 it seems to me> suggest to Barto+ rare and strange melodi% moti:s9 then
into these animal tones merges a :ol+ song that7 human in8ention though it is7 lies on the same
plane as the :rog sounds9 it is not a lied7 that song o: the Romanti%s meant to display the
Ba::e%ti8e a%ti8ityB o: the %omposer;s soul9 it is a
melody %ome :rom the outside as a noise among other noises.
And ) thin+7 too7 o: the Adagio o: Barto+;s Third Piano Con%erto =a ,or+ o: his last7 his sad7
Ameri%an period>. The hypersu$De%ti8e theme7 ine::a$ly melan%holy7 alternates ,ith a se%ond7
this one hypero$De%ti8e =,hi%h in%identally re%alls the :ourth part o: the 2ut of Doors suite>< as i:
a souls sorro, %ould :ind %onsolation only in the nonsentien%e o: nature.
) say7 indeed< B%onsolation in the nonsentien%e o: nature.B (or nonsentien%e is %onsoling9 the
,orld o: nonsentien%e is the ,orld outside human li:e9 it is eternity9 Bit is the sea gone o:: ,ith
the sunB =Rim$aud>. ) remem$er the gloomy years ) spent in Bohemia early in the Russian
o%%upation. ) :ell in lo8e then ,ith 4arese and 5ena+is< those pi%tures o: sound@,orlds that ,ere
o$De%ti8e $ut none?istent spo+e to me o: a li:e :reed o: human su$De%ti8ity7 aggressi8e and
$urdensome9 they spo+e o: the s,eetly nonhuman $eauty o: the ,orld $e:ore or a:ter man+ind
mo8ed through it.
Melody
) listen to a polyphoni% %hant :or t,o 8oi%es :rom the t,el:th@%entury S%hool o: Notre@Dame in
Paris< underneath7 in augmented note 8alues7 as a cantus firmus3 an an%ient 6regorian %hant =a
%hant that goes $a%+ to an immemorial and pro$a$ly non@European past>9 a$o8e it7 in shorter
note 8alues7 un:olds the polyphoni% a%%ompaniments melody. This em$ra%e o: t,o melodies
$elonging to t,o di::erent eras =%enturies
apart> has something mar8elous a$out it< li+e reality and para$le at on%e7 here is the $irth o:
European musi% as art< a melody is %reated to go in %ounterpoint ,ith another7 8ery old7 melody
,hose origins are almost un+no,n9 so this ne, one is there as something se%ondary7 su$ordinate7
it is there to ser'e@ though Bse%ondary7B it is this 8oi%e that $rings to $ear all the in8ention7 all the
la$or7 o: the medie8al musi%ian7 ,hereas the melody it a%%ompanies has $een ta+en un%hanged
:rom an antiEue repertoire.
This old polyphoni% %omposition delights me< the ne, melody on top is long7 unending7 and
unmemoriC9able@ it is not the produ%t o: some sudden inspiration3 it did not spring :orth as the
dire%t e?pression o: some state o: mind9 it has the Euality o: an elaboration3 a B%ra:tsmanB;s ,or+
o: ornamentation7 a ,or+ done not to let the artist open his soul =sho, his Ba::e%ti8e a%ti8ity7B to
use Ansermets term> $ut to let him7 in all humility7 em$ellish a liturgy.
And it;s my impression that until Ba%h the art o: melody ,ould +eep that Euality the earliest
polyphoni% %omposers ga8e it. ) listen to the Adagio o: Ba%h;s E MaDor 4iolin Con%erto< li+e a
+ind o: cantus firmus3 the or%hestra =the $ass instruments> plays a 8ery simple theme7 readily
memoriHa$le and many times repeated7 ,hile the 8iolin melody =the :o%us o: the %omposer;s
melodi% %hallenge> soars a$o8e7 in%ompara$ly longer7 more 8arious7 ri%her than the or%hestras
cantus firmus =to ,hi%h it is nonetheless su$ordinate>7 $eauti:ul7 spell$inding yet elusi8e7
unmemoriHa$le7 and :or us %hildren o: the se%ond hal:7 su$limely ar%hai%.
The situation %hanges ,ith the da,n o: the Classi%al. Composition loses its polyphoni% nature9 in
the sonority o: the a%%ompaniment harmonies7 the autonomy o: the 8arious singular 8oi%es
disappears7 and disappears still more as the great inno8ation o: the se%ond hal:Cthe symphoni%
or%hestra ,ith its thi%+ness o: soundCgains prominen%e9 the melody that ,as Bse%ondary7B
Bsu$ordinate7B $e%omes the main point in %omposition and dominates musi%al stru%ture7 ,hi%h
in%identally undergoes a %omplete trans:ormation.
Then the %hara%ter o: melody %hanges too< no more is it the long line that runs through an entire
pie%e9 it %an $e redu%ed to a phrase o: a :e, measures7 a phrase that is 8ery e?pressi8e and
%on%entrated7 and thus easily memoriHa$le7 that %an %at%h =or pro8o+e> a dire%t emotion =more
than e8er $e:ore7 musi% is set a great semanti% tas+< to %apture and musi%ally Bdes%ri$eB all the
emotions and their nuan%es>. This is ,hy the present@day audien%e applies the term Bgreat
melodistB to the %omposers o: the se%ond hal:Cto a MoHart7 a ChopinC$ut rarely to Ba%h or
4i8aldi and still less to AosEuin des Pres or Palestrina< the %urrent idea o: melody =o: ,hat
%onstitutes $eauti:ul melody> ,as shaped $y the Classi%al aestheti%.
Yet it is not true that Ba%h is less melodi% than MoHart9 it is only that his melody is di::erent. The
Art of Fugue6 the :amous theme
is that +ernel out o: ,hi%h =as S%hoen$erg said> the ,hole is %reated9 $ut that is not the melodi%
treasure o: The Art of Fugue@ the treasure is in all the melodies
that arise :rom this theme and :orm the %ounterpoint to it. ) li+e 8ery mu%h 2ermann S%her%hen;s
or%hestration and re%orded interpretation9 :or e?ample7 Contrapun%tus )47 the fourth single
fugue6 he %ondu%ts it at hal: the %ustomary speed =Ba%h did not pres%ri$e the tempi>9
immediately7 at that slo, tempo7 the ,hole o: its unsuspe%ted melodi% $eauty is re8ealed. That
remelodiCation o: Ba%h has nothing to do ,ith roman9ticiCation =no ru$ato7 no added %hords in
S%her%hen>9 ,hat ) hear is the authenti% melody o: the :irst hal:7 elusi8e7 unmemoriHa$le7
irredu%i$le to a $rie: phrase7 a melody =an ent,ining o: melodies> that $e,it%hes me $y its
ine::a$le serenity. )mpossi$le to hear it ,ithout great emotion. But it is an emotion essentially
di::erent :rom one stirred $y a Chopin no%turne.
As i:7 $ehind the art o: melody7 there hid t,o possi$le intentionalities7 %ontrary to one another< as
i: a Ba%h :ugue7 $y $ringing us to %ontemplate a $eauty o: $eing that is outside the su$De%ti8e7
aimed to ma+e us :orget our moods7 our passions and pains7 oursel8es9 and as i: on the other
hand Romanti% melody aimed to ma+e us plunge into oursel8es7 :eel the sel: ,ith a terri$le
intensity7 and :orget e8erything outside.
Modernism1s #reat ,orks as *ehabilitation of the First (alf
The great no8elists o: the post@Proust periodC) ha8e espe%ially in mind Ka:+a7 Musil7 Bro%h7
6om$ro,i%H7 or7 in my generation7 (uentesC,ere highly sensiti8e to the nearly :orgotten
aestheti% o: the no8el pre8ious to the nineteenth %entury< they in%orporated essayisti%
re:le%tion into the art o: the no8el9 made %omposition :reer9 re%laimed the right to digression9
$reathed the spirit o: the nonserious and o: play into the no8el9 repudiated the dogmas o:
psy%hologi%al realism in %reating %hara%ters ,ithout trying to %ompete =li+e BalHa%> ,ith the etat
ci'ilC,ith the state registry o: %itiHens9 and a$o8e all< they re:used any o$ligation to gi8e the
reader the illusion o: reality< an o$ligation that reigned supreme throughout the no8els se%ond
hal:.
The point o: this reha$ilitation o: the :irst@hal: no8elisti% prin%iples is not a return to this or that
retro style9 nor is it a simpleminded reDe%tion o: the nineteenth@%entury no8el9 the point o: the
reha$ilitation is more general< to redefine and broaden the 8ery notion o: the no8el9 to resist the
reduction ,or+ed $y the nineteenth %entury;s aestheti% o: the no8el9 to gi8e the no8el its entire
histori%al e?perien%e :or a grounding.
) do not mean to dra, a :a%ile parallel $et,een the no8el and musi%7 the stru%tural issues o: the
t,o arts not $eing %ompara$le9 $ut the histori%al situations are similar< li+e the great no8elists7
the great modern %omposers =Stra8ins+y and S%hoen$erg $oth> determined to en%ompass all the
%enturies o: musi%7 to rethin+ and rema+e the s%ale o: 8alues o: its "hole history9 to do this7 they
had to e?tri%ate musi% :rom the rut o: the se%ond hal: =$y the ,ay< the term Bneo%lassi%ismB
%ommonly pinned on Stra8ins+y is misleading7 :or his most de%isi8e e?%ursions into the past
rea%h into eras earlier than the Classi%al>9 :rom ,hi%h %omes their reti%en%e< as to %omposition
te%hniEues originating ,ith the sonata9 as to the preeminen%e o: melody9 as to the soni%
demagogy o: s8mphoni% or%hestration9 $ut :rom ,hi%h %omes7 a$o8e all< their re:usal to see
musi%;s rai@
son d;etre e>clusi'ely as an a8o,al o: emotional li:e7 an attitude that during the nineteenth
%entury $e%ame as %oer%i8e as did the reEuirement o: plausi$ility :or the no8el.
Although that in%lination to reread and ree8aluate the entire history o: musi% is %ommon to all
the great modernists =i: it is7 as ) $elie8e7 the mar+ that distinguishes great modern art :rom
modernist trumpery>7 still7 it is Stra8ins+y ,ho e?presses it more %learly than anyone else =and
hyper$oli%ally7 ) ,ould add>. That7 $y the ,ay7 is the :o%us o: his detra%tors; atta%+s< in his e::ort
to root himsel: in the ,hole history o: musi% they see e%le%ti%ism9 a la%+ o: originality9 a :ailure
o: in8ention. 2is Bin%redi$le di8ersity o: stylisti% pro%edures . . . amounts to an a$sen%e o: style7B
says Ansermet. And Adorno7 sar%asti%ally< Stra8ins+y;s musi% is inspired only $y musi%7 it is
Bmusi% a$out musi%.B
3n:air Dudgments< :or ,hile Stra8ins+y7 li+e no other %omposer $e:ore or a:ter him7 did turn :or
inspiration to the ,hole span o: musi%7 in no ,ay does that lessen the originality o: his art. And )
do not merely mean that the same personal traits are al,ays 8isi$le $eneath the shi:ts in his style.
) mean that it is pre%isely his 8aga$ondage through musi%al historyChis %ons%ious7 purpose:ul
Be%le%ti%ism7B giganti% and unmat%hedCthat is his total and in%ompara$le originality.
The Third ;or 2'ertime= Period
But ,hat is the signi:i%an%e7 in Stra8ins+y7 o: this determination to en%ompass the ,hole span o:
musi%G 1hat is the pointG
As a young man7 ) ,ould ans,er ,ithout hesitation< to me7 Stra8ins+y ,as one o: those :igures
,ho had opened the doors onto distan%es ) sa, as $oundless. ) thought he meant to summon up
and mo$iliHe all the po,ers7 all the means a8aila$le to the history o: musi%7 :or the infinite
8ourney that is modern art.
The in:inite Dourney that is modern artG Sin%e then7 );8e lost that :eeling. The Dourney ,as a short
one. That is ,hy7 :or my metaphor o: the t,o game hal8es o: musi% history7 );8e imagined
modern musi% as a mere postlude7 an epilogue to the history o: musi%7 a %ele$ration that mar+s
the end o: the ad8enture7 a s+y a$laHe at the end o: the day.
No, ) do hesitate< e8en though it is true that the time o: modern musi% has $een so short7 e8en
though it has lasted only a generation or t,o7 and has thus really $een no more than an epilogue7
still7 $y reason o: its enormous $eauty7 its artisti% importan%e7 its entirely ne, aestheti%7 does it
not deser8e to $e %onsidered an era %omplete unto itsel:7 a third :or o'ertime= period: Should )
not re8ise my metaphor a$out the histories o: musi% and o: the no8elG Should ) not say that they
happened o8er three periodsG
Yes7 ) do re8ise my metaphor7 and all the more ,illingly as ) am deeply7 passionately :ond o: that
third period7 that Bs+y a$laHe at the end o: the day7B :ond o: that period ,hi%h ) $elie8e ) mysel:
am part o:7 e8en i: ) am part o: something that is already :inished.
But to return to my Euestion< ,hat is the signi:i%an%e o: Stra8ins+y;s determination to en%ompass
the ,hole span o: musi%G 1hat is the pointG
An image hounds me< a%%ording to a popular $elie:7 at the moment o: his death a person sees his
,hole li:e pass $e:ore his eyes. )n Stra8ins+y;s ,or+7 European musi% re%alled its thousand@year
history9 that ,as its :inal dream $e:ore setting out :or an eternal dreamless sleep.
Playful Transcription
'et us distinguish t,o things< on the one hand< the general trend :or restoring :orgotten
prin%iples o: musi% o: the past7 a trend that runs through all Stra8ins+y;s ,or+ and that o: his
great %ontemporaries9 on the other hand< the dire%t dialogue that Stra8ins+y %arries on ,ith
T%hai+o8s+y7 then ,ith Pergolesi7 then ,ith 6esualdo7 and so on9 these Bdire%t dialogues7B
trans%riptions o: this or that old ,or+7 in this or that parti%ular style7 are a pro%edure o:
Stra8ins+y;s o,n that ,e :ind in pra%ti%ally no other o: his %omposer %ontemporaries =,e do :ind
it in Pi%asso>.
Adorno interprets Stra8ins+y;s trans%riptions thus =) emphasiHe the +ey terms>< BThese notesBC
the dissonant notes7 alien to the harmony7 ,hi%h Stra8ins+y uses in Pulcinella3 :or instan%e
CB$e%ome the mar+s o: the 'iolence the %omposer ,rea+s against the idiom7 and it is that
'iolence ,e relish a$out them7 that battering3 that 'iolation3 so to speak3 of musical life. Though
dissonan%e may originally ha8e $een the e?pression o: sub8ecti'e suffering3 its harshness shi:ts in
8alue and $e%omes the sign o: a social constraint3 ,hose agent is the style@setting %omposer. 2is
,or+s ha8e no other material $ut the em$lems o: that con9straint3 a ne%essity e?ternal to the
su$De%t7 ha8ing
nothing in %ommon ,ith it7 and ,hi%h is merely imposed :rom the outside. )t may $e that the
,idespread e::e%t o: these ,or+s o: Stra8ins+y;s is due in large part to the :a%t that inad8ertently7
and under %olor o: aestheti%ism7 they in their o"n "ay trained men to something that "as soon
methodically inflicted on them at the political le'el.G
'et us re%apitulate< a dissonan%e is Dusti:ied i: it e?presses Bsu$De%ti8e su::ering7B $ut in
Stra8ins+y =,ho is morally guilty7 as ,e +no,7 o: ne8er dis%ussing his su::erings> that 8ery
dissonan%e is the sign o: $rutality9 a parallel is dra,n =$y a $rilliant short %ir%uit o: Adorno
thought> ,ith politi%al $rutality< thus the dissonant %hords added to Pergolesis musi% pre:igure
=and there$y prepare> the %oming politi%al oppression =,hi%h in this parti%ular histori%al %onte?t
%an mean only one thing< :as%ism>.
) had my o,n e?perien%e ,ith the :ree trans%ription o: a ,or+ :rom the past ,hen7 early in the
!"/-s7 ,hile ) ,as still in Prague7 ) set a$out ,riting a 8ariation :or the theater on 7acBues le
Fataliste. Diderot $eing :or me the em$odiment o: a :ree7 rational7 %riti%al mind7 ) e?perien%ed
my a::e%tion :or him at the time as a +ind o: yearning :or the 1est =to my eyes7 the Russian
o%%upation o: my %ountry represented a :or%ed de@1esterniHation>. But the meaning o: things
+eeps %hanging< today ) ,ould say that Diderot em$odied :or me the :irst hal: o: the art o: the
no8el and that my play %ele$rated 8arious prin%iples ,ell +no,n to the no8elists o: old7 and dear
to me as ,ell< =!> the euphori% :reedom o: %omposition9 =I> the %onstant asso%iation o: li$ertine
stories and philosophi%al re:le%tions9 =#> the nonserious7 ironi%al7 parodi%7
sho%+ing nature o: those re:le%tions. The rules o: the game ,ere %lear< ,hat ) did ,as not an
adaptation o: Diderot7 it ,as my o,n play7 my 'ariation on Diderot7 my homage to Diderot< )
%ompletely re,rote his no8el9 the lo8e stories are ta+en :rom him7 $ut the ideas in the dialogue
are largely mine9 anyone %an instantly see lines in it that are unthin+a$le :rom Diderot;s pen9 the
eighteenth %entury ,as optimisti%7 my time is not7 ) mysel: still less so7 and in my play the
Master and Aa%Eues %hara%ters indulge in dar+ e?%esses $arely imagina$le in the age o:
Enlightenment.
A:ter that little e?perien%e o: my o,n ) %an only %all stupid those remar+s on Stra8ins+y;s
$rutality and 8iolen%e. 2e lo8ed his old master as ) lo8ed mine. )n adding t,entieth@%entury
dissonan%es to melodies o: the eighteenth7 perhaps he imagined he might intrigue his master out
in the $eyond7 that he might tell him something important a$out our time7 that he might e8en
amuse him. 2e needed to address him7 to tal+ to him. The playful transcription o: an old ,or+
,as :or him li+e a ,ay o: esta$lishing %ommuni%ation $et,een %enturies.
Playful Transcription According to <afka
A %urious no8el7 Ka:+a;s Amerika6 indeed7 ,hy should this young t,enty@nine@year@old ,riter
ha8e laid his :irst no8el in a %ontinent ,here he had ne8er set :ootG This %hoi%e sho,s a %lear
intent< to not do realism9 $etter yet< to not do a serious ,or+. 2e did not e8en try to palliate his
ignoran%e $y resear%h9 he in8ented his idea o: Ameri%a :rom se%ond@rate readings7 :rom
popular prints7 and indeed7 the no8el;s image o: Ameri%a is =intentionally> made up o: %li%hes9
the main inspiration :or the %hara%ters and plot =as he a%+no,ledged in his diary> is Di%+ens7
espe%ially Da'id opperfield =Ka:+a des%ri$es the :irst %hapter o: Amerika as Ba sheer imitation
o: Di%+ens;>< he pi%+s up parti%ular moti:s :rom it =and lists them< Bthe story o: the trun+7 the $oy
,ho delights and %harms e8eryone7 the menial la$or7 the s,eetheart in the %ountry house7 the
:ilthy li8ing EuartersB>7 and he dra,s on its %hara%ters =Karl is an a::e%tionate parody o: Da8id
Copper:ield> and espe%ially on the atmosphere that all Di%+ens;s no8els $athe in< the
sentimentality7 the nai8e distin%tion $et,een good and e8il :igures. Adorno spea+s o:
Stra8ins+y;s musi% as a Bmusi% a$out musi%B9 Ka:+a;s Amerika is a Bliterature a$out literature7B
and ,ithin the genre it is e8en a %lassi% ,or+7 perhaps a seminal one.
The :irst page o: the no8el< in the port o: Ne, Yor+7 Karl is a$out to lea8e the ship ,hen he
realiHes that he has :orgotten his um$rella $elo,. )n order to go $a%+ :or it7 ,ith a gulli$ility that
is $arely $elie8a$le he entrusts his steamer trun+ =a hea8y trun+ holding e8erything he o,ns> to a
stranger< o: %ourse7 he loses the trun+ and the um$rella $oth. (rom the :irst lines7 the spirit o:
play:ul parody generates an imaginary ,orld ,here nothing is %ompletely plausi$le and
e8erything is a little %omi%al.
Ka:+a;s %astle7 ,hi%h e?ists on no map any,here7 is no more unreal than that Ameri%a %on%ei8ed
as a %li%he pi%ture o: the ne, %i8iliHation o: gigantism and the ma%hine. )n the house o: his un%le
the senator7 Karl %omes a%ross a des+ that is an e?traordinarily
%ompli%ated ma%hine7 ,ith a hundred %ompartments +eyed to a hundred push $uttons7 an o$De%t
at on%e pra%ti%al and utterly useless7 at on%e te%hni%al ,onder and nonsense. ) %ounted ten su%h
de8i%es in the no8el7 all mar8elous7 entertaining7 and implausi$le7 :rom the un%les des+7 the
maHeli+e %ountry house7 the 2otel *%%idental =monstrously %omple? ar%hite%ture7 dia$oli%ally
$ureau%rati% organiHation>7 to the *+lahoma Theater7 itsel: another enormous7 in%omprehensi$le
administration. So it is through parodi% playing =playing ,ith %li%hes> that Ka:+a :irst set out his
greatest theme7 that o: the la$yrinthine so%ial organiHation ,here man loses his ,ay and pro%eeds
to his ruin. =6eneti%ally spea+ing< the %omi%al me%hanism o: the un%les des+ is the an%estor o:
the terri:ying %astle administration.> Ka:+a managed to %apture this theme7 gra8e as it is7 not $y
means o: a realisti% no8el7 grounded in some MolaesEue e?amination o: so%iety7 $ut $y Dust that
seemingly :ri8olous means o: Bliterature a$out literatureB ,hi%h allo,ed his imagination all the
:reedom it reEuired =:reedom :or e?aggerations7 :or enormities7 :or impro$a$ilities7 :reedom :or
play:ul in8entions>.
(eartlessness Masked by a !tyle 2'erflo"ing "ith Feeling
)n Amerika3 there are many una%%ounta$ly e?%essi8e sentimental gestures. The end o: the :irst
%hapter< Karl is already set to go o:: ,ith his un%le7 the sto+er is staying $ehind7 a$andoned in
the %aptains %a$in.
Then Karl =) stress the +ey phrases> B,ent o8er to the sto+er7 pulled the man;s right hand out o:
his $elt and held it lightly in his. . . . Karl dre" his fingers back and forth bet"een the stoker1s3
,hile the sto+er loo+ed around ,ith shining eyes7 as if blessed by a great happiness3 but one that
nobody could grudge him.
B;No, you must get ready to de:end yoursel:7 ans,er yes and no7 or else these people ,ont ha8e
any idea o: the truth. You must promise me to do ,hat ) tell you7 :or );m a:raid7 and );8e good
reason :or it7 that ) ,on;t $e a$le to help you anymore.; And then Karl burst out crying and kissed
the stoker1s hand3 ta+ing that seamed7 almost ner8eless hand and pressing it to his cheek like a
treasure that he ,ould soon ha8e to gi8e up. But no, his un%le the senator ,as at his side and
"ith only the slightest compulsion led him a,ay.B
Another e?ample< At the end o: the e8ening at Pollunder;s %ountry house7 Karl e?plains at length
,hy he ,ants to go $a%+ to his un%le;s. BDuring this long spee%h o: Karl;s7 Mr. Pollunder had
listened attenti8ely7 o:ten7 parti%ularly ,hen 3n%le Aa%o$ ,as mentioned . . . pressing <arl to
himself. ...B
The sentimental gestures o: the %hara%ters are not only e?aggerated7 they are inappropriate. Karl
has +no,n the sto+er :or $arely an hour and has no reason to $e so passionately atta%hed to him.
And i: ,e de%ide that the 8oung man is nai8ely tou%hed $y the prospe%t o: a manly :riendship7
,e are all the more amaHed ,hen7 a moment later7 he so readily lets himsel: $e %arried o:: :rom
his ne, :riend7 ,ithout any resistan%e.
)n that e8ening s%ene7 Pollunder +no,s :ull ,ell that the un%le has already thro,n Karl out o: his
house9 that is ,hy he ta+es Karl in an a::e%tionate em$ra%e.
Yet ,hen7 in Pollunder;s presen%e7 Karl reads the un%le;s letter and learns o: his o,n sad :ate7
Pollunder sho,s him no :urther a::e%tion and o::ers him no help.
)n Ka:+a;s Amerika3 ,e :ind oursel8es in a uni8erse o: :eelings that are inappropriate7 mispla%ed7
e?aggerated7 un:athoma$le7 orCthe re8erseC$iHarrely missing. )n his diary7 Ka:+a %hara%teriHed
Di%+ens;s no8els $y the ,ords< B2eartlessness mas+ed $y a style o8er:lo,ing ,ith :eeling.B Su%h
is the real meaning o: that theater o: sho,ily displayed and instantly :orgotten :eelings that is
Ka:+a;s no8el. This B%ritiEue o: sentimentalityB =an impli%it7 parodi%7 droll7 ne8er aggressi8e
%ritiEue> is aimed not at Di%+ens alone $ut at romanti%ism generally7 at its heirs7 Ka:+a;s
%ontemporaries7 parti%ularly the e?pressionists7 ,ith their %ult o: hysteria and madness9 it is
aimed at the entire 2oly Chur%h o: the 2eart9 and on%e more7 it $rings together those t,o
apparently 8ery di::erent artists7 Ka:+a and Stra8ins+y.
A Little 5oy in ?cstasy
*: %ourse7 one %annot say that musi% =all musi%> is in%apa$le o: e?pressing :eelings9 the musi% o:
the Romanti% era is authenti%ally and legitimately e?pressi8e9 $ut e8en a$out that musi% it %an $e
said< its "orth has nothing to do ,ith the intensity o: the :eelings it pro8o+es. (or musi% %an
po,er:ully stir :eelings ,ith no musi%al art at all. ) re%all my %hildhood< sitting at the piano7 )
,ould thro, mysel: into passionate impro8isations :or ,hi%h ) needed nothing $ut a 6@minor
%hord and the su$dominant ( minor7 played for9
tissimo o8er and o8er again. The t,o %hords and the endlessly repeated primiti8e melodi% moti:
made me e?perien%e an emotion more intense than any Chopin7 any Beetho8en7 has e8er gi8en
me. =*ne time my musi%ian :ather7 %ompletely :uriousC) ne8er sa, him so :urious $e:ore or
a:terCrushed into the room7 li:ted me o:: the piano stool7 and ,ith a disgust he %ould $arely
%ontrol7 %arried me into the dining room and set me do,n under the ta$le.>
1hat ) ,as e?perien%ing during those impro8isations ,as an ecstasy. 1hat is e%stasyG The $oy
$anging on the +ey$oard :eels an enthusiasm =or a sorro,7 or a delight>7 and the emotion rises to
su%h a pit%h o: intensity that it $e%omes un$eara$le< the $oy :lees into a state o: $lindness and
dea:ness ,here e8erything is :orgotten7 e8en onesel:. Through e%stasy7 emotion rea%hes its
%lima?7 and there$y at the same time its negation =its o$li8ion>.
E%stasy means $eing Boutside onesel:7B as indi%ated $y the etymology o: the 6ree+ ,ord< the a%t
o: lea8ing one;s position ;stasis=. To $e Boutside onesel:B does not mean outside the present
moment7 li+e a dreamer es%aping into the past or the :uture. Aust the opposite< e%stasy is a$solute
identity ,ith the present instant7 total :orgetting o: past and :uture. ): ,e o$literate the :uture and
the past7 the present moment stands in empty spa%e7 outside li:e and its %hronology7 outside time
and independent o: it =this is ,hy it %an $e li+ened to eternity7 ,hi%h too is the negation o: time>.
1e %an see the a%ousti%al image o: emotion in the Romanti% melody o: a lied< its length seems
intended :or sustaining emotion7 $uilding it7 %ausing its slo,
enDoyment. E%stasy7 on the other hand7 %annot $e mirrored in a melody7 $e%ause memory
strangled $y e%stasy is in%apa$le o: retaining the seEuen%e o: notes in a melodi% phrase7 ho,e8er
short9 the a%ousti%al image o: e%stasy is the %ry =or< a 8ery $rie: melodi% moti: that imitates a
%ry>.
The %lassi% e?ample o: e%stasy is the moment o: orgasm. Thin+ $a%+ to the time $e:ore ,omen
had the $ene:it o: the pill. )t o:ten happened that at the moment o: %lima? a lo8er :orgot to slide
out o: his mistress;s $ody and made her a mother7 e8en though7 a :e, moments earlier7 he had
:irmly intended to $e e?tremely %are:ul. That se%ond o: e%stasy made him :orget $oth his
determination =his immediate past> and his interest =his :uture>.
The instant o: e%stasy thus ,eighed more hea8ily on the s%ales than the un,anted %hild9 and
sin%e the un,anted %hild ,ill pro$a$ly :ill the lo8ers ,hole li:e span ,ith his un,anted
presen%e7 it may $e said that one instant o: e%stasy ,eighed more than a ,hole li:etime. The
lo8ers li:etime :a%ed the instant o: e%stasy :rom roughly the same in:erior status as the :inite has
:a%ing eternity. Man desires eternity7 $ut all he %an get is its imitation< the instant o: e%stasy.
) re%all a day in my youth< ) ,as ,ith a :riend in his %ar9 people ,ere %rossing the street in :ront
o: us. ) sa, a person ) disli+ed and pointed him out to my :riend< BRun him o8erFB )t ,as o:
%ourse only a 8er$al Do+e7 $ut my :riend ,as in a state o: great euphoria7 and he hit the
a%%elerator. The man too+ :right7 slipped7 :ell. My :riend stopped the %ar Dust in time. The man
,as not hurt7 $ut people %ro,ded around and threatened =understanda$ly> to lyn%h us. Yet my
:riend ,as not a murderer $y nature. My ,ords had sent him into a momentary e%stasy =a%tually7
one o: the oddest< the e%stasy o: a Do+e>.
1e are used to %onne%ting the notion o: e%stasy to great mysti%al moments. But there is su%h a
thing as e8eryday7 ordinary7 8ulgar e%stasy< the e%stasy o: anger7 the e%stasy o: speed at the
,heel7 the e%stasy o: ear@splitting noise7 e%stasy in the so%%er stadium. 'i8ing is a perpetual
hea8y e::ort not to lose sight o: oursel8es7 to stay solidly present in oursel8es7 in our stasis. Step
outside oursel8es :or a mere instant7 and ,e 8erge on death;s dominion.
Delight and ?cstasy
) ,onder i: Adorno e8er :ound the slightest pleasure in listening to Stra8ins+y;s musi%. PleasureG
By his lights7 Stra8ins+y;s musi% o::ers only one su%h< Bthe per8erse pleasure o: depri8ationB9 :or
all it does is Bdepri8eB itsel: o: e8erything< o: e?pressi8ity9 o: or%hestral sonority9 o:
de8elopmental te%hniEue9 %asting a Bspite:ul loo+B on the old :orms7 it de:orms them9
Bgrima%ing7B it is in%apa$le o: in8ention7 it only BironiHes7B B%ari%atures7B BparodiesB9 it is Dust
Bnegation7B not merely o: nineteenth@%entury musi% $ut o: musi% altogether =BStra8ins+y;s musi%
is a musi% :rom ,hi%h musi% is $anished7B says Adorno>.
Curious7 %urious. And ,hat a$out the delight that $eams :rom that musi%G
) remem$er the Pi%asso e?hi$ition in Prague in the mid@si?ties. *ne painting has stayed ,ith me.
A ,oman and a man are eating ,atermelon< the ,oman
is seated7 the man is lying on the ground7 his legs li:ted up to the s+y in a gesture o: unspea+a$le
Doy. And the ,hole thing painted ,ith a dele%ta$le o::handedness that made me thin+ the painter7
as he painted the pi%ture7 must ha8e $een :eeling the same Doy as the man ,ith his legs li:ted up.
The delight o: the painter painting the man ,ith his legs li:ted up is a dou$le delight9 it is the
delight o: %ontemplating delight =,ith a smile>. )t is the smile that interests me. )n the delight o:
the man li:ting his legs up to the s+y the painter glimpses a ,onder:ul tinge o: the %omi%al7 and
he reDoi%es in it. 2is o,n smile spurs him to a merry7 heedless in8ention7 Dust as heedless as the
gesture o: the man li:ting his legs to the s+y. So the delight );m tal+ing a$out $ears the mar+ o:
humor9 this is ,hat sets it apart :rom the delight o: other ages in art7 :rom the Romanti% delight
o: 1agners Tristan7 :or instan%e7 or :rom the idylli% delight o: a Philemon and Bau%is. =)s it a
:atal la%+ o: humor that ma+es Adorno so unre%epti8e to Stra8ins+y;s musi%G>
Beetho8en ,rote the B*de to Aoy7B $ut that Beetho8enian Doy is a %eremony that reEuires us to
stand at respe%t:ul attention. The rondos and minuets o: the Classi%al symphonies are7 so to
spea+7 an in8itation to the dan%e7 $ut the delight );m tal+ing a$out and that ) lo8e ,ould not
pro%laim itsel: as delight through the %olle%ti8e a%t o: a dan%e. This is ,hy no pol+a ma+es me
happy e?%ept Stra8ins+y;s BCir%us Pol+a7B ,hi%h is ,ritten not :or us to dan%e to $ut :or us to
listen to7 ,ith our legs li:ted up to the s+y.
There are ,or+s in modern art that ha8e dis%o8ered an inimita$le delight in $eing7 the delight
that
sho,s in a euphori% re%+lessness o: imagination7 in the pleasure o: in8enting7 o: surprisingC
e8en o: sho%+ingC$y an in8ention. *ne might dra, up a ,hole list o: ,or+s o: art that are
su::used ,ith this delight< along ,ith Stra8ins+y HPetrushka3 Les Noces3 *enard3 the apriccio
:or Piano and *r%hestra7 the 4iolin Con%erto7 et%.7 et%.>7 e8erything $y Miro9 Klee;s paintings9
Du:y;s9 Du$u::et;s9 %ertain Apollinaire ,ritings9 late Aana%e+ ;Nursery *hymes3 Se?tet :or 1ind
)nstruments7 his opera The unning Little 4i>en=@ some o: Milhauds ,or+s9 and some o:
Poulen%s< Les Mamelles de Tiresias3 his %omi% opera on a te?t $y Apollinaire7 ,ritten in the last
days o: the ,ar7 ,as denoun%ed $y people ,ho thought it s%andalous to %ele$rate the 'i$eration
,ith a pie%e o: :un9 and indeed7 the age o: delight =o: that rare delight ,hi%h humor sets aglo,>
,as o8er9 a:ter the Se%ond 1orld 1ar7 only the 8ery old masters Matisse and Pi%asso still
managed7 against the spirit o: the times7 to +eep it going in their ,or+.
)n this listing o: the great ,or+s o: delight7 ) %annot o8erloo+ DaHH musi%. The ,hole DaHH
repertory %onsists o: 8ariations on a relati8ely small num$er o: melodies. So it is that all
throughout DaHH ,e +eep %at%hing sight o: a smile that has slipped in $et,een the original melody
and its ela$oration. 'i+e Stra8ins+y7 the great DaHH masters enDoyed the art o: playful
transcription3 and they %omposed their o,n 8ersions not only o: old Negro songs $ut also o:
Ba%h7 o: MoHart7 o: Chopin9 Ellington does trans%riptions o: T%hai+o8s+y and 6rieg7 and :or his
/"is !uite3 he %omposes a 8ariant o: a 8illage pol+a that re%alls Petrushka in spirit. The smile is
not only in8isi$ly present in the spa%e that
separates Ellington :rom his BportrayalB o: 6rieg7 it is :ully 8isi$le on the :a%es o: the old
Di?ieland musi%ians< %ome the moment o: his solo =,hi%h is al,ays partly impro8isedCthat is7
al,ays $rings a :e, surprises>7 the musi%ian steps :or,ard a little7 then yields to another
musi%ian and gi8es himsel: o8er to the pleasure o: listening =the pleasure o: other surprises>.
At DaHH %on%erts people applaud. To applaud means< ) ha8e listened to you %are:ully and no, )
am de%laring my appre%iation. The musi% %alled Bro%+B %hanges the situation. An important :a%t<
at ro%+ %on%erts people do not applaud. )t ,ould $e almost sa%rilege to applaud and thus to $ring
to noti%e the %riti%al distan%e $et,een the person playing and the person listening9 ,e %ome here
not to Dudge and e8aluate $ut to surrender to the musi%7 to s%ream along ,ith the musi%ians7 to
merge ,ith them9 ,e %ome here to see+ identi:i%ation7 not pleasure9 e::usion7 not delight. 1e go
into e%stasy here< the $eat is strong and steady7 the melodi% moti:s are short and endlessly
repeated7 there are no dynami% %ontrasts7 e8erything is fortissimo3 the song tends to,ard the
highest range and resem$les s%reaming. 2ere ,e re no longer in those little nightspots ,here the
musi% ,raps the %ouple in intima%y9 ,e;re in huge halls7 in stadiums7 pressed one against the
ne?t7 and7 i: ,ere dan%ing at a %lu$ there are no %ouples9 ea%h person is doing his mo8es $y
himsel: and together ,ith the ,hole %ro,d at the same time. The musi% turns the indi8iduals into
a single %olle%ti8e $ody< tal+ing here a$out indi8idualism and hedonism is Dust one o: the sel:@
mysti:i%ations o: our time7 ,hi%h =li+e any other time7 $y the ,ay> ,ants to see itsel: as di::erent
:rom ,hat it is.
?'il1s !candalous 5eauty
1hat irritates me in Adorno is his short@%ir%uit method that7 ,ith a :earsome :a%ility7 lin+s ,or+s
o: art to politi%al =so%iologi%al> %auses7 %onseEuen%es7 or meanings9 e?tremely nuan%ed ideas
=Adorno;s musi%ologi%al +no,ledge is admira$le> there$y lead to e?tremely impo8erished
%on%lusions9 in :a%t7 gi8en that an era;s politi%al tenden%ies are al,ays redu%i$le to Dust t,o
opposing tenden%ies7 a ,or+ o: art ne%essarily ends up $eing %lassi:ied as either progressi8e or
rea%tionary9 and sin%e rea%tion is e8il7 the inEuisition %an start the trial pro%eedings.
Le !acre du printemps< a $allet that ends ,ith the sa%ri:i%e o: a young girl7 ,ho must die :or
springtime to return. A%%ording to Adorno< Stra8ins+y is on the side o: $ar$arism9 his Bmusi%
does not identi:y ,ith the 8i%tim7 $ut rather ,ith the destru%ti8e element.B =) ,onder< ,hy the
8er$ Bidenti:yBG ho, does Adorno +no, ,hether Stra8ins+y is Bidenti:yingB ,ith something or
notG ,hy not say Bpaint7B or Bportray7B Bsho,7B BrepresentBG Ans,er< $e%ause only identifying
,ith e8il is %ulpa$le and %an Dusti:y a trial.>
) ha8e al,ays7 deeply7 8iolently7 detested those ,ho loo+ :or a position =politi%al7 philosophi%al7
religious7 ,hate8er> in a ,or+ o: art rather than sear%hing it :or an effort to kno"3 to understand7
to grasp this or that aspe%t o: reality. 3ntil Stra8ins+y7 musi% ,as ne8er a$le to gi8e $ar$ari% rites
a grand :orm. 1e %ould not imagine them musi%ally. 1hi%h means< ,e %ould not imagine the
beauty o: the $ar$ari%. 1ithout its $eauty7 the $ar$ari% ,ould remain in%omprehensi$le. =) stress
this< to +no, any phenomenon deeply reEuires under@
standing its $eauty7 a%tual or potential.> Saying that a $loody rite does possess some $eautyC
there;s the s%andal7 un$eara$le7 una%%epta$le. And yet7 unless ,e understand this s%andal7 unless
,e get to the 8ery $ottom o: it7 ,e %annot understand mu%h a$out man. Stra8ins+y gi8es the
$ar$ari% rite a musi%al :orm that is po,er:ul and %on8in%ing $ut does not lie< listen to the last
se%tion o: the !acre3 the BDanse sacraleG =BSa%ri:i%ial Dan%eB>< it does not dodge the horror. )t is
there. Merely sho,nG Not denoun%edG But i: it ,ere denoun%edCstripped o: its $eauty7 sho,n
in its hideousnessCit ,ould $e a %heat7 a simpli:i%ation7 a pie%e o: Bpropaganda.B )t is because it
is $eauti:ul that the girl;s murder is so horri$le.
Aust as he made a portrayal o: the mass and a portrayal o: the Shro8etide :air ;Petrushka=3 here
Stra8ins+y made a portrayal o: $ar$ari% e%stasy. )t is all the more interesting in that he had
al,ays7 and e?pli%itly7 de%lared himsel: a partisan o: the Apollonian prin%iple7 an ad8ersary o:
the Dionysian< Le !acre du printemps =parti%ularly its ritual dan%es> is the Apollonian portrayal
o: Dionysian e%stasy< in this portrayal7 the e%stati% elements =the aggressi8ely $eating rhythm7
the :e, e?tremely short melodi% moti:s7 many times repeated $ut ne8er de8eloped7 and sounding
li+e shrie+s>7 are trans:ormed into great7 re:ined art =:or instan%e7 despite its aggressi8e Euality7
the rhythm gro,s so %omple? through the rapid alternation o: measures ,ith di::erent time
signatures that it %reates an arti:i%ial7 unreal7 %ompletely styliHed $eat>9 still7 the Apollonian
$eauty o: this portrayal o: $ar$arity does not o$s%ure its horror9 it ma+es us see that at the 8ery
$ottom point o: the e%stasy there is only the harsh
rhythm7 the sharp $lo,s o: per%ussion7 an e?treme num$ness7 death.
?migration Arithmetic
The li:e o: an emigreCthere;s a matter o: arithmeti%< Aose: Teodor Konrad KorHenio,s+i
=:amous under the name Aoseph Conrad> li8ed se8enteen years in Poland =and in Russia7 ,ith his
e?iled :amily>7 the rest o: his li:e7 :i:ty years7 in England =or on English ships>. 2e ,as thus a$le
to adopt English as his ,riting language7 and English themes as ,ell. *nly his allergy to things
Russian =ah7 poor 6ide7 in%apa$le o: understanding Conrad;s puHHling a8ersion to Dostoye8s+yF>
preser8es a tra%e o: his Polishness.
Bohusla8 Martinu li8ed in Bohemia till he ,as thirty@t,o7 then :or thirty@si? years in (ran%e7
S,itHerland7 Ameri%a7 and S,itHerland again. A nostalgia :or the old %ountry al,ays e%hoed in
his ,or+7 and he al,ays %alled himsel: a CHe%h %omposer. Yet a:ter the ,ar7 he de%lined all
in8itations :rom $a%+ there7 and $y his e?press ,ish7 he ,as $uried in S,itHerland. (oiling his
last ,ill7 in !"/"7 t,enty years a:ter his death7 agents o: the motherland managed to +idnap his
%orpse and solemnly install it $eneath his nati8e soil.
6om$ro,i%H li8ed :or thirty@:i8e years in Poland7 t,enty@three in Argentina7 si? in (ran%e. Yet
he %ould ,rite his $oo+s only in Polish7 and the %hara%ters in his no8els are Polish. )n !".07
during a stay in Berlin7 he is in8ited to Poland. 2e hesitates7 and in the end7 he re:uses. 2is $ody
is $uried in 4en%e7 in the south o: (ran%e.
4ladimir Na$o+o8 li8ed in Russia :or t,enty years7 t,enty@one in Europe =in England7 6ermany7
and (ran%e>7 t,enty years in Ameri%a7 si?teen in S,itHerland. 2e adopted English as his ,riting
language7 $ut Ameri%an themes a $it less thoroughly9 there are many Russian %hara%ters in his
no8els. Yet he ,as uneEui8o%al and insistent in pro%laiming himsel: an Ameri%an %itiHen and
,riter. 2is $ody lies at Montreu?7 in S,itHerland.
KaHimierH Brandys li8ed in Poland :or si?ty@:i8e years7 mo8ing to Paris a:ter the AaruHels+i
puts%h in !"K!. 2e ,rites only in Polish7 on Polish themes7 and yet7 e8en though sin%e !"K"
there is no longer a politi%al reason to stay a$road7 he is not going $a%+ to li8e in Poland =,hi%h
pro8ides me the pleasure o: seeing him :rom time to time>.
This hasty s%an re8eals7 :or one thing7 an emigres artisti% pro$lem< the numeri%ally eEual $lo%+s
o: a li:etime are uneEual in ,eight7 depending on ,hether they %omprise young or adult years.
The adult years may $e ri%her and more important :or li:e and :or %reati8e a%ti8ity $oth7 $ut the
su$%ons%ious7 memory7 language7 all the understru%ture o: %reati8ity7 are :ormed 8ery early9 :or a
do%tor7 that ,on;t ma+e pro$lems7 $ut :or a no8elist or a %omposer7 lea8ing the pla%e to ,hi%h his
imagination7 his o$sessions7 and thus his :undamental themes are $ound %ould ma+e :or a +ind o:
ripping apart. 2e must mo$iliHe all his po,ers7 all his artists ,iles7 to turn the disad8antages o:
that situation to $ene:its.
Emigration is hard :rom the purely personal standpoint as ,ell< people generally thin+ o: the
pain o: nostalgia9 $ut ,hat is ,orse is the pain o: estrangement<
the pro%ess ,here$y ,hat ,as intimate $e%omes :oreign. 1e e?perien%e that estrangement not
8is@a@8is the ne, %ountry< there7 the pro%ess is the in8erse< ,hat ,as :oreign $e%omes7 little $y
little7 :amiliar and $elo8ed. The sho%+ing7 stupe:ying :orm o: strangeness o%%urs not ,ith an
un+no,n ,oman ,e are trying to pi%+ up $ut ,ith a ,oman ,ho used to $elong to us. *nly
returning to the nati8e land a:ter a long a$sen%e %an re8eal the su$stantial strangeness o: the
,orld and o: e?isten%e.
) thin+ o:ten o: 6om$ro,i%H in Berlin. *: his re:usal to see Poland again. Distrust to,ard the
Communist regime still in po,er thereG ) don;t thin+ so< Polish Communism ,as already :alling
apart7 %ulti8ated people ,ere almost all in8ol8ed in the opposition7 and they ,ould ha8e turned
6om$ro,i%H;s 8isit into a triumph. The real reasons :or the re:usal %ould only ha8e $een
e?istential. And in%ommuni%a$le. )n%ommuni%a$le $e%ause too intimate. )n%ommuni%a$le7 also7
$e%ause too ,ounding :or the others. Some things ,e %an only lea8e unsaid.
!tra'insky1s (ome
Stra8ins+y;s li:e di8ides into three parts o: roughly eEual length< Russia< t,enty@se8en years9
(ran%e and (ren%h S,itHerland< t,enty@nine years9 Ameri%a< thirty@t,o years.
The :are,ell to Russia ,as a%%omplished in se8eral stages< Stra8ins+y is initially in (ran%e
=starting in !"!-> as i: :or a long study trip. These years are in%identally the most Russian in his
%reati8e ,or+<
Petrushka3 D'eCdoliki =$ased on a ,or+ o: the Russian poet Balmont>7 Le !acre du printemps3
Pribaoutki3 the $eginning o: Les Noces. Then %onies the ,ar7 and %onta%ts ,ith Russia $e%ome
di::i%ult9 still7 he remains a Russian %omposer ,ith *enard and (istoire du sol9dat3 inspired $y
the :ol+ poetry o: his homeland9 only a:ter the Re8olution does he realiHe that his $irthpla%e is
lost to him7 pro$a$ly :ore8er< the real emigration $egins.
Emigration< a :or%ed stay a$road :or a person ,ho %onsiders his $irthpla%e his only %ountry. But
the emigration stret%hes on and a ne, loyalty de8elops7 this one to the adopted land9 that;s ,hen
the $rea+ o%%urs. 'ittle $y little7 Stra8ins+y a$andons Russian themes. 2e goes on in !"II to
,rite Ma'ra =a %omi% opera $ased on Push+in>9 then7 in !"IK7 Le 5aiser de la fee3 that
re%olle%tion o: T%hai+o8s+y9 and therea:ter7 aside :rom some :e, marginal e?%eptions7 he ne8er
returns to them. 1hen he dies7 in !"/!7 his ,i:e7 4era7 %omplying ,ith his ,ishes7 reDe%ts the
So8iet go8ernments proposal to $ury him in Russia and has him ta+en to the 4eni%e %emetery.
1ithout a dou$t7 Stra8ins+y7 li+e all the others7 $ore ,ithin him the ,ound o: his emigration9
,ithout a dou$t7 his artisti% e8olution ,ould ha8e ta+en a di::erent path i: he had $een a$le to
stay ,here he ,as $orn. )n :a%t7 the start o: his Dourney through the history o: musi% %oin%ides
roughly ,ith the moment ,hen his nati8e %ountry %eases to e?ist :or him9 ha8ing understood that
no %ountry %ould repla%e it7 he :inds his only homeland in musi%9 this is not Dust a ni%e lyri%al
%on%eit o: mine7 ) thin+ it in an a$solutely %on%rete ,ay< his only homeland7 his only home7 ,as
musi%7 all
o: musi% $y all musi%ians7 the 8ery history o: musi%9 there he de%ided to esta$lish himsel:7 to
ta+e root7 to li8e9 there he ultimately :ound his only %ompatriots7 his only intimates7 his only
neigh$ors7 :rom Perotin to 1e$ern9 it is ,ith them that he $egan a long %on8ersation7 ,hi%h
ended only ,ith his death.
2e did all he %ould to :eel at home there< he lingered in ea%h room o: that mansion7 tou%hed
e8ery %orner7 stro+ed e8ery pie%e o: the :urniture9 he ,ent :rom the musi% o: an%ient :ol+lore to
Pergolesi7 ,ho ga8e him Pulcinella =!"!">7 to the other BaroEue masters7 ,ithout ,hom his
Apollon Musagete =!"IK> ,ould $e unimagina$le7 to T%hai+o8s+y7 ,hose melodies he
trans%ri$es in Le 5aiser de la fee =!"IK>7 to Ba%h7 the god:ather o: his Con%erto :or Piano and
1inds =!"I0> and 4iolin Con%erto =!"#!> and ,hose Chorale 4ariations on B4om (immel hochG
he arranges =!"&.>7 to the DaHH he %ele$rates in *agtime :or Ele8en )nstruments =!"!K>7 in Piano9
*ag Music =!"!">7 in Preludium for 7aCC ?nsemble =!"#/>7 and in ?bony oncerto =!"0&>7 to
Perotin and other old polyphonists7 ,ho inspire his !ymphony of Psalms =!"#-> and espe%ially
his admira$le Mass =!"0K>7 to Monte8erdi7 ,hom he studies in !"&/7 to 6esualdo7 ,hose
madrigals he trans%ri$es in !"&"7 to 2ugo 1ol:7 ,hose t,o songs he arranges =!".K>7 and to the
t,el8e@tone system7 a$out ,hi%h he initially ,as reser8ed $ut in ,hi%h7 e8entually7 a:ter
S%hoen$ergs death =!"&!>7 he re%ogniHed yet another room in his home.
2is detra%tors7 the de:enders o: musi% %on%ei8ed as e?pression o: :eelings7 ,ho gre, irate at his
un$eara$ly dis%reet Ba::e%ti8e a%ti8ityB and a%%used him o: Bpo8erty o: heart7B didn;t ha8e heart
enough
themsel8es to understand the ,ounded :eelings that lay $ehind his 8aga$ondage through the
history o: musi%.
But that;s no surprise< no one is more insensiti8e than sentimental :ol+. Remem$er<
B2eartlessness mas+ed $y a style o8er:lo,ing ,ith :eeling.B
PART (*3R
A !entence
)n BThe Castrating Shado, o: Saint Carta7B ) Euoted one o: those Ka:+a senten%es that seem to
%on%entrate all the originality o: his no8elisti% poetry< the senten%e in the third %hapter o: The
astle ,here Ka:+a des%ri$es the %oition o: K. and (rieda. To sho, pre%isely the spe%i:i% $eauty
o: Ka:+a;s art7 instead o: using the e?isting (ren%h translations ) de%ided to impro8ise my o,n
most :aith:ul possi$le translation. The di::eren%es $et,een a Ka:+a senten%e and its re:le%tions in
the mirror o: translations ha8e no, $rought me to the :ollo,ing remar+s<
Translations
'et;s re8ie, the translations. The :irst is $y Ale?andre 4ialatte7 :rom !"#K<
B2ours passed there7 hours o: mingled $reaths7 o:
'iteral English 8ersions o: the three pu$lished (ren%h translations o: Ka:+a;s senten%e are gi8en
here ,ith the aim o: ena$ling monolingual readers to understand the authors argument. These are
:ollo,ed $y the 6erman original ,ith an e?a%t English translation. (or 4ialatte7 Da8id7 and
'ortholarys translations7 as ,ell as the author;s o,n translation into (ren%h7 see the end o: this
part =pp. !!"@!I->. =Translator.>
heart$eats in %ommon7 hours in ,hi%h K. ne8er %eased to e?perien%e the sensation that he ,as
getting lost7 that he had thrust in so :ar that no $eing $e:ore him had gone su%h a long ,ay9
a$road7 in a %ountry ,here e8en the air had none o: the elements o: his nati8e air7 ,here one
must su::o%ate :rom e?ile and ,here all one %ould do7 amid insane enti%ements7 ,as to %ontinue
,al+ing7 %ontinue getting lost.B
)t ,as re%ogniHed that 4ialatte ,as a little too :ree ,ith Ka:+a;s te?t9 that is ,hy the pu$lisher7
6allimard7 de%ided to %orre%t his translations :or the !"/. pu$li%ation o: Ka:+a;s no8els in the
Pleiade series. But 4ialattes heirs opposed this9 and so an unpre%edented solution ,as arri8ed at<
Ka:+a s no8els ,ere pu$lished in 4ialattes :aulty 8ersion7 ,hile the editor7 Claude Da8id7
pu$lished his o,n %orre%tions o: the translation at the $a%+ o: the $oo+ in the :orm o: an amaHing
num$er o: notes7 su%h that7 in order to re%onstru%t in his mind a BgoodB translation7 the reader
must %onstantly turn the pages to loo+ at the notes. The %om$ination o: 4ialattes translation ,ith
the %orre%tions in the $a%+ o: the $oo+ a%tually %onstitutes a se%ond (ren%h translation7 ,hi%h :or
simpli%ity;s sa+e );ll simply re:er to as BDa8idB<
B2ours passed there7 hours o: mingled $reaths7 o: merged heart$eats7 hours in ,hi%h K. ne8er
%eased to e?perien%e the sensation that he ,as going astray7 that he ,as thrusting :arther than
anyone e8er had $e:ore him9 he ,as in a :oreign %ountry7 ,here e8en the 8ery air no longer had
anything in %ommon ,ith the air o: his nati8e %ountry9 the :oreignness o: this %ountry %ho+ed
him7 and yet7 among its mad enti%ements7 one %ould only ,al+ still :arther7 go still more astray.B
Bernard 'ortholary deser8es great %redit :or ha8ing $een radi%ally dissatis:ied ,ith the e?isting
translations and :or retranslating Ka:+a;s no8els. 2is translation o: The astle dates :rom !"K0<
BThere hours passed7 hours o: mingled $reathing7 o: hearts $eating together7 hours in ,hi%h K.
had the %onstant :eeling o: going astray7 or o: ha8ing ad8an%ed :arther than any man into :oreign
lands7 ,here the air itsel: had not a single element one %ould :ind in the air o: one;s nati8e
%ountry7 ,here one %ould only su::o%ate :rom the :or%e o: :oreignness7 yet ,ithout the po,er to
do other,ise7 in the midst o: these a$surd enti%ements7 than to %ontinue and go :urther astray.B
2ere no,7 the senten%e in the original 6erman<
GDort 'ergingen !tunden3 !tunden gemeinsamen Atems3 gemeinsamen (erCschlags3 !tunden3 in
denen <. immerfort das #efuhl hatte3 er 'erirre sich oder er sei so "eit in der Fremde3 "ie 'or
ihm noch kein Mensch3 einer Fremde3 in der selbst die Luft keinen 5estandteil der (eimatluft
habe3 in der man 'or Fremdheit ersticken miisse und in deren unsinnigen 4erlockungen man
dock nichts tun konne als "eiter gehen3 "eiter sich 'erirren.B
*: ,hi%h this is an e?a%t translation<
BThere hours ,ent $y7 hours o: mutual $reaths7 o: mutual heart$eats7 hours in ,hi%h K.
%ontinually had the :eeling that he ,as going astray7 or that he ,as :arther inside the strange
,orld than any person $e:ore him7 in a strange ,orld ,here the 8ery air had in it no element o:
his nati8e air7 ,here one must su::o%ate :rom strangeness and ,here7 in the midst o: a$surd
enti%ements7 one %ould do nothing $ut +eep going7 +eep going astray.;B
Metaphor
The entire senten%e is one long metaphor. Nothing reEuires more e?a%tness :rom a translator than
the translation o: a metaphor. That is ,here ,e glimpse the %ore o: an authors poeti% originality.
4ialatte;s :irst error o%%urs ,ith the 8er$ Gs1enfoncerG =BthrustB or Bdri8e intoB>< Bil s1etait enfonce
si loinG =Bhe had thrust in so :arB>. )n Ka:+a7 K. doesn;t thrust7 he Bis.B The ,ord Gs1enfoncerG
de:orms the metaphor< it ties it too 8isually to real a%tion =a man ,ho ma+es lo8e does thrust or
dri8e> and thus depri8es the metaphor o: its le'el of abstraction =the e>istential nature o: Ka:+a;s
metaphor does not see+ to e8o+eC physi%ally or 8isuallyCthe a%t o: lo8e>. Da8id7 in %orre%ting
4ialatte7 +eeps the same 8er$< Gs1enfon9cer.G And e8en 'ortholary =the most :aith:ul> a8oids the
8er$ Bto $e7B repla%ing it ,ith Gs1a'ancer dansG =Bad8an%e intoB>.
)n Ka:+a7 ,hile ma+ing lo8e K. is Bin der FremdeG =Bin a strange pla%eB>9 Ka:+a uses the ,ord
BFremdeG t,i%e and then a third time in its deri8ati8e GFremdheitG =BstrangenessB>< in the air o:
strange pla%es7 one su::o%ates :rom strangeness. All three translators are $othered $y this
three:old repetition< this is ,hy 4ialatte uses the ,ord only on%e and instead o: BstrangenessB
uses another ,ord< B,here one must su::o%ate :rom e?ile.B But Ka:+a ne8er mentions e?ile.
E?ile and strangeness are di::erent notions. 1hile ma+ing lo8e7 K. is not dri'en a"ay :rom some
home o: his7 not banished =and so not to $e pitied>9 he is ,here he is $y his o,n ,ill7 he is there
$e%ause he has dared to $e
there. The ,ord Be?ileB gi8es the metaphor an aura o: martyrdom7 o: su::eringCsentimentaliHes
and melodra@matiHes it.
4ialatte and Da8id translate the ,ord GgehenG ;GallerGIGgoG= $y the ,ord GmarcherG =B,al+B>.
1hen GalterG $e%omes Gmarcher3G the e?pressi8ity o: the %omparison is in%reased and the
metaphor $e%omes slightly grotesEue =a person ma+ing lo8e $e%omes a B,al+erB>. This
grotesEue edge isn;t $ad in prin%iple =) mysel: am 8ery :ond o: grotesEue metaphors and ) am
o:ten o$liged to de:end them against my translators>7 $ut the grotesEue is surely not ,hat Ka:+a
,anted here.
The ,ord GFremdeG is the only one in the senten%e that %annot tolerate simple literal translation
into (ren%h. )ndeed7 in 6erman GFremdeG means not only Ba :oreign %ountryB $ut alsoCmore
generally7 more a$stra%tlyCe8erything that is strange7 Ba strange reality7 a strange ,orld.B 1hen
Gin der FremdeG is translated as Ga l1etrangerG it is as i: Ka:+a had used the term GAuslandG
=Ba$roadB>. The temptation to try :or greater semanti% e?a%tness $y translating the ,ord
GFremdeG into a t,o@,ord (ren%h term thus seems to me understanda$le9 $ut in ea%h o: the
a%tual solutions =4ialatte< Ba Fetranger3 dans un pays ouB NBa$road7 in a country ,hereBO9 Da8id<
Gdans un pays etrangerG NBin a :oreign countryBO9 'ortholary< Gdans des %ontrees etrangeresG
NBinto :oreign regionsBO>7 the metaphor again loses the element o: a$stra%tion it has in Ka:+a7 and
its Btouristi%B Euality is heightened rather than suppressed.
Metaphor as Phenomenological Definition
The idea that Ka:+a disli+ed metaphors should $e %orre%ted9 he did disli+e metaphors o: a
certain kind3 $ut he is one o: the great %reators o: the sort o: metaphor ) %all e>istential or
phenomenological. 1hen 4erlaine ,rites< B2ope glimmers li+e a ,isp o: stra, in the %o,shed7B
it is a super$ lyrical :light o: :an%y. )t is7 ho,e8er7 unthin+a$le in Ka:+a s prose. (or Ka:+a
%ertainly disli+ed the lyri%iHation o: prose in no8els.
Ka:+a;s metaphori%al imagination ,as no less ri%h than 4erlaine s or Ril+es7 $ut it ,as not
lyri%al< it ,as dri8en e?%lusi8ely $y the ,ish to de%ipher7 to understand7 to grasp the meaning o:
the %hara%ters; a%tions7 the meaning o: the situations in ,hi%h they :ind themsel8es.
'et us re%all another s%ene o: %oition7 the one $et,een Es%h and (rau 2entDen in Bro%hs The
!leep"alkers6 B2is see+ing mouth had :ound hers7 ,hi%h ,as no, pressed against his li+e the
muHHle o: an animal against a pane o: glass7 and Es%h ,as enraged $e%ause she +ept her soul
imprisoned $ehind her set teeth7 to pre8ent him :rom possessing it.B
The ,ords BmuHHle o: an animalB and Bpane o: glassB are here not to e8o+e $y %omparison a
8isual image o: the s%ene $ut to get at the e>istential situation o: Es%h7 ,ho e8en during the
amorous em$ra%e remains ine?pli%a$ly separated =as $y a pane o: glass> :rom his mistress and
una$le to get hold o: her soul =a prisoner $ehind set teeth>. A situation di::i%ult to %at%hCor7
rather7 un%at%ha$le e?%ept $y a metaphor.
At the $eginning o: Chapter (our o: The astle there is the se%ond %oition o: K. and (rieda9 it
too is e?pressed in a single senten%e =senten%e@metaphor>< BShe ,as see+ing something and he
,as see+ing something7 maddened7 grima%ing7 heads thrusting into ea%h others %hests as they
sought7 and their em$ra%es and their tossing $odies did not ma+e them :orget $ut rather reminded
them o: the ne%essity to see+7 as dogs desperately pa, at the ground they pa,ed at ea%h others
$odies7 and7 irremedia$ly disappointed7 to %at%h one last pleasure7 ea%h ,ould :rom time to time
s,eep his tongue $roadly a%ross the other;s :a%e.B
Aust as the +ey ,ords o: the :irst %oition;s metaphor ,ere ;BstrangeB and Bstrangeness7B here the
+ey ,ords are Bsee+B and Bpa, at.B These ,ords do not e?press a 8isual image o: ,hat is
happening $ut rather e?press an ine::a$le e?istential situation. 1hen Da8id7 in his (ren%h
translation7 renders the passage a$o8e thus< Bas dogs desperately dig their cla"s into the ground7
they dug their nails into each other1s body3G he not only is $eing ina%%urate =Ka:+a spea+s neither
o: %la,s nor o: nails that dig> $ut is also trans:erring the metaphor :rom the e?istential domain to
the domain o: 8isual des%ription9 $y so doing7 he pla%es himsel: in a di::erent aestheti% :rom
Ka:+a;s.
=This aestheti% dis%repan%y is still more e8ident in the last :ragment o: the senten%e< Ka:+a says<
Bea%h ,ould :rom time to time s,eep his tongue $roadly a%ross the other;s :a%eB9 in Da8id7 this
pre%ise and neutral o$ser8ation turns into an e?pressionist metaphor< Bea%h "hipped the other;s
:a%e ,ith blo"s o: the tongue.B>
2bser'ation on !ystematic !ynonym iCing
The need to use another ,ord in pla%e o: the more o$8ious7 more simple7 more neutral one =ha8e
Ce?perien%e9 goC,al+9 s,eepC,hip> may $e %alled the syn9onymiCing refle>Ca re:le? o:
nearly all translators. 2a8ing a great sto%+ o: synonyms is a :eature o: Bgood styleB 8irtuosity9 i:
the ,ord BsadnessB appears t,i%e in the same paragraph o: the original te?t7 the translator7
o::ended $y the repetition =%onsidered an atta%+ on o$ligatory stylisti% elegan%e>7 ,ill $e tempted
to translate the se%ond o%%urren%e as Bmelan%holy.B But there;s more< this need to synonymiHe is
so deeply em$edded in the translators soul that he ,ill %hoose a synonym first off6 he;ll say
Bmelan%holyB i: the original te?t has BsadnessB and BsadnessB i: the original has Bmelan%holy.B
1e %on%ede ,ith no irony ,hate8er< the translator;s situation is e?tremely deli%ate< he must +eep
:aith ,ith the author and at the same time remain himsel:9 ,hat to doG 2e ,ants =%ons%iously or
un%ons%iously> to in8est the te?t ,ith his o,n %reati8ity9 as i: to gi8e himsel: heart7 he %hooses a
,ord that does not o$8iously $etray the author $ut still arises :rom his o,n initiati8e. ) am
noti%ing this right no, as ) loo+ o8er the translation o: a small te?t o: mine< ) ,rite Bauthor7B and
the translator translates it B,riterB9 ) ,rite B,riter7B and he translates it Bno8elistB9 ) ,rite
Bno8elist7B and he translates it BauthorB9 ,here ) say B8erse7B he says BpoetryB9 ,here ) say
Bpoetry7B he says Bpoems.B Ka:+a says Bgo7B the translators7 B,al+.B Ka:+a says Bno element7B the
translators< Bnone o: the
elements7B Bno longer anything7B Bnot a single element.B This pra%ti%e o: synonymiHation seems
inno%ent7 $ut its systemati% Euality ine8ita$ly smudges the original idea. And $esides7 ,hat the
hell :orG 1hy not say BgoB ,hen the author says BgehenBG * ye translators7 do not sodonymiHe
usF
*ichness of 4ocabulary
'et;s loo+ at the 8er$s in the senten%e< 'ergehen =,ent $yC:rom the root gehen7 go>9 haben
=ha8e>9 sich 'erir9ren =go astray>9 sein =$e>9 haben@ ersticken mussen =must su::o%ate>9 tun
konnen =%an do>9 gehen@ sich 'erirren. Thus Ka:+a %hooses the simplest7 the most elementary
8er$s< go =t,i%e>7 ha8e =t,i%e>7 go astray =t,i%e>7 $e7 do7 su::o%ate7 must7 %an.
Translators tend to enri%h the 8o%a$ulary< Bne8er %eased to e?perien%eB =:or Bha8eB>9 Bthrust7B
Bad8an%e7B Bgo a long ,ayB =:or B$eB>9 B,al+B =:or BgoB>9 B:indB =:or Bha8eB>.
=1hat terror the ,ords B$eB and Bha8eB stri+e in all the translators in the ,orldF They;ll do
anything to repla%e them ,ith ,ords they %onsider less routine.>
That tenden%y is also psy%hologi%ally understanda$le< ,hat %an the translator get %redit :orG (or
:idelity to the authors styleG That;s e?a%tly ,hat the readers in the translator;s %ountry ha8e no
,ay o: Dudging. *n the other hand7 the pu$li% ,ill automati%ally see ri%hness o: 8o%a$ulary as a
8alue7 as a per:orman%e7 a proo: o: the translator;s mastery and %ompeten%e.
No,7 ri%hness o: 8o%a$ulary is not a 8alue in itsel:. The $readth o: the 8o%a$ulary depends on
the aestheti% intention go8erning the ,or+. Carlos (uentes; 8o%a$ulary is nearly diHHying in its
ri%hness. But 2eming,ays is e?tremely narro,. The $eauty o: (uentes; prose is $ound up ,ith
ri%hness7 the $eauty o: 2eming,ay;s ,ith narro,ness o: 8o%a$ulary.
Ka:+a;s 8o%a$ulary too is relati8ely restri%ted. That restri%tion has o:ten $een e?plained as one o:
Ka:+a;s as%eti%isms. As his anti@aestheti%ism. As his indi::eren%e to $eauty. *r as the %ost e?a%ted
$y Prague 6erman7 a language ,ithering :rom $eing torn a,ay :rom its popular roots. No one
,as ,illing to grant that this $areness o: 8o%a$ulary e?pressed Ka:+a;s aesthetic intention3 that it
,as one o: the distin%ti8e mar+s o: the beauty o: his prose.
A #eneral *emark on the Problem of Authority
(or a translator7 the supreme authority should $e the author1s personal style. But most translators
o$ey another authority< that o: the con'entional 'ersion o: Bgood (ren%hB =or good 6erman7
good English7 et%.>7 namely7 the (ren%h =the 6erman7 et%.> ,e learn in s%hool. The translator
%onsiders himsel: the am$assador :rom that authority to the :oreign author. That is the error<
e8ery author o: some 8alue transgresses against Bgood style7B and in that transgression lies the
originality =and hen%e the raison d;etre> o: his art. The translator;s primary e::ort should $e to
understand that transgression. This is not di::i%ult ,hen it is o$8i@
ous7 as :or e?ample ,ith Ra$elais7 or Aoy%e7 or Celine. But there are authors ,hose transgression
against Bgood styleB is su$tle7 $arely 8isi$le7 hidden7 dis%reet9 as su%h7 it is not easy to grasp. )n
su%h a %ase7 it is all the more important to do so.
*epetition
!tunden =hours> o%%urs three timesCrepetition preser8ed in all three translations9
gemeinsamen =mutual> t,i%eCrepetition eliminated in all three translations9
sich 'erirren =go astray> t,i%eCrepetition preser8ed in all three translations9
die Fremde =strange> t,i%e7 and then on%e die Fremdheit =strangeness>Cin 4ialatte< Ba
l1etrangerG =a$road> on%e7 BstrangenessB repla%ed $y Be?ileB9 in Da8id and in 'ortholary< on%e
B:oreignB =as an adDe%ti8e> and on%e B:oreignnessB9
die Luft =the air> t,i%eCrepetition preser8ed $y all three translators9
haben =ha8e> t,i%eCthe repetition e?ists in only one o: the translations9
"eiter =:arther> t,i%eCthis repetition is repla%ed in 4ialatte $y repetition o: the ,ord B%ontinueB9
in Da8id $y the =,ea+> repetition o: the ,ord BstillB9 in 'ortholary7 the repetition has
disappeared9
gehen3 'ergehen =go7 ,ent $y>Cthis repetition =admittedly di::i%ult to preser8e> has disappeared
in all three translations.
)n general7 ,e see that translators =o$eying their s%hooltea%hers> tend to limit repetitions.
The !emantic Meaning of *epetition
T,i%e die Fremde3 on%e die Fremdheit6 ,ith this repetition the author introdu%ed into his te?t a
term ,ith the Euality o: a +ey notion7 a %on%ept. ): the author de8elops a lengthy line o: thought
:rom this ,ord7 repeating the ,ord is ne%essary :rom the semanti% and logi%al 8ie,point.
Suppose that7 in order to a8oid repetition7 a 2eidegger translator ,ere to render Gdas !einG on%e
as B$eing7B ne?t as Be?isten%e7B then as Bli:e7B then again as Bhuman li:e7B and :inally as B$eing@
there.B Ne8er +no,ing ,hether 2eidegger is spea+ing o: a single thing under di::erent names or
o: di::erent things7 ,e ,ould ha8e not a s%rupulously logi%al te?t $ut a mess. A no8el;s prose =)
am spea+ing7 o: %ourse7 o: no8els ,orthy o: the name> demands the same rigor =espe%ially in
meditati8e or metaphori%al passages>.
Another *emark on the Necessity of Preser'ing *epetitions
A $it :arther on the same page o: The astle6 B... !timme nach Frieda gerufen "urde. 1Frieda3;
sagte <. in Friedas 2hr and gab so den *uf "eiter.G
'iterally7 this means< B. . .a 8oi%e summoned (rieda. ;(rieda7; said K. in (riedas ear7 thus passing
on the summons.B
The (ren%h translators ,ant to a8oid the triple repetition o: the name (rieda<
4ialatte< B;(riedaF; said he in the maid1s ear7 thus passing on ... B
And Da8id<B;(rieda7; said K. in his companion1s ear7 passing on to her ...B
2o, :alse the ,ords repla%ing (rieda;s name soundF Note that in the te?t o: The astle3 K. is
ne8er anything $ut K. )n dialogue7 others may %all him Bsur8eyorB or perhaps other things7 $ut
Ka:+a himsel:7 the narrator7 ne8er re:ers to him $y the ,ords Bstranger7B Bne,%omer7B Byoung
man7B or ,hate8er. K. is nothing $ut K. And not only he $ut all the %hara%ters in Ka:+a al,ays
ha8e Dust a single name7 a single designation.
Thus (rieda is (rieda9 not lo8er7 not mistress7 not %ompanion7 not maid7 not ,aitress7 not ,hore7
not young ,oman7 not girl7 not :riend7 not girl:riend. (rieda.
The Melodic &mportance of *epetition
There are moments ,hen Ka:+a;s prose ta+es :light and $e%omes song. That is the %ase ,ith the
t,o senten%es ) ha8e $een %onsidering. =Note that $oth o: these e?%eptionally $eauti:ul senten%es
are des%riptions o: the lo8e a%t9 this says a hundred times more than all the $iographers; resear%h
a$out the importan%e o: eroti%ism :or Ka:+a. But let;s go on.> Ka:+a;s prose ta+es :light on t,o
,ings< intensity o: metaphori%al imagination and %apti8ating melody.
Melodi% $eauty here is %onne%ted to the repetition o: ,ords9 the senten%e $egins< BDort
'ergingen Stunden7 Stunden gemeinsamen AtemsG gemeinsamen (erCschlags3 Stunden ...B
=BThere7 hours ,ent $y7 hours of mutual $reaths7 of mutual heart$eats7 hours . . . B> )n nine
,ords7 :i8e repetitions. At the
middle o: the senten%e< the repetition o: the ,ord GFremdeG =BstrangeB> and the ,ord
BFremdheitG =BstrangenessB>. And at the end o: the senten%e7 yet another repetition< B. . . ,eiter
gehen3 ,eiter sich 'erir9renG =B. . . keep going3 keep going astrayB>. These multiple repetitions
slo, the tempo and gi8e the senten%e a yearning %aden%e.
)n the other senten%e7 K.;s se%ond %oition7 ,e :ind the same prin%iple o: repetition< the 8er$
Bsee+B repeated :our times7 the ,ord BsomethingB t,i%e7 the ,ord B$odyB t,i%e7 the 8er$ Bpa,B
t,i%e9 and lets not :orget the %onDun%tion Band7B ,hi%h7 against all the rules o: synta%ti% elegan%e7
is repeated :our times.
)n 6erman7 that senten%e $egins< G!ie suchte et"as und er suchte et"as ...B 4ialatte says
something entirely di::erent< BShe ,as see+ing something and ,as see+ing something again ...B
Da8id %orre%ts him< BShe ,as see+ing something and so ,as he7 on his part.B 2o, odd<
pre:erring to say Band so ,as he7 on his partB rather than to translate literally Ka:+a;s $eauti:ul
and simple repetition< BShe ,as see+ing something and he ,as see+ing something ...B
*epetition !kill
There;s a s+ill to repetition. Be%ause there %ertainly are $ad7 %lums8 repetitions =as ,hen7 in the
des%ription o: a dinner7 the ,ords B%hair7B B:or+7B and the li+e appear three times in t,o
senten%es>. The rule< a ,ord is repeated $e%ause it is important7 $e%ause one ,ants its sound as
,ell as its meaning to re8er$erate throughout a paragraph7 a page.
Digression6 An ?>ample of the 5eauty of *epetition
The 8ery short =t,o@page> 2eming,ay story B*ne Reader 1ritesB is di8ided into three parts< !> a
$rie: paragraph des%ri$ing a ,oman ,riting a letter Bsteadily ,ith no ne%essity to %ross out or
re,rite anythingB9 I> the letter itsel:7 in ,hi%h the ,oman spea+s o: her hus$ands 8enereal
disease9 #> the interior monologue that :ollo,s it7 Euoted here<
BMay$e he %an tell me ,hat;s right to do7 she said to hersel:. May$e he %an tell me. )n the pi%ture
in the paper he loo+s li+e he;d +no,. 2e loo+s smart7 all right. E8ery day he tells some$ody ,hat
to do. 2e ought to +no,. ) ,ant to do ,hate8er is right. )t;s su%h a long time though. )t;s a long
time. And it;s $een a long time. My Christ7 it;s $een a long time. 2e had to go ,here8er they sent
him7 ) +no,7 $ut ) don;t +no, ,hat he had to get it :or. *h7 ) ,ish to Christ he ,ouldn;t ha8e got
it. ) don;t %are ,hat he did to get it. But ) ,ish to Christ he hadn;t e8er got it. )t does seem li+e he
didn;t ha8e to ha8e got it. ) don;t +no, ,hat to do. ) ,ish to Christ he hadn;t got any +ind o:
malady. ) don;t +no, ,hy he had to get a malady.B
The entran%ing melody o: this passage is $ased entirely on repetitions. They are not a de8i%e
=li+e rhyme in poetry>7 $ut they %ome out o: e8eryday spo+en language7 thoroughly unpolished
language.
)n addition< this 8ery short story7 it seems to me7 is a uniEue instan%e in the history o: prose
:i%tion ,here the musi%al intention is primordial< ,ithout that melody the te?t ,ould lose its
raison d;etre.
5reath
By his o,n a%%ount7 Ka:+a ,rote his long story BThe AudgmentB in a single night7 ,ithout
interruption7 that is to say at e?traordinary speed7 letting himsel: $e %arried along $y a pra%ti%ally
un%ontrolled imagination. Speed7 ,hi%h later $e%ame the surrealists; programmati% method
=Bautomati% ,ritingB>Callo,ing :or the li$eration o: the su$%ons%ious :rom super8ision $y
reason7 and ma+ing the imagination e?plodeCplayed roughly the same role in Ka:+a.
Roused $y that Bmethodi%al speed7B the Ka:+an imagination runs li+e a ri8er7 a dreamli+e ri8er
that :inds no respite till a %hapter;s end. That long $reath o: imagination is re:le%ted in the nature
o: the synta?< in Ka:+a;s no8els7 there is a near a$sen%e o: %olons =e?%ept :or those routinely
introdu%ing dialogue> and an e?%eptionally modest num$er o: semi%olons. The manus%ripts =in
the %riti%al edition< (is%her7 !"KI> sho, that e8en %ommas seemingly reEuired $y the rules o:
synta? are o:ten la%+ing. The te?ts are di8ided into 8ery :e, paragraphs. This tendency to
minimiCe the articulationC:e, paragraphs7 :e, strong pauses =on rereading a manus%ript7 Ka:+a
o:ten e8en %hanged periods to %ommas>7 :e, mar+ers emphasiHing the te?t;s logi%al organiHation
=%olons7 semi%olons>Cis %onsu$stantial ,ith Ka:+a;s style9 at the same time it is a perpetual
atta%+ on Bgood 6erman styleB =as ,ell as on the Bgood styleB o: all the languages into ,hi%h
Ka:+a is translated>.
Ka:+a made no de:initi8e 8ersion o: The astle :or the printer7 and one %ould reasona$ly assume
that he might still ha8e $rought in this or that %orre%tion7
in%luding pun%tuation. So ) am not enormously sho%+ed =not pleased7 either7 o$8iously> that Ma?
Brod7 as Ka:+a;s :irst editor7 from time to time should ha8e %reated a paragraph indentation or
added a semi%olon to ma+e the te?t easier to read. A%tually7 e8en in Brod;s edition7 the general
character o: Ka:+a;s synta? still sho,s %learly7 and the no8el preser8es its great long $reath.
'et;s go $a%+ to that third@%hapter senten%e< it is relati8ely long7 ,ith %ommas $ut no semi%olons
=in the manus%ript and in all the 6erman editions>. So ,hat distur$s me most in the 4ialatte
8ersion o: this senten%e is the added semi%olon. )t represents the end o: a logi%al segment7 a
%aesura that in8ites one to lo,er the 8oi%e7 ta+e a short pause. That %aesura =although %orre%t $y
the rules o: synta?> %ho+es o:: Ka:+a;s $reath. Da8id then e8en di8ides the senten%e into three
parts7 ,ith t"o semi%olons. These t,o semi%olons are all the more in%ongruous gi8en that
throughout the entire third %hapter =a%%ording to the manus%ript> Ka:+a uses only one semi%olon.
)n the edition esta$lished $y Ma? Brod there are thirteen. 4ialatte rea%hes thirty@one. 'ortholary
t,enty@eight7 plus three %olons.
Typographical Appearance
You %an see the long7 into?i%ating :light o: Ka:+a;s prose in the te?t;s typographi%al appearan%e7
,hi%h is o:ten a single BendlessB paragraph7 o8er pages7 en:olding e8en long passages o:
dialogue. )n Ka:+a;s manus%ript7 the third %hapter is di8ided into Dust t,o long paragraphs. )n
Brod;s edition there are :our. )n
4ialatte;s translation7 ninety. )n 'ortholar8;s translation7 ninety@:i8e. (ren%h editions o: Ka:+a s
no8els ha8e $een su$De%ted to an arti%ulation that is not their o,n< paragraphs mu%h more
numerous7 and there:ore mu%h shorter7 ,hi%h simulate a more logi%al7 more rational organiHation
o: the te?t and ,hi%h dramatiHe it7 sharply separating all the dialogue e?%hanges.
)n no translation into other languages7 to my +no,ledge7 has the original arti%ulation o: Ka:+a;s
te?ts $een %hanged. 1hy ha8e the (ren%h translators =all7 unanimously> done thisG They must
%ertainly ha8e had a reason :or it. The Pleiade edition o: Ka:+a;s no8els %ontains o8er :i8e
hundred pages o: notes. Yet ) :ind not a single senten%e there gi8ing su%h a reason.
And Finally3 a *emark on Type3 Large and !mall
Ka:+a insisted that his $oo+s $e printed in 8ery large type. These days that is re%alled ,ith the
indulgent smile prompted $y great men;s ,hims. Yet nothing a$out it ,arrants a smile9 Ka:+a;s
,ish ,as Dusti:ied7 logi%al7 serious7 related to his aestheti%7 or7 more spe%i:i%ally7 to his ,ay o:
arti%ulating prose.
An author ,ho di8ides his te?t into many short paragraphs ,ill not insist so on large type< a
la8ishly arti%ulated page %an $e read rather easily.
By %ontrast7 a te?t that :lo,s out in an endless paragraph is 8ery mu%h less legi$le. The eye :inds
no pla%e to stop or rest7 the lines are easily Blost tra%+ o:.B To $e read ,ith pleasure =that is7
,ithout eye :atigue>7 su%h a te?t reEuires relati8ely large type that ma+es
reading easy and allo,s one to stop anytirne to sa8or the $eauty o: the senten%es.
) loo+ through the 6erman paper$a%+ edition o: The astle6 on a small page7 thirty@nine
appallingly %ramped lines o: an Bendless paragrapheB < it;s illegi$le9 or it;s legi$le only as
information@ or as a document@ in any %ase not as a te?t meant :or aestheti% per%eption. )n an
appendi?7 on some :orty pages< all the passages Ka:+a deleted :rom his manus%ript. They
disregard Ka:+a;s desire =:or thoroughly Dusti:ied aestheti% rea@sons> to ha8e his te?t printed in
large type9 they :ish out all the senten%es he de%ided =:or thoroughly Dusti:ied aestheti% reasons>
to destroy. )n that indi::eren%e to the authors aestheti% ,ishes is re:le%ted all the sad@ness o: the
posthumous :ate o: Ka:+a;s ,or+.
(RENC2 TRANS'AT)*NS *( T2E SENTENCE
Des heures passJrent lK3 des heures d1haleines mLlMes3 de battements de coeur communs3 des
heures durant lesBuelles <. ne cessa d1Mprou'er l1impression Bu1il se perdait Bu1il s1Mtait enfoncM
si loin Bue nul Ltre cirant lui n1a'ait fait plus de chemin@ K l1Mtranger3 dans un pays oN l1air mLme
n1arait plus rien des MlMments de l1air natal3 oN l1on derait Mtouffer d1e>il et oN l1on ne pou'ait
plus rien faire3 au milieu d1in9sanes sMductions3 Bue continuer K marcher3 Bue continuer K se
perdre.
CAle?andre 4ialatte
Des heures passJrent lK3 des heures d1haleines mLlMes3 de battements de coeur confondus3 des
heures durant lesBuelles <. ne cessa d1Mprou'er l1impression Bu1il s1Mgarait3 Bu1il s1en9
fonOait plus loin Bu1aucun Ltre a'ant lui@ il Mtait dans un pays Mtranger3 oN l1air mLme n1a'ait
plus rien de commun a'ec l1air du pays natal@ l1MtrangetM de ce pays faisait suffoBuer et
pourtant3 parmi de folles sMductions3 on ne pou'ait Bue marcher tou8ours plus loin3 s1Mgarer
tou8ours plus a'ant.
CClaude Da8id
LK passJrent des heures3 des heures de respirations mLlMes3 de coeurs battant ensemble3 des
heures durant lesBuelles <. a'ait le sentiment constant de s1Mgarer3 ou bien de s1Ltre a'ancM plus
loin Bue 8amais aucun homme dans des contrMes MtrangJres3 oN l1air lui9mLme n1a'ait pas un
seul MlMment Bu1on retrou'Pt dans l1air du pays natal3 oN l1on ne pou'ait Bu1Mtouffer K force
d1MtrangetM3 sans pou'oir pourtant faire autre chose3 au milieu de ces sMductions insensMes3 Bue
de continuer et de s1Mgarer da'antage.
CBernard 'ortholary
LK3 s1en allaient des heures3 des heures d1haleines communes3 de battements de coeur communs3
des heures durant lesBuelles <. a'ait sans cesse le sentiment Bu1il s1Mgarait3 ou bien Bu1il Mtait
plus loin dans le monde Mtranger Bu 1aucun Ltre a'ant lui3 dans un monde Mtranger oN l1air mLme
n1a'ait aucun MlMment de l1air natal3 oN l1on de'ait Mtouffer d1MtrangetM et oN l1on ne pou'ait rien
faire3 au milieu de sMductions insensMes3 Bue continuer K aller3 Bue continuer K s1Mgarer.
CMilan Kundera
PART ()4E A la *echerche du Present Perdu
1
)n the middle o: Spain7 some,here $et,een Bar%elona and Madrid7 t,o people sit in the $ar o: a
small railroad station< an Ameri%an man and a girl. 1e +no, nothing a$out them e?%ept that they
are ,aiting :or the train to Madrid7 ,here the girl is going to ha8e an operation7 %ertainly =though
the ,ord is ne8er spo+en> an a$ortion. 1e don;t +no, ,ho they are7 ho, old they are7 ,hether or
not they are in lo8e9 ,e don;t +no, the reasons that $rought them to their de%ision. Their
%on8ersation7 e8en though it is reprodu%ed ,ith e?traordinary pre%ision7 gi8es us no
understanding either o: their moti8ations or o: their past.
The girl is tense and the man is trying to %alm her< B)t;s really an a,:ully simple operation7 Aig.
)t;s not really an operation at all.B And then< B);ll go ,ith you and );ll stay ,ith you all the time. . .
.B And then<
B1ell $e :ine a:ter,ard. Aust li+e ,e ,ere $e:ore.B
1hen he senses the slightest agitation on the girl;s part7 he says< B1ell7 i: you don;t ,ant to you
don;t ha8e to. ) ,ouldn;t ha8e you do it i: you didn;t ,ant to.B And e8entually7 again< BYou;8e got
to realiHe that ) don;t ,ant you to do it i: you don;t ,ant to. );m per:e%tly ,illing to go through
,ith it i: it means anything to you.B
Behind the girl;s replies7 one %an sense her moral s%ruples. 'oo+ing at the lands%ape7 she says<
BAnd ,e %ould ha8e all this. And ,e %ould ha8e e8erything and e8ery day ,e ma+e it more
impossi$le.B
The man tries to %alm her< B1e %an ha8e e8erything. ...B
BNo. . . . And on%e they ta+e it a,ay7 you ne8er get it $a%+.B
And ,hen the man again assures her that the operation is sa:e7 she says< B1ould you do
something :or me no,GB
B);d do anything :or you.B
B1ould you please please please please please please please stop tal+ingGB
The man says< BBut ) don;t ,ant you to. ) don;t %are anything a$out it.B
B);ll s%ream7B says the girl.
At this point the tension rea%hes its pea+. The man gets up to ta+e their $ags to the other side o:
the station7 and ,hen he returns< BDo you :eel $etterGB
B) :eel :ine. There;s nothing ,rong ,ith me. ) :eel :ine.B And these are the last lines o: the
:amous story B2ills 'i+e 1hite Elephants7B $y Ernest 2eming,ay.
2
1hat is odd a$out this :i8e@page story is that :rom the dialogue ,e %an imagine any num$er o:
stories< the man is married and is :or%ing his mistress to ha8e an a$ortion to spare his ,i:e9 he is
a $a%helor and ,ants the a$ortion $e%ause he is ,orried a$out %ompli%ating his li:e9 $ut it is also
possi$le that he is unsel:ishly loo+ing ahead to the pro$lems a %hild ,ould %ause the girl9 may$e
Canything is imagina$leChe is seriously ill and is %on%erned a$out lea8ing the girl on her o,n
,ith a %hild9 ,e %an e8en imagine that the %hild;s :ather is some other man ,hom the girl le:t to
go o:: ,ith this one7 ,ho is ad8ising her to ha8e the a$ortion $ut stands ready7 should she re:use7
to ta+e on the :ather role himsel:. And the girlG She might ha8e agreed to the a$ortion to satis:y
her lo8er9 or may$e she too+ the initiati8e hersel: $ut7 as the day approa%hes7 is losing her ner8e7
:eels guilty7 and is engaging in some last 8er$al resistan%e7 dire%ted more at her o,n %ons%ien%e
than at her partner. )ndeed7 one %ould go on :ore8er in8enting the situations that might lie $ehind
the dialogue.
As :or the nature o: the %hara%ters7 the %hoi%e is Dust as great< the man %ould $e sensiti8e7 lo8ing7
tender9 he %ould $e sel:ish7 ,ily7 hypo%riti%al. The girl %ould $e hypersensiti8e7 su$tle7 deeply
moral9 she %ould also $e %apri%ious7 a::e%ted7 :ond o: ma+ing hysteri%al s%enes.
The real moti8es $ehind their $eha8ior are the more un%lear as the dialogue %arries no indi%ation
o: ho, the lines are spo+en< :astG slo,G ironi%ally7 ten@
derly7 me%hani%ally7 harshly7 ,earilyG The man says< BYou +no, ) lo8e you.B The girl ans,ers< B)
+no,.B But ,hat does that B) +no,B meanG Does she reall8 :eel sure o: the man;s lo8eG *r is she
spea+ing ironi%allyG And ,hat does that irony meanG That the girl doesn;t $elie8e in his lo8eG *r
that this man;s lo8e no longer matters to herG
Apart :rom the dialogue7 the story %onsists o: only a :e, ne%essary des%riptions9 they are as s%ant
as stage dire%tions. *nly one moti: es%apes this rule o: ma?imum e%onomy< the one o: the ,hite
hills that stret%h to the horiHon< it returns se8eral times7 a%%ompanied $y a metaphor =more
e?a%tly< simile>7 the onl8 one in the story. 2eming,ay ,as no lo8er o: metaphors. Also7 this one
is not the narrator;s7 $ut the girl;s9 it is she ,ho says7 as she gaHes at the hills< BThey loo+ li+e
,hite elephants.B
S,allo,ing his $eer7 the man ans,ers< B);8e ne8er seen one.B
BNo7 you ,ouldn;t ha8e.B
B) might ha8e7B says the man. BAust $e%ause you say ) ,ouldn;t ha8e doesn;t pro8e anything.B
)n these :our lines o: dialogue7 the %hara%ters re8eal the di::eren%e7 indeed the opposition7
$et,een them< the man sho,s some reser8e to,ard the girl;s poeti% in8ention =B);8e ne8er seen
oneB>7 she snaps right $a%+7 seeming to reproa%h him :or a la%+ o: poeti% sensiti8ity =Byou
,ouldn;t ha8eB>7 and the man =as i: already :amiliar ,ith this reproa%h and allergi% to it> de:ends
himsel: =B) might ha8eB>.
'ater7 ,hen the man assures the girl o: his lo8e7 she says< BBut i: ) do it7 then it ,ill $e ni%e again
i: ) say things are li+e ,hite elephants7 and you;ll li+e itGB
B);ll lo8e it. ) lo8e it no, $ut ) Dust %an;t thin+ a$out it.B
So does this di::erent attitude a$out metaphor at least distinguish $et,een their %hara%tersG The
girl su$tle and poeti%7 the man literal@mindedG
1ell7 all right7 ,e %ould see the girl as more poeti% than the man. But it;s also possi$le to see her
metaphor@:ind as mannerism7 pre%iosity7 a::e%tation< ,anting to $e admired as original and
imaginati8e7 she sho,s o:: her little poeti%al :lourishes. ): that is the %ase7 the ethi%al and
emotional %ontent o: her remar+s a$out the ,orld that ,ill no longer $e theirs a:ter the a$ortion
%an $e attri$uted to her taste :or lyri%al e?hi$itionism rather than to the authenti% despair o: a
,oman gi8ing up her motherhood.
No7 there is nothing %lear a$out ,hate8er lies $ehind that simple and $anal dialogue. Any man
%ould say the same lines as this man7 any ,oman the same as the girl. 1hether a man lo8es a
,oman or not7 ,hether he is lying or sin%ere7 he ,ould say the same thing. As though this
dialogue ,ere ,aiting here sin%e the %reation o: the ,orld to $e deli8ered $y %ountless %ouples7
,ith no regard to their indi8idual psy%hology.
Sin%e they ha8e nothing more to ,or+ out7 it is impossi$le to ma+e any moral Dudgment o: these
%hara%ters9 as they sit in the train station7 e8erything has already $een de:initi8ely de%ided9 they
ha8e already made their points a thousand times $e:ore9 a thousand times already they ha8e
de$ated the arguments9 no, the old dispute =old dis%ussion7 old drama> sho,s only :aintly
through a %on8ersation ,here nothing is at sta+e anymore7 and ,ords are Dust ,ords.
3
E8en though the story is e?tremely abstract3 des%ri$ing a Euasi@ar%hetypal situation7 it is also
e?tremely concrete3 attempting to %apture the 8isual and aural sur:a%e o: a situation7 o: the
dialogue in parti%ular.
Try to re%onstru%t a dialogue :rom your o,n li:e7 the dialogue o: a Euarrel or a dialogue o: lo8e.
The most pre%ious7 the most important situations are utterly gone. Their a$stra%t sense remains =)
too+ this point o: 8ie,7 he too+ that one7 ) ,as aggressi8e7 he ,as de:ensi8e>7 perhaps a detail or
t,o7 $ut the a%ousti%o8isual %on%reteness o: the situation in all its %ontinuity is lost.
And not only is it lost $ut ,e do not e8en ,onder at this loss. 1e are resigned to losing the
%on%reteness o: the present. 1e immediately trans:orm the present moment into its a$stra%tion.
1e need only re%ount an episode ,e e?perien%ed a :e, hours ago< the dialogue %ontra%ts to a
$rie: summary7 the setting to a :e, general :eatures. This applies to e8en the strongest memories7
,hi%h a::e%t the mind deeply7 li+e a trauma< ,e are so daHHled $y their poten%y that ,e don;t
realiHe ho, s%hemati% and meager their %ontent is.
1hen ,e study7 dis%uss7 analyHe a reality7 ,e analyHe it as it appears in our mind7 in our
memory. 1e +no, reality only in the past tense. 1e do not +no, it as it is in the present7 in the
moment ,hen it;s happening7 ,hen it is. The present moment is unli+e the memory o: it.
Remem$ering is not the negati8e o: :orgetting. Remem$ering is a :orm o: :orgetting.
1e %an assiduously +eep a diary and note e8ery e8ent. Rereading the entries one day7 ,e ,ill see
that
they %annot e8o+e a single %on%rete image. And still ,orse< that the imagination is una$le to help
our memory along and re%onstru%t ,hat has $een :orgotten. The presentCthe %on%reteness o: the
presentCas a phenomenon to %onsider7 as a structure.3 is :or us an un+no,n planet9 so ,e %an
neither hold on to it in our memory nor re%onstru%t it through imagination. 1e die ,ithout
+no,ing ,hat ,e ha8e li8ed.
4
The need to resist the loss o: the :leeting reality o: the present arose :or the no8el7 ) thin+7 only at
a %ertain moment in its e8olution. )n Bo%%a%%io the tale e?empli:ies the a$stra%tion that the past
$e%omes upon $eing re%ounted< ,ithout %on%rete s%enes7 nearly ,ithout dialogue7 a +ind o:
summary7 it is a narration that gi8es us the essen%e o: an e8ent7 the %ausal seEuen%e o: a story.
The no8elists ,ho %ame a:ter Bo%%a%%io ,ere :ine storytellers7 $ut %apturing the %on%reteness o:
the present moment ,as neither their issue nor their goal. They ,ere telling a story7 ,ithout
ne%essarily imagining it in %on%rete s%enes.
The s%ene $e%omes the basic element o: the no8el;s %omposition =the lo%us o: the no8elists
8irtuosity> at the $eginning o: the nineteenth %entury. The no8els o: S%ott7 o: BalHa%7 o:
Dostoye8s+y7 are %omposed as a series o: minutely des%ri$ed s%enes ,ith their setting7 their
dialogue7 their a%tion9 anything not %onne%ted ,ith this series o: s%enes7 anything that is not
s%ene7 is %onsidered and :elt to $e se%ondary7 e8en super:luous. The no8el is li+e a 8ery ri%h :ilm
s%ript.
1hen the s%ene $e%omes the no8el;s $asi% element7 the issue o: reality as it o%%urs in the present
is potentially raised. ) say BpotentiallyB $e%ause7 in BalHa% or in Dostoye8s+y7 ,hat inspires the
art o: s%ene@ma+ing is more a passion :or the dramati% than a passion :or the %on%rete7 more
theater than reality. A%tually7 the no8el;s ne, aestheti% =the aestheti% $orn o: this Bse%ond hal:B o:
the no8els history> sho,s in the theatrical nature o: the %onstru%tion< it is a %onstru%tion that
:o%uses a> on a single plot =as against Bpi%aresEueB %onstru%tion7 a series o: di::erent plots>9 $> on
the same %hara%ters =letting %hara%ters lea8e the no8el mid,ay7 ,hi%h ,as normal in Cer8antes7
is no, %onsidered a :la,>9 %> on a narro, time span =e8en i: mu%h time elapses $et,een the
$eginning and the end o: the no8el7 the a%tion itsel: un:olds o8er a :e, parti%ular days9 The
Possessed3 :or e?ample7 stret%hes o8er se8eral months7 $ut all o: its 8ery %omple? a%tion o%%urs
on t,o7 then three7 then t,o7 and :inally :i8e days>.
)n this BalHa%ian or Dostoye8s+ian %onstru%tion7 it is e?%lusi8ely $y means o: the s%enes that all
the %omple?ity o: plot7 all the ri%hness o: thought =the great dialogues o: ideas in Dostoye8s+y>7
all the psy%hology o: the %hara%ters7 must $e e?pressed ,ith %larity9 that is ,hy the s%ene7 as it
does in a play7 $e%omes arti:i%ially %on%entrated7 dense =multiple en%ounters in a single s%ene>7
and de8elops ,ith an unnatural logi%al rigor =to $ring out the %on:li%t o: interests and passions>9
in order to e?press e8erything that is essential =essential :or the intelligi$ility o: the a%tion and its
meaning>7 it must :orgo e8erything that is Bunessential7B meaning e8erything $anal7 ordinary7
Euotidian7 e8erything random7 or mere atmosphere.
)t ,as (lau$ert =Bour most respe%ted7 honored master7B as 2eming,ay %alled him in a letter to
(aul+ner> ,ho mo8ed the no8el a,ay :rom theatri%ality. )n his no8els7 the %hara%ters meet in an
e8eryday setting7 ,hi%h =$y its indi::eren%e7 its indis%retion7 $ut also $y its moods and magi%
spells that ma+e a situation $eauti:ul and memora$le> %onstantly intrudes on their intima%y.
Emma is ha8ing a rendeH8ous ,ith 'eon in the %hur%h7 $ut a guide lat%hes onto them and
interrupts their tete@a@tete ,ith his long@,inded7 inane %hatter. )n his pre:a%e to Madame 5o'ary3
2enry de Montherlant is ironi% a$out the methodi%al nature o: this ,ay o: $ringing an
antitheti%al moti: into a s%ene7 $ut the irony is mispla%ed9 :or it is not a matter o: an artistic
mannerism9 it is a matter o: a disco'ery that might $e termed ontological< the dis%o8ery o: the
stru%ture o: the present moment9 the dis%o8ery o: the perpetual %oe?isten%e o: the $anal and the
dramati% that underlies our li8es.
Capturing the %on%reteness o: the present has $een one o: the %ontinuing trends that7 sin%e
(lau$ert7 ,as to mar+ the e8olution o: the no8el< it ,ould rea%h its apogee7 its 8ery monument7
in Aames Aoy%e;s /lysses3 ,hi%h in nearly eight hundred pages des%ri$es eighteen hours o: li:e9
Bloom stops in the street ,ith M%Coy< in a single se%ond7 $et,een t,o su%%essi8e lines o:
dialogue7 endless num$ers o: things o%%ur< Bloom;s interior monologue9 his gestures =hand in
po%+et7 he tou%hes the en8elope o: a lo8e letter>9 e8erything he sees =a ,oman %lim$s into a
%arriage and allo,s a glimpse o: her legs7 et%.>9 e8erything he hears9 e8erything he :eels. )n
Aoy%e7 a single se%ond o: the present $e%omes a little in:inity.
5
)n the epi% and in the dramati% arts7 the passion :or the %on%rete has di::ering po,er9 the e8iden%e
is in their dissimilar relation to prose. The epi% a$andoned 8erse in the si?teenth and se8enteenth
%enturies7 and so $e%ame a ne, art< the no8el. Dramati% literature mo8ed :rom 8erse to prose
mu%h later and mu%h more slo,ly. *pera still later7 at the turn o: the t,entieth %entury7 ,ith
Charpentier =Louise3 !"-->7 ,ith De$ussy ;Pelleas et Melisande3 !"-I7 although it is ,ritten to
8ery styliHed7 poeti% prose>7 and ,ith Aana%e+ =7enufa3 %omposed $et,een !K". and !"-#>. The
last is the %reator o: ,hat ) %onsider the most important opera aestheti% in the era o: modern art. )
say B) %onsiderB $e%ause ) don;t ,ish to hide my personal passion :or him. Yet ) don;t $elie8e )
am ,rong7 :or Aana%e+;s :eat ,as tremendous< he dis%o8ered a ne, ,orld :or opera7 the ,orld o:
prose. ) don;t mean to say he ,as alone in doing so =the Berg o: ,oCCeck3 !"I&7 ,hi%h
in%identally Aana%e+ passionately %hampioned7 and e8en the Poulen% o: La 4oi> humaine3 !"&"7
do something %lose>7 $ut he pursued his goal in a parti%ularly %onsistent ,ay :or thirty years7
%reating :i8e maDor ,or+s that li8e on< 7enufa@ <atia <abano'a3 !"I!9 The unning Little
4i>en.3 !"I09 The Makropulos Affair3 !"I.9 From the (ouse of the Dead3 !"IK.
);8e said he dis%o8ered the "orld o: prose7 :or prose is not only a :orm o: dis%ourse distin%t :rom
8erse9 it is also an aspe%t o: reality7 its daily7 %on%rete7 momentary aspe%t7 and the opposite o:
myth. This goes to the deepest %on8i%tion o: e8ery no8elist< there is nothing so
thoroughly disguised as the prose o: li:e9 e8ery man see+s endlessly to trans:orm his li:e into
mythCsee+s7 so to spea+7 to trans%ri$e it into 8erse7 to shroud it in 8erse =$ad 8erse>. ): the no8el
is an art and not merely a Bliterary genre7B the reason is that the dis%o8ery o: prose is its
ontological mission3 ,hi%h no art $ut the no8el %an ta+e on entirely.
*n the no8els path to,ard the mystery o: prose7 into the $eauty o: prose =:or7 $eing an art7 the
no8el dis%o8ers prose as $eauty>7 (lau$ert made an enormous stride. )n the history o: opera7 a
hal: %entury later7 Aana%e+ a%%omplished that same (lau$ertian re8olution. But ,hereas ,e :ind
this %ompletely natural in a no8el =as i: the s%ene $et,een Emma and Rodolphe against the
agri%ultural@:air $a%+ground ,ere en%oded in the genes o: the no8el :orm as an almost ine8ita$le
possi$ility>7 in opera it is :ar more sho%+ing7 auda%ious7 une?pe%ted< it %ontra8enes the prin%iple
o: unrealism and e?treme styliHation that seemed insepara$le :rom the 8ery essen%e o: opera.
To the e?tent that they 8entured into opera7 the great modernists most o:ten too+ the path o: an
e8en more radi%al styliHation than had their nineteenth@%entury prede%essors< 2onegger turned to
legendary or $i$li%al su$De%ts7 and then ga8e them a :orm that os%illates $et,een opera and
oratorio9 the su$De%t o: Barto+;s only opera is a sym$olist :a$le9 S%hoen$erg ,rote t,o operas<
one is an allegory7 the other dramatiHes an e?treme situation at the edge o: madness. Stra8ins+y;s
operas are all ,ritten on 8erse te?ts and are e?tremely styliHed. Aana%e+ thus ,ent not only
against the tradition o: opera $ut also against the pre8ailing trend o: modern opera.
6
A :amous dra,ing< a short7 musta%hed man ,ith thi%+ ,hite hair is ,al+ing along ,ith an open
note$oo+ in his hand7 ,riting do,n in musi% notes the tal+ he hears on the street. )t ,as his
passion< to put the li8ing ,ord into musi%al notation9 he le:t a hundred o: these Bintonations o:
spo+en language.B )n the eyes o: his %ontemporaries7 this odd a%ti8ity put him at $est among the
e%%entri%s and at ,orst among the nai8e ,ho did not understand that musi% is a %reated thing and
not the naturalisti% imitation o: li:e.
But the Euestion is not< should one imitate li:e or notG The Euestion is< should a musi%ian
a%+no,ledge the e?isten%e o: the ,orld o: sound outside o: musi%7 and study itG 2is studies o:
spo+en language %an thro, light on t,o $asi% aspe%ts o: Aana%e+;s musi%<
!> his melodic originality6 to,ard the end o: the Romanti% mo8ement7 the melodi% ,ealth o:
European musi% seemed to $e running out =there is indeed an arithmeti%al limit to the
permutations o: se8en or t,el8e tones>9 %lose +no,ledge o: the intonations that %ome not :rom
musi% $ut :rom the o$De%ti8e ,orld o: ,ords allo,ed Aana%e+ a%%ess to a di::erent inspiration7 a
di::erent sour%e o: melodi% imagination9 in %onseEuen%e7 his melodies =he may $e the last great
melodist in the history o: musi%> ha8e a 8ery spe%i:i% %hara%ter and are immediately
re%ogniHa$le<
a> %ontrary to Stra8ins+y;s ma?im =BBe :rugal ,ith your inter8als7 treat them li+e dollars;>7 they
%ontain many unusually large inter8als7 till then unthin+a$le in a B$eauti:ulB melody9
$> they are 8ery su%%in%t7 %ompressed7 and nearly
impossi$le to de8elop7 prolong7 ela$orate $y te%hniEues %ommon till then7 ,hi%h ,ould
immediately ma+e them :alse7 arti:i%ial7 Bde%eit:ulB9 that is< his melodies are de8eloped in their
o,n parti%ular ,ay< either repeated =persistently repeated> or else treated li+e a ,ord< :or
e?ample7 progressi8ely intensified =on the model o: someone insisting or imploring>7 et%.9
I> his psychological orientation6 ,hat most interested Aana%e+ in his resear%h on spo+en
language ,as not the spe%i:i% rhythm o: the language =the CHe%h language> or its prosody =there
is no re%itati8e in Aana%e+;s operas>7 $ut the in:luen%e on spo+en intonation o: a spea+er;s shi:ting
psy%hologi%al state9 he sought to %omprehend the semantics of melodies =he thus appears to $e
the antipode o: Stra8ins+y7 ,ho %on%eded musi% no e?pressi8e %apa%ity9 :or Aana%e+7 only the
note that is e?pression7 that is emotion7 has the right to e?ist>9 e?amining the %onne%tion $et,een
an intonation and an emotion7 Aana%e+ the musi%ian a%Euired a thoroughly uniEue psy%hologi%al
lu%idity9 a 8erita$le psychological furor =remem$er Adorno spea+ing o: Stra8ins+y;s
Bantipsy%hologi%al :urorB> mar+ed all o: his ,or+9 $e%ause o: it he turned espe%ially to opera7 :or
in opera the a$ility to Bde:ine emotions musi%allyB %ould $e realiHed and tested $etter than
any,here else.
7
1hat is a %on8ersation in real li:e7 in the %on%reteness o: the present momentG 1e don;t +no,.
All ,e +no, is that %on8ersations on the stage7 in a no8el7 or e8en on
the radio are not li+e a real %on8ersation. This ,as %ertainly one o: 2eming,ay;s artisti%
o$sessions< to %at%h the stru%ture o: real %on8ersation. 'et us try to de:ine this stru%ture $y
%omparing it ,ith that o: theatri%al dialogue<
a> in the theater6 the story is told in and through the dialogue9 this is there:ore :o%used entirely
on the a%tion7 on its meaning7 on its %ontent9 in real life6 dialogue is surrounded $y dailiness7
,hi%h interrupts it7 slo,s it do,n7 a::e%ts its de8elopment7 %hanges its %ourse7 ma+es it
unsystemati% and illogi%al9
$> in the theater6 dialogue must pro8ide the audien%e ,ith the most intelligi$le7 the %learest7 idea
o: the dramati% %on:li%t and o: the %hara%ters9 in real life6 the indi8iduals %on8ersing +no, ea%h
other and +no, the su$De%t o: their %on8ersation9 thus their dialogue is ne8er ,holly
%omprehensi$le to a third person9 it remains enigmati%7 a thin 8eneer o: the said o8er the
immensity o: the unsaid9
%> in the theater6 the limited time span o: the per:orman%e demands a ma?imal e%onomy o:
,ords in the dialogue9 in real life6 the %hara%ters return to a su$De%t already dis%ussed7 repeat
themsel8es7 %orre%t ,hat they Dust said7 et%.9 these repetitions and a,+,ardnesses re8eal the
%hara%ters; o$sessions and im$ue the %on8ersation ,ith a parti%ular melody.
2eming,ay +ne, not only ho, to %at%h the stru%ture o: real dialogue $ut also ho, to use it to
%reate a formCa simple7 transparent7 limpid7 $eauti:ul :orm7 as appears in B2ills 'i+e 1hite
ElephantsB< the %on8ersation $et,een the Ameri%an man and the girl $egins piano3 ,ith
insigni:i%ant remar+s9 the repetitions o: the same ,ords7 the same turns o: phrase7 throughout the
story gi8e it a melodi% unity =this melodiHation o: dialogue is ,hat is so stri+ing in 2eming,ay7
so entran%ing>9 the inter8ention o: the ,oman $ringing drin+s %ur$s the tension7 ,hi%h
nonetheless goes on rising7 rea%hes its %risis to,ard the end =Bplease pleaseB>7 then %alms to
pianissimo ,ith the :inal ,ords.
8
B(e$ruary !& to,ard e8ening. T,ilight at .7 near the railroad station. T,o young ,omen are
,aiting :or someone.
B*n the side,al+7 the $igger one7 her %hee+s rosy7 in a red ,inter %oat7 shi8ers.
BShe starts spea+ing $rusEuely<
sho, up.;
B2er %ompanion7 %hee+s pale7 in a :limsy s+irt7 interrupts the last note ,ith a som$er7 sad7 soul:ul
e%ho<
B;) don;t %are.; BAnd she stayed put7 hal: re$ellious7 hal: ,aiting.B
So $egins one o: the te?ts Aana%e+ regularly pu$lished7 together ,ith his musi%al notations7 in a
CHe%h periodi%al.
)magine that the senten%e B1e;re going to ,ait here and ) +no, he ,on;t sho, upB is a line in a
story an a%tor is reading aloud to an audien%e. 1e ,ould pro$a$ly sense a %ertain :alseness in his
tone. 2e spea+s the senten%e as one might imagine it in memory9 or7 simply7 in a ,ay meant to
mo8e his listeners. But ho, is this senten%e spo+en in a real situationG 1hat is the melodic truth
o: this senten%eG 1hat is the melodi% truth o: a 8anished momentG
The sear%h :or the 8anished present9 the sear%h :or the melodi% truth o: a moment9 the ,ish to
surprise and %apture this :leeting truth9 the ,ish to plum$ $y that means the mystery o: the
immediate reality %onstantly deserting our li8es7 ,hi%h there$y $e%omes the thing ,e +no, least
a$out. This7 ) thin+7 is the onto@logi%al import o: Aana%e+;s studies o: spo+en language and7
perhaps7 the ontologi%al import o: all his musi%.
A%t T,o o: 7enufa6 a:ter lying ill :or some days ,ith puerperal :e8er7 Aenu:a lea8es her $ed and
learns that her ne,$orn son is dead. 2er rea%tion is une?pe%ted< BSo7 he is dead. So7 he has
$e%ome a little angel.B And she sings these phrases %almly7 ,ith a strange astonishment7 as i:
paralyHed7 ,ithout %ries7 ,ithout gestures. The melodi% %ur8e rises se8eral times7 only to :all
$a%+ immediately7 as i: it too ,ere stri%+en ,ith paralysis9 it is $eauti:ul7 it is mo8ing7 yet
,ithout losing its accuracy.
No8a+7 the most in:luential CHe%h %omposer o: the time7 ridi%uled this s%ene< B)t;s as i: Aenu:a
,ere mourning the death o: her parrot.B )t;s all there7 in this
idioti% sar%asm. To $e sure7 this is not ho, ,e imagine a ,oman ,ho is Dust learning o: her
%hild;s deathF But an e8ent as ,e imagine it hasn;t mu%h to do ,ith the same e8ent as it is ,hen it
happens.
Aana%e+ $ased his :irst operas on BrealistB plays9 in his time7 doing that in itsel: shattered
%on8entions9 $ut $e%ause o: his thirst :or the %on%rete7 e8en the prose drama :orm soon %ame to
seem arti:i%ial to him< and so he ,rote his o,n li$retti :or his t,o most auda%ious operas7 the
one7 :or The unning Little 4i>en3 $ased on a ne,spaper serial7 the other on Dostoye8s+yCnot
on one o: the ,riter;s no8els =ensnarement $y the unnatural and the theatri%al is a greater threat
in Dostoye8s+y;s no8els than any,here elseF>7 $ut on his BreportageB o: the Si$erian prison
%amp< From the (ouse of the Dead.
'i+e (lau$ert7 Aana%e+ ,as :as%inated $y the %oe?isten%e o: 8arious emotional %harges in a single
s%ene =he :elt the (lau$ertian :as%ination :or Bantitheti%al moti:sB>9 thus his or%hestra does not
emphasiHe $ut instead o:ten %ontradi%ts the emotional %ontent o: the ,ords. There is one s%ene o:
The unning Little 4i>en that ) ha8e al,ays :ound parti%ularly mo8ing< in a :orest inn7 a
game+eeper7 a 8illage s%hoolmaster7 and the inn+eeper;s ,i:e are gossiping< they re%all their
a$sent :riends and tal+ a$out the inn+eeper7 ,ho is a,ay that day in to,n7 a$out the parish priest7
,ho has mo8ed house7 a$out the ,oman the s%hoolmaster lo8ed7 ,ho has Dust married someone
else. The %on8ersation is %ompletely $anal =ne8er $e:ore Aana%e+ had a situation so undramati%
and so ordinary $een seen on the opera stage>7 $ut the or%hestra is :ull o: a nearly un$eara$le
yearning7 so that the s%ene $e%omes one o: the most $eauti:ul elegies e8er ,ritten on the
transien%e o: time.
9
(or :ourteen years7 a %ertain Ko8aro8i%7 a %ondu%tor and su$medio%re %omposer ,ho ,as
dire%tor o: the Prague *pera7 reDe%ted 7enufa. Although he :inally ga8e in =in !"!. it ,as he ,ho
%ondu%ted the Prague premiere>7 he nonetheless held to his 8ie, o: Aana%e+ as a dilettante and
made many %hanges in the s%ore7 re8isions o: the or%hestration7 and e8en a great num$er o:
deletions.
Didn;t Aana%e+ re$elG Certainly7 $ut as ,e +no,7 e8erything depends on the $alan%e o: po,er.
And he ,as the ,ea+er one. 2e ,as si?ty@t,o years old and nearly un+no,n. ): he :ought too
mu%h7 he %ould ha8e had to ,ait another ten years :or the premiere o: his opera. Besides7 e8en
his supporters7 euphori% o8er their masters une?pe%ted su%%ess7 all agreed< Ko8aro8i% had done a
magni:i%ent Do$F (or e?ample7 the :inal s%eneF
The :inal s%ene< A:ter the $ody o: Aenu:as illegitimate %hild is dis%o8ered dro,ned7 a:ter the
stepmother has %on:essed her %rime and the poli%e ha8e ta+en her a,ay7 Aenu:a and 'a%a are le:t
alone. 'a%a7 the man o8er ,hom Aenu:a pre:erred another $ut ,ho lo8es her still7 de%ides to stay
,ith her. All that lies $e:ore this %ouple are misery7 shame7 and e?ile. An e?traordinary mood<
resigned7 sorro,:ul7 and yet glo,ing ,ith immense %ompassion. 2arp and strings7 the so:t
sonority o: the or%hestra9 the great drama %loses7 une?pe%tedly7 ,ith tranEuil song7 tou%hing and
intimate.
But %an an opera end li+e thatG Ko8aro8i% trans:ormed it into a real apotheosis o: lo8e. 1ho
,ould dare o$De%t to an apotheosisG Besides7 an apotheosis is so simple< you add $rasses to
e?tend the melody $y
%ontrapuntal imitation. An e::e%ti8e pro%edure7 tried and pro8en a thousand times o8er.
Ko8aro8i% +ne, his $usiness.
Snu$$ed and humiliated $y his CHe%h %ompatriots7 Aana%e+ :ound :irm and :aith:ul support :rom
Ma? Brod. But ,hen Brod studied the s%ore o: The unning Little 4i>en3 he ,as not satis:ied
,ith the ending. The last ,ords o: the opera< a Do+e $y a little :rog stammering to the
game+eeper< B1hat y@y@you thin+ you;re seeing is n@n@not me7 it;s m@m@my grandpa.B BEnding
,ith the :rog is impossi$le7B Brod protested in a letter ;GMit dem Frosch Cu schliessen3 ist
unmoglichG=7 and he proposed as a ne, last line a solemn pro%lamation to $e sung $y the
game+eeper< a$out nature;s rene,al7 a$out the eternal po,er o: youth. Another apotheosis.
But this time Aana%e+ didn;t o$ey. No, re%ogniHed outside his o,n %ountry7 he ,as no longer
,ea+. By the time o: the premiere o: From the (ouse of the Dead3 he had $e%ome so again9 he
,as dead. The ending o: the opera is masterly< the hero is released :rom the %amp. B(reedomF
(reedomFB the %on8i%ts %ry. Then the %ommandant shouts< BBa%+ to ,or+FB and these are the last
,ords o: the opera7 ,hi%h %loses ,ith the $rutal rhythm o: :or%ed la$or pun%tuated $y the
syn%opated rattle o: %hains. The posthumous premiere ,as %ondu%ted $y a pupil o: Aana%e+;s
=,ho also prepared the $arely :inished manus%ript o: the s%ore :or pu$li%ation>. 2e :iddled a $it
,ith the :inal pages< thus the %ry B(reedomF (reedomFB returns at the end7 and $roadened into a
ta%+ed@on long %oda7 a Doyous %oda7 an apotheosis =still another one>. )t is not an addition that7 $y
repetition7 e?tends the author;s intent9 it is the denial o: that intent9 the :inal lie that annuls the
truth o: the opera.
10
) open the $iography o: 2eming,ay pu$lished in !"K& $y Ae::rey Meyers7 a pro:essor o:
literature in an Ameri%an uni8ersity7 and ) read the passage on B2ills 'i+e 1hite Elephants.B The
:irst thing ) learn< the story Bmay . . . portray 2eming,ay;s response to 2adley;s Nhis :irst ,i:e;sO
se%ond pregnan%y.B There :ollo,s this %ommentary7 ,hi%h ) a%%ompany ,ith my o,n itali%iHed
remar+s in $ra%+ets<
BThe %omparison o: hills ,ith ,hite elephantsC imaginary animals that represent useless items7
li+e the un,anted $a$yCis %ru%ial to the meaning Ethe comparison3 a bit forced3 of elephants
"ith un"anted babies is not (eming"ay1s but the professor1s@ it is needed to set up the
sentimental interpretation of the storyF. The simile $e%omes a :o%us o: %ontention and esta$lishes
an opposition $et,een the imaginati8e ,oman7 ,ho is mo8ed $y the lands%ape7 and the literal@
minded man7 ,ho re:uses to sympathiHe ,ith her point o: 8ie,. . . . The theme o: the story
e8ol8es :rom a series o: polarities< natural 8. unnatural7 instin%ti8e 8. rational7 re:le%ti8e 8.
tal+ati8e7 8ital 8. mor$id Ethe professor1s intention becomes clear6 to make the "oman the
morally positi'e pole3 the man the morally negati'e poleF. The egoisti% man Ethere is no reason
to call the man egoistic3 una,are o: the ,oman;s :eelings Ethere is no reason to say thisF3 tries to
$ully her into ha8ing an a$ortion ... so they %an $e e?a%tly as they ,ere $e:ore. . . . The ,oman7
,ho :inds it horri$ly unnatural7 is :rightened o: +illing the $a$y Eshe cannot kill the baby3 gi'en
that it is unbornF and hurting hersel:. E8erything the man says is :alse Eno6 e'erything
the man says is ordinary "ords of consolation3 the only kind possible in such a situationF@
e8erything the ,oman says is ironi% Ethere are many other e>planations for the girl1s remarksF.
2e :or%es her to %onsent to this operation NB& "ouldn 1t ha'e you do it if you didn 1t "ant to3G he
says t"ice3 and there is nothing to sho" that he is insincereF in order to regain his lo8e Ethere is
nothing to sho" either that she had the man1s lo'e or that she had lost itF7 $ut the 8ery :a%t that
he %an as+ her to do su%h a thing means that she %an ne8er lo8e him again Ethere is no "ay to
kno" "hat "ill happen after the scene in the railroad stationF. She agrees to this :orm o: sel:@
destru%tion Ethe destruction of a fetus and the destruction of a "oman are not the same thingF
a:ter rea%hing the +ind o: disso%iation o: sel: that ,as portrayed in Dostoye8s+ys 3nderground
Man and in Ka:+a;s Aoseph K.7 and that re:le%ts his attitude to,ard her< ;Then );ll do it. Be%ause )
don;t %are a$out me.; E*eflecting someone else1s attitude is not a dissociation3 other"ise all
children "ho obey their parents "ould be dissociated and "ould be like 7osef <.F She then ,al+s
a,ay :rom him and . . . :inds %om:ort in nature< in the :ields o: grain7 the trees7 the ri8er and the
hills $eyond. 2er pea%e:ul %ontemplation E"e kno" nothing about the feelings that the sight of
nature stirs in the girl@ but in any case they are not peaceful feelings3 for the "ords she speaks
immediately after"ard are bitterF re%alls Psalm !I! as she li:ts up her eyes to the hills :or help
Ethe plainer (eming"ay1s style3 the more pretentious his commentator1sF. But her mood is
shattered $y the mans persistent argument Elet1s read the story carefully6 it is not the American
man3 it is the girl "ho3 after her brief "ithdra"al3 is the first to
speak and continues the argument@ the man is not looking for an argument3 he only "ants to
calm the girl do"nF3 ,hi%h dri8es her to the edge o: a $rea+do,n. E%hoing King 'ear;s ;Ne8er7
ne8er7 ne8er7 ne8er7 ne8er7; she :ranti%ally $egs< ;1ould you please7 please7 please7 please7 please7
please7 please stop tal+ingG; Nthe e'ocation of !hakespeare is as meaningless as "ere those of
Dostoye'sky and <afkaO.B 'et us summariHe the summary<
!> )n the Ameri%an pro:essor;s interpretation7 the short story is trans:ormed into a moral lesson<
the %hara%ters are Dudged a%%ording to their attitude to,ard a$ortion7 ,hi%h is a priori %onsidered
an e8il< thus the ,oman =Bimaginati8e7B Bmo8ed $y the lands%apeB> represents the natural7 the
li8ing7 the instin%ti8e7 the re:le%ti8e9 the man =Begoisti%7B Bliteral@mindedB> represents the
arti:i%ial7 the rational7 the %hatty7 the unhealthy =note in%identally that in modern moral dis%ourse7
the rational represents e8il and the instin%ti8e represents good>9
I> the %onne%tion to the author;s $iography suggests that the negati8e7 immoral hero is
2eming,ay himsel:7 ,ho is ma+ing a +ind o: %on:ession through the intermediary o: the story9
in that %ase the dialogue loses all its enigmati% Euality7 the %hara%ters are ,ithout mystery and7
:or anyone ,ho has read 2eming,ay;s $iography7 thoroughly determined and %lear9
#> the original aestheti% nature o: the story =its la%+ o: psy%hologiHing7 its intentional 8eiling o:
the %hara%ters; pasts7 its undramati% nature7 et%.> is not %onsidered9 ,orse7 that aestheti% nature is
undone9
0> starting ,ith the $asi% gi8ens o: the story =a
man and a girl are on their ,ay to an a$ortion>7 the pro:essor goes on to in8ent his o,n story< an
egoistic man is engaged in :or%ing his "ife to ha8e an a$ortion9 the ,i:e despises her hus$and7
,hom she "ill ne'er again be able to lo'e@
&> this other story is a$solutely :lat and all %li%hes9 ne8ertheless7 $e%ause it is %ompared
su%%essi8ely ,ith Dostoye8s+y7 Ka:+a7 the Bi$le7 and Sha+espeare =the pro:essor has managed to
assem$le in one paragraph the greatest authorities o: all time>7 it retains its status as a great ,or+
and there:ore7 despite its authors moral po8erty7 Dusti:ies the pro:essor;s interest in it.
11
This is ho, +its%h@ma+ing interpretation +ills o:: ,or+s o: art. Some :orty years $e:ore the
Ameri%an pro:essor imposed this moraliHing meaning on the story7 B2ills 'i+e 1hite ElephantsB
,as pu$lished in (ran%e under the title 1GParadis perdu3B a title that has no relation to
2eming,ay =in no other language does the story $ear this title> and that suggests the same
meaning =paradise lost< prea$ortion inno%en%e7 happiness o: impending motherhood7 et%.7 et%.>.
Kits%h@ma+ing interpretation is a%tually not the personal de:e%t o: some Ameri%an pro:essor or
some early@t,entieth@%entury Prague %ondu%tor =many %ondu%tors a:ter him ha8e rati:ied his
alterations o: 7enufa>9 it is a sedu%tion that %omes out o: the %olle%ti8e un%ons%ious9 a %ommand
:rom the metaphysi%al prompter9 a perennial so%ial imperati8e9 a :or%e. That :or%e is aimed not at
art alone $ut primarily at reality
itsel:. )t does the opposite o: ,hat (lau$ert7 Aana%e+7 Aoy%e7 and 2eming,ay did. )t thro,s a 8eil
o: %ommonpla%es o8er the present moment7 in order that the :a%e o: the real ,ill disappear.
So that you shall ne8er +no, ,hat you ha8e li8ed.
PART S)5 ,orks and !piders
1
B) thin+.B NietHs%he %ast dou$t on this assertion di%tated $y a grammati%al %on8ention that e8ery
8er$ must ha8e a su$De%t. A%tually7 said he7 Ba thought %omes ,hen ;it; ,ants to7 and not ,hen T
,ant it to9 so that it is :alsi:ying the :a%t to say that the su$De%t T is ne%essary to the 8er$ ;thin+.;B
A thought %omes to the philosopher B:rom outside7 :rom a$o8e or $elo,7 li+e e8ents or
thunder$olts heading :or him.B )t %omes in a rush. (or NietHs%he lo8es Ba $old and e?u$erant
intelle%tuality that runs presto7B and he ma+es :un o: the sa8ants :or ,hom thought seems Ba
slo,7 halting a%ti8ity7 something li+e drudgery7 o:ten enough ,orth the s,eat o: the hero@sa8ants7
$ut nothing li+e that light7 di8ine thing that is su%h %lose +in to dan%e and to high@spirited
gaiety.B
Else,here NietHs%he ,rites that the philosopher Bmust not7 through some :alse arrangement o:
dedu%tion and diale%ti%7 :alsi:y the things and the ideas he
arri8ed at $8 another route. . . . 1e should neither %on%eal nor %orrupt the a%tual ,ay our
thoughts %ome to us. The most pro:ound and ine?hausti$le $oo+s ,ill surely al,ays ha8e
something o: the aphoristi%7 a$rupt Euality o: Pas%als Pensees.B
1e should not B%orrupt the a%tual ,ay our thoughts %ome to usB< ) :ind this inDun%tion
remar+a$le9 and ) noti%e that7 $eginning ,ith The Da"n. all the %hapters in all his $oo+s are
,ritten in a single paragraph6 this is so that a thought should $e uttered in one single $reath9 so
that it should $e %aught the ,ay it appeared as it sped to,ard the philosopher7 s,i:t and dan%ing.
2
NietHs%he;s determination to preser8e Bthe a%tual ,ayB his thoughts %ome to him is insepara$le
:rom another o: his inDun%tions7 ,hi%h %harms me as mu%h as the :irst< to resist the temptation to
turn ones ideas into a system. Philosophi%al systems Bthese days stand in a distressed and
dis%ouraged posture. ): they are indeed still standing.B The atta%+ is aimed at the ine8ita$le
dogmatism o: systematiHing thought as mu%h as at its :orm< Ban a%t put on $y the systems@
ma+ers< in their desire to fill in their system and round o:: the horiHon that en%loses it7 they must
try to present their "eak points in the same style as their strong points.B
The itali%s a$o8e are mine< a philosophi%al treatise that e?pounds a system is doomed to in%lude
some ,ea+ passages9 not $e%ause the philosopher is untal@ented $ut $e%ause the treatise :orm
reEuires it9 :or $e:ore he gets to his inno8ati8e ideas7 the philosopher
must e?plain ,hat others say a$out the pro$lem7 must re:ute them7 propose other solutions7
%hoose the $est o: them and addu%e arguments :or itCa surprising argument alongside an
o$8ious one7 et%.Cand the reader yearns to s+ip pages and %ut to the heart o: the matter7 to the
philosopher;s ne, idea. )n his Aesthetics.3 2egel gi8es us an image o: art that is a super$
synthesis9 ,e are :as%inated $y this eagles@eye o8er8ie,9 $ut the te?t itsel: is :ar :rom
:as%inating7 it does not ma+e us see the thought as alluring as it loo+ed ,hen it ,as speeding
to,ard the philosopher. )n his desire to :ill in his system7 2egel des%ri$es e8ery detail7 sEuare $y
sEuare7 in%h $y in%h7 so that his Aesthetics %omes a%ross as a %olla$oration $et,een an eagle and
hundreds o: heroi% spiders spinning ,e$s to %o8er all the %rannies.
3
(or Andre Breton =in his Manifesto of !urrealism=.3 the no8el is an Bin:erior genreB9 its style is
one o: Bin:ormation pure and simpleB9 the nature o: the in:ormation gi8en is Bneedlessly spe%i:i%B
=B) am spared not a single one o: the hesitations o8er a %hara%ter< shall he $e $londG ,hat should
he $e %alledG. . . B>9 and the des%riptions< Bthere is nothing li+e the 8a%uity o: these passages9 they
are Dust piles o: sto%+ imagesB9 as an e?ample there :ollo,s a paragraph Euoted :rom rime and
Punishment3 a des%ription o: Ras+olni+o8s room7 ,ith this %omment< BSome ,ill argue that this
a%ademi% dra,ing is appropriate here7 that at this point in the no8el the author has his reasons :or
loading me do,n.B But Breton %onsiders these reasons unpersua@
si8e7 $e%ause< B) don;t register the null moments in my li:e.B Then7 psy%hology< the lengthy
e?positions that tell us e8erything in ad8an%e< Bthis hero7 ,hose a%tions and rea%tions are
admira$ly anti%ipated7 must not :oilCthough seeming li+ely to :oilCthe %al%ulations o: ,hi%h
he is the o$De%t.B
2o,e8er partisan this %ritiEue7 ,e %annot ignore it9 it does a%%urately e?press modern art;s
reser8ations to,ard the no8el. To re%apitulate< data9 des%ription9 pointless attention to the null
moments o: e?isten%e9 a psy%hology that ma+es the %hara%ters; e8ery mo8e predi%ta$le9 in short7
to roll all the %omplaints into one7 it is the :atal la%+ o: poetry that ma+es the no8el an in:erior
genre :or Breton. ) am spea+ing o: poetry as 8aunted $y the surrealists and the ,hole o: modern
artCpoetry not as a literary genre7 8ersi:ied ,riting7 $ut as a %ertain %on%ept o: $eauty7 as an
e?plosion o: the mar8elous7 a su$lime moment o: li:e7 %on%entrated emotion7 :reshness o: 8ision7
:as%inating surprise. (or Breton7 the no8el is nonpoetry par e?%ellen%e.
4
The :ugue< a single theme sets o:: a %hain o: melodies in %ounterpoint7 a stream that o8er its long
%ourse +eeps the same %hara%ter7 the same rhythmi% pulse7 a single entity. A:ter Ba%h7 in musi%;s
Classi%al period7 e8erything %hanges< the melodi% theme $e%omes sel:@%ontained and short9 its
$re8ity ma+es monothemati% %omposition nearly impossi$le9 in order to %onstru%t a large9scale
"ork =$y this ) mean< the ar%hite%tural organiHation o: a $ig@8olume ensem$le>7 the %omposer
must :ollo, one theme ,ith another9 thus is $orn a ne, art o: %omposition ,hi%h7 as an e?ample7
gro,s into the sonata7 the ruling :orm o: the Classi%al and Romanti% eras.
(ollo,ing one theme ,ith another %alled :or intermediate passages7 or bridges3 as Cesar (ran%+
%alled them. The ,ord B$ridgeB ma+es e?pli%it that in a %omposition some passages are
signi:i%ant in themsel8es =the themes> and other passages are there to ser8e the :ormer and
ha8en;t the same intensity or importan%e. 2earing Beetho8en7 one has the sense that the le8el o:
intensity %hanges %onstantly< at 8arious times something is %oming7 then it arri8es7 then it;s gone
and something else is on its ,ay.
An intrinsi% %ontradi%tion in the musi% o: the Bse%ond hal: =the Classi%al and the Romanti%>< it
%onsiders its raison d;etre the %apa%ity to e?press emotions7 $ut at the same time it ela$orates its
$ridges7 its %odas7 its de8elopment se%tions7 ,hi%h are demanded $y the :orm alone7 the residue
o: a pro:i%ien%y that is %ompletely impersonal7 that is learned7 and that has di::i%ulty re:raining
:rom routine or :rom %ommonpla%e musi%al :ormulas =,hi%h o%%ur sometimes in e8en the
greatest7 MoHart or Beetho8en7 $ut ,hi%h a$ound in their lesser %ontemporaries>. Thus
inspiration and te%hniEue are al,ays in danger o: dis%onne%ting9 a dichotomy arises $et,een the
spontaneous and the ,or+ed@o8er9 $et,een material that see+s to e?press emotion dire%tly and a
te%hni%al de8elopment o: that emotion as set into musi%9 $et,een the themes and the filler =a
peDorati8e term $ut a thoroughly o$De%ti8e one< :or it really is ne%essary to B:ill out7B horiHontally7
the time $et,een themes and7 8erti%ally7 the or%hestral sound>.
There is a story a$out Mussorgs+y playing a S%humann symphony on the piano and stopping Dust
$e:ore the de8elopment se%tion to shout< B2ere;s ,here the musi%al mathemati%s startsFB )t is this
aspe%tC %ontri8ed7 pedanti%7 intelle%tual7 a%ademi%7 uninspiredCthat made De$ussy say that
a:ter Beetho8en7 symphonies $e%ame Bstudied7 rigid e?er%isesB and that the musi% o: Brahms and
T%hai+o8s+y Bare %ompeting :or the $oredom monopoly.B
5
That intrinsi% di%hotomy does not ma+e Classi%al or Romanti% musi% in:erior to the musi% o:
other eras9 e8ery era;s art has its stru%tural pro$lems9 that is ,hat lures the artist to sear%h :or
original solutions and there$y sets o:: the e8olution o: :orm. And the musi% o: the se%ond hal:
,as a,are o: this pro$lem. Beetho8en< he $reathed an unpre%edented e?pressi8e intensity into
musi%7 and at the same time7 more than anyone else7 he %ra:ted the %ompositional te%hniEue o:
the sonata< that di%hotomy must there:ore ha8e ,eighed espe%ially hea8ily on him9 to o8er%ome
it =not that he al,ays su%%eeded>7 he de8ised 8arious strategies<
C:or instan%e7 endo,ing musi%al material other than the themesCa s%ale7 an arpeggio7 a
transition7 a %odaC,ith a startling e?pressi8eness9
Cor =:or instan%e> gi8ing another dimension to 8ariation :orm7 ,hi%h7 $e:ore him7 ,as usually
mere te%hni%al 8irtuosity7 and rather :ri8olous 8irtuosity at that< li+e ha8ing a single :ashion
model strut the run@
,ay in di::erent out:its9 Beetho8en turned the :orm inside out $y %onsidering< ,hat are the
melodi%7 rhythmi%7 harmoni% possi$ilities hidden in a themeG ho, :ar %an one go in trans:orming
the sound o: a theme ,ithout 8iolating its essen%eG and ,hat7 in :a%t7 is that essen%eG )n posing
these Euestions musi%ally7 Beetho8en needed nothing that sonata :orm had made a8aila$le7
neither $ridges nor de8elopment se%tions nor any :iller9 not :or a single moment did he mo8e
outside ,hat ,as :or him essential7 outside the mystery o: the theme.
)t ,ould $e interesting to e?amine all the musi% o: the nineteenth %entury as a %onstant e::ort to
o8er%ome its stru%tural di%hotomy. )n this %onne%tion7 ,hat ) %all hopin1s strategy %omes to
mind. Aust as Che+ho8 ne8er ,rote a no8el7 so Chopin disdained large9scale composition and
almost e?%lusi8ely ,rote %olle%tions o: short pie%es =maHur+as7 polonaises7 no%turnes7 et%.>.
=Some e?%eptions pro8e the rule< his piano %on%ertos are ,ea+.> This ,as operating against the
spirit o: his time7 ,hi%h %onsidered the %reation o: a symphony7 a %on%erto7 a Euartet7 the
%ompulsory %riterion o: a %omposers signi:i%an%e. But pre%isely in sidestepping this %riterion7
Chopin %reated a $ody o: ,or+ that7 perhaps alone o: its time7 has aged not at all and ,ill remain
fully ali8e7 almost ,ithout e?%eption. (or me7 hopin1s strategy e?plains ,hy in S%humann7
S%hu$ert7 D8ora+7 Brahms the pie%es o: lesser siHe7 lesser sonority7 seem more ali8e7 more
$eauti:ul =o:ten 'ery $eauti:ul>7 than the symphonies and %on%ertos. (or =an important
o$ser8ation> the intrinsi% di%hotomy in the musi% o: the se%ond hal: is a pro$lem only :or large9
scale composition.
6
)n %riti%iHing the art o: the no8el7 is Breton atta%+ing its ,ea+nesses or its 8ery essen%eG 'et us
note7 :irst o: all7 that he is atta%+ing the aestheti% o: the no8el that %ame into $eing early in the
nineteenth %entury7 ,ith BalHa%. The no8el ,as in :ullest :lush then7 :or the :irst time esta$lishing
itsel: as an immense so%ial :or%e9 armed ,ith a nearly hypnoti% po,er o: sedu%tion7 it pre:igured
%inema art< so li:eli+e are its s%enes on the s%reen o: his imagination that a reader is prone to
%on:use them ,ith s%enes :rom his o,n li:e9 to enthrall his reader7 the no8elist has a8aila$le a
,hole apparatus for fabricating the illusion of reality@ yet this apparatus generates :or the no8el
a stru%tural di%hotomy li+e the one in Classi%al and Romanti% musi%<
sin%e it is meti%ulous %ausal logi% that ma+es e8ents %on8in%ing7 no lin+ o: the %hain %an $e
omitted =ho,e8er de8oid o: interest it may $e in itsel:>9
sin%e the %hara%ters must appear to $e Bli8ing7B as mu%h data a$out them as possi$le must $e
reported =ho,e8er unremar+a$le>9
and then there is history< its slo, pa%e used to ma+e it almost in8isi$le7 then it pi%+ed up speed
and suddenly =here is BalHa%;s great e?perien%e>7 in the %ourse o: peoples li:etimes7 e'erything
around them is %hangingCthe streets they ,al+ on7 the :urniture in their houses7 the institutions
they li8e $y9 the background o: human li8es is no longer an immo$ile7 predi%ta$le stage set9 it
turns %hangea$le7 today;s loo+ doomed to $e gone tomorro,7 and so it is important to seiHe it7 to
paint it =no matter ho, tiresome these pi%tures o: time passing might $e>.
5ackground6 painting dis%o8ered it during the Renaissan%e7 along ,ith perspe%ti8e7 ,hi%h
di8ided the pi%ture $et,een ,hat is up :ront and ,hat is in the rear. This produ%ed paintings
parti%ular :ormal pro$lem< the portrait7 :or e?ample< the :a%e %ommands more attention and
interest than the $ody does7 and still more than the drapery $ehind. This is Euite normal7 this is
ho, ,e see the ,orld around us7 $ut nonetheless7 ,hat is normal in li:e does not %orrespond to
the :ormal reEuirements o: art< the im$alan%e7 in a painting7 $et,een the pri8ileged areas and
those that are7 a priori7 se%ondary still had to $e %ompensated :or7 remedied7 $rought $a%+ into
$alan%e. *r else radi%ally set aside7 through a ne, aestheti% that ,ould %an%el out that
di%hotomy.
7
A:ter !"0K7 through the years o: Communist re8olution in my nati8e %ountry7 ) sa, the eminent
role played $y lyri%al $lindness in a time o: Terror7 ,hi%h :or me ,as the period ,hen Bthe poet
reigned along ,ith the e?e%utionerB =Life &s ?lse"here>. ) ,ould thin+ a$out Maya+o8s+y then9
his genius ,as as indispensa$le to the Russian Re8olution as DHherHhins+y;s poli%e. 'yri%ism7
lyri%iHation7 lyri%al tal+7 lyri%al enthusiasm are an integrating part o: ,hat is %alled the
totalitarian ,orld9 that ,orld is not the gulag as su%h9 it;s a gulag that has poems plastering its
outside ,alls and people dan%ing $e:ore them.
More than the Terror7 the lyri%iHation o: the Terror ,as a trauma :or me. )t immuniHed me :or
good
against all lyri%al temptations. The only thing ) deeply7 a8idly7 ,anted ,as a lu%id7 unillusioned
eye. ) :inally :ound it in the art o: the no8el. This is ,hy :or me $eing a no8elist ,as more than
Dust ,or+ing in one Bliterary genreB rather than another9 it ,as an outloo+7 a ,isdom7 a position9
a position that ,ould rule out identi:i%ation ,ith any politi%s7 any religion7 any ideology7 any
moral do%trine7 any group9 a %onsidered7 stu$$orn7 :urious nonidentification3 %on%ei8ed not as
e8asion or passi8ity $ut as resistan%e7 de:ian%e7 re$ellion. ) ,ound up ha8ing some odd
%on8ersations< BAre you a Communist7 Mr. KunderaGB BNo7 );m a no8elist.B BAre you a
dissidentGB BNo7 );m a no8elist.B BAre you on the le:t or the rightGB BNeither. );m a no8elist.B
Sin%e early youth7 ) ha8e $een in lo8e ,ith modern artC,ith its painting7 its musi%7 its poetry.
But. modern art ,as mar+ed $y its Blyri%al spirit7B $y its illusions o: progress7 its ideology o: the
dou$le re8olution7 aestheti% and politi%al7 and little $y little7 ) too+ a disli+e to all that. Yet my
s+epti%ism a$out the spirit o: the a8ant@garde ne8er managed to a::e%t in the slightest m8 lo8e :or
the "orks o: modern art. ) lo8ed them7 and ) lo8ed them all the more :or $eing the :irst 8i%tims o:
Stalinist perse%ution9 in The 7oke.3 Cene+ is sent to a dis%iplinary regiment $e%ause he lo8es
%u$ist painting9 that;s ho, it ,as then< the Re8olution had de%ided that modern art ,as its
ideologi%al Enemy Num$er *ne e8en though the poor modernists ,anted only to sing its praises9
);ll ne8er :orget Konstantin Bie$l< an e?Euisite poet =ah7 ho, many o: his lines ) +ne, $y heartF>
,ho7 as an enthusiasti% Communist7 a:ter !"0K too+ to ,riting propaganda poetry o: a medio%rity
as alarming as it ,as heart$rea+ing9 shortly
therea:ter7 he thre, himsel: :rom a ,indo, onto a Prague pa8ement and died9 in this su$tle
$eing7 ) sa, modern art $etrayed7 %u%+olded7 martyred7 assassinated7 sel:@destroyed.
My allegian%e to modern art ,as thus as mu%h a passion as my lo8e :or the antilyri%ism o: the
no8el. The poeti% 8alues dear to Breton7 dear to all modern art =intensity7 density7 the un$ound
imagination7 s%orn :or Bthe null moments o: li:eB>7 ) ,ent see+ing only in the unillusioned
territory o: the no8el. But that made them all the more important to me. 1hi%h may e?plain ,hy
) ,as parti%ularly allergi% to the +ind o: $oredom that irritated De$ussy ,hen he listened to the
symphonies o: Brahms or T%hai+o8s+y9 allergi% to the rustle o: spiders hard at ,or+. 1hi%h may
e?plain ,hy ) long remained dea: to BalHa%;s art and ,hy the no8elist ) parti%ularly adored ,as
Ra$elais.
8
The di%hotomy $et,een themes and $ridges7 $et,een :oreground and $a%+ground7 is un+no,n to
Ra$elais. 2e mo8es nim$ly :rom a gra8e topi% to a list o: the methods the little 6argantua
in8ented :or ,iping his ass7 and yet7 aestheti%ally7 all these elements7 :ri8olous or gra8e7 ha8e
eEual importan%e in his ,or+7 gi8e me eEual pleasure. That is ,hat delighted me a$out him and
a$out other early no8elists< they tal+ a$out ,hat :as%inates them and they stop ,hen the
:as%ination stops. Their :reedom o: %omposition set me dreaming< o: ,riting ,ithout :a$ri%ating
suspense7 ,ithout %onstru%ting a plot and ,or+ing up its plausi$ility7 o:
,riting ,ithout des%ri$ing a period7 a milieu7 a %ity9 o: a$andoning all that and holding on to
only the essential9 that is to say< %reating a ,or+ in ,hi%h the $ridges and the :iller ha8e no
reason to $e and in ,hi%h the no8elist ,ould ne8er $e :or%edC:or the sa+e o: :orm and its
di%tatesCto stray $y e8en a single line :rom ,hat he %ares a$out7 ,hat :as%inates him.
9
Modern art< a re8olt against the imitation o: reality7 in the name o: the autonomous la,s o: art.
*ne o: the :irst pra%ti%al reEuirements o: this autonomy< that all the moments7 all the parti%les o:
a ,or+ ha8e eEual aestheti% importan%e.
)mpressionism< lands%ape %on%ei8ed simply as an opti%al phenomenon7 so that a man in it has no
greater 8alue than a $ush. The %u$ist and a$stra%t painters ,ent still :urther $y eliminating the
third dimension7 ,hi%h7 ine8ita$ly7 di8ided a painting into planes o: 8arying importan%e.
)n musi%7 the same trend to,ard aestheti% eEuality o: all moments o: a %omposition< Satie7 ,hose
simpli%ity is simply a pro8o%ati8e reDe%tion o: inherited musi%al rhetori%. De$ussy7 the en%hanter7
the perse%utor o: erudite spiders. Aana%e+ doing a,ay ,ith e8ery note that is not indispensa$le.
Stra8ins+y7 ,ho turns a,ay :rom the Romanti% and Classi%al heritage and see+s his models
among the masters o: the :irst hal: o: musi% history. 1e$ern7 ,ho returns to a monothemati%ism
o: his o,n =a t,el8e@tone one7 that is> and a%hie8es a spareness that no one $e:ore him %ould
imagine.
And the no8el< the Euestioning o: BalHa%;s :amous motto Bthe no8el must %ompete ,ith the etat
ci'ilB =the state registry o: %itiHens>9 this Euestioning is nothing li+e the $ra8ado o: a8ant@gardists
parading their mod@ernness to ma+e it 8isi$le to :ools9 it simply =dis%reetly> renders pointless =or
almost pointless7 optional7 unimportant> the apparatus :or :a$ri%ating the illusion o: reality. )n
this regard7 a small o$ser8ation<
): a %hara%ter is to B%ompete ,ith the etat ci'ilB he must start $y ha8ing a real name. (rom BalHa%
to Proust7 a %hara%ter ,ithout a name is unthin+a$le. But Diderot;s Aa%Eues has no patronymi%
and his master has neither :irst nor :amily name. PanurgeCis that a :irst or a :amily nameG (irst
names ,ithout :amily names7 :amily names ,ithout :irst names7 are not names $ut signs. The
protagonist o: The Trial is not a Aose: Kau:mann or Krammer or Kohl7 $ut Aose: K. The one in
The astle loses e8en his :irst name and has to ma+e do ,ith Dust a letter. Bro%h;s The #uiltless6
one o: the protagonists is designated $y the letter A. )n The !leep"alkersQ Es%h and 2uguenau
ha8e no :irst names. 3lri%h7 the protagonist o: The Man ,ithout Aualities3 has no :amily name.
Already in my early stories7 $y instin%t7 ) a8oided naming the %hara%ters. )n Life &s ?lse"here.3
the hero has only a :irst name7 his mother is +no,n only $y the term BMaman7B his girl:riend as
Bthe redhead7B and her lo8er as Bthe middle@aged man.B 1as that mannerismG At the time7 ) ,as
operating ,ith a total spontaneity ,hose meaning ) understood only later< ) ,as o$eying the
aestheti% o: the Bthird =or o8ertime> periodB< ) did not ,ant to ma+e readers thin+ my %hara%ters
are real and ha8e an o::i%ial :amily re%ord.
10
Thomas Mann< The Magic Mountain. The 8ery long passages o: data on the %hara%ters7 on their
pasts7 their ,ay o: dressing7 their ,ay o: spea+ing =,ith all the language ti%s>7 et%.9 8ery detailed
des%ription o: sanatorium li:e9 des%ription o: the histori%al moment =the years Dust pre%eding the
!"!0 ,ar>< :or e?ample7 the so%ial %ustoms o: the time< the re%ently dis%o8ered passion :or
photography7 a %ho%olate %raHe7 s+et%hing $lind:olded7 Esperanto7 solitaire7 phonograph
listening7 spiritualist sean%es =a true no8elist7 Mann %hara%teriHes an era $y pra%ti%es soon to $e
a$andoned and that ordinary historiography misses>. The 8ery proli? dialogue re8eals its
in:ormati8e :un%tion ,hene8er it departs :rom the :e, prin%ipal themes7 and in Mann e8en
dreams are des%riptions< a:ter his :irst day in the sanatorium7 the young hero7 2ans Castorp7 :alls
asleep9 in his thoroughly %ommonpla%e dream7 all the day;s e8ents re%ur in :aintly distorted :orm.
This is 8ery :ar :rom Breton7 :or ,hom dream is the ,ell@spring o: a released imagination. 2ere
the dream has one :un%tion only< to ma+e the reader :amiliar ,ith the milieu7 to %on:irm his
illusion o: reality.
Thus a 8ast background is meti%ulously depi%ted7 $e:ore ,hi%h are played out 2ans Castorp;s
:ate and the ideologi%al duel $et,een t,o %onsumpti8es< Settem$rini and Naphta9 the one a
(reemason and demo%rat7 the other a Aesuit and auto%rat7 $oth o: them in%ura$ly ill. Manns
tranEuil irony relati8iHes these t,o learned mens truths9 their dispute has no ,inner. But the
no8el;s irony goes :urther and rea%hes its pinna%le in the s%ene ,here7 ea%h surrounded $y his
little audien%e and into?i%ated $y his o,n impla%a$le logi%7 they $oth push their arguments to the
e?treme so that no one %an any longer tell ,ho stands :or progress and ,ho :or tradition7 ,ho :or
reason and ,ho :or the irrational7 ,ho :or the spirit and ,ho :or the $ody. *8er se8eral pages ,e
,itness an enormous %on:usion ,here ,ords lose their meaning7 and the de$ate is all the more
8iolent $e%ause the positions are inter%hangea$le. Some t,o hundred pages later7 at the end o:
the no8el =the ,ar is soon to $rea+ out>7 all the patients in the sanatorium :all into a state o:
irrational irrita$ility7 ine?pli%a$le hatreds9 then Settem$rini insults Naphta and the t,o in8alids
go o:: to :ight a duel that ,ill end in the sui%ide o: one o: them9 and suddenly ,e understand that
,hat sets men against one another is not irre%on%ila$le ideologi%al antagonism $ut an aggressi8@
ity $eyond the rational7 an o$s%ure7 une?plained :or%e :or ,hi%h ideas are merely a s%reen7 a
mas+7 a prete?t. Thus this magni:i%ent Bno8el o: ideasB is at the same time =espe%ially :or a
reader at the end o: our %entury> a dread:ul reEuestioning o: ideas as su%h7 a great :are,ell to the
era that $elie8ed in ideas and in their po,er to run the ,orld.
Mann and Musil. Despite the %loseness o: their $irth dates7 their aestheti%s $elong to t,o
di::erent eras in the no8els history. Both are no8elists o: immense intelle%tuality. )n the Mann
no8el7 the intelle%tuality sho,s mainly in the dialogues a$out ideas %arried on $e:ore the
$a%+drop o: a descripti'e no'el. )n The Man ,ithout Aualities3 the intelle%tuality is mani:est at
e8ery instant7 thoroughgoing9 as against Mann;s des%ripti8e no8el7 Musil;s is a thinking no'el.
2ere too the e8ents are set in a %on%rete milieu =4ienna> and in
a %on%rete moment =the same one as in The Magic Mountain6 Dust $e:ore the !"!0 ,ar>7 $ut
,hereas in Mann Da8os is des%ri$ed in detail7 in Musil 4ienna is $arely named7 the author not
e8en deigning to e8o+e the loo+ o: its streets7 its sEuares7 its par+s =it simply disregards that
Bapparatus :or :a$ri%ating the illusion o: realityB>. 1e are in the Austro@2ungarian Empire7 $ut it
is systemati%ally %alled $y a derisi8e so$riEuet< Ka+ania. Ka+ania< the Empire de%on%retiHed7
generaliHed7 redu%ed to a :e, $asi% situations7 the Empire trans:ormed into an ironi%al repli%a o:
the Empire. This Ka+ania is not a background to the no8el as Da8os is in Thomas Mann7 it is one
o: the no8els 8ery themes63 it is not des%ri$ed7 it is analyHed and thought through.
Mann e?plained that the stru%ture o: The Magic Mountain is musi%al7 $uilt out o: themes that are
de8eloped as in a symphony7 that return7 that interse%t7 that a%%ompany the no8el throughout.
This is true7 $ut it should $e noted that a theme does not signi:y Euite the same thing in Mann
and in Musil. To start ,ith7 in Mann the themes =time7 the $ody7 illness7 death7 et%.> are
de8eloped in :ront o: a 8ast nonthematic background =des%riptions o: pla%e7 time7 %ustoms7
people> more or less as the themes o: a sonata are en8eloped in musi% that is other than the theme
Cthe $ridges and the transitions. Then also7 his themes are strongly GpolyhistoricalG =i.e.7
multidis%iplinary> in nature7 that is to say< Mann ma+es use o: e8ery means o::ered $y the
8arious $ran%hes o: +no,ledgeCso%iology7 politi%al s%ien%e7 medi%ine7 $otany7 physi%s7
%hemistryCto illuminate this or that theme9 as though he hoped $y this populariHation o:
+no,ledge to %reate a solid dida%ti%
$ase :or analyHing themes9 to my mind7 too o:ten and :or o8erlong stret%hes7 this di8erts his
no8el :rom the essentialC:or let us remem$er7 the essential :or a no8el is ,hat only a no8el %an
say.
)n Musil7 theme analysis is another matter< :irst7 it has nothing multidis%iplinary to it9 the no8elist
doesn;t set up as a s%holar7 a do%tor7 a so%iologist7 a historian7 he analyHes human situations that
are not part o: some s%ienti:i% :ield $ut are simply part o: li:e. This is ho, Bro%h and Musil sa,
the histori%al tas+ :or the no8el a:ter the era o: psy%hologi%al realism< i: European philosophy
%ould not thin+ out man;s li:e7 thin+ out his B%on%rete metaphysi%s7B then it is the no8el that is
:ated :inally to ta+e o8er this 8a%ant terrain ,here nothing %ould e8er repla%e it =e?istential
philosophy has %on:irmed this $y a negati8e proo:9 :or the analysis o: e?isten%e %annot $e%ome a
system9 e?isten%e %annot $e systematiHed7 and 2eidegger7 a poetry lo8er7 ,as ,rong to disregard
the history o: the no8el7 :or it %ontains the greatest treasury o: e?istential ,isdom>.
Se%ond7 as opposed to Mann7 in Musil e'erything becomes theme =e?istential Euestioning>. ):
e8erything $e%omes theme7 the $a%+ground disappears and7 as in a %u$ist painting7 there is
nothing $ut :oreground. )t is this a$olition o: the $a%+ground that ) %onsider to $e the stru%tural
re8olution Musil $rought a$out. 6reat %hanges o:ten ha8e an uno$trusi8e appearan%e. )ndeed7 its
lengthy re:le%tions7 the slo, tempo o: its senten%es7 gi8e The Man ,ithout Aualities the :eel o:
BtraditionalB ,riting. No o8erturning o: %hronology. No interior monologues a la Aoy%e. No
a$olishing o: pun%tuation. No annihilating o: %hara%ter or a%tion. (or some t,o thousand pages7
,e :ollo, the modest
story o: a young intelle%tual7 3lri%h7 ,ho 8isits se8eral mistresses7 meets ,ith some :riends7 and
,or+s :or an organiHation as so$er as it is grotesEue =this is ,here the no8el7 almost
imper%epti$ly7 mo8es a,ay :rom the plausi$le and turns into play>7 ,hose purpose is to arrange
the emperors anni8ersary %ele$ration7 a great B:esti8al o: pea%eB planned =and this is a %omi%
$om$ slipped under the $oo+;s :oundation> :or the year !"!K. Ea%h little situation is as i: :roHen
in its tra%+s =this oddly slo,ed tempo is ,here Musil o%%asionally re%alls Aoy%e>7 to $e pier%ed
$y a long gaHe that %onsiders ,hat it means7 ho, to understand it and thin+ it through.
)n The Magic Mountain3 Mann trans:ormed the se8eral years $e:ore the !"!0 ,ar into a
magni:i%ent :are,ell party :or the nineteenth %entury7 gone :ore8er. The Man ,ithout Aualities3
set in the same years7 e?amines the human situations o: the time to %ome< o: that terminal period
o: the Modern Era that $egan in !"!0 and7 it seems7 is in the pro%ess o: ending today $e:ore our
eyes. A%tually7 e8erything is there already in the Musil Ka+ania< the reign o: a runa,ay
te%hnology that turns people into statisti%s =the no8el opens on a street ,here an a%%ident has
o%%urred9 a man is lying on the ground and a %ouple o: passers$y %omment on the e8ent $y %iting
the annual num$er o: tra::i% a%%idents>9 speed as the supreme 8alue o: a ,orld into?i%ated $y
te%hnology9 opaEue and per8asi8e $ureau%ra%y =Musil;s o::i%es are a great mat%h to Ka:+a;s>9 the
%omi%al sterility o: ideologies that understand nothing7 that pro8ide no guidan%e =the glorious age
o: Settem$rini and Naphta is :inished>9 Dournalism7 the heir to ,hat used to $e %alled %ulture9
modernity;s %ol@
la$orationists9 solidarity ,ith %riminals as the mysti%al e?pression o: the human rights religion
=the %hara%ters Clarisse and Moos$rugger>9 in:antophilia and in:anto%@ra%y =2ans Sepp7 a :as%ist
$e:ore the term ,as $orn7 ,hose ideology is $ased on adoration o: the %hild in us>.
11
1hen ) :inished The Fare"ell Party3 at the 8ery start o: the !"/-s7 ) %onsidered my %areer as a
,riter o8er. )t ,as under the Russian o%%upation and my ,i:e and ) had other ,orries. )t ,asn;t
until ,e had $een in (ran%e a year =and than+s to (ran%e> that7 a:ter si? years o: a total
interruption7 ) $egan ,ithout passion to ,rite again. (eeling intimidated7 and to regain my
:ooting7 ) de%ided to tie into something ) had already done< to ,rite a +ind o: se%ond 8olume o:
Laughable Lo'es. 1hat a regressionF Those short stories had started me on my ,ay as a ,riter
t,enty years $e:ore. (ortunately7 a:ter dra:ting t,o or three o: these B'augha$le 'o8es ))7B ) sa,
that ) ,as ,riting an entirely di::erent thing< not a story %olle%tion $ut a no8el =later entitled The
5ook of Laughter and Forgetting=7 a no8el in se8en parts that ,ere independent yet so %losely
$ound that any one o: them read $y itsel: ,ould lose mu%h o: its meaning.
At on%e7 ,hate8er mistrust ) still har$ored to,ard the art o: the no8el disappeared< $y gi8ing
ea%h part the nature o: a short story7 ) made unne%essary the ,hole seemingly una8oida$le
te%hniEue o: large@s%ale no8el %omposition. )n my proDe%t ) happened upon the
old hopin strategy3 the strategy o: small9scale com9position that has no need of nonthematic
passages. =Does that mean that the story is the small :orm o: the no8elG Yes. There is no
ontologi%al di::eren%e $et,een story and no8el7 as there is $et,een the no8el and poetry or the
no8el and theater.> 2o, are these se8en small7 independent %ompositions related i: they ha8e no
a%tion in %ommonG All that holds them together7 that ma+es them a no8el7 is that they treat the
same themes. As ) ,or+ed ) thus %ame a%ross another old strategy< 5eetho'en1s 'ariation
strategy3 this allo,ed me to stay in dire%t7 uninterrupted %onta%t ,ith some e?istential Euestions
that :as%inate me and that this no8el in 8ariation :orm e?plores :rom multiple angles in seEuen%e.
This seEuential e?ploration o: themes has a logi%7 and it determines the lin+age o: the parts. (or
e?ample< Part *ne =B'ost 'etters;> introdu%es the theme o: man and history in its $asi% 8ersion<
man %ollides ,ith history and it %rushes him. )n Part T,o =BMamaB> this theme is turned around<
:or Mama7 the arri8al o: the Russian tan+s is a small matter %ompared to the pears in her garden
=Btan+s are perisha$le7 pears are eternalB>. Part Si? =BThe AngelsB>7 in ,hi%h the heroine7 Tamina7
dro,ns7 ,ould seem to $e the tragi% %on%lusion o: the no8el9 yet the no8el doesn;t end there $ut
ends in the ne?t part7 ,hi%h is neither poignant nor dramati% nor tragi%9 it re%ounts the eroti% li:e
o: a ne, %hara%ter7 Aan. The history theme appears here $rie:ly and :or the last time< BAan had
:riends ,ho li+e him had le:t their old homeland and ,ho de8oted all their time to the struggle
:or its lost :reedom. All o: them had sometimes :elt that the $ond tying them to their
%ountry ,as Dust an illusion and that only enduring ha$it +ept them prepared to die :or something
they did not %are a$outB9 this tou%hes on that metaphysi%al border =$order< another theme ,or+ed
out in the %ourse o: the no8el> $eyond ,hi%h e8erything loses its meaning. The island ,here
Tamina;s tragi% li:e ends is dominated $y the laughter =another theme> o: the angels7 ,hile Part
Se8en e%hoes ,ith the Blaughter o: the de8il7B ,hi%h turns e8erything =e8erything< history7 se?7
tragedies> into smo+e. *nly then does the trail o: themes dra, to,ard an end7 and the $oo+ %an
%lose.
12
)n the si? $oo+s o: his maturity ;The Da"n9 (uman3 All Too (uman9 The #ay !cience@ 5eyond
#ood and ?'il9 To"ard a #enealogy of Morals9 The T"ilight of the &dols=7 NietHs%he is al,ays
pursuing7 de8eloping7 ela$orating7 a::irming7 re:ining the same %ompositional ar%hetype. )ts
prin%iples< the $asi% unit o: the $oo+ is the %hapter9 its length ranges :rom a single senten%e to
many pages9 ,ithout e?%eption the %hapters %onsist o: a single paragraph9 they are al,ays
num$ered9 in (uman3 All Too (uman and in The #ay !cience3 they are num$ered and gi8en
titles $esides. A %ertain num$er o: %hapters ma+e up a part7 and a %ertain num$er o: parts7 a $oo+.
The $oo+ is $uilt on a prin%ipal theme7 ,hi%h is spe%i:ied $y the title =$eyond good and e8il7 the
gay s%ien%e7 a genealogy o: morals7 et%.>9 the 8arious parts treat themes deri8ed :rom the
prin%ipal theme =su%h parts $eing either titled7 as in (uman3 All Too (uman3 5eyond #ood and
?'il3 The T"ilight of
the &dols.3 or else merely num$ered>. Certain o: these deri8ed themes are arranged 8erti%ally =in
,hi%h ea%h part dis%usses mainly the theme set out $y the part;s title>7 ,hereas others run
horiHontally through the entire $oo+. This ma+es :or a %omposition that is at on%e ma?imally
arti%ulated =di8ided into many :airly autonomous units> and ma?imally uni:ied =the same themes
%onstantly re%ur>. )t also ma+es :or a %omposition im$ued ,ith an e?traordinary sense o: rhythm
$ased on the alternation o: short and long %hapters< :or instan%e7 the :ourth part o: 5eyond #ood
and ?'il %onsists e?%lusi8ely o: 8ery short aphorisms =li+e a +ind o: di8ertissement or s%herHo>.
But a$o8e all< this is a %omposition ,here there is no need :or :iller7 :or transitions7 :or ,ea+
passages7 and ,here the tension ne8er sla%+ens $e%ause all ,e get is thoughts speeding to,ard us
B:rom outside7 :rom a$o8e or $elo,7 li+e e8ents or thunder$olts.B
13
): a philosopher;s thought is so thoroughly $ound up ,ith the :ormal organiHation o: his te?t7 %an
it e?ist outside that te?tG Can NietHs%he;s thought $e e?tra%ted :rom NietHs%he;s proseG Certainly
not. Thought7 e?pression7 %omposition are insepara$le. )s ,hat is 8alid :or NietHs%he 8alid in
generalG That is< %an ,e say that the thought =the meaning> o: a ,or+ is al,ays7 and $y prin%iple7
insepara$le :rom its %ompositionG
*ddly7 no7 ,e %annot say that. )n musi%7 :or a long time a %omposer;s originality %onsisted
e?%lusi8ely in his melodi%@harmoni% in8enti8eness7 ,hi%h he set out7
so to spea+7 in %ompositional s%hemes that ,ere not determined $y him $ut ,ere more or less
preesta$@lished< masses7 BaroEue suites7 BaroEue %on%ertos7 et%. Their 8arious se%tions ,ere
arranged a%%ording to an order determined $y tradition7 so that7 :or instan%e7 ,ith %lo%+li+e
regularity7 suites al,ays ended ,ith a last dan%e7 and so on.
Beetho8en;s thirty@t,o piano sonatas7 ,hi%h %o8er nearly his ,hole %reati8e li:e7 :rom the age o:
t,enty@:i8e to :i:ty@t,o7 represent an immense e8olution during ,hi%h sonata %omposition is
%ompletely trans:ormed. The earliest sonatas still do not go $eyond 2aydn and MoHart;s
%ompositional thin+ing< :our mo8ements9 allegro in sonata :orm9 lied in a slo, tempo9 minuet or
scherCo in a :aster tempo9 rondo in a rapid tempo.
The disad8antages o: su%h %omposition are immediately apparent< the most important7 most
dramati%7 longest mo8ement is the :irst9 the seEuen%e o: mo8ements is thus a de8olution< :rom
the gra8est to the lightest9 moreo8er7 until Beetho8en7 the sonata ,as still mid,ay $et,een a
%olle%tion o: pie%es =at the time7 separate mo8ements ,ere o:ten played at %on%erts> and an
indi8isi$le7 unitary %omposition. As his thirty@t,o sonatas e8ol8ed7 Beetho8en gradually
repla%ed the old %omposition s%heme ,ith one that ,as more %on%entrated =o:ten redu%ed to
three or e8en t,o mo8ements>7 more dramati% =the %enter o: gra8ity shi:ts to the :inal
mo8ement>7 more uni:ied =mainly $y a %onsistent emotional mood>. But the real meaning o: this
e8olution =,hi%h made it a%tually a re'olution= lay not in repla%ing an unsatis:a%tory s%heme
,ith another7 $etter one $ut in shattering the 'ery principle of the preestablished composition
scheme.
)ndeed7 that general %omplian%e ,ith the sonatas or the symphony;s pres%ri$ed s%heme is
some,hat ridi%ulous. )magine all the great symphonists7 in%luding 2aydn and MoHart7
S%humann and Brahms7 ,eeping in their adagios and then turning into little %hildren ,hen the
last mo8ement starts7 darting into the s%hoolyard to dan%e7 hop7 and holler that alls ,ell that ends
,ell. This is ,hat ,e might %all Bthe stupidity o: musi%.B Beetho8en sa, that the only ,ay to get
around it is to make composition radically indi'idual.
This idea is the :irst item in his artisti% testament addressed to all the arts7 to all artists7 and ,hi%h
) shall state thus< the %omposition =the ar%hite%tural organiHation o: a ,or+> should not $e seen as
some pree?istent matri?7 loaned to an author :or him to :ill out ,ith his in8ention9 the
%omposition should itsel: $e an in8ention7 an in8ention that engages all the author;s originality.
) %annot say ho, thoroughly this message ,as heard and understood. But Beetho8en did dra, all
o: its impli%ationsCmagni:i%entlyCin his last sonatas7 ea%h o: them %omposed in a manner
uniEue and unpre%edented.
14
The sonata *pus !!!9 it has only t,o mo8ements< the :irst7 ,hi%h is dramati%7 is ,or+ed out
more or less %lassi%ally in sonata :orm9 the se%ond7 meditati8e in %hara%ter7 is ,ritten in 8ariation
:orm =a :orm rather unusual in sonatas $e:ore Beetho8en>< there is no play o: %ontrasts and
di::eren%es among the indi8idual 8ari@
ations7 only an intensi:i%ation that +eeps adding :resh nuan%e to the pre8ious 8ariation and gi8es
this long mo8ement an e?%eptional unity o: tone.
The more thoroughly uni:ied ea%h o: the mo8ements7 the greater its di::eren%e :rom the other.
Disproportionate in length< the :irst mo8ement =in S%hna$el;s re%ording>< K<!09 the se%ond<
!/<0I. The se%ond hal: o: the sonata is thus more than t,i%e as long as the :irst =a %ase ,ithout
pre%edent in the history o: the sonata>F (urthermore< the :irst mo8ement is dramati%7 the se%ond
%alm7 re:le%ti8e. No,7 to $egin dramati%ally and end ,ith so lengthy a meditation ,ould seem to
%ontradi%t e8ery ar%hite%tural prin%iple and %ondemn the sonata to the loss o: all the dramati%
tension pre8iously so dear to Beetho8en.
But it is Dust that une?pe%ted Du?taposition o: these t,o mo8ements that is eloEuent7 that spea+s7
that $e%omes the semantic gesture o: the sonata7 its metaphori%al sense e8o+ing the image o: a
hard7 short li:e and the endless yearning song that :ollo,s it. That metaphori%al sense7 $eyond
the po,er o: ,ords to grasp and yet strong and insistent7 gi8es the t,o mo8ements a unity. An
inimita$le unity. =The impersonal %omposition o: a MoHart sonata %ould $e imitated endlessly9
the %omposition o: the sonata *pus !!! is so personal that imitating it ,ould $e :orgery.>
*pus !!! ma+es me thin+ o: (aul+ner;s The ,ild Palms. )n it a lo8e stor8 alternates ,ith the
story o: an es%aped %on8i%t7 t,o stories that ha8e nothing in %ommon7 no %hara%ter nor e8en any
dis%erni$le +inship o: moti:s or themes. A %omposition that %annot ser8e as a model :or any other
no8elist9 that %an e?ist only on%e9 that is ar$itrary7 inad8isa$le7 unDusti:ia$le9 unDusti:i@
a$le $e%ause $ehind it %an $e heard an es muss sein that ma+es any Dusti:i%ation super:luous.
15
By his re:usal o: systems7 NietHs%he $rought deep %hanges to the ,ay philosophy is done< as
2annah Arendt de:ined it7 NietHs%he;s thought is e>perimental thought. 2is :irst impulse is to
$rea+ up ,hate8er is rigid7 to undermine %ommonly a%%epted systems7 to open ri:ts :or 8enturing
into the un+no,n9 the philosopher o: the :uture ,ill $e an e>perimenter3 NietHs%he said9 :ree to
go o:: in 8arious dire%tions that %ould7 %on%ei8a$ly7 %ome into %on:li%t.
Although ) :a8or a strong presen%e o: thought in the no8el7 this is not to say that ) li+e the so@
%alled philosophi%al no8el7 that su$Dugation o: the no8el to a philosophy7 that Btale@ma+ingB out
o: moral or politi%al ideas. Authenti%ally no8elisti% thought =as the no8el has +no,n it sin%e
Ra$elais> is al,ays unsystemati%9 undis%iplined9 it is similar to NietHs%he;s9 it is e?perimental9 it
:or%es ri:ts in all the idea systems that surround us9 it e?plores =parti%ularly through its
%hara%ters> all lines o: thought $y trying to :ollo, ea%h o: them to its end. And there is this too
a$out systemati% thought< a person ,ho thin+s is automati%ally prompted to systematiHe9 it is his
eternal temptation =mine too7 e8en in ,riting this $oo+>< a temptation to des%ri$e all the
impli%ations o: his ideas9 to preempt any o$De%tions and re:ute them in ad8an%e9 thus to $arri%ade
his ideas. No,7 a person ,ho thin+s should not try to persuade others o: his $elie:9 that is ,hat
puts him on the road to a system9 on the lamenta$le road o: the Bman o: %on8i%tionB9 politi%ians
li+e to %all themsel8es that9 $ut ,hat is a %on8i%tionG it is a thought that has %ome to a stop7 that
has %ongealed7 and the Bman o: %on8i%tionB is a man restri%ted9 e?perimental thought see+s not to
persuade $ut to inspire9 to inspire another thought7 to set thought mo8ing9 that is ,hy a no8elist
must systemati%ally desys@tematiHe his thought7 +i%+ at the $arri%ade that he himsel: has ere%ted
around his ideas.
16
NietHs%he;s re:usal o: systemati% thought has another %onseEuen%e< an immense broadening of
theme.3 the $arriers $et,een the 8arious philosophi%al dis%iplines7 ,hi%h ha8e +ept the real ,orld
:rom $eing seen in its :ull range7 are :allen7 and :rom then on e8erything human %an $e%ome the
o$De%t o: a philosopher;s thought. That too $rings philosophy nearer to the no8el< :or the :irst
time philosophy is pondering not epistemology7 not aestheti%s or ethi%s7 the phenomenology o:
mind or the %ritiEue o: reason7 et%.7 $ut e'erything human.
)n e?pounding NietHs%he;s philosophy7 historians or pro:essors do not merely redu%e itCthat o:
%ourseC $ut also distort it $y turning it into its opposite7 namely into a system. )s there still room
in their systematiHed NietHs%he :or his thoughts on ,omen7 on the 6ermans7 on Europe7 on
BiHet7 on 6oethe7 on 4i%tor 2ugo@style +its%h7 on Aristophanes7 on lightness o: style7 on
$oredom7 on play7 on translation7 on the spirit
o: o$edien%e7 on possession o: the other and on all the psy%hologi%al :orms o: su%h possession7
on the sa8ants and their mental limitations7 on the !chauspieler3 a%tors on history;s stageCis
there still room :or a thousand psy%hologi%al o$ser8ations that %an $e :ound no,here else7 e?%ept
perhaps in a :e, rare no8elistsG
As NietHs%he $rought philosophy %loser to the no8el7 so Musil $rought the no8el to,ard
philosophy. This rappro%hement doesn;t mean that Musil is less a no8elist than other no8elists.
Aust as NietHs%he is no less a philosopher than other philosophers.
Musil;s thinking no'el too $rought a$out an unpre%edented $roadening o: theme9 nothing that %an
$e thought a$out is hen%e:orth e?%luded :rom the art o: the no8el.
17
1hen ) ,as thirteen or :ourteen years old7 ) used to ta+e lessons in musi%al %omposition. Not
$e%ause ) ,as a %hild prodigy $ut $e%ause o: my :ather;s Euiet ta%t. )t ,as during the ,ar7 and a
:riend o: his7 a Ae,ish %omposer7 ,as reEuired to ,ear the yello, star9 people had $egun to a8oid
him. Not +no,ing ho, to de%lare his solidarity7 my :ather thought o: as+ing him Dust then to gi8e
me lessons. They ,ere %on:is%ating Ae,ish apartments7 and the %omposer +ept ha8ing to mo8e
on to smaller and smaller pla%es7 ending up7 Dust $e:ore he le:t :or Theresienstadt7 in a little :lat
,here many people ,ere %amping7 %rammed7 in e8ery room. All along7 he had held on to the
small piano on ,hi%h ) ,ould play my harmony or %ounter@
point e?er%ises ,hile strangers ,ent a$out their $usiness around us.
*: all this ) retain only my admiration :or him7 and three or :our images. Espe%ially this one<
seeing me out a:ter a lesson7 he stopped $y the door and suddenly said to me< BThere are many
surprisingly ,ea+ passages in Beetho8en. But it is the ,ea+ passages that $ring out the strong
ones. )t;s li+e a la,nCi: it ,eren;t
there7 ,e %ouldn;t enDoy the $eauti:ul tree gro,ing on it.B
A pe%uliar idea. That it has stayed in my memory is e8en more pe%uliar. May$e ) :elt honored at
getting to hear a %on:idential admission :rom the tea%her7 a se%ret7 a great tri%+ o: the trade that
only the initiated are permitted to +no,.
1hate8er it ,as7 that $rie: remar+ :rom my tea%her o: the time has haunted me all my li:e =);8e
de:ended it7 );8e :ought it7 );8e ne8er :inished ,ith it>9 ,ithout it7 this te?t %ould 8ery %ertainly
not ha8e $een ,ritten.
But dearer to me than that remar+ in itsel: is the image o: a man ,ho7 a ,hile $e:ore his hideous
Dourney7 stood thin+ing aloud7 in :ront o: a %hild7 a$out the pro$lem o: %omposing a ,or+ o: art.
PART SE4EN The /nlo'ed hild of the Family
) 8e re:erred many times to 'eos Aana%e+;s musi%. )t is ,ell +no,n in England and the 3.S.A.7
and in 6ermany. But in (ran%eG )n the other Roman%e@language %ountriesG And ,hi%h o: his
,or+s %ould $e +no,nG *n (e$ruary !&7 !""I7 ) go to a large re%ord shop in Paris to see ,hat is
a8aila$le.
1
) immediately :ind Taras 5ulba =!"!K> and the Sin:onietta =!"I.>< the or%hestral ,or+s o: his
great period6 as the most popular ,or+s =the most a%%essi$le to the a8erage musi% lo8er>7 they
are almost al,ays put together on the same dis%.
The Suite :or String *r%hestra =!K//>7 the B)dyllB :or String *r%hestra =!K/K>7 and the Lachian
Dances =!K"->. These are pie%es :rom the prehistory o: his %reati8e ,or+7 ,hose insigni:i%an%e
astonishes people e?pe%ting Aana%e+;s name to mean great musi%.
) pause at the terms BprehistoryB and Bgreat periodB< Aana%e+ ,as $orn in !K&0. That is the ,hole
parado?. This great :igure o: modern musi% is older than the last o: the great Romanti%
%omposers< :our years older than Pu%%ini7 si? years older than Mahler7 ten years older than
Ri%hard Strauss. (or a long time he ,rote ,or+s that7 $e%ause o: his allergy to the e?%esses o:
Romanti%ism7 are nota$le only :or their pronoun%ed traditionalism. Al,ays dissatis:ied7 he
pun%tuated his li:e ,ith torn@up s%ores9 only at the turn o: the %entury did he arri8e at his o,n
style. )n the t,enties7 his %ompositions appeared on modern@musi% %on%ert programs alongside
Stra8ins+y7 Barto+7 and 2indemith9 $ut he ,as thirty7 :orty years older than they. A solitary
%onser8ati8e in his youth7 he $e%ame an inno8ator ,hen he ,as old. But he ,as still alone. (or
though he stood ,ith the great modernists7 he ,as di::erent :rom them. 2e %ame to his style
,ithout them7 his modernism had a di::erent nature7 a di::erent genesis7 di::erent roots.
2
) %ontinue my stroll among the $ins at the re%ord shop< ,ith no trou$le ) :ind the t,o String
Puartets =!"I07 !"IK>< this is Aana%e+;s pea+9 all his e>pressionism is %on%entrated here in total
per:e%tion. (i8e re%ordings7 all e?%ellent. E8en so7 ) regret not :inding =);8e long $een loo+ing :or
it on %ompa%t dis%> the most authenti% =and still the $est> per:orman%e o: these Euartets7 that o:
the Aana%e+ Puartet =the old Supraphon re%ording N&-&&.O7 a,arded the Pri? de l;A%ademie
Charles@Cros and the Preis der Deuts%hen S%hallplatten+riti+>.
) pause at the term Be?pressionismB<
Although he ne8er made the %onne%tion himsel:7 Aana%e+ is a%tually the only great %omposer to
,hom the term %an $e applied :ully and in its literal sense< :or him7 e8erything is e?pression7 and
a note has no right to e?ist e?%ept as e?pression. Thus the total a$sen%e in his ,or+ o: mere
Bte%hniEueB< transitions7 de8elopments7 the me%hani%s o: %ontrapuntal :iller7 routine or%hestration
=on the %ontrary7 a pen%hant :or pre8iously no8el ensem$les made up o: a :e, solo instruments>7
et%. The result :or the per:ormer is that7 e8ery note $eing e?pression7 e8ery note =not only e8ery
moti:7 $ut e8ery note o: a moti:> must ha8e ma?imal e?pressi8e %larity. Another point< 6erman
e?pressionism is %hara%teriHed $y a predile%tion :or e?%essi8e statesCdelirium7 madness. 1hat
);m %alling e?pressionism in Aana%e+ has nothing to do ,ith su%h one@dimensionality< it is an
enormously . ri%h emotional range7 a diHHyingly tight7 transitionless Du?taposition o: tenderness
and $rutality7 :ury and pea%e.
3
& find the $eauti:ul Sonata :or 4iolin and Piano =!"I!> and the B(airy TaleB :or 4iolon%ello and
Piano =!"!->. The Diary of a Man ,ho Disappeared3 :or piano7 tenor7 alto7 and three :emale
8oi%es =!"!">. And then7 the ,or+s o: his 8ery last years9 his %reati8ity e?plodes9 ne8er $e:ore
had he $een so :ree as he ,as in his se8enties7 o8er:lo,ing ,ith humor and in8ention9 the
#lagolitic Mass =!"I.>< li+e no other< it is more an orgy than a mass9 and it is :as%inating. (rom
the same time7 the Se?tet :or 1inds =!"I0>7 the Nursery *hymes =!"I/>7
and t,o ,or+s :or piano and 8arious instruments that ) espe%ially lo8e despite rarely satis:a%tory
per:orman%es< the apriccio =!"I.> and the Con%ertino =!"I&>.
) %ount :i8e re%ordings o: ,or+s :or piano solo< the Sonata =!"-&> and t,o %y%les< B*n an
*8ergro,n PathB =!"-I> and B)n the MistsB =!"!I>9 these $eauti:ul ,or+s are al,ays grouped on
one dis% that is nearly al,ays =un:ortunately> :illed out $y other7 minor pie%es :rom his
Bprehistory.B )n%identally7 pianists in parti%ular get Aana%e+ ,rong7 as to $oth spirit and stru%ture<
they nearly all o: them su%%um$ to a pret@tied@up romanti%iHing< $y so:tening the $rutal aspe%t o:
this musi%7 $y ignoring its forte mar+ings and $y thro,ing themsel8es into the delirium o: a
nearly systemati% rubato. =Piano musi% is parti%ularly unde:ended against ru$ato. )t is a%tually
di::i%ult to arrange :or rhythmi% ina%%ura%y ,ith an or%hestra. But the pianist is all $y himsel:.
2is :earsome soul %an rampage ,ith no %ontrol and no %onstraint.>
) pause at the term Bromanti%iHeB<
Aana%e+;s e?pressionism is not an e?aggerated e?tension o: Romanti% sentimentality. *n the
%ontrary7 it is one histori%al option :or mo8ing out o: Romanti%ism. An option 8ery di::erent :rom
the one Stra8ins+y %hose< unli+e him7 Aana%e+ did not reproa%h the Romanti%s :or ha8ing tal+ed
a$out :eelings9 he reproa%hed them :or ha8ing :alsi:ied them9 :or ha8ing su$stituted sentimental
gesti%ulation =Ba Romanti% lie7B Rene 6irardQ %alls it> :or the unmedi@
QAt last7 an o%%asion to %ite Rene 6irard9 his Mensonge romantiBue et 'erite romanesBue is the
$est $oo+ ) ha8e e8er read on the art o: the no8el.
ated truth o: the emotions. 2e has a passion :or the passions7 $ut still more :or the pre%ision he
musters to e?press them. Stendhal7 not 2ugo. 1hi%h in8ol8es $rea+ing a,ay :rom Romanti%
musi%7 :rom its spirit7 :rom its hypertrophied sonorities =Aana%e+;s e%onomy o: sound sho%+ed
e8eryone in his time>7 :rom its stru%ture.
4
) pause at the term Bstru%tureB<
C,hereas Romanti% musi% sought to impose emotional unity on a gi8en mo8ement7 Aana%e+;s
musi%al stru%ture is $ased on unusually :reEuent alternations o: di::erent7 e8en %ontradi%tory7
emotional :ragments ,ithin a single pie%e7 a single mo8ement9
C%orresponding to this emotional di8ersity is a di8ersity o: tempi and meters7 ,hi%h also
alternate unusually o:ten9
Cthe %oe?isten%e o: many %ontradi%tory emotions in a 8ery limited spa%e ma+es :or a semanti%s
that is $rand ne, =,hat astonishes and :as%inates is the une>pected 8u>taposition of emotions=.
The %oe?isten%e o: emotions is horiHontal =they :ollo, one another> $ut also =e8en more unusual>
8erti%al =they sound simultaneously as a polyphony of emotions=. (or e?ample< at the same time7
,e hear a nostalgi% melody7 $eneath it a :urious ostinato moti:7 and a$o8e it another melody7
,hi%h sounds li+e %ries. ): the per:ormer doesn;t understand that all these lines ha8e eEual
semanti% importan%e and that
there:ore none o: them should $e made into mere a%%ompaniment7 into an impressionisti%
murmur7 he is missing the stru%ture %hara%teristi% o: Aana%e+;s musi%.
The permanent %oe?isten%e o: %ontradi%tory emotions gi8es Aana%e+;s musi% its dramatic Euality9
dramati% in the most literal sense o: the term< this musi% does not e8o+e a narrator telling a tale9
rather7 it e8o+es a stage set on ,hi%h many di::erent %hara%ters are simultaneously present7
spea+ing7 %on:ronting ea%h other9 the seed o: this dramatic space is o:ten to $e :ound ,ithin a
single melodi% moti:. As in the :irst measures o: the Piano Sonata<
The :orte moti: o: si?teenth notes in the :ourth measure7 still part o: the melodi% theme
de8eloped in the pre%eding measures =it %onsists o: the same inter8als>7 at the same time :orms
its harsh emotional opposite. Some measures later7 ,e see ho, mu%h the $rutality o: this
Bse%essionistB moti: %ontradi%ts the elegia% melody it %omes :rom<
)n the :ollo,ing measure7 the t,o melodies7 the original and the Bse%essionist7B %ome together9
not in an emotional harmony7 $ut in a %ontradi%tory polyphony o: the emotions7 the ,ay yearning
tears and re$ellion %an %ome together<
)n their desire to lay an emotional uni:ormity on these measures7 all the pianists ,hose
re%ordings ) %ould :ind at the re%ord shop negle%t the sudden forte Aana%e+ mar+ed in the :ourth
measure9 thus they strip the Bse%essionistB moti: o: its $rutal %hara%ter and Aana%e+;s musi% o: all
o: the inimita$le tension that ma+es it re%ogniHa$le =i: it is properly understood> instantly7 :rom
its 8ery :irst notes.
&
The operas< ) don;t :ind The ?>cursions of Mr. 5roucek in the re%ord $ins and ) don;t miss it7 as )
%onsider this ,or+ rather a :ailure9 all the others are here7 %ondu%ted $y Sir Charles Ma%+erras<
Destiny =,ritten in !"-07 ,hose 8ersi:ied7 %atastrophi%ally nai8e li$retto and e8en its musi%7
%oming a:ter 7enufa3 represent a distin%t regression>9 then :i8e masterpie%es that ) admire
unreser8edly< <atia <abano'a3 The unning Little 4i>en7 The Makropulos Affair@ and 7enufa6
Sir Charles Ma%+erras has the immeasura$le merit o: ha8@
ing :inally =in !"KI7 a:ter si?ty@si? yearsF> rid that opera o: the arrangement that ,as imposed on
it in Prague in !"!.. Still more $rilliant a su%%ess7 ) thin+7 is his re8ision o: the s%ore o: From the
(ouse of the Dead. Than+s to Ma%+erras7 ,e $e%ame a,are =in !"K-7 a:ter :i:ty@t,o yearsF> ho,
mu%h the adapters; arrangements had ,ea+ened this opera. Restored to its original :orm7 ,herein
it regained all its spare and strange sonority =poles apart :rom Romanti% symphon@ism>7 From the
(ouse of the Dead emerges alongside Berg;s ,oCCeck as the truest7 the greatest opera o: our dar+
%entury.
.
An insolu$le pra%ti%al di::i%ulty< in Aana%e+;s operas7 the %harm o: the 8o%al parts does not lie
only in the $eauty o: the melodies $ut lies also in the psy%hologi%al meaning =al,ays an
une?pe%ted meaning> that the melody %on:ers not on a s%ene as a ,hole $ut on ea%h phrase7 ea%h
,ord sung. But ho, to sing it in Berlin or in ParisG )n CHe%h =Ma%+erras;s solution>7 the listener
,ill hear only meaningless sylla$les7 gain no understanding o: the psy%hologi%al su$tleties
present at e8ery melodi% turn. )n translation7 then7 as ,as done ,hen these operas started their
international %areerG That too is pro$lemati%< the (ren%h language7 :or e?ample7 ,ould not
tolerate the stress put on the :irst sylla$le o: CHe%h ,ords7 and in (ren%h the intonation ,ould
ta+e on an entirely di::erent psy%hologi%al meaning.
=There is something poignant i: not tragi% in the :a%t that Aana%e+ should ha8e %on%entrated most
o: his
inno8ati8e po,ers on opera o: all things7 thus putting himsel: at the mer%y o: the most
%onser8ati8e $ourgeois audien%e imagina$le. Moreo8er< his originality lies in an unpre%edented
re8aluation o: the sung "ord3

meaning spe%i:i%ally the CHe%h ,ord7 ,hi%h is in%omprehensi$le in
ninety@nine per%ent o: the theaters in the ,orld. )t;s di::i%ult to imagine a greater sel:@imposed
a%%umulation o: o$sta%les. 2is operas are the most $eauti:ul homage e8er paid the CHe%h
language. 2omageG Yes. 2omage in the shape o: a sa%ri:i%e. 2e immolated his uni8ersal musi%
on the altar o: a nearly un+no,n language.>
7
A Euestion< ): musi% is a supranational language7 is the semanti%s o: spee%h intonations also
supranational in natureG *r not at allG *r at least to some degreeG Pro$lems that :as%inated
Aana%e+. So mu%h so that in his last ,ill and testament he $eEueathed nearly all his money to the
3ni8ersity o: Brno to under,rite resear%h in spo+en language =its rhythms7 its intonations7 its
semanti%s>. But as ,e +no,7 people don;t gi8e a damn a$out ,ills and testaments.
8
Sir Charles Ma%+erras;s admira$le :idelity to Aana%e+;s ,or+ means< grasping and de:ending
,hat is essential. Aiming :or the essential is7 indeed7 Aana%e+;s artisti% ethi%9 its rule $eing< only
a$solutely ne%essary =seman@
ti%all8 ne%essary> notes ha8e a right to e?ist9 :rom ,hi%h :ollo,s an e?treme spareness in
or%hestration. By ridding the s%ores o: their imposed additions7 Ma%+erras restored that spareness
and thus made %learer the Aana%e+ aestheti%.
But there is also another7 an opposite7 +ind o: :idelity that ta+es the :orm o: a passion to %olle%t
e8erything an author lea8es $ehind him. Sin%e in his li:etime e8ery author has already tried to
ma+e pu$li% e8erything essential7 the garbage9can sca'engers are de8otees o: the unessential.
A per:e%t e?ample o: the s%a8enger spirit sho,s in the re%ording o: the pie%es :or piano and
8iolin or %ello =ADDA &K!!#.L#/>. *n this t,o@dis% set7 minor or ,orthless pie%es =:ol+ musi%
trans%riptions7 a$andoned 8ariants7 Du8enilia7 s+et%hes> ta+e up some :i:ty minutesCa third o: the
timeCand are s%attered among the :ull@s%ale %ompositions. (or e?ample7 there is si? and a hal:
minutes o: musi% ,ritten to a%%ompany gymnasti% e?er%ises. - %omposers7 %ontrol yoursel8es
,hen pretty ladies :rom a gym %ome to as+ a little :a8orF Your good turn ,ill outli8e youCas a
laughingsto%+ F
9
) go on loo+ing through the $ins. ) sear%h in 8ain :or %ertain $eauti:ul or%hestral ,or+s o:
Aana%e+;s mature years =BThe (iddler;s Child7B!"!I9 BThe Ballad o: Blani+7B !"I->7 his %antatas
=espe%ially< Amarus3 !K"K>7 and some %ompositions :rom the time ,hen his style ,as ta+ing
shape7 ,or+s nota$le :or their mo8ing
and unparalleled simpli%ity< Pater Noster =!"-!>7 A'e Maria =!"-0>. The most important and
serious la%+ here is his %horal ,or+s9 :or in our %entury there is nothing in this genre to eEual the
:our masterpie%es o: Aana%e+;s great period< BMary%+a Magdono8aB=!"-.>7 BS%hoolmaster
2al:arB =!"-.>7 BThe Se8enty ThousandB =!"-">7 BThe 1andering MadmanB =!"II>< ,or+s o:
dia$oli% te%hni%al di::i%ulty7 they ,ere e?%ellently per:ormed in CHe%hoslo8a+ia9 those
re%ordings must surely e?ist on old pressings :rom the CHe%h :irm Supraphon7 $ut :or years no,
these ha8e $een impossi$le to :ind.
10
The $alan%e sheet7 then7 is not entirely $ad7 $ut it is not good either. 1ith Aana%e+ this ,as so
:rom the $eginning. 7enufa rea%hed the ,orld;s stages t,enty years a:ter it ,as ,ritten. Too late.
(or a:ter t,enty years the polemi%al %hara%ter o: an aestheti% disappears7 and then its no8elty is
no longer dis%erni$le. That is ,hy Aana%e+;s musi% is so o:ten $adly understood7 and so $adly
per:ormed9 its histori% meaning is $lurred9 it seems un%lassi:ia$le9 li+e a $eauti:ul garden laid out
Dust ne?t door to 2istory9 the Euestion o: its pla%e in the e8olution =$etter< in the genesis> o:
modern musi% doesn;t e8en arise.
): in the %ase o: Bro%h7 o: Musil7 o: 6om$ro,i%H7 and in a %ertain sense o: Barto+7 delay in
re%ognition is due to histori% %atastrophes =NaHism7 ,ar>7 $ut in Aana%e+;s %ase it ,as his small
nation that %ompletely too+ o8er the role o: the %atastrophes.
11
Small nations. The %on%ept is not Euantitati8e9 it des%ri$es a situation9 a destiny< small nations
ha8en;t the %om:orta$le sense o: $eing there al,ays7 past and :uture9 they ha8e all7 at some point
or another in their history7 passed through the ante%ham$er o: death9 al,ays :a%ed ,ith the
arrogant ignoran%e o: the large nations7 they see their e?isten%e perpetually threatened or %alled
into Euestion9 :or their 8ery e?isten%e is a Euestion.
Most o: the small European nations $e%ame :ree and independent in the nineteenth and t,entieth
%enturies. Thus they ha8e their o,n e8olutionary rhythm. (or the arts7 this histori%al asyn%hrony
has o:ten $een a :ruit:ul thing7 as it made :or the %urious teles%oping o: di::erent eras< :or
instan%e7 Aana%e+ and Barto+ ,ere $oth ardent parti%ipants in the national struggle o: their
peoples9 that is their nineteenth@%entury side< an e?traordinary sense o: reality7 an atta%hment to
the ,or+ing %lasses and to popular arts7 a more spontaneous rapport ,ith the audien%e9 these
Eualities7 already gone :rom the arts in the large %ountries7 here merged ,ith the aestheti% o:
modernism in a surprising7 inimita$le7 :eli%itous marriage.
The small nations :orm Banother Europe7B ,hose e8olution runs in %ounterpoint ,ith that o: the
large nations. An o$ser8er %an $e :as%inated $y the o:ten astonishing intensity o: their %ultural
li:e. This is the ad8antage o: smallness< the ,ealth in %ultural e8ents is on a Bhuman s%ale;9
e8eryone %an en%ompass that ,ealth7 %an parti%ipate in the totality o: %ultural li:e9 this is ,hy7 in
its $est moments7 a small nation %an $ring to mind li:e in an an%ient 6ree+ %ity.
That potential :or e8eryone;s parti%ipation in e8erything %an also $ring to mind something else<
the :amily9 a small nation resem$les a $ig :amily and li+es to des%ri$e itsel: that ,ay. )n the
language o: the smallest European people7 in )%elandi%7 the term :or B:amilyB is f8olskylda@ the
etymology is eloEuent< skylda means Bo$ligationB9 f8ol means Bmultiple.B (amily is thus Ba
multiple o$ligation.B )%elanders ha8e a single ,ord :or B:amily tiesB< f8olskyldubond6 Bthe %ords
=bond= o: multiple o$ligations.B Thus in the $ig :amily that is a small %ountry7 the artist is $ound
in multiple ,ays7 $y multiple %ords. 1hen NietHs%he noisily sa8aged the 6erman %hara%ter7
,hen Stendhal announ%ed that he pre:erred )taly to his homeland7 no 6erman or (ren%hman too+
o::ense9 i: a 6ree+ or a CHe%h dared to say the same thing7 his :amily ,ould %urse him as a
detesta$le traitor.
Se%luded $ehind their ina%%essi$le languages7 the small European nations =their li:e7 their history7
their %ulture> are 8ery ill +no,n9 people thin+7 naturally enough7 that this is the prin%ipal
handi%ap to international re%ognition o: their art. But it is the re8erse< ,hat handi%aps their art is
that e8erything and e8eryone =%riti%s7 historians7 %ompatriots as ,ell as :oreigners> hoo+s the art
onto the great national :amily portrait photo and ,ill not let it get a,ay. 6om$ro,i%H< to no
purpose =and ,ith no %ompeten%e either>7 :oreign %ommentators struggle to e?plain his ,or+ $y
dis%oursing on the Polish no$ility7 on the Polish BaroEue7 et%.7 et%. As 'a+is Proguidis ,rites7Q
they BPoloniHeB
Q'a+is Proguidis7 /n ecri'ain malgre la critiBue =Paris< 6allimard7 !"K">.
him7 Bre@PoloniHeB him7 push him $a%+ into the small conte>t o: the national. 2o,e8er7 it is not
:amiliarity ,ith the Polish no$ility $ut :amiliarity ,ith the international modern no8el =that is7
,ith the large conte>t= that ,ill $ring us to understand the originality and7 hen%e7 the 8alue o:
6om$ro,i%Hs no8els.
1+
Ah7 small nations. 1ithin that ,arm intima%y7 ea%h en8ies ea%h7 e8eryone ,at%hes e8eryone.
B(amilies7 ) hate youFB And still another line :rom 6ide< BBThere is nothing more dangerous :or
you than your o"n :amily7 your o"n room7 your o"n past. . . . You must lea8e them.B )$sen7
Strind$erg7 Aoy%e7 Se:eris +ne, this. They spent a large part o: their li8es a$road7 a,ay :rom the
:amily;s po,er. (or Aana%e+7 that ingenuous patriot7 this ,as in%on%ei8a$le. And he paid the
pri%e.
*: %ourse7 all modern artists ha8e had e?perien%e ,ith hatred and in%omprehension :rom the
pu$li%9 $ut they ,ere also surrounded $y dis%iples7 $y theoreti%ians7 $y per:ormers ,ho :rom the
$eginning ,ere de:ending them and promulgating the authenti% idea o: their art. )n Brno7 in a
pro8in%e ,here he spent his ,hole li:e7 Aana%e+ too had his :aith:ul :ollo,ers7 some per:ormers
,ho ,ere o:ten admira$le =the Aana%e+ Puartet ,as among the last heirs to this tradition> $ut
,hose in:luen%e ,as ,ea+. (rom the early years o: the %entury7 o::i%ial CHe%h musi%ology
disdained him. Kno,ing no other musi%al gods $ut Smetana7 nor other la,s than the
SmetanesEue7 the national ideologues ,ere irritated $y his otherness. The pope o:
Prague musi%ology7 Pro:essor NeDedly7 ,ho late in his li:e7 in !"0K7 $e%ame minister and
omnipotent ruler o: %ulture in StaliniHed CHe%hoslo8a+ia7 too+ ,ith him into his $elli%ose senility
only t,o great passions< Smetana ,orship and Aana%e+ 8ili:i%ation. The most use:ul support o:
Aana%e+;s li:etime %ame :rom Ma? Brod9 $et,een !"!K and !"IK Brod translated all Aana%e+;s
operas into 6erman7 there$y opening :rontiers to them and deli8ering them :rom the e?%lusi8e
po,er o: the Dealous :amily. )n !"I0 he ,rote the :irst monograph on Aana%e+9 $ut Brod ,as not
CHe%h7 and thus the :irst Aana%e+ monograph ,as in 6erman. The se%ond ,as in (ren%h7
pu$lished in Paris in !"#-. The :irst %omplete monograph in CHe%h only appeared thirty@nine
years a:ter Brod;s.Q (ranH Ka:+a %ompared Brod;s %ampaign :or Aana%e+ to the one :or Drey:us
earlierCa startling %omparison that indi%ates the degree o: hostility le8eled at Aana%e+ in his o,n
%ountry. (rom !"-# to !"!.7 the National Theater o: Prague persistently turned a,ay his :irst
opera7 7enufa. )n Du$lin at the same time7 :rom !"-& to !"!07 Aoy%es %ountrymen re:used
pu$li%ation o: his :irst $oo+ o: prose7 Dubliners3 in !"!I e8en $urning the proo:s. Aana%e+;s story
di::ers :rom Aoy%e;s in the per8ersity o: its out%ome< he ,as :or%ed to see the pre@
QAarosla8 4ogel7 Leos 7anacek =Prague7 !".#< re8ised English translation7 Ne, Yor+< 1. 1.
Norton7 !"K!>7 a detailed and honest $oo+7 $ut limited in its Dudgments $y its national and
nationalisti% horiHon. Barto+ and Berg7 the t,o %omposers most %losely related to Aana%e+ on the
international s%ene< the :ormer is not mentioned at all7 the latter $arely. 2o, is one to lo%ate
Aana%e+ on the map o: modern musi% ,ithout these t,o re:eren%e pointsG
miere o: 7enufa dire%ted $y the %ondu%tor ,ho :or :ourteen years had dismissed him7 ,ho :or
:ourteen years had had only %ontempt :or his musi%. 2e ,as o$liged to $e grate:ul. A:ter that
humiliating 8i%tory =the s%ore ,as reddened ,ith %orre%tions7 deletions7 additions>7 he e8entually
%ame to $e tolerated in Bohemia. ) say Btolerated.B ): a :amily doesn;t su%%eed in annihilating its
unlo8ed son7 it humiliates him ,ith maternal indulgen%e. The %ommon 8ie, in Bohemia7 meant
as :a8ora$le7 tears him out o: the %onte?t o: modern musi% and immures him in lo%al %on%erns<
passion :or :ol+lore7 Mora8ian patriotism7 admiration :or 1oman7 :or Nature7 :or Russia7 :or
Sla8itude7 and other nonsense. (amily7 ) hate you. Not a single important musi%ologi%al study
analyHing the aesthetic ne"ness o: his ,or+ has to this day $een ,ritten $y any o: his
%ompatriots. There is no signi:i%ant s%hool o: Aana%e+ interpretation7 ,hi%h might ha8e made his
strange aestheti% intelligi$le to the ,orld. No strategy :or ma+ing his musi% +no,n. No %omplete
re%orded edition o: his ,or+s. No %omplete edition o: his theoreti%al and %riti%al ,ritings.
And yet that little nation has ne8er had any artist greater than he.
13
'et us go on. ) %onsider the last de%ade o: his li:e< his %ountry independent7 his musi% at last
applauded7 himsel: lo8ed $y a young ,oman9 his ,or+s $e%ome more and more $old7 :ree7
merry. A Pi%asso@li+e old age. )n the summer o: !"IK7 his $elo8ed and her t,o
%hildren %ome to see him in his little %ountry house. The %hildren ,ander o:: into the :orest7 he
goes loo+ing :or them7 runs e8ery ,hi%h ,ay7 %at%hes %old and de8elops pneumonia7 is ta+en to
the hospital7 and7 a :e, days later7 dies. She is there ,ith him. (rom the time ) ,as :ourteen7 )
ha8e heard the gossip that he died ma+ing lo8e on his hospital $ed. Not 8ery plausi$le $ut7 as
2eming,ay li+ed to say7 truer than the truth. 1hat $etter %oronation :or the ,ild euphoria that
,as his late ageG
And it is also proo: that ,ithin his national :amily there ,ere7 a:ter all7 people ,ho lo8ed him.
(or that legend is a $ouEuet set upon his gra8e.
PART E)62T Paths in the Fog
,hat &s &rony:
)n Part (our o: The 5ook of Laughter and Forgetting3 Tamina7 the heroine7 needs some help :rom
her :riend Bi$i7 a young graphomania%9 to ,in her good,ill7 she arranges :or her to meet a lo%al
,riter named Bana+a. 2e e?plains to the graphomania% that todays real ,riters ha8e renoun%ed
the o$solete art o: the no8el< BYou +no,7 the no8el is the :ruit o: a human illusion. The illusion
o: the po,er to understand others. But ,hat do ,e +no, o: one anotherG . . . All anyone %an do
is gi8e a report on onesel:. . . . Anything else is a lie.B And Bana+as :riend7 a philosophy
pro:essor7 says< BSin%e Aames Aoy%e ,e ha8e +no,n that the greatest ad8enture o: our li8es is the
a$sen%e o: ad8enture. . . . 2omers odyssey has $een ta+en inside. )t has $een interioriHed.B Some
time a:ter the $oo+ appeared7 ) :ound these ,ords as the epigraph to a (ren%h no8el. ) ,as 8ery
:lattered $ut em$arrassed too7 $e%ause7 in my 8ie,7 ,hat Bana+a and his :riend said ,ere Dust
sophisti%ated stupidities. At the time7 in the se8enties7 ) ,as hearing them all around me<
uni8ersity %hatter %o$$led together :rom s%raps o: stru%turalism and psy%hoanalysis.
This Part (our o: The 5ook of Laughter and Forgetting ,as pu$lished in CHe%hoslo8a+ia as a
small7 separate 8olume =the :irst pu$li%ation o: any ,or+ o: mine a:ter a t,enty@year $an>7 and a
press %lipping ,as sent to me in Paris< the re8ie,er ,as pleased ,ith me7 and as proo: o: my
intelligen%e he Euoted a line he %onsidered $rilliant< BSin%e Aames Aoy%e ,e ha8e +no,n that the
greatest ad8enture o: our li8es is the a$sen%e o: ad8enture7B and so on. ) too+ a strangely ,i%+ed
pleasure at seeing mysel: ride $a%+ into my nati8e land on a don+ey o: misunderstanding.
The misapprehension is understanda$le< ) hadn;t set out to ridicule Bana+a and his pro:essor
:riend. ) had not made o$8ious my reser8ation a$out them. *n the %ontrary7 ) did all ) %ould to
%on%eal it7 to gi8e their opinions the elegan%e o: the intelle%tual dis%ourse that e8eryone7 $a%+
then7 respe%ted and :er8ently imitated. ): ) had made their tal+ ridi%ulous7 $y e?aggerating its
e?%esses7 ) ,ould ha8e produ%ed ,hat is %alled satire. Satire is a thesis art9 sure o: its o,n truth7
it ridi%ules ,hat it determines to %om$at. The no8elists relation to his %hara%ters is ne8er
satiri%al9 it is ironi%. But ho, does irony7 ,hi%h is $y de:inition dis%reet7 ma+e itsel: apparentG
By the %onte?t< Bana+a;s and his :riends remar+s are set ,ithin an en8ironment o: gestures7
a%tions7 and ,ords that relati8iHe them. The little pro8in%ial ,orld that surrounds Tamina is
%hara%teriHed $y an inno%ent ego%entrism< e8eryone has sin%ere li+ing :or her7 and yet no one
tries to understand her7
not e8en +no,ing ,hat BunderstandingB ,ould mean. 1hen Bana+a says that the art o: the no8el
is o$solete $e%ause the notion o: understanding others is an illusion7 he is e?pressing not only a
:ashiona$le aestheti% attitude $ut7 un+no,ingly7 his o,n misery and that o: his milieu< a la%+ o:
desire to understand another9 an ego%entri% $lindness to,ard the real ,orld.
)rony means< none o: the assertions :ound in a no8el %an $e ta+en $y itsel:7 ea%h o: them stands
in a %omple? and %ontradi%tory Du?taposition ,ith other assertions7 other situations7 other
gestures7 other ideas7 other e8ents. *nly a slo, reading7 t,i%e and many times o8er7 %an $ring
out all the ironic connections inside a no8el7 ,ithout ,hi%h the no8el remains un%omprehended.
<.1s urious 5eha'ior During (is Arrest
K. ,a+es up one morning and7 still in $ed7 rings :or his $rea+:ast to $e $rought. )nstead o: the
maid7 t,o strangers arri8e7 ordinary men7 in ordinary dress7 ,ho ne8ertheless immediately
$eha8e ,ith su%h authority that K. %annot help $ut :eel their :or%e7 their po,er. So although he is
e?asperated7 he is in%apa$le o: thro,ing them out and instead he politely as+s them< B1ho are
youGB
(rom the $eginning7 K.;s $eha8ior os%illates $et,een his ,ea+ness7 prepared to $o, to the
intruders; un$elie8a$le e::rontery =they ha8e %ome to noti:y him that he is under arrest>7 and his
:ear o: appearing ridi%ulous. (or instan%e7 he says :irmly< B) shall neither
stay here nor let you address me until you ha8e introdu%ed yoursel8es.B )t ,ould su::i%e to pull
these ,ords out o: their ironi% setting7 to ta+e them literally =as my reader too+ Bana+as ,ords>7
and K. ,ould $e :or us =as he ,as :or *rson 1elles in his :ilm 8ersion o: The Trial= a man@in@
re8olt@against@8iolen%e. Yet it su::i%es to read the te?t %are:ully to see that this man said to $e in
re8olt %ontinues to o$ey the intruders7 ,ho not only ne8er deign to introdu%e themsel8es $ut also
eat his $rea+:ast and +eep him standing the ,hole time in his nightshirt.
At the end o: this s%ene o: odd humiliation =he o::ers them his hand and they re:use to ta+e it>7
one o: the men says to K.< BYou;ll $e going to the $an+ no,7 ) supposeGB BTo the $an+GB as+s K.
B) thought ) ,as under arrest.B
There he is again7 the man@in@re8olt@against@8iolen%eF 2e is $eing sar%asti%F 2e is $eing
pro8o%ati8eF As7 $y the ,ay7 Ka:+a;s %ommentary ma+es e?pli%it< BK. as+ed the Euestion ,ith a
%ertain de:ian%e7 :or though his o::er to sha+e hands had $een ignored7 he :elt7 espe%ially no,
that the inspe%tor had risen to his :eet7 more and more independent o: all these people. 2e ,as
playing ,ith them. ): they should lea8e7 he planned to %hase a:ter them to the :ront door and
o::er himsel: up :or arrest.B
2ere is a 8ery su$tle irony< K. is %apitulating $ut ,ants to see himsel: as someone strong ,ho
Bplays ,ith them7B ,ho mo%+s them $y derisi8ely pretending to ta+e his arrest seriously9 he is
%apitulating $ut immediately also interprets his %apitulation in a ,ay that lets him maintain his
dignity in his o,n eyes.
People :irst read Ka:+a ,ith a tragi% e?pression on
their :a%es. Then they heard that ,hen Ka:+a read the :irst %hapter o: The Trial to his :riends7 he
made them all laugh. Thereupon readers started :or%ing themsel8es to laugh too7 $ut ,ithout
+no,ing e?a%tly ,hy. 1hat a%tually is so :unny in this %hapterG K.;s $eha8ior. But ,hat is %omi%
a$out this $eha8iorG
The Euestion reminds me o: the years ) spent at the %inema s%hool in Prague. During the tea%hers;
meetings7 a :riend and ) ,ould al,ays ,at%h ,ith a mali%ious a::e%tion one o: our %olleagues7 a
,riter o: a$out :i:ty7 a man ,ho ,as su$tle and %orre%t $ut ,hom ,e suspe%ted o: tremendous7
in%ura$le %o,ardi%e. 1e dreamed up the :ollo,ing s%enario7 ,hi%h =alasF> ,e ne8er %arried out<
)n the middle o: the meeting7 one o: us ,ould suddenly tell him< B*n your +neesFB
At :irst he ,ouldn;t understand ,hat ,e ,anted9 or more e?a%tly7 in his %lear@eyed %ra8enness7
he ,ould understand instantly $ut ,ould thin+ to gain a little time $y pretending not to
understand.
1e ,ould ha8e to say it louder< B*n your +neesFB
No, he %ould no longer pretend not to understand. 2e ,ould $e all set to o$ey7 ,ith Dust one
pro$lem< ho, to do itG 2o, ,ould he get do,n on his +nees here7 in :ront o: all o: his
%olleagues7 ,ithout humiliating himsel:G 2e ,ould loo+ desperately :or some :unny remar+ to
ma+e as he got do,n< B1ill you permit me7 my dear %olleagues7B he ,ould :inally say7 Bto put a
%ushion under my +nees G B
B*n your +nees and $e EuietFB
2e;d do it7 putting his hands together and slightly tilting his head to the le:t< BMy dear %olleagues7
i: you ha8e really studied Renaissan%e painting7 this is
e?a%tly the ,ay Raphael painted Saint (ran%is o: Assisi.B
E8ery day ,e imagined ne, 8ariations on this dele%ta$le s%ene7 in8enting more and more ,itty
remar+s :or our %olleagues e::orts to preser8e his dignity.
The !econd Trial of 7osef <.
As opposed to *rson 1elles7 Ka:+a;s earliest interpreters ,ere :ar :rom %onsidering K. an
inno%ent man in re8olt against the ar$itrary. Ma? Brod ne8er dou$ted that Aose: K. is guilty.
1hat has he doneG A%%ording to Brod =Despair and !al'ation in the ,ork of TranC <afka
N4erC"eiflung und ?rlosung im ,erk FranC <afkasO7 !"&">7 he is guilty o: Lieblosigkeit3 the
ina$ility to lo8e. B7osef <. liebt niemanden3 er liebelt nur3 deshalb muss er sterben.G Aose: K.
lo8es no one7 he only dallies7 and there:ore he must die. ='et us ne8er :orget the su$lime
stupidity o: this senten%eF> Brod is Eui%+ to addu%e t,o proo:s o: Lieblosigkeit6 a%%ording to a
%hapter le:t un:inished and e?%luded :rom The Trial =usually pu$lished as an appendi?>7 Aose: K.
has not $een to see his mother :or three years9 he has merely sent her money7 getting in:ormation
a$out her health :rom a %ousin =a %urious resem$lan%e< Meursault7 in The !tranger3 is also
a%%used o: not lo8ing his mother>. The se%ond pie%e o: e8iden%e is K.s relationship ,ith (raulein
Biirstner7 a relationship that Brod des%ri$es as o: the Blo,est se?ualityB =niedrigster !e>ualitat=.
B(raulein Biirstner7 to ,hom he is dra,n $y a +ind o: desire7 remains shado,y to him as a
human $eing7 interests him only as a se?ual %reature.B
)n his pre:a%e to the !".0 Prague edition o: The Trials the CHe%h Ka:+ologist Eduard
6oldstii%+er %riti%iHed K. ,ith eEual se8erity7 e8en though his 8o%a$ulary is mar+ed not $y
theology7 li+e Brod;s7 $ut $y Mar?ist@style so%iology< BAose: K. is guilty $e%ause he has allo,ed
his li:e to $e me%haniHed7 automatiHed7 alienated7 to $e :itted to the stereotyped rhythm o: the
so%ial ma%hine7 let it $e depri8ed o: e8ery human Euality9 thus K. has $ro+en the la, that7
a%%ording to Ka:+a7 rules all human+ind< ;Be human.;B )n the :i:ties 6oldstii%+er under,ent a
dread:ul Stalinist trial ,here he ,as a%%used o: imaginary %rimes7 and he spent :our years in
prison. ) as+ mysel:< ho, %ould this man7 the 8i%tim o: a trial himsel:7 some ten years later set up
a trial against another de:endant7 no guiltier than heG
A%%ording to Ale?andre 4ialatte =L;(istoire secrete du Proces3 !"0/>7 the trial in Ka:+a;s no8el is
the one that Ka:+a $rings against himsel:7 K. $eing nothing $ut his alter ego< Ka:+a had $ro+en
his engagement ,ith (eli%e7 and his :uture :ather@in@la, B%ame :rom Malmo e?pressly to try the
guilty :ello,. The hotel room in the As+anis%her 2o: ,here this s%ene un:olded =in Auly !"!0>
ga8e Ka:+a the sense o: a %ourtroom. . . . 2e started the ne?t day on ;The Penal Colony; and on
The Trial. 1e do not +no, K.;s %rime7 and today;s morality a$sol8es it. And yet7 his ;inno%en%e;
is dia$oli%al. ... )n some mysterious ,ay7 K. has 8iolated the la,s o: a mysterious Dusti%e that has
nothing to do ,ith ours. . . . The Dudge is Do%tor Ka:+a7 the de:endant is Do%tor Ka:+a. 2e pleads
guilty to dia$oli%al inno%en%e.B
)n the :irst trial =the one Ka:+a re%ounts in his no8el>7 the tri$unal a%%uses K. "ithout specifying
the
crime. The Ka:+ologists ,ere unastonished that a person %ould $e a%%used ,ithout %ause and
,ere not spurred to either ponder the ,isdom or appre%iate the $eauty o: this unheard@o:
in8ention. )nstead7 they set a$out playing prose%utor in a ne, trial that they themsel8es $rought
against K.7 this time trying to :igure out the true %rime o: the a%%used. Brod< he is in%apa$le o:
lo8eF 6oldstu%+er< he a%Euies%ed in the me%haniHation o: his li:eF 4ialatte< he $ro+e his
engagementF They do deser8e %redit :or one thing< their trial against K. is Dust as Ka:+an as the
:irst one. (or i: in his :irst trial K. is a%%used o: nothing3 in the se%ond he is a%%used o: no matter
"hat3 ,hi%h %omes to the same $e%ause in $oth %ases one thing is %lear< K. is guilty not $e%ause
he has %ommitted a %rime $ut $e%ause he has $een a%%used. 2e is a%%used7 there:ore he must die.
&nducing #uilt
There is only one ,ay to understand Ka:+a;s no8els< to read them as no8els. Rather than sear%h
the %hara%ter K. :or a portrait o: the author and K.;s ,ords :or a mysterious %oded message7 to
pay %are:ul attention to the $eha8ior o: the %hara%ters7 their remar+s7 their thoughts7 and try to
imagine them $e:ore your eyes. Reading The Trial this ,ay7 you are immediately stru%+ $y K.;s
strange rea%tion to the %harge< ,ithout ha8ing done anything ,rong =or ,ithout +no,ing ,hat he
did>7 K. immediately $egins to $eha8e as though he is guilty. 2e :eels guilty. 2e has $een made
to :eel guilty. 2e has $een culpabiliCed.
People used to see a 8ery simple lin+ $et,een
B$eing guiltyB and B:eeling guiltyB< it;s the guilty person ,ho :eels guilty. )n :a%t7 the (ren%h
,ord culpa9biliserCto indu%e :eelings o: guiltCis relati8ely re%ent9 it ,as :irst used in !"..
$e%ause o: psy%hoanalysis and its inno8ations in terminology9 the noun deri8ed :rom this 8er$
=culpabilisation= ,as %reated t,o years later7 in !".K. But long $e:ore that7 the hitherto
une?plored %ondition o: indu%ed guilt :eelings ,as set :orth7 des%ri$ed7 and de8eloped in Ka:+a;s
no8el7 in the %hara%ter K.7 and it ,as sho,n at di::erent stages o: its e8olution<
!tage 16 Futile struggle for lost dignity. A man a$surdly a%%used ,ho does not yet dou$t his
inno%en%e is distur$ed to see that he is $eha8ing as i: he is guilty. A%ting guilty ,ithout $eing so
has a humiliating element7 ,hi%h he tries to %on%eal. Set out in the :irst s%ene o: the no8el7 in the
ne?t %hapter this situation is %ondensed into a tremendously ironi% Do+e<
An un+no,n person telephones K.< he is to $e interrogated the :ollo,ing Sunday at a house in
the su$ur$s. 1ithout hesitation7 he de%ides to go9 out o: o$edien%eG out o: :earG *h no7 sel:@
delusion ,or+s automati%ally< he ,ants to go there in order to $e done Eui%+ly ,ith these
nuisan%es ,ho are ,asting his time ,ith their stupid %ase =Bthe %ase ,as getting under ,ay and
he must :ight it9 this :irst interrogation must also $e the lastB>. )mmediately a:ter7 his %hie: at the
$an+ ,here he ,or+s in8ites K. to a party on the same Sunday. The in8itation is important :or
K.;s %areer. Should he there:ore ignore the grotesEue summonsG No9 he de%lines the %hie:;s
in8itation sin%e7 ,ithout ,anting to a%+no,ledge it to himsel:7 he is already under the s,ay o:
the trial.
And so on Sunday he goes to the house. 2e realiHes that the 8oi%e on the telephone that ga8e him
the address negle%ted to spe%i:y the hour. No matter9 he :eels pressed :or time7 and he runs =yes7
literally7 he runs9 in 6erman< er lief= a%ross the entire %ity. 2e runs in order to arri8e on time7
e8en though no hour has $een spe%i:ied. 6ranted that he has reasons to arri8e as early as
possi$le9 $ut in that e8ent7 instead o: running7 ,hy not ta+e the street%ar7 ,hi%h in%identally
:ollo,s the 8ery same routeG The reason< he re:uses to ta+e the street%ar $e%ause Bhe had no
desire to hum$le himsel: $e:ore the %ommittee o: inEuiry $y a too@s%rupulous pun%tuality.B 2e
runs to the tri$unal7 $ut he runs as a proud man ,ho ,ill not $e humiliated.
!tage +6 Proof of strength. (inally7 he arri8es in the room ,here he is e?pe%ted. BSo you are a
house painterGB says the e?amining magistrate7 and K.7 in :ront o: the %ro,d :illing the hall7
rea%ts spiritedly to the ridi%ulous mista+e< BNo7 );m the %hie: %ler+ o: a large $an+7B and then7 in a
long spee%h7 he lam$astes the tri$unal :or its in%ompeten%e. 2eartened $y applause7 he :eels
strong7 and in the :amiliar %li%he o: the a%%used turned a%%user =,onder:ully dea: to Ka:+an
irony7 *rson 1elles ,as ta+en in $y the %li%he>7 he %hallenges his Dudges. The :irst sho%+ %omes
,hen he noti%es $adges on the %ollars o: e8eryone there and realiHes that the audien%e he thought
to ,in o8er %onsists o: o::i%ials Bhere to listen and snoop.B 2e turns to lea8e7 and at the door7 the
e?amining magistrate is ,aiting to ,arn him< BYou ha8e :lung a,ay ,ith your o,n hand the
ad8antage an interrogation al,ays o::ers an a%%used man.B K. e?%laims< BYou s%umF You %an
+eep all your interrogationsFB
A reader ,ill understand nothing a$out this s%ene unless he sees its ironi% %onne%tions ,ith ,hat
%omes immediately a:ter the re$ellious out$urst :rom K. that ends the %hapter. 2ere is the start o:
the ne?t %hapter< BDuring the ne?t ,ee+7 day a:ter day K. a,aited a ne, summons9 he %ould not
$elie8e that his re:usal to $e interrogated had $een ta+en literally7 and ha8ing heard nothing $y
Saturday e8ening7 he assumed that he ,as ta%itly reEuired again in the same $uilding and at the
same time. So he again made his ,ay there on Sunday. . . .B
!tage $6 !ocialiCation of the trial. Alarmed $y the %ase $eing $rought against his nephe,7 K.s
un%le arri8es one day :rom the %ountry. A remar+a$le :a%t< the %ase7 it;s said7 is utterly se%ret7
%on:idential7 yet e8eryone +no,s a$out it. Another remar+a$le :a%t< no one dou$ts that K. is
guilty. So%iety has already adopted the a%%usation and added the ,eight o: its ta%it appro8al =or
its nondisagreement>. 1e ,ould e?pe%t indignant surprise< B2o, %ould they a%%use youG And :or
,hat %rime7 e?a%tlyGB But the un%le is not surprised. 2e is only :rightened $y the thought o: the
trials %onseEuen%es :or all the relati8es.
!tage -6 !elf9criticism. )n order to de:end himsel: in a trial that re:uses to de%lare the %harge7 K.
ends up loo+ing :or the %rime himsel:. 1here is it %on%ealedG Certainly some,here in his
%urri%ulum 8itae. B2e ,ould ha8e to re%all his entire li:e7 in%luding the most minute a%ts and
e8ents7 and then to e?plain and e?amine it in e8ery regard.B
The situation is not at all unreal< this is a%tually the ,ay some simple ,oman hounded $y
mis:ortune ,ill ,onder< ,hat ha8e ) done ,rongG and $egin to
%om$ her past7 e?amining not only her a%tions $ut her ,ords and her se%ret thoughts in an e::ort
to %omprehend 6ods anger.
To des%ri$e this state o: mind7 Communist politi%al pra%ti%e %oined the term self9criticism =used
in this politi%al sense sin%e the !"#-s9 Ka:+a ne8er used it>. This usage o: the term does not
%orrespond e?a%tly to its etymology. )t is not a matter o: criticism =distinguishing good :eatures
:rom $ad ,ith the aim o: %orre%ting :aults>9 it is a matter o: finding your offense to let you help
your a%%user7 let you a%%ept and rati:y the a%%usation.
!tage %6 The 'ictim1s identification "ith his e>ecutioner. Ka:+a;s irony attains its horri:ying pea+
in the last %hapter< t,o men in :ro%+ %oats %ome :or K. and ta+e him into the street. At :irst he
struggles7 $ut then he thin+s< BAll ) %an do no, ... is +eep a %lear head to the end. . . . Should )
sho, no, that );8e learned nothing in a year o: this trialG Should ) go o:: li+e a dim,it ,ith no
senseGB
Then7 :rom a distan%e7 he sees some poli%emen ,al+ing their $eats. *ne o: them approa%hes this
suspi%ious@loo+ing group. Thereupon7 on his o,n initiati8e7 K. :or%i$ly drags the t,o men a,ay7
e8en starting to run ,ith them to es%ape the poli%emen ,ho7 a:ter all7 might disrupt or perhapsC
,ho +no,sGCpre8ent his %oming e?e%ution.
(inally7 they arri8e at their destination9 as the men prepare to sta$ him7 an idea =his ultimate sel:@
%riti%ism> %rosses K.s mind< B)t ,ould $e his duty to seiHe the +ni:e himsel: . . . and plunge it into
his o,n $ody.B 2e deplores his ,ea+ness< B2e %ould not pro8e himsel: %ompletely7 he %ould not
relie8e the o::i%ials
o: the ,hole tas+9 the responsi$ility :or this ultimate :ailing lay ,ith the one ,ho had denied him
the remnant o: strength he needed.B
For (o" Long an a Man 5e onsidered &dentical to (imself:
)n Dostoye8s+y7 the %hara%ters; identities lie in their personal ideology7 ,hi%h more or less
dire%tly determines their $eha8ior. Kirilo8 is %ompletely a$sor$ed $y his philosophy o: sui%ide7
,hi%h he %onsiders to $e a supreme mani:estation o: :reedom. Kirilo8< an idea $e%ome man. But
in real li:e7 is a man really su%h a dire%t proDe%tion o: his personal ideologyG Tolstoy;s %hara%ters
in ,ar and Peace =parti%ularly Pierre BeHu+ho8 and Andrei Bol+ons+y> also ha8e a 8ery ri%h7
8ery de8eloped intelle%tuality7 $ut theirs is %hangea$le7 protean7 so that it is impossi$le to
des%ri$e them in terms o: their ideas7 ,hi%h are di::erent in ea%h phase o: their li8es. Tolstoy thus
o::ers us another %on%eption o: man< he is an itinerary9 a ,inding road9 a Dourney ,hose
su%%essi8e phases not only 8ary $ut o:ten represent a total negation o: the pre%eding phases.
);8e said road.3 a ,ord that %ould mislead7 $e%ause the image o: a road e8o+es a destination.
No,7 ,hat is the destination o: these roads that end only randomly7 $ro+en o:: $y the
happenstan%e o: deathG )ts true that7 at the end7 Pierre BeHu+ho8 arri8es at the state o: mind that
seems to $e the ideal and :inal stage< he %omes to $elie8e that it is :utile to +eep sear%hing :or a
meaning to his li:e7 to struggle :or this or that %ause9
6od is e8ery,here7 in all o: li:e7 in ordinary li:e7 so it is enough to li8e all there is to li8e and li8e
it lo8ingly< and he turns happily to his ,i:e and :amily. )s his destination rea%hedG The summit
that7 retrospe%ti8ely7 ma+es all the earlier stages o: the Dourney into mere steps on the stair,ayG
): that ,ere the %ase7 Tolstoy;s no8el ,ould lose its essential irony and %ome to resem$le a
no8eliHed morality lesson. But it is not the %ase. )n the Epilogue that summariHes the e8ents o:
the ne?t eight 8ears7 ,e see BeHu+ho8 lea8ing his house and ,i:e :or a month and a hal: to
engage in some semi@%landestine politi%al a%ti8ity in Peters$urg. So again he is o:: to see+ a
meaning to his li:e7 to struggle :or a %ause. The roads ne8er end and +no, no destinations.
*ne might say that the 8arious phases o: an itinerary do ha8e an ironi% relation to one another. )n
the +ingdom o: irony7 eEuality rules9 this means that no phase o: the itinerary is morally superior
to another. 1hen Bol+ons+y sets a$out the tas+ o: ser8ing his %ountry7 is he see+ing there$y to
e>piate the "rong o: his earlier misanthropyG No. There is no sel:@%riti%ism here. At ea%h phase
o: the ,ay7 he :o%used all his intelle%tual and moral po,ers to arri8e at his position7 and he
+no,s that< so ho, %an he $lame himsel: :or not ha8ing $een ,hat he %ould not $eG And Dust as
one %annot pass Dudgment on the 8arious phases o: one;s li:e :rom a moral 8ie,point7 similarly
one %annot Dudge them as to authenti%ity. )t is impossi$le to say ,hi%h Bol+ons+y is more true to
himsel:< the one ,ho ,ithdre, :rom pu$li% li:e or the one ,ho de8oted himsel: to it.
): the 8arious stages are so %ontradi%tory7 ho, do ,e determine their %ommon denominatorG
1hat is the
%ommon essen%e that lets us see BeHu+ho8 the atheist and BeHu+ho8 the $elie8er as the sel:same
personG 1here does the sta$le essen%e o: an B)B resideG And ,hat moral responsi$ility does
Bol+ons+y No. I ha8e to,ard Bol+ons+y No. !G Must the BeHu+ho8 ,ho is Napoleon;s enemy
ans,er :or the BeHu+ho8 ,ho ,as on%e his admirerG *8er ,hat period o: time %an ,e %onsider a
man identi%al to himsel:G
*nly the no8el %an7 in %on%rete terms7 e?plore this mystery7 one o: the greatest +no,n to man9
and Tolstoy ,as pro$a$ly the :irst to do so.
onspiracy of Details
The metamorphoses o: Tolstoy;s %hara%ters %ome a$out not as a lengthy e8olution $ut as a
sudden illumination. Pierre BeHu+ho8 is trans:ormed :rom an atheist into a $elie8er ,ith
astonishing ease. All it ta+es is :or him to $e sha+en up $y the $rea+ ,ith his ,i:e and to
en%ounter at a post house a tra8eling (reemason ,ho tal+s to him. That ease is not due to
light,eight %apri@%iousness. Rather7 it sho,s us that the 8isi$le %hange ,as prepared $y a hidden7
un%ons%ious pro%ess7 ,hi%h suddenly $ursts into $road daylight.
6ra8ely ,ounded on the $attle:ield o: AusterlitH7 Andrei Bol+ons+y is regaining %ons%iousness.
At this moment his entire uni8erse7 that o: a $rilliant young man7 is set ro%+ing< not $y rational7
logi%al re:le%tion7 $ut $y a dire%t %on:rontation ,ith death and a long loo+ at the s+y. )t is su%h
details =a loo+ at the s+y> that play a great role in the de%isi8e moments e?perien%ed $y Tolstoy;s
%hara%ters.
'ater on7 emerging :rom his deep s+epti%ism7 Andrei returns to an a%ti8e li:e. This %hange is
pre%eded $y a long dis%ussion ,ith Pierre on a :erry %rossing a ri8er. Pierre at the time is
positi8e7 optimisti%7 altruisti% =su%h is that $rie: stage in his e8olution>7 and he disputes Andrei;s
misanthropi% s+epti%ism. But in their dis%ussion he sho,s himsel: rather nai8e7 spouting %li%hes7
and it is Andrei ,ho shines intelle%tually. More important than Pierre s ,ords is the silen%e that
:ollo,s their dis%ussion< BStepping o:: the :erry he loo+ed up at the s+y to ,hi%h Pierre had
pointed. (or the :irst time sin%e AusterlitH he sa, that high e8erlasting s+y he had seen ,hile
lying on the $attle:ield7 and something that had long $een slum$ering7 something $etter that ,as
,ithin him7 suddenly a,o+e7 Doy:ul and youth:ul7 in his soul.B The sensation is short@li8ed and
8anishes immediately7 $ut Andrei +no,s Bthat this :eeling7 "hich he did not kno" ho" to
de'elop3 "as ali'e in him.G And one day mu%h later7 li+e a dan%e o: spar+s7 a conspiracy of
details =the sight o: an oa+ trees :oliage7 the happy tal+ o: girls o8erheard $y %han%e7 une?pe%ted
memories> +indles that :eeling =that B,as ali8e in himB> and sets it $laHing. Andrei7 still %ontent
the day $e:ore in his retreat :rom the ,orld7 a$ruptly de%ides Bto go to Peters$urg that autumnB
and e8en Bre@enter go8ernment ser8i%e. . . . And Prin%e Andrei7 %lasping his hands $ehind his
$a%+7 pa%ed $a%+ and :orth in the room :or a long time7 no, :ro,ning7 no, smiling7 as he
re:le%ted on all those irrational3 ine>pressible thoughts3 secret as a crime3 that "ere connected
"ith Pierre3 "ith fame3 "ith the girl at the "indo"3 "ith the oak3 "ith "oman1s beauty and "ith
lo'e3 ,hi%h had altered his
,hole li:e. And i: anyone %ame into the room at su%h moments he ,as parti%ularly %urt7 stern7
:irm7 and7 a$o8e all7 disagreea$ly logi%al ... as i: to punish someone :or all the secret3 illogical
"ork going on "ithin him.G =) emphasiHe the most signi:i%ant lines.> ='et us re%all that it is a
similar %onspira%y o: detailsC the ugliness o: :a%es around her7 %on8ersation o8erheard $y
%han%e in the train %ompartment7 intra%ta$le memoriesCthat7 in Tolstoy;s ne?t no8el7 tou%hes o::
Anna Karenina;s de%ision to +ill hersel:.>
Still another great %hange in Andrei Bol+ons+y;s internal ,orld< mortally ,ounded in the $attle
o: Borodino7 he lies on an operating ta$le in a military en%ampment and is suddenly :illed ,ith a
strange sense o: pea%e and re%on%iliation7 a sense o: happiness7 ,hi%h ,ill stay ,ith him9 this
state o: happiness is all the stranger =and all the more $eauti:ul> :or the enormous harshness o:
the s%ene7 ,hi%h is :ull o: the hideously pre%ise details o: surgery in a time $e:ore anesthesia9
and strangest o: all a$out this strange state< it is pro8o+ed $y an une?pe%ted and illogi%al
memory< ,hen the do%tors assistant remo8ed his %lothes7 BAndrei re%alled his earliest7 most
remote %hildhood.B And some lines :arther on< BA:ter the agony he had $een enduring7 Prin%e
Andrei enDoyed a $liss:ul :eeling su%h as he had not e?perien%ed :or a long time. All the $est and
happiest moments o: his li:e7 espe%ially those o: early %hildhoodC,hen he had $een undressed
and put to $ed7 and ,hen his nurse had sung him lulla$ies and he had $uried his head in the
pillo, and :elt happy Dust to $e ali8eCrose to his mind7 not as something past7 $ut as a present
realityB *nly later does Andrei re%ogniHe7 on a near$y operat@
ing ta$le7 his ri8al7 Anatol7 Natasha;s sedu%er7 ,hose leg has Dust $een %ut o:: $y a do%tor.
The usual reading o: this s%ene< 1ounded7 Andrei sees his ri8al ,ith his leg amputated9 the sight
:ills him ,ith immense pity :or the man and :or man in general. But Tolsto8 +ne, that these
sudden re8elations are not due to %auses so o$8ious and so logi%al. )t ,as a %urious :leeting
image =the early@%hildhood memory o: $eing undressed in the same ,ay as the do%tors assistant
,as doing it> that tou%hed e8erything o::Chis ne, metamorphosis7 his ne, 8ision o: things. A
:e, se%onds later7 this mira%ulous detail has %ertainly $een :orgotten $y Andrei himsel: Dust as it
has pro$a$ly $een immediately :orgotten $y the maDority o: readers7 ,ho read no8els as
inattenti8ely and $adly as they BreadB their o,n li8es.
And another great %hange7 this time Pierre BeHu+ho8;s de%ision to +ill Napoleon7 a de%ision
pre%eded $y this episode< 2e learns :rom his (reemason :riends that in Chapter !# o: the
Apo%alypse7 Napoleon is identi:ied as the Anti%hrist< B'et him that hath understanding %ount the
num$er o: the $east< :or it is the num$er o: a man9 and his num$er is Si? hundred threes%ore and
si?.B 1hen the (ren%h alpha$et is gi8en numeri%al 8alues7 the letters in G&1empereur NapoleonG
add up to the num$er ....
BThis prophe%y greatly surprised Pierre7 and he o:ten as+ed himsel: ,hat e?a%tly ,ould put an
end to the po,er o: the $east7 that is7 o: Napoleon7 and tried7 $y the same system o: turning
letters into num$ers and adding them up7 to :ind an ans,er to the Euestion that engrossed him.
2e ,rote the ,ords l;empereur Ale>andre and la nation russe and added up their
num$ers. But the sums ,ere either more or less than .... *n%e ,hen ma+ing su%h %al%ulations
he ,rote do,n his o,n name in (ren%h7 comte Pierre 5esouhoff@ the sum ,as :ar :rom right. 2e
%hanged the spelling7 su$stituting a C :or the s and adding de and the arti%le le7 still ,ithout
o$taining the desired result. Then it o%%urred to him that i: the ans,er to the Euestion ,ere
%ontained in his name7 his nationality ,ould also $e gi8en in the ans,er. So he ,rote le *usse
5esuhof and adding up the num$ers got ./!. This ,as only :i8e too mu%h9 :i8e ,as represented
$y e7 the 8ery letter elided :rom the arti%le le $e:ore the ,ord empereur. By omitting the e7
though in%orre%tly7 Pierre got the ans,er he sought< l;*usse 5esuhof made .... This dis%o8ery
greatly e?%ited him.B
Tolstoy;s meti%ulousness in des%ri$ing all the spelling %hanges Pierre ,or+s on his o,n name so
as to get to the num$er ... is irresisti$ly %omi%< l;*usse is a mar8elous orthographi% gag. Can
gra8e and %ourageous de%isions o: an unEuestiona$ly intelligent and li+a$le man $e rooted in
some :oolish ideaG
And ,hat are your thoughts on manG 1hat are your thoughts on yoursel:G
hange of 2pinion as Ad8ustment to the !pirit of the Time
*ne day7 ,ith a radiant :a%e7 a ,oman de%lares to me< BSo7 there;s no more 'eningradF 1e;re
$a%+ to good old Saint Peters$urgFB )t ne8er did thrill me7 %ities and streets $eing re%hristened. )
am a$out to tell her this7 $ut at the last moment ) %ontrol mysel:< in her gaHe7
$edaHHled $y the :as%inating mar%h o: history7 ) :oresee disagreement7 and ) ha8e no desire to
argue7 espe%ially $e%ause Dust then ) re%all an episode she has %ertainly :orgotten. This same
,oman %ame :rom a$road to 8isit my ,i:e and me in Prague a:ter the Russian in8asion7 in !"/-
or !"/!7 ,hen ,e ,ere in the pain:ul situation o: $eing under $an. She ,as sho,ing her
solidarity ,ith us7 and ,e ,anted to pay her $a%+ $y trying to entertain her. My ,i:e told her the
:unny story =it ,as oddly propheti% $esides> o: an Ameri%an money$ags staying in a Mos%o,
hotel. Someone as+s him< B2a8e you $een to see 'enin in the mausoleumGB And he replies< B(or
ten dollars ) had him $rought o8er to the hotel.B *ur 8isitors :a%e tensed. A le:tist =she still is>7
she sa, the Russian in8asion o: CHe%hoslo8a+ia as a $etrayal o: ideals she %herished7 and :elt it
una%%epta$le that 8i%tims ,ith ,hom she meant to sympathiHe should mo%+ those same $etrayed
ideals. B) don;t :ind that :unny7B she said %oldly7 and only our status as perse%uted people sa8ed us
:rom a $rea+ ,ith her.
) %an tell lots o: stories o: this +ind. Su%h %hanges o: opinion in8ol8e not only politi%s $ut also
attitudes generallyC:eminism :irst on the rise and then in de%line7 admiration :ollo,ed $y s%orn
:or the Gnou'eau roman3G re8olutionary puritanism supplanted $y li$ertarian pornography7 the
idea o: Europe denigrated as rea%tionary and neo%olonialist $y people ,ho later un:urled it as a
$anner o: Progress7 and so on. And ) ,onder< do they or do they not re%all their earlier attitudesG
Do they retain any memory o: the history o: their %hangesG Not that it angers me to see people
%hange their opinions. BeHu+ho87 :ormerly an admirer o: Napoleon7 $e%omes his potential
assassin7 and ) li+e
him Dust as mu%h in the one role as in the other. Doesn;t a ,oman ,ho ,orshiped 'enin in !"/!
ha8e the right to reDoi%e in !""! that 'eningrad is no longer 'eningradG She %ertainly does. 2er
%hange7 ho,e8er7 is di::erent :rom BeHu+ho8;s.
)t is pre%isely ,hen their interior ,orlds %hange shape that BeHu+ho8 and Bol+ons+y are
%on:irmed as indi8iduals9 that they surprise9 that they ma+e themsel8es di::erent9 that their
:reedom %at%hes :ire7 and ,ith it the identity o: their sel8es9 these are moments o: poetry< they
e?perien%e them ,ith su%h intensity that the ,hole ,orld rushes :or,ard to meet them ,ith an
into?i%ating parade o: ,ondrous details. )n Tolstoy7 man is the more himsel:7 the more an
indi8idual7 ,hen he has the strength7 the imagination7 the intelligen%e7 to trans:orm himsel:.
By %ontrast7 the people ) see %hanging their attitude to,ard 'enin7 Europe7 and so on e?pose
their nonindi@8iduality. This %hange is neither their o,n %reation nor their o,n in8ention7 not
%apri%e or surprise or thought or madness9 it has no poetry9 it is nothing $ut a 8ery prosai%
adDustment to the %hanging spirit o: 2istory. That is ,hy they don;t e8en noti%e it9 in the :inal
analysis7 they al,ays stay the same< al,ays in the right7 al,ays thin+ing ,hat7 in their milieu7 a
person is supposed to thin+9 they %hange not in order to dra, %loser to some essential sel: $ut in
order to merge ,ith e8eryone else9 %hanging lets them stay un%hanged.
Another ,ay o: e?pressing it< they %hange their mind in a%%ordan%e ,ith the in8isi$le tri$unal
that is also %hanging its mind9 their %hange is thus simply a $et on ,hat the tri$unal ,ill pro%laim
to $e the truth tomorro,. ) remem$er my youth in CHe%hoslo8a+ia.
2a8ing emerged :rom our initial en%hantment ,ith Communism7 ,e :elt ea%h small step against
o::i%ial do%trine to $e a %ourageous a%t. 1e protested the perse%ution o: religious $elie8ers7 stood
up :or $anned modern art7 argued against the stupidity o: propaganda7 %riti%iHed the %ountry;s
dependen%e on Russia7 and so on. )n doing so7 ,e ,ere ta+ing some ris+Cnot mu%h7 $ut still
someCand that =little> danger ga8e us a pleasant moral satis:a%tion. *ne day a hideous thought
%ame to me< ,hat i: our re$ellions ,ere di%tated not $y internal :reedom7 $y %ourage7 $ut $y the
desire to please the other tri$unal that ,as already preparing7 in the shado,s7 to sit in DudgmentG
,indo"s
No one %an go :urther than Ka:+a in The Trial9 he %reated the e?tremely poeti% image o: an
e?tremely non@poeti% ,orld. By Be?tremely nonpoeti% ,orldB ! mean< a ,orld ,here there is no
longer a pla%e :or indi8idual :reedom7 :or the uniEueness o: the indi8idual7 ,here man is only the
instrument o: e?trahuman :or%es< o: $ureau%ra%y7 te%hnology7 2istory. By Be?tremely poeti%
imageB ) mean< ,ithout %hanging its essen%e and its nonpoeti% nature7 Ka:+a has trans:ormed7
reshaped that ,orld $y his immense poeti% imagination.
K. is %ompletely a$sor$ed $y the predi%ament o: this trial that has $een imposed upon him9 he
hasn;t a moment to thin+ a$out anything else. And yet7 e8en in this no@,ay@out predi%ament7
there are ,indo,s that open suddenly7 :or a $rie: instant. 2e %annot es%ape through these
,indo,s9 they edge open and then shut
instantly9 $ut :or a :lash at least7 he %an see the poetry o: the ,orld outside7 the poetry that7
despite e8erything7 e?ists as an e8er present possi$ility and sends a small sil8ery glint into his
li:e as a hunted man.
Some su%h $rie: openings are K.s glan%es7 :or instan%e< he rea%hes the su$ur$an street ,here he
has $een %alled :or his :irst interrogation. A moment $e:ore7 he ,as still running to get there on
time. No, he stops. Standing in the street7 he :orgets the trial :or a :e, se%onds and loo+s
around< BMost o: the ,indo,s ,ere o%%upied7 men in shirtslee8es ,ere leaning there smo+ing or
holding little %hildren %are:ully and tenderly on the ,indo,sills. *ther ,indo,s ,ere piled high
,ith $edding7 a$o8e ,hi%h the dishe8eled head o: a ,oman ,ould appear :or a moment.B Then
he enters the %ourtyard< BNear him a $are:ooted man ,as sitting on a %rate reading a ne,spaper.
T,o $oys ,ere seesa,ing on a hand%art. A :rail young girl ,as standing at a pump in her
nightdress and gaHing at K. ,hile she :illed her Dug ,ith ,ater.B
These senten%es remind me o: (lau$ert;s des%riptions< %on%ise9 8isually ri%h9 a sense o: detail7
none o: ,hi%h is %li%hed. That po,er o: des%ription ma+es %lear ho, thirsty K. is :or reality7 ho,
a8idly he drin+s up the ,orld that7 Dust a moment earlier7 ,as e%lipsed $y ,orries a$out the trial.
Alas7 the pause is short9 the ne?t instant K. no longer has eyes :or the :rail young girl in her
nightdress :illing her Dug ,ith ,ater< the torrent o: the trial ta+es him up again.
The :e, eroti% situations in the no8el are also li+e ,indo,s $rie:ly aDarC8ery $rie:ly< K. meets
only ,omen ,ho are %onne%ted in one ,ay or another to his trial< :or instan%e7 his neigh$or
(raulein Biirstner7 in
,hose room he had $een arrested9 trou$led7 K. tells her ,hat happened and :inally7 at her door7
he manages to +iss her< B2e seiHed her and +issed her on the mouth7 and then all o8er the :a%e7
li+e some thirsty animal lapping greedily at a long@sought spring.B ) emphasiHe the ,ord
Bthirsty7B ,hi%h gi8es the sense o: a man ,ho has lost his normal li:e and %an %onta%t it only
:urti8ely7 through a ,indo,.
During the :irst interrogation7 K. is ma+ing a spee%h $ut is thro,n o:: tra%+ $y a %urious e8ent<
the $aili::s ,i:e is in the room7 and a s%ra,ny7 ugly student gets her do,n on the :loor and is
ma+ing lo8e to her in the midst o: the audien%e. 1ith this amaHing interplay o: in%ompati$le
e8ents =that su$lime Ka:+an poetry7 grotesEue and implausi$leF>7 a ne, ,indo, opens onto the
lands%ape :ar :rom the trial7 onto e?u$erant 8ulgarity7 the e?u$erant 8ulgar :reedom that has $een
%on:is%ated :rom K.
That Ka:+an poetry reminds me7 $y %ontrast7 o: another no8el that is also a$out an arrest and a
trial< *r,ell;s 1)R-. the $oo+ that :or de%ades ser8ed as a %onstant re:eren%e :or
antitotalitarianism pro:essionals. )n this no8el7 ,hi%h means to $e the horri:ying portrayal o: an
imaginary totalitarian so%iety7 there are no ,indo,s9 in it no one glimpses a :rail young girl
:illing a Dug ,ith ,ater9 *r,ell;s no8el is :irmly %losed to poetry9 did ) say no8elG it is politi%al
thought disguised as a no8el9 the thin+ing is %ertainly lu%id and %orre%t7 $ut it is distorted $y its
guise as a no8el7 ,hi%h renders it impre%ise and 8ague. So i: the no8el :orm o$s%ures *r,ell;s
thought7 does it gi8e something in returnG Does it thro, light on the mystery o: human situations
that so%iology or politi%al s%ien%e %annot get atG No<
the situations and the %hara%ters are as :lat as a poster. Then is it Dusti:ied at least as a
populariHation o: good ideasG Not that either. (or ideas made into a no8el :un%tion no longer as
ideas $ut as a no8el insteadC and in the %ase o: 1)R-3 as a bad no8el7 ,ith all the perni%ious
in:luen%e a $ad no8el %an e?ert.
The perni%ious in:luen%e o: *r,ell;s no8el resides in its impla%a$le redu%tion o: a reality to its
politi%al dimension alone7 and in its redu%tion o: that dimension to ,hat is e?emplarily negati8e
a$out it. ) re:use to :orgi8e this redu%tion on the grounds that it ,as use:ul as propaganda in the
struggle against totalitarian e8il. (or that e8il is7 pre%isely7 the redu%tion o: li:e to politi%s and o:
politi%s to propaganda. So despite its intentions7 *r,ell;s no8el itsel: Doins in the totalitarian
spirit7 the spirit o: propaganda. )t redu%es =and tea%hes others to redu%e> the li:e o: a hated
so%iety to the simple listing o: its %rimes.
)n tal+ing ,ith CHe%hs a year or t,o a:ter the end o: Communism7 ) ,ould hear :rom e8ery one
o: them that no,@ritual turn o: spee%h7 that o$ligatory pream$le to all their re%olle%tions7 all their
remar+s< Ba:ter those :orty years o: Communist horrorB or< Bthose horri$le :orty yearsB or
espe%ially< Bthe :orty lost years.B ) loo+ed at my interlo%utors< they had $een neither :or%ed to
emigrate7 nor imprisoned7 nor depri8ed o: their Do$s7 nor e8en loo+ed do,n on9 all o: them had
li8ed their li8es in their o,n %ountry7 in their apartments7 had done their ,or+ and had their
8a%ations7 their :riendships and their lo8es9 ,ith the e?pression B:orty horri$le yearsB they ,ere
redu%ing their li8es to the politi%al aspe%t alone. But e8en the politi%al history o: those :orty
yearsCdid they really e?perien%e that
only as an undi::erentiated $lo%+ o: horrorsG 2a8e they :orgotten the years ,hen they ,ere
seeing Milos (orman;s :ilms7 reading Bohusla8 2ra$al;s $oo+s7 going to the little non%on:ormist
theaters7 and telling hundreds o: Do+es and %heer:ully ma+ing :un o: the regimeG )n their tal+ o:
:orty horri$le years7 they ,ere all 2r"elliCing the re%olle%tion o: their o,n li8es7 ,hi%h7 a
posteriori7 in their memories and in their heads7 ,ere there$y de8alued or e8en %ompletely
o$literated =:orty lost years>.
E8en in his situation o: e?treme depri8ation o: :reedom7 K. is a$le to loo+ at a :rail young girl
slo,ly :illing her Dug ,ith ,ater. );8e said that su%h moments are ,indo,s that $rie:ly open onto
a lands%ape :ar a,ay :rom K.;s trial. 1hat lands%apeG To ma+e the metaphor more pre%ise< the
,indo,s in Ka:+a;s no8el open onto Tolstoys lands%ape< onto a ,orld ,here7 e8en at the
harshest moments7 %hara%ters retain a :reedom o: de%ision ,hi%h gi8es li:e the happy in%al%ula@
$ility that is the sour%e o: poetry. The e?tremely poeti% ,orld o: Tolstoy is the opposite o:
Ka:+a;s ,orld. But e8en so7 $e%ause o: the hal:@open ,indo,7 it enters K.;s story li+e a $reath o:
yearning7 li+e a $arely :elt $reeHe7 and stays there.
Tribunal and Trial
The philosophers o: e?isten%e li+e to $reathe philosophi%al signi:i%an%e into the ,ords o:
e8eryday language. )t is di::i%ult :or me to say the ,ords anguish or talk ,ithout thin+ing o: the
meaning 2eidegger ga8e them. *n this s%ore7 the no8elists pre%eded the philoso@
phers. )n e?amining their %hara%ters; situations7 they ,or+ed out their o,n 8o%a$ulary7 o:ten ,ith
+ey ,ords that stand as %on%epts and go $eyond the di%tionary de:initions. Thus Cre$illon the
younger used the ,ord moment as a %on%ept ,ord :or the li$ertine game =the moment o:
opportunity ,hen a ,oman %an $e sedu%ed> and $eEueathed it to his time and to other ,riters. )n
the same ,ay7 Dostoye8s+y spo+e o: humiliation and Stendhal o: 'anity. Than+s to The Trial3
Ka:+a $eEueathed to us at least t,o %on%ept ,ords that ha8e $e%ome indispensa$le :or
understanding the modern ,orld< tribunal and trial. 2e $eEueathed them to us< meaning that he
put them at our disposal7 :or us to use7 %onsider7 and re%onsider in terms o: our o,n e?perien%es.
Tri$unal< this does not signi:y the Duridi%al institution intended :or punishing people ,ho ha8e
8iolated the la,s o: a state9 the tri$unal =or %ourt> in Ka:+a;s sense is a po,er that Dudges7 that
Dudges $e%ause it is a po,er9 its po,er and nothing $ut its po,er is ,hat %on:ers legitima%y on
the tri$unal9 ,hen the t,o intruders enter his room7 K. immediately re%ogniHes that po,er7 and
he su$mits.
The trial $rought $y the tri$unal is al,ays absolute@ meaning that it does not %on%ern an isolated
a%t7 a spe%i:i% %rime =the:t7 :raud7 rape>7 $ut rather %on%erns the %hara%ter o: the a%%used in its
entirety< K. sear%hes :or his o::ense in Bthe most minute e8entsB o: his "hole li:e9 in our %entury7
$y this standard7 BeHu+ho8 ,ould ha8e $een indi%ted :or $oth his lo8e and his hatred o:
Napoleon. And also :or his drun+@ennness7 sin%e7 $eing a$solute7 the trial %on%erns pri8ate li:e as
,ell as pu$li%9 Brod %ondemned K. to death
:or seeing in ,omen only the Blo,est se?ualityB9 ) re%all the !"&! politi%al trials in Prague9
$iographies o: the a%%used ,ere distri$uted in enormous printings9 that ,as the :irst time ) read a
pie%e o: pornography< the a%%ount o: an orgy during ,hi%h the na+ed $ody o: a :emale de:endant
,as %oated ,ith %ho%olate =at that pea+ o: shortagesF> and li%+ed $y the tongues o: other
de:endants7 soon to $e hanged9 at the start o: the gradual %ollapse o: the Communist ideology7 the
trial o: Karl Mar? =a trial that has lately %ulminated in the raHing o: his statues in Russia and
else,here> opened ,ith an atta%+ on his pri8ate li:e =the :irst anti@Mar? $oo+ ) e8er read< the
a%%ount o: his se?ual relations ,ith his housemaid>9 in The 7oke3 three other students are trying
'ud8i+ o8er a senten%e he has ,ritten his girl:riend9 de:ending himsel:7 he says he dashed it o::
in haste7 ,ithout thin+ing9 they ans,er< Byou %ould only ha8e ,ritten ,hat ,as inside youB9
$e%ause e8erything the de:endant says7 murmurs7 thin+s7 e8erything he has hidden inside him is
to $e put at the tri$unal;s disposal.
The trial is a$solute as ,ell in that it does not +eep ,ithin the limits o: the de:endant;s li:e9 thus
K.s un%le says< BDo you ,ant to lose this trialG ... )t means that you ,ill $e a$solutely ruined.
And all your relati8es along ,ith you.B The guilt o: one Ae, %ontains ,ithin it that o: the Ae,s o:
all times9 the Communist do%trine on the in:luen%e o: %lass origin in%ludes ,ithin the o::ense o:
the a%%used the o::ense o: his parents and grandparents9 in the trial o: Europe :or the %rime o:
%olonialism7 Sartre a%%used not the %olonists $ut Europe7 all o: Europe7 the Europe o: all times@
$e%ause Bthere is a %olonist in ea%h o: us7B $e%ause
B$eing a man here means $eing an a%%ompli%e sin%e ,e ha8e all pro:ited :rom %olonial
e?ploitation.B The spirit o: the trial re%ogniHes no statute o: limitations9 the distant past is as ali8e
as today;s e8ent9 and e8en in death you ,ill not es%ape< there are in:ormers in the %emetery.
The trial;s memory is %olossal7 $ut it is a 8ery spe%i:i% memory7 ,hi%h %ould $e de:ined as the
forgetting of e'erything not a crime. The trial thus redu%es the de:endant;s $iography to
criminography@ 4i%tor (arias =,hose (eidegger and NaCism is a %lassi% e?ample o:
%riminography> lo%ates the roots o: the philosopher;s NaHism in his early youth7 ,ithout the least
%on%ern :or lo%ating the roots o: his genius9 to punish someone a%%used o: ideologi%al de8iations7
Communist tri$unals ,ould put all his ,or+ on the inde? =thus7 :or instan%e7 the $an on 'u+a%s
and Sartre in Communist %ountries %o8ered e8en their pro@Communist ,ritings>. B1hy are our
streets still named :or Pi%asso7 Aragon7 Eluard7 SartreGB a Paris paper as+ed in a !""! post@
Communist into?i%ation9 it;s tempting to ans,er< $e%ause o: the 8alue o: their ,or+sF But in his
trial against Europe7 Sartre said e?a%tly ,hat 8alues mean no,< Bour %herished 8alues are losing
their ,ings9 loo+ed at %losely7 e8ery one o: them is $lood@stainedB9 8alues stained are 8alues no
longer9 the spirit o: the trial is the redu%tion o: e8erything to morality9 it is a$solute nihilism in
regard to %ra:t7 art7 ,or+s.
E8en $e:ore the intruders %ome in to arrest him7 K. sees the old ,oman in the house a%ross the
,ay gaHing at him B,ith totally unusual %uriosityB9 thus7 :rom the $eginning7 the ancient chorus
of concierges enters the game9 in The astle3 Amalia is neither
a%%used nor %on8i%ted7 $ut it is ,idely +no,n that the in8isi$le tri$unal disli+es her7 and that is
enough to +eep all the 8illagers a,ay :rom her9 $e%ause i: the tri$unal imposes a trial9regime on
a %ountry7 the entire population is dragooned into the grand ma%hinations o: the trial7 in%reasing
its e::i%a%y a hundred:old9 e8ery single person +no,s that he %ould $e a%%used at any moment7
and he ponders his sel:@%riti%ism in ad8an%e9 sel:@%riti%ism< the su$De%tion o: the a%%used to the
a%%user9 the renun%iation o: his sel:9 a ,ay o: nulli:ying himsel: as an indi8idual9 a:ter the
Communist re8olution o: !"0K7 the daughter o: a ,ealthy CHe%h :amily :elt guilty a$out her
undeser8ed pri8ileges as a %hild o: a::luen%e9 to sho, her repentan%e7 she $e%ame so :er8ent a
Communist that she pu$li%ly repudiated her :ather9 no,7 a:ter the disappearan%e o: Communism7
she is again undergoing Dudgment and again :eeling guilty9 ground $et,een the millstones o: t,o
trials7 o: t,o sel:@%riti%isms7 all she has $ehind her is the desert o: a repudiated li:e9 e8en though
in the meantime all the houses on%e %on:is%ated :rom her =repudiated> :ather ha8e $een returned
to her7 today she is merely a nulli:ied %reature9 dou$ly nulli:ied9 sel:@nulli:ied.
(or a trial is initiated not to render Dusti%e $ut to annihilate the de:endant9 as Brod said< he ,ho
does not lo8e anyone7 ,ho only dallies7 must die9 thus K. is sta$$ed in the heart9 Bu+harin is
hanged. E8en ,hen the trial is o: dead people7 the point is to +ill them o:: a se%ond time< $y
$urning their $oo+s9 $y remo8ing their names :rom the s%hool$oo+s9 $y demolishing their
monuments9 $y re%hristening the streets that $ore their names.
The Trial Against the entury
(or nearly se8enty years Europe li8ed under a trial@regime. (rom among the great artists o: the
%entury7 ho, many de:endants ... ) shall mention only those ,ho had some signi:i%an%e :or me.
Starting in the t,enties7 there ,ere those hounded $y the tri$unal o: re8olutionary morality<
Bunin7 Andreye87 Meyerhold7 Pilnya+7 4epri+ =a Ae,ish@Russian musi%ian7 a :orgotten martyr o:
modern art9 he dared to de:end Shosta+o8i%h;s opera against Stalin;s %ondemnation9 they stu%+
him in a %amp9 ) remem$er his piano %ompositions7 ,hi%h my :ather li+ed to play>7 Mandelstam7
2alas =the poet ,ho ,as adored $y 'ud8i+ in The 7oke.3 hounded a:ter his death :or gloominess
seen as %ounterre8olutionary>. Then there ,ere the Euarry o: the NaHi tri$unal< Bro%h =he gaHes
at me7 pipe in mouth7 :rom a photo on my ,or+ta$le>7 S%hoen$erg7 1er:el7 Bre%ht7 Thomas and
2einri%h Mann7 Musil7 4an%ura =the CHe%h ,riter ) lo8e most>7 Bruno S%hulH. The totalitarian
empires and their $loody trials ha8e disappeared7 $ut the spirit of the trial lingers as a lega%y7 and
that is ,hat is no, settling s%ores. Thus the trial stri+es at< those a%%used o: pro@NaHi
sympathies< 2amsun7 2eidegger =all CHe%h dissident thought7 Pato%+a most nota$ly7 is inde$ted
to him>7 Ri%hard Strauss7 6ott:ried Benn7 8on Doderer7 Drieu la Ro%helle7 Celine =in !""I7 a hal:
%entury a:ter the ,ar7 an indignant o::i%ial re:used to designate his house a histori%al monument>9
supporters o: Mussolini< Malaparte7 Marinetti7 EHra Pound =the Ameri%an military +ept him7 li+e
an animal7 in a %age :or months under the $laHing )talian sun9 in his Rey+Da8i+ studio7 the painter
KristDan Da8idsson sho,ed me a large photo o: him< B(or :i:ty years it has gone ,ith me
e8ery,here ) goB>9 the Muni%h appeasers< 6iono7 Alain7 Morand7 Montherlant7 St.@Aohn Perse =a
mem$er o: the (ren%h delegation to the Muni%h %on:eren%e7 he ,as %losely in8ol8ed in the
humiliation o: my nati8e %ountry>9 then7 the Communists and their sympathiHers< Maya@+o8s+y
=,ho today remem$ers his lo8e poetry and his amaHing metaphorsG>7 6or+y7 Sha,7 Bre%ht =,ho
is there$y undergoing his se%ond trial>7 Eluard =that e?terminating angel ,ho used to de%orate his
signature ,ith a dra,ing o: %rossed s,ords>7 Pi%asso7 'eger7 Aragon =ho, %an ) :orget that he
o::ered me his hand at a di::i%ult time in my li:eG>7 NeH8al =his sel:@portrait in oils is on the ,all
$y my $oo+shel8es>7 Sartre. Some o: these people are undergoing a dou$le trial7 :irst a%%used o:
$etraying the re8olution7 then a%%used :or ser8i%es they had rendered it earlier< 6ide =in the old
Communist %ountries7 the sym$ol o: all e8il>7 Shosta+o8i%h =to atone :or his di::i%ult musi%7 he
manu:a%tured ru$$ish :or the regime;s needs9 he maintained that :or the history o: art a ,orthless
thing is null and 8oid9 he didn;t +no, that :or the tri$unal it is the ,orthlessness itsel: that
%ounts>7 Breton7 Malrau? =a%%used yesterday o: ha8ing $etrayed re8olutionary ideals7 a%%usa$le
tomorro, o: ha8ing held them>7 Ti$or Dery =some ,or+s o: this Communist ,riter7 ,ho ,as
imprisoned a:ter the Budapest massa%re7 ,ere :or me the :irst great literary3 nonpropagandisti%
reply to Stalinism>. The most e?Euisite :lo,er o: the %entury7 the modern art o: the t,enties and
thirties7 ,as e8en triply a%%used< :irst $y the NaHi tri$unal as ?ntartete <unst3 Bdegenerate artB9
then $y the Communist tri@
$unal as Belitist :ormalism alien to the peopleB9 and :inally $y the triumphant %apitalist tri$unal
as art steeped in re8olutionary illusions.
2o, is it possi$le that the So8iet Russian %hau8inist7 the ma+er o: 8ersi:ied propaganda7 he
,hom Stalin himsel: %alled Bthe greatest poet o: our epo%hBCho, is it possi$le that
Maya+o8s+y is ne8ertheless a tremendous poet7 one o: the greatestG 6i8en her %apa%ity :or
enthusiasm7 her emotional tears that $lur her 8ie, o: the outside ,orld7 ,asn;t lyri% poetryCthat
untou%ha$le goddessCdoomed one :ate:ul day to $e%ome the $eauti:ier o: atro%ities7 their
B,armhearted maidser8antB =Baudelaire>G These are the Euestions that :as%inated me ,hen7
some t,enty@:i8e years ago7 ) ,rote Life &s ?lse"here3 the no8el in ,hi%h Aaromil7 a poet under
t,enty years old7 $e%omes the elated ser8ant o: the Stalinist regime. ) ,as aghast ,hen %riti%s7
although praising my $oo+7 sa, my hero as a :a+e poet7 a $astard e8en. )n my 8ie,7 Aaromil is an
authenti% poet7 an inno%ent soul9 other,ise7 ) ,ould not ha8e seen any interest to my no8el. Am !
the one to $lame :or the misunderstandingG Did ) e?press mysel: $adlyG ) don;t thin+ so. To $e a
true poet and at the same time to support =li+e Aaromil or Maya+o8s+y> an in%ontesta$le horror is
a scandalCin the sense o: an unDusti:ia$le7 una%%epta$le e8ent7 one that %ontradi%ts logi% and yet
is real. 1e are all un%ons%iously tempted to dodge s%andals7 to $eha8e as though they don;t e?ist.
That is ,hy ,e pre:er to say that the great %ultural :igures tainted ,ith the horrors o: our %entury
,ere bastards.3 $ut it isn;t so9 i: only out o: 8anity7 a,are that they are seen7 loo+ed at7 Dudged7
artists and philosophers are an?ious to $e de%ent and %ourageous7 to $e
on the right side7 to $e right. That ma+es the s%andal still more intolera$le7 more ine?pli%a$le. ):
,e don;t ,ant to lea8e this %entury Dust as stupid as ,e entered it7 ,e must a$andon the :a%ile
moralism o: the trial and thin+ a$out this s%andal7 thin+ it through to the $ottom7 e8en i: this
should lead us to Euestion ane, all our %ertainties a$out man as su%h.
But the %on:ormism o: pu$li% opinion is a :or%e that sets itsel: up as a tri$unal7 and the tri$unal is
not there to ,aste time o8er ideas7 it is there to %ondu%t the in8estigations :or trials. And as the
a$yss o: time ,idens $et,een Dudges and de:endants7 it is al,ays a lesser e?perien%e that is
Dudging a greater. The immature sit in Dudgment on Celine;s erring ,ays ,ithout realiHing that
$e%ause o: these erring ,ays7 Celine;s no8els %ontain e?istential +no,ledge that7 i: they ,ere to
understand it7 %ould ma+e them more adult. Be%ause therein lies the po,er o: %ulture< it redeems
horror $y trans:orming it into e?istential ,isdom. ): the spirit o: the trial su%%eeds in annihilating
this %entury;s %ulture7 nothing ,ill remain o: us $ut a memory o: its atro%ities sung $y a %horus o:
%hildren.
Those "ith No !ense of #uilt Are Dancing
The musi% =%ommonly and 8aguely> %alled Bro%+ B has $een inundating the soni% en8ironment o:
daily li:e :or t,enty years9 it seiHed possession o: the ,orld at the 8ery moment ,hen the
t,entieth %entury ,as disgustedly 8omiting up its history9 a Euestion haunts me< ,as
this %oin%iden%e mere %han%eG *r is there some hidden meaning to the %onDun%tion o: the
%entury;s :inal trials and the e%stasy o: ro%+G )s the %entury hoping to :orget itsel: in this e%stati%
ho,lingG To :orget its 3topias :oundering in horrorG To :orget its artG An art ,hose su$tlety7
,hose needless %omple?ity7 irritates the popula%e7 o::ends against demo%ra%yG
The ,ord Bro%+B is 8ague9 there:ore7 ) ,ould rather des%ri$e the musi% ) mean< human 8oi%es
pre8ail o8er instruments7 high@pit%hed 8oi%es o8er lo, ones9 there is no %ontrast to the dynami%s7
,hi%h +eep to a perpetual :ortissimo that turns the singing into ho,ling9 as in DaHH7 the rhythm
a%%entuates the se%ond $eat o: the measure7 $ut in a more stereotyped and noisier manner9 the
harmony and the melody are simplisti% and thus they $ring out the tone %olor7 the only in8enti8e
element o: this musi%9 ,hile the popular songs o: the :irst hal: o: the %entury had melodies that
made poor :ol+ %ry =and delighted Mahler;s and Stra8ins+y;s musi%al irony>7 this so@%alled ro%+
musi% is e?empt :rom the sin o: sentimentality9 it is not sentimental7 it is e%stati%7 it is the
prolongation o: a single moment o: e%stasy9 and sin%e e%stasy is a moment ,ren%hed out o: time
Ca $rie: moment ,ithout memory7 a moment surrounded $y :orgettingCthe melodi% moti: has
no room to de8elop7 it only repeats7 ,ithout e8ol8ing or %on%luding =ro%+ is the only BlightB
musi% in ,hi%h melody is not predominant9 people don;t hum ro%+ melodies>.
A %urious thing< than+s to the te%hnology o: sound reprodu%tion7 this e%stati% musi% resounds
in%essantly and e8ery,here7 and thus outside e%stati% situations. The a%ousti% image o: e%stasy
has $e%ome the e8eryday
de%or o: our lassitude. )t is in8iting us to no orgy7 to no mysti%al e?perien%e7 so ,hat does this
tri8ialiHed e%stasy mean to tell usG That ,e should a%%ept it. That ,e should get used to it. That
,e should respe%t its pri8ileged position. That ,e should o$ser8e the ethic it de%rees.
The ethi% o: e%stasy is the opposite o: the trial;s ethi%9 under its prote%tion e8ery$ody does
,hate8er he ,ants< no, anyone %an su%+ his thum$ as he li+es7 :rom in:an%y to graduation7 and
it is a :reedom no one ,ill $e ,illing to gi8e up9 loo+ around you on the Metro9 seated or
standing7 e8ery single person has a :inger in some ori:i%e o: his :a%eCin the ear7 in the mouth7 in
the nose9 no one :eels he;s $eing o$ser8ed7 and e8eryone dreams o: ,riting a $oo+ to tell a$out
his uniEue and inimita$le sel:7 ,hi%h is pi%+ing its nose9 no one listens to anyone else7 e8eryone
,rites7 and ea%h o: them ,rites the ,ay ro%+ is dan%ed to< alone7 :or himsel:7 :o%used on himsel:
yet ma+ing the same motions as all the others. )n this situation o: uniform egocentricity3 the sense
o: guilt does not play the role it on%e did9 the tri$unals still operate7 $ut they are :as%inated
e?%lusi8ely $y the past9 they see only the %ore o: the %entury9 they see only the generations that
are old or dead. Ka:+a;s %hara%ters ,ere made to :eel guilty $y the authority o: the :ather9 it is
$e%ause his :ather disgra%es him that the hero o: BThe AudgmentB dro,ns himsel: in a ri8er9 that
time is past< in the ,orld o: ro%+7 the :ather has $een %harged ,ith su%h a load o: guilt that7 :or a
long time no,7 he allo,s e8erything. Those ,ith no guilt :eelings are dan%ing.
Re%ently7 t,o adoles%ents murdered a priest< on tele8ision ) heard another priest tal+ing7 his
8oi%e
trem$ling ,ith understanding< B1e must pray :or the priest ,ho ,as a 8i%tim o: his mission< he
,as espe%ially %on%erned ,ith young people. But ,e must also pray :or the t,o un:ortunate
adoles%ents9 they too ,ere 8i%tims< o: their dri8es.B
1hile :reedom o: thoughtC:reedom o: ,ords7 o: attitudes7 o: Do+es7 o: re:le%tion7 o: dangerous
ideas7 o: intelle%tual pro8o%ationsCshrin+s7 under sur8eillan%e as it is $y the 8igilan%e o: the
tri$unal o: general %on@:ormism7 the freedom of dri'es gro,s e8er greater. They are prea%hing
se8erity against sins o: thought9 they are prea%hing :orgi8eness :or %rimes %ommitted in
emotional e%stasy.
Paths in the Fog
Ro$ert Musil;s %ontemporaries admired his intelligen%e mu%h more than his $oo+s9 they said he
should ha8e ,ritten essays7 not no8els. A negati8e proo: su::i%es to re:ute this opinion< read
Musil;s essays< ho, hea8y they are7 $oring and %harmlessF (or Musil is a great thin+er only in
his no8els. 2is thought needs to :eed on %on%rete situations and %on%rete %hara%ters9 in short7 it is
no'elistic thought3 not philosophi%.
Ea%h :irst %hapter o: the eighteen $oo+s o: (ielding;s Tom 7ones is a $rie: essay. )ts :irst (ren%h
translator7 in the eighteenth %entury7 purely and simply eliminated all o: them7 %laiming that they
,ere not to the (ren%h taste. Turgene8 reproa%hed Tolstoy :or the essayisti% passages in ,ar and
Peace dealing ,ith the philosophy o: history. Tolstoy $egan to dou$t himsel: and7 under pressure
o: ad8isers7 eliminated those pas@
sages in the third edition o: the no8el. (ortunately7 he later restored them.
Aust as there are no8elisti% dialogue and a%tion7 there is also no8elisti% re:le%tion. The lengthy
re:le%tions o: ,ar and Peace are in%on%ei8a$le outside o: the no8elC:or instan%e7 in a s%holarly
Dournal. Be%ause o: their language7 %ertainly7 ,hi%h is :illed ,ith intentionally nai8e similes and
metaphors. But a$o8e all $e%ause Tolstoy tal+ing a$out history is not interested7 as a historian
,ould $e7 in the e?a%t a%%ount o: e8ents and o: their %onseEuen%es :or so%ial7 politi%al7 and
%ultural li:e7 in the e8aluation o: this or that persons role7 and so on9 he is interested in history as
a ne" dimension of human e>istence.
2istory $e%ame a %on%rete e?perien%e :or e8eryone to,ard the start o: the nineteenth %entury7
during the Napoleoni% 1ars that :igure in ,ar and Peace@ ,ith a sho%+7 these ,ars made %lear to
e8ery European that the ,orld around him ,as su$De%t to perpetual %hange that inter:eres ,ith
his li:e7 trans:orming it and +eeping it in motion. Be:ore the nineteenth %entury7 ,ars and
re$ellions ,ere :elt to $e natural %atastrophes7 li+e the plague or an earthEua+e. People sa,
neither unity nor %ontinuity in histori%al e8ents7 and did not $elie8e it possi$le to in:luen%e their
%ourse. Diderot;s Aa%Eues the (atalist Doins a regiment and then is seriously ,ounded in $attle9
mar+ed :or li:e7 he ,ill limp :or the rest o: his days. But ,hat $attle ,as itG The no8el doesn;t
say. And ,hy should it sayG All ,ars ,ere the same. )n eighteenth@%entury no8els the histori%al
moment is spe%i:ied only 8ery appro?imately. *nly a:ter the start o: the nineteenth %entury7 :rom
S%ott and BalHa% on7 do all ,ars no longer seem the
same and %hara%ters in no8els li8e in pre%isely dated times.
Tolstoy loo+s $a%+ on the Napoleoni% 1ars :rom a distan%e o: :i:ty years. )n his %ase7 the ne,
per%eption o: history not only a::e%ts the stru%ture o: the no8el7 ,hi%h has $e%ome more and
more %apa$le o: %apturing =in dialogue7 in des%ription> the histori%al nature o: narrated e8ents9
$ut ,hat interests him primarily is man;s relation to history =his a$ility to dominate it or to
es%ape it7 to $e :ree or not in regard to it>7 and he ta+es up the pro$lem dire%tly7 as the 8ery theme
o: his no8el7 a theme he e?plores $y e8ery means7 in%luding no8elisti% re:le%tion.
Tolstoy argues against the idea that history is made $y the ,ill and reason o: great indi8iduals.
2istory ma+es itsel:7 he says7 o$eying la,s o: its o,n7 ,hi%h remain o$s%ure to man. 6reat
indi8iduals Ball ,ere the in'oluntary tools o: history7 %arrying on a ,or+ that ,as concealed
from them.G 'ater on< BPro8iden%e %ompelled all these men7 ea%h stri8ing to attain personal aims7
to %om$ine in the a%%omplishment o: a single stupendous result not one o: them =neither
Napoleon nor Ale?ander and still less anyone ,ho did the a%tual :ighting> in the least e>pected.G
And again< BMan li8es %ons%iously :or himsel:7 $ut is unconsciously a tool in the attainment o:
the histori%7 general aims o: man+ind.B (rom ,hi%h %omes this tremendous %on%lusion< G(istory3
that is3 the unconscious3 general herd9life of mankind ...B =) emphasiHe the +ey phrases.>
1ith this %on%eption o: history7 Tolstoy lays out the metaphysi%al spa%e in ,hi%h his %hara%ters
mo8e. Kno,ing neither the meaning nor the :uture %ourse o: history7 +no,ing not e8en the
o$De%ti8e meaning o:
their o,n a%tions =$y ,hi%h they Bin8oluntarilyB parti%ipate in e8ents ,hose meaning is
B%on%ealed :rom themB>7 the8 pro%eed through their li8es as one pro%eeds in the fog. ) say :og7
not dar+ness. )n the dar+ness7 ,e see nothing7 ,e are $lind7 ,e are de:enseless7 ,e are not :ree.
)n the :og7 ,e are :ree7 $ut it is the :reedom o: a person in :og< he sees :i:ty yards ahead o: him7
he %an %learly ma+e out the :eatures o: his interlo%utor7 %an ta+e pleasure in the $eauty o: the
trees that line the path7 and %an e8en o$ser8e ,hat is happening %lose $8 and rea%t.
Man pro%eeds in the :og. But ,hen he loo+s $a%+ to Dudge people o: the past7 he sees no :og on
their path. (rom his present7 ,hi%h ,as their :ara,ay :uture7 their path loo+s per:e%tly %lear to
him7 good 8isi$ility all the ,ay. 'oo+ing $a%+7 he sees the path7 he sees the people pro%eeding7
he sees their mista+es7 $ut not the :og. And yet all o: themC2eidegger7 Maya+o8s+y7 Aragon7
EHra Pound7 6or+y7 6ott:ried Benn7 St.@Aohn Perse7 6ionoCall ,ere ,al+ing in :og7 and one
might ,onder< ,ho is more $lindG Maya+o8s+y7 ,ho as he ,rote his poem on 'enin did not
+no, ,here 'eninism ,ould leadG *r ,e7 ,ho Dudge him de%ades later and do not see the :og
that en8eloped himG
Maya+o8s+y;s $lindness is part o: the eternal human %ondition.
But :or us not to see the :og on Maya+o8s+y;s path is to :orget ,hat man is7 :orget ,hat ,e
oursel8es are.
PART N)NE
0ou1re Not in 0our 2"n (ouse (ere3 My Dear Fello"
1
To,ard the end o: his li:e7 Stra8ins+y de%ided to $ring his ,hole oeu8re together in a great
re%orded edition o: his o,n per:orman%es7 as pianist or %ondu%tor7 so as to esta$lish an
authoriHed soni% 8ersion o: all his musi%. This ,ish to ta+e on the role o: per:ormer himsel: o:ten
pro8o+ed an irritated response< ho, :ier%ely Ernest Ansermet mo%+ed him in his !".! $oo+<
,hen Stra8ins+y %ondu%ts an or%hestra7 he is seiHed B$y su%h pani% that7 :or :ear o: :alling7 he
pushes his musi% stand up against the podium rail7 %annot ta+e his eyes o:: a s%ore he +no,s $y
heart7 and %ounts timeFB9 he interprets his o,n musi% Bliterally and sla8ishlyB9 B,hen he per:orms
all Doy deserts him.B
1hy su%h sar%asmG
) open the Stra8ins+y letters< the %orresponden%e ,ith Ansermet starts in !"!09 !0. letters $y
Stra8ins+y< My dear Ansermet7 My dear :ello,7 My dear :riend7
4ery dear7 My dear Ernest9 not a hint o: tension9 then7 li+e a thunder%lap<
BParis7 *%to$er !07 !"#/<
B)n great haste7 my dear :ello,.
BThere is a$solutely no reason to ma+e %uts in 7eu de cartes in %on%ert per:orman%es. . . .
Compositions o: this type are dan%e suites ,hose :orm is rigorously symphoni% and reEuire no
audien%e e?planation7 $e%ause there are no des%ripti8e elements illustrating theatri%al a%tion7
,hi%h ,ould inter:ere ,ith the symphoni% e8olution o: the pie%es as they are played in seEuen%e.
B): this strange idea o%%urred to you7 o: as+ing me to ma+e %uts7 it must $e that you personally
:ind the seEuen%e o: mo8ements in 7eu de cartes a little $oring. ) %annot do anything a$out that.
But ,hat amaHes me most is that you try to %on8in%e me to ma+e %uts in itCme7 ,ho Dust
%ondu%ted it in 4eni%e and ,ho reported to you the enthusiasti% response o: the audien%e. Either
you :orgot ,hat ) told you7 or else you do not atta%h mu%h importan%e to my o$ser8ations or to
my %riti%al sense. (urthermore7 ) really do not $elie8e that your audien%e ,ould $e less
intelligent than the one in 4eni%e.
BAnd to thin+ that it is you ,ho proposed to %ut my %omposition7 ,ith e8ery li+elihood o:
distorting it7 in order that it might $e $etter understood $y the pu$li%Cyou7 ,ho ,ere not a:raid
to play a ,or+ as ris+y :rom the standpoint o: su%%ess and listener %omprehension as the
!ymphonies of ,ind &nstrumentsS
BSo ) %annot let you ma+e %uts in 7eu de cartes6 ) thin+ it is $etter not to play it at all than to do
so ,ith reser8ations.
B) ha8e nothing to add7 period.B
*n *%to$er !&7 Ansermet;s reply<
B) as+ only i: you ,ould :orgi8e me the small %ut in the Mar%h :rom the se%ond measure a:ter 0&
to the se%ond measure a:ter &K.B
Stra8ins+y rea%ted on *%to$er !"<
B. . . ) am sorry7 $ut ) %annot allo, you any %uts in 7eu de cartes.
BThe a$surd one that you propose cripples my little Mar%h7 ,hi%h has its :orm and its stru%tural
meaning in the totality o: the %omposition =a structural meaning that you %laim to $e prote%ting>.
You %ut my Mar%h only $e%ause you li+e the middle se%tion and the de8elopment less than the
rest. )n my 8ie,7 this is not su::i%ient reason7 and ) ,ould li+e to say< ;But you;re not in your o,n
house7 my dear :ello,;9 ) ne8er told you< B2ere7 ta+e my s%ore and do ,hate8er you please ,ith
it.;
B) repeat< either you play 7eu de cartes as it is or you do not play it at all.
BYou do not seem to ha8e understood that my letter o: *%to$er !0 ,as Euite %ategori%al on this
point.B
Therea:ter they e?%hanged only a :e, letters7 %hilly7 la%oni%. )n !".! Ansermet pu$lished in
S,itHerland a 8oluminous $oo+ o: musi%ology7 in%luding a lengthy %hapter that is an atta%+ on
the insensiti8ity o: Stra8ins+y;s musi% =and his in%ompeten%e as a %ondu%tor>. *nly in !"..
=t,enty@nine years a:ter their dispute> ,as there this $rie: response :rom Stra8ins+y to a
%on%iliatory letter :rom Ansermet<
BMy dear Ansermet7
BYour letter tou%hed me. 1e are $oth too old not to thin+ a$out the end o: our days9 and ) ,ould
not ,ant to end these days ,ith the pain:ul $urden o: an enmity.B
An ar%hetypal phrase :or an ar%hetypal situation<
o:ten to,ard the end o: their li8es7 :riends ,ho ha8e :ailed one another ,ill %all o:: their hostility
this ,ay7 %oldly7 ,ithout Euite $e%oming :riends again.
)t;s %lear ,hat ,as at sta+e in the dispute that ,re%+ed the :riendship< Stra8ins+y s authors rights7
his moral rights9 the anger o: an author ,ho ,ill not stand :or anyone tampering ,ith his ,or+9
and7 on the other side7 the annoyan%e o: a per:ormer ,ho %annot tolerate the authors proud
$eha8ior and tries to limit his po,er.
2
As ) listen to 'eonard Bernstein;s re%ording o: he !acre du printemps3 something seems odd
a$out the :amous lyri%al passage :or E@:lat %larinet in the B*ondes print9anieresB9 ) turn to the
s%ore<
)n Bernstein;s per:orman%e7 this $e%omes<
The no8el %harm o: the passage a$o8e lies in the tension $et,een the melodi% lyri%ism and the
rhythm7 ,hi%h is $oth me%hani%al and ,eirdly irregular9 i: this rhythm is not e?e%uted e?a%tly7
,ith %lo%+,or+ pre%ision7 i: it is rubatoed3 i: the last note o: ea%h phrase is stret%hed out =,hi%h
Bernstein does>7 the tension disappears and the passage $e%omes %ommonpla%e.
) thin+ o: Ansermet;s sar%asms. ) pre:er Stra8ins+y;s per:orman%e7 a hundred times o8er7 e8en i:
he does push Bhis musi% stand up against the podium rail . . . and %ounts time.B
3
)n his $oo+ on Aana%e+7 Aarosla8 4ogel7 himsel: a %ondu%tor7 dis%usses Ko8aro8i%;s alterations to
the s%ore o: 7enufa. 2e appro8es them and de:ends them. An astonishing attitude7 :or e8en i:
Ko8aro8i%s alterations ,ere use:ul7 good7 or sensi$le7 they are una%%epta$le in prin%iple7 and the
8ery idea o: ar$itrating $et,een a %reators 8ersion and one $y his %orre%tor =%ensor7 adapter> is
per8erse. 1ithout a dou$t7 this or that senten%e o: A la recherche du temps perdu %ould $e $etter
,ritten. But ,here %ould you :ind the lunati% ,ho ,ould ,ant to read an impro8ed ProustG
Besides7 Ko8aro8i%s alterations are anything $ut good or sensi$le. As proo: o: their soundness7
4ogel %ites the last s%ene o: the opera7 ,here7 a:ter the dis%o8ery o: her murdered %hild and the
arrest o: her stepmother7 Aenu:a is alone ,ith 'a%a. Aealous o: her lo8e :or Ste8a7 his hal:@$rother
'a%a had earlier slashed Aenu:a;s :a%e9 no, Aenu:a :orgi8es him< it ,as
out o: lo8e that he had inDured her7 Dust as she hersel: had sinned out o: lo8e<
The allusion to her lo8e :or Ste8a7 Bas ) on%e did7B is deli8ered 8ery rapidly7 li+e a short %ry7 in
high notes that rise and $rea+ o::9 as i: Aenu:a is e8o+ing something she ,ants to :orget
immediately. Ko8aro8i% $roadens the melody o: this passage =he Bma+es it $loom7B as 4ogel
says> $y trans:orming it li+e this<
Doesn;t Aenu:a;s song7 as+s 4ogel7 $e%ome more $eauti:ul under Ko8aro8i%;s penG And isn;t it
still %ompletely Aana%e+ianG Yes7 i: you ,anted to :a+e Aana%e+7 you %ouldn;t do $etter.
Nonetheless7 the added melody is a$surd. 1hereas in Aana%e+7 Aenu:a re%alls her BsinB rapidly7
,ith suppressed horror7 in Ko8aro8i% she gro,s tender at the re%olle%tion7 she lingers o8er it7 she
is mo8ed $y it =her song stret%hes out the ,ords Blo8e7B B)7B and Bon%e didB>. So there to 'a%a;s
:a%e she sings o: her yearning :or Ste8a7 'a%a;s ri8alCshe sings o: her lo8e :or Ste8a7 the %ause
o: all her miseryF
2o, %ould 4ogel7 a passionate supporter o: Aana%e+;s7 de:end su%h psy%hologi%al nonsenseG
2o, %ould he san%tion it7 ,hen he +ne, that Aana%e+;s aestheti% re$ellion is rooted pre%isely in
his reDe%tion o: the psy%hologi%al unrealism %urrent in opera pra%ti%eG 2o, is it possi$le to lo8e
someone and at the same time misunderstand him so %ompletelyG
4
StillCand here 4ogel is rightC$y ma+ing the opera a little more %on8entional7 Ko8aro8i%;s
alterations did %ontri$ute to its su%%ess. B'et us distort you a $it7 Maestro7 and they;ll lo8e you.B
But there %omes a time ,hen the maestro re:uses to $e lo8ed at su%h %ost and ,ould rather $e
detested and understood.
1hat means does an author ha8e at his disposal to ma+e himsel: understood :or ,hat he isG
2ermann Bro%h hadn;t many in the !"#-s and in an Austria %ut o:: :rom 6ermany turned :as%ist7
nor later on in the loneliness o: emigration< a :e, le%tures e?plaining his aestheti% o: the no8el9
then letters to :riends7 to his readers7 to his pu$lishers7 to his translators9 he le:t nothing undone7
ta+ing great %are7 :or instan%e7 o8er the %opy on his $oo+ Da%+ets. )n a letter to his pu$lisher7 he
protests a proposal :or a promotional line on the $a%+ %o8er o: his no8el The !leep"alkers that
,ould %ompare him to 2ugo 8on 2o:mannsthal and )talo S8e8o. 2is %ounterproposal< that he $e
%ompared to Aoy%e and 6ide.
'et;s loo+ at this proposal< ,hat is a%tually the di::eren%e $et,een the Bro%h@S8e8o@
2o:mannsthal %onte?t and the Bro%h@Aoy%e@6ide %onte?tG The :irst %on@
te?t is literary in the $road7 di::use sense o: the ,ord9 the se%ond is spe%i:i%ally no'elistic =the
6ide o: The ounterfeiters is the one Bro%h is %laiming %onne%tion to>. The :irst %onte?t is a
small conte>tCthat is7 lo%al7 Central European. The se%ond is a large conte>tCthat is7
international7 glo$al. By setting himsel: alongside Aoy%e and 6ide7 Bro%h is demanding that his
no8el $e seen in the %onte?t o: the ?uropean no'el@ he is a,are that The !leep"alkers3 li+e
/lysses or The ounterfeiters.3 is a ,or+ that re8olutioniHes the no8el :orm7 that %reates a ne,
aestheti% o: the no8el7 and that %an $e understood only against the $a%+drop o: the history o: the
no'el as such.
This demand o: Bro%h;s is 8alid :or e8ery important ,or+. ) %an;t repeat it too o:ten< the 8alue
and the meaning o: a ,or+ %an $e appre%iated only in the greater international %onte?t. That truth
$e%omes parti%ularly pressing :or any artist ,ho is relati8ely isolated. A (ren%h surrealist7 a
Bnou'eau romanG author7 a naturalisti% nineteenth@%entury ,riterCall ,ere $orne along $y a
generation7 $y a mo8ement7 +no,n throughout the ,orld9 their aestheti% program pre%eded their
,or+7 so to spea+. But ,hat a$out 6om$ro,i%HC,here does he :it inG 2o, are people to
understand his aestheti%G
2e le:t his %ountry in !"#"7 at the age o: thirty@:i8e. (or his %redential as an artist7 he $rought
,ith him only one $oo+7 his no8el Ferdydurke3 an ingenious ,or+ $arely +no,n in Poland7
totally un+no,n else,here. 2e landed :ar :rom Europe7 in Argentina. 2e ,as unimagina$ly
alone. The great Argentine ,riters ne8er %ame near him. 'ater7 the Polish anti@Communist
emigres had little %uriosity a$out his art. (or :ourteen
years7 nothing happened to him7 and then in !"&# he $egan to ,rite and pu$lish his Diary. )t
doesn;t tell us mu%h a$out his li:e7 it is primarily a statement o: his position7 a %ontinuing
aestheti% and philosophi% sel:@interpretation7 a hand$oo+ on his BstrategyBCor $etter yet7 it is his
testament9 not that he ,as thin+ing7 at the time7 o: his death< $ut as a last7 de:initi8e ,ish he
,anted to esta$lish his o,n understanding o: himsel: and his ,or+.
2e demar%ated his position $y three +ey re:usals< a re:usal to su$mit to engagement in Polish
emigre politi%s =not that he had pro@Communist sympathies $ut $e%ause the prin%iple o:
politi%ally engaged art ,as repugnant to him>9 a re:usal o: Polish tradition =one %an ma+e
something ,orth,hile :or Poland7 he said7 only $y opposing BPolishness7B $y sha+ing o:: its
hea8y Romanti% lega%y>9 lastly7 a re:usal o: the 1estern modernism o: the !"&-s and ;.-sCa
modernism he sa, as sterile7 Bun:aith:ul to reality7B ine::e%tual in the art o: the no8el7 a%ademi%7
sno$$ish7 a$sor$ed in its sel:@theoriHing =not that 6om$ro,i%H ,as less modern7 $ut his
modernism ,as di::erent in nature>. That third B%lause o: the testamentB is most important and
de%isi8eCand is also doggedly misunderstood.
Ferdydurke ,as pu$lished in !"#/7 a year $e:ore Nausea.3 $ut as 6om$ro,i%H ,as un+no,n and
Sartre :amous7 Nausea3 so to spea+7 usurped 6om$ro,i%H;s right:ul pla%e in the history o: the
no8el. 1hereas Nausea is e?istential philosophy in a no8els %lothing =as i: a pro:essor had
de%ided to entertain his dro,sy students $y tea%hing the lesson in the :orm o: a no8el>7
6om$ro,i%H ,rote a real no8el that ties into the old
%omi%@no8el tradition =as in Ra$elais7 Cer8antes7 (ielding>7 and so e?istential issues7 a$out ,hi%h
he ,as no less passionate than Sartre7 %ome a%ross in his $oo+ as unserious and :unny.
Ferdydurke is one o: those maDor ,or+s =along ,ith The !leep"alkers and The Man ,ithout
Aualities= that ) see as inaugurating the Bthird =or o8ertime> periodB o: the no8el;s history7 $y
re8i8ing the :orgotten e?perien%e o: the pre@BalHa% no8el and $y ta+ing o8er domains pre8iously
reser8ed :or philosophy. That Nausea3 not Ferdydurke3 $e%ame the e?emplar o: that ne,
orientation has had un:ortunate %onseEuen%es< the ,edding night o: philosophy and the no8el
,as spent in mutual $oredom. Dis%o8ered some t,enty or thirty years a:ter their %reation7
6om$ro,i%H;s ,or+s7 and Bro%h;s and Musil;s =and %ertainly Ka:+a;s>7 no longer had the poten%y
reEuired to sedu%e a generation and %reate a mo8ement9 interpreted $y a di::erent aestheti%
s%hool7 ,hi%h in many regards stood opposed to them7 they ,ere respe%tedCe8en admiredC$ut
ill understood7 su%h that the greatest shi:t in the history o: the t,entieth@%entury no8el ,ent
unnoti%ed.
5
As );8e said $e:ore7 this ,as also the %ase ,ith Aana%e+. Ma? Brod put himsel: at Aana%e+;s
ser8i%e as he had at Ka:+a;s< ,ith sel:less ardor. 2e deser8es praise< he ga8e himsel: o8er to the
t,o greatest artists e8er to li8e in my nati8e land. Ka:+a and Aana%e+< $oth underrated9 $oth ,ith
an aestheti% di::i%ult to apprehend9 $oth 8i%tims o: the pettiness o: their milieu. Prague
represented an enormous handi%ap :or Ka:+a. 2e ,as isolated there :rom the 6erman literary
and pu$lishing ,orld7 and that ,as :atal :or him. 2is pu$lishers %on%erned themsel8es 8ery little
,ith this author ,hom they $arely +ne, personally. )n a $oo+ on this pro$lem7 Aoa%him 3nseld7
the son o: a leading 6erman pu$lisher7 sho,s that the most li+ely reason =) %onsider the idea
8ery realisti%> ,hy Ka:+a le:t his no8els un:inished is that no one ,as as+ing him :or them.
Be%ause i: an author has no de:inite prospe%t o: pu$lishing his manus%ript7 nothing :or%es him to
put the :inishing tou%hes on it7 nothing +eeps him :rom mo8ing it o:: his des+ :or the time $eing
and going on to something else.
To the 6ermans7 Prague ,as Dust a pro8in%ial to,n7 li+e Brno to the CHe%hs. Both Ka:+a and
Aana%e+ ,ere there:ore pro8in%ials. Ka:+a ,as nearly un+no,n in this %ountry ,hose population
,as alien to him7 ,hile Aana%e+7 in the same %ountry7 ,as tri8ialiHed $y his o,n people.
Anyone ,ho ,ants to understand the aestheti% in%ompeten%e o: the :ounder o: Ka:+ology should
read Brod;s monograph on Aana%e+. An enthusiasti% ,or+7 it ,as %ertainly a great help to the
underrated master. But ho, ,ea+ it is7 ho, nai8eF ,ith its lo:ty ,ordsCB%osmos7B Blo8e7B
B%ompassion7B Bhumiliated and insulted7B Bdi8ine musi%7B Bhypersensiti8e soul7B Btender soul7B
Bsoul o: a dreamerBCand ,ithout the slightest stru%tural analysis7 the slightest attempt to get at
the parti%ular aestheti% o: Aana%e+;s musi%. Kno,ing musi%al Prague;s hatred :or the %omposer
:rom the pro8in%es7 Brod ,anted to pro8e that Aana%e+ $elonged to the national tradition and that
he ,as e8ery $it as good as the great Smetana7 idol o: the CHe%h national ideology.
2e $e%ame so o$sessed $y this pro8in%ial7 narro,@minded7 CHe%h@:o%used polemi% that the rest
o: ,orld musi% slipped out o: his $oo+7 and o: all %omposers o: all periods7 the only one
mentioned is Smetana.
Ah7 Ma?7 Ma?F )t;s no good rushing into the other team;s territoryF All you;ll :ind there are a
hostile mo$ and $ri$ed re:ereesF Brod :ailed to utiliHe his position as a non@CHe%h to pla%e
Aana%e+ in the large conte>t3 the %osmopolitan %onte?t o: European musi%7 the only one ,here he
%ould $e de:ended and understood9 he lo%+ed him $a%+ ,ithin his national horiHon7 %ut him o::
:rom modern musi%7 and sealed his isolation. Su%h :irst interpretations sti%+ to a ,or+7 it ne8er
sha+es them o::. Aust as Brod;s ideas ,ould :ore8er %olor all the literature on Ka:+a7 so Aana%e+
,ould :ore8er su::er :rom the pro8in%ialiHation in:li%ted on him $y his %ompatriots and
%on:irmed $y Brod.
Brod the enigma. 2e lo8ed Aana%e+9 he ,as guided $y no ulterior moti8e7 only $y the spirit o:
Dusti%e9 he lo8ed him :or the essential7 :or his art. But he did not understand that art.
) ,ill ne8er get to the $ottom o: the Brod mystery. And Ka:+aGC,hat did he thin+G )n his !"!!
diary7 he tells this story< one day the t,o o: them ,ent to see a %u$ist painter7 1illi No,a+7 ,ho
had Dust :inished a series o: lithograph portraits o: Brod9 in the Pi%asso pattern as ,e +no, it7 the
:irst dra,ing ,as realisti%7 ,hereas the others7 says Ka:+a7 mo8ed :urther and :urther o:: :rom
their su$De%t and ,ound up e?tremely a$stra%t. Brod ,as un%om:orta$le9 he didn;t li+e any o: the
dra,ings e?%ept :or the realisti% :irst one7 ,hi%h7 $y %ontrast7 pleased him greatly $e%ause7 Ka:+a
notes ,ith tender irony7 B$eyond its loo+ing
li+e him7 it had no$le and serene lines around the mouth and eyes. . . .B
Brod understood %u$ism as little as he understood Ka:+a and Aana%e+. Doing his $est to :ree
them :rom their so%ial isolation7 he %on:irmed their aesthetic aloneness. The real meaning o: his
de8otion to them ,as< e8en a person ,ho lo8ed them7 and thus ,as most disposed to understand
them7 ,as alien to their art.
6
) am al,ays surprised $y peoples amaHement o8er Ka:+a;s =alleged> de%ision to destroy all his
,or+. As i: su%h a de%ision ,ere a priori a$surd. As i: an author %ould not ha8e reasons enough
to ta+e his ,or+ along ,ith him on his last 8oyage.
)t %ould in :a%t happen that on :inal assessment the author realiHes that he disli+es his $oo+s. And
that he does not ,ant to lea8e $ehind him this dismal monument o: his :ailure. ) +no,7 ) +no,7
you;ll o$De%t he is mista+en7 that he is gi8ing in to an unhealthy depression7 $ut your e?hortations
are meaningless. 2e;s in his o,n house ,ith that ,or+7 not you7 my dear :ello,F
Another plausi$le reason< the author still lo8es his ,or+ $ut not the ,orld. 2e %an;t $ear the idea
o: lea8ing the ,or+ here to the mer%y o: a :uture he %onsiders hate:ul.
And yet another possi$ility< the author still lo8es his ,or+ and doesn;t e8en thin+ a$out the
:uture o: the ,orld7 $ut ha8ing had his o,n e?perien%es ,ith the pu$li%7 he understands the
'anitas 'anitatum o: art7 the ine8ita$le in%omprehension that is his lot7 the
in%omprehension =not underestimation7 );m not tal+ing a$out personal 8anity> he has su::ered
during his li:etime and that he doesn;t ,ant to go on su::ering post mortem. =)t may in%identally
$e only the $re8ity o: li:e that +eeps artists :rom understanding :ully the :utility o: their la$or and
ma+ing arrangements in time :or the o$literation o: $oth their ,or+ and themsel8es.>
Aren;t these all 8alid reasonsG *: %ourse. Yet they ,eren;t Ka:+a;s reasons< he ,as a,are o: the
8alue o: ,hat he ,as ,riting7 he had no de%lared repugnan%e :or the ,orld7 andCtoo young and
nearly un+no,nC he had had no $ad e?perien%es ,ith the pu$li%7 ha8ing had almost none at all.
7
Ka:+a;s testament< not a testament in the pre%ise legal sense9 a%tually t,o pri8ate letters9 and not
e8en true letters7 in that they ,ere ne8er posted. Brod7 ,ho ,as Ka:+a;s legal e?e%utor7 :ound
them a:ter his :riend;s death7 in !"I07 in a dra,er among a mass o: other papers< one in in+7
:olded and addressed to Brod7 the other more detailed and ,ritten in pen%il. )n his BPosts%ript to
the (irst EditionB o: The Trial3 Brod e?plains< B)n !"I! . . . ) told my :riend that ) had made a
,ill in ,hi%h ) as+ed him to destroy %ertain things Edieses unci 8enes 'ernichtenF3 to loo+ through
some others7 and so :orth. Ka:+a thereupon sho,ed me the outside o: the note ,ritten in in+
,hi%h ,as later :ound in his des+7 and said< ;My last testament ,ill $e 8ery simple< a reEuest that
you $urn e8erything.; ) %an still remem$er the e?a%t ,ording o: the ans,er ) ga8e
him< ;. . . );m telling you right no, that ) ,on;t %arry out your ,ishes.B Brod e8o+es this
re%olle%tion to Dusti:y diso$eying his :riend;s testamentary ,ish9 Ka:+a7 he %ontinues7 B+ne,
,hat :anati%al 8eneration ) had :or his e8ery ,ordB9 so he ,as ,ell a,are that he ,ould not $e
o$eyed and he Bshould ha8e %hosen another e?e%utor i: his o,n instru%tions ,ere
un%onditionally and :inally in earnest.B But is that so %ertainG )n his o,n testament7 Brod ,as
as+ing Ka:+a Bto destroy %ertain things B9 ,hy then ,ouldn;t Ka:+a ha8e %onsidered it normal to
reEuest the same ser8i%e o: BrodG And i: Ka:+a really +ne, that he ,ould not $e o$eyed7 ,hy7
a:ter their %on8ersation in !"I!7 did he ,rite that se%ond7 pen%iled letter7 in ,hi%h he ela$orates
his instru%tions and ma+es them spe%i:i%G But let;s drop it< ,e;ll ne8er +no, ,hat these t,o
young :riends said to ea%h other on a su$De%t that ,as7 $y the ,ay7 not their most urgent %on%ern7
sin%e neither one o: them7 and Ka:+a espe%ially7 %ould at the time %onsider himsel: in serious
danger o: immortality.
)t;s o:ten said< i: Ka:+a really ,ishe%l to destroy ,hat he had ,ritten7 he ,ould ha8e destroyed it
himsel:. But ho,G 2is letters ,ere in the hands o: the re%ipients. =2e himsel: +ept none o: the
letters he re%ei8ed.> )t;s true that he %ould ha8e $urned his diaries. But they ,ere ,or+ing diaries
=more note$oo+s than diaries>7 they ,ere use:ul to him :or as long as he ,as ,riting7 and he
,rote until his 8ery last days. The same %an $e said o: his un:inished ,or+s. *nly in the e8ent o:
death ,ould they $e irremedia$ly un:inished9 ,hile he ,as still ali8e he %ould al,ays get $a%+ to
them. Not e8en a story he %onsiders a :ailure is useless to a ,riter7 as it %an $e%ome material :or
another story. As long as he is not dying7 a ,riter has no reason to destroy something he has
,ritten. But ,hen Ka:+a ,as dying he ,as no longer in his home7 he ,as in a sanatorium and
una$le to destroy anything7 he %ould only %ount on a :riend;s help. And not ha8ing many :riends7
ha8ing :inally $ut one7 he %ounted on him.
People also say that ,anting to destroy one;s o,n ,or+ is a pathologi%al a%t. )n that %ase7
diso$eying Ka:+a;s destru%ti8e ,ish $e%omes loyalty to the other Ka:+a7 the %reator. This tou%hes
on the greatest lie o: the legend surrounding his testament< Ka:+a did not ,ant to destroy his
,or+. 2e e?pressed himsel: ,ith utter pre%ision in the se%ond o: those letters< B*: all my
,ritings7 only the $oo+s are ,orth,hile EgeltenF6 7udgment3 !toker3 Metamorphosis.3 Penal
olony3 ountry Doctor3 and a story< ;2unger Artist.; =The :e, %opies o: Meditations %an stay7 )
don;t ,ant to put anyone to the trou$le o: pulping them7 $ut nothing :rom that $oo+ is to $e
reprinted.>B Thus7 not only did Ka:+a not repudiate his ,or+7 $ut he a%tually assessed it and tried
to separate ,hat should sur8i8e =,hat %ould $e reprinted> :rom ,hat :ell short o: his standards9
there is sadness7 se8erity7 $ut no insanity7 no $lindness o: despair7 in his Dudgment< he :inds all
his pu$lished $oo+s ,orth,hile e?%ept the :irst7 Meditations3 pro$a$ly %onsidering it immature
=that ,ould $e hard to %ontradi%t>. 2is reDe%tion does not automati%ally %on%ern e8erything
unpu$lished7 :or he in%ludes among the B,orth,hileB ,or+s the story BA 2unger Artist7B ,hi%h
at the time he ,rote the letter e?isted only in manus%ript. 'ater on7 he added to that pie%e three
more stories =B(irst Sorro,7B BA 'ittle
1oman7B and BAose:ine the SingerB> to ma+e a $oo+9 he ,as %orre%ting the proo:s o: this $oo+ in
the sanatorium on his death$edCnearly poignant e8iden%e that Ka:+a had nothing to do ,ith the
legend o: the author ,anting to destroy his ,or+.
2is ,ish to destroy thus %on%erns only t,o %learly de:ined %ategories o: ,riting<
Cin the :irst pla%e7 most emphati%ally< the personal ,ritings< letters7 diaries9
Cin the se%ond pla%e< the stories and the no8els he had not7 in his Dudgment7 su%%eeded in
$ringing o::.
8
) am loo+ing at a ,indo, a%ross the ,ay. To,ard e8ening the light goes on. A man enters the
room. 2ead lo,ered7 he pa%es $a%+ and :orth9 :rom time to time he runs his hand through his
hair. Then7 suddenly7 he realiHes that the lights are on and he %an $e seen. A$ruptly7 he pulls the
%urtain. Yet he ,asn;t %ounter:eiting money in there9 he had nothing to hide $ut himsel:7 the ,ay
he ,al+ed around the room7 the sloppy ,ay he ,as dressed7 the ,ay he stro+ed his hair. 2is
,ell@$eing depended on his :reedom :rom $eing seen.
Shame is one o: the +ey notions o: the Modern Era7 the indi8idualisti% period that is
imper%epti$ly re%eding :rom us these days9 shame< an epidermal instin%t to de:end one;s personal
li:e9 to reEuire a %urtain o8er the ,indo,9 to insist that a letter addressed to A not $e read $y B.
*ne o: the elementary situations in the passage to adulthood7 one o: the prime %on:li%ts ,ith par@
ents7 is the %laim to a dra,er :or letters and note$oo+s7 the %laim to a dra,er ,ith a +ey9 ,e enter
adulthood through the rebellion of shame.
An old re8olutionary 3topia7 ,hether :as%ist or %ommunist< li:e ,ithout se%rets7 ,here pu$li%
li:e and pri8ate li:e are one and the same. The surrealist dream Andre Breton lo8ed< the glass
house7 a house ,ithout %urtains ,here man li8es in :ull 8ie, o: the ,orld. Ah7 the $eauty o:
transparen%yF The only su%%ess:ul realiHation o: this dream< a so%iety totally monitored $y the
poli%e.
) ,rote a$out this in The /nbearable Lightness of 5eing6 Aan Pro%haH+a7 an important :igure o:
the Prague Spring7 %ame under hea8y sur8eillan%e a:ter the Russian in8asion o: !".K. At the
time7 he sa, a good deal o: another great opposition :igure7 Pro:essor 4a%la8 Cerny7 ,ith ,hom
he li+ed to drin+ and tal+. All their %on8ersations ,ere se%retly re%orded7 and ) suspe%t the t,o
:riends +ne, it and didn;t gi8e a damn. But one day in !"/- or !"/!7 ,ith the intent to dis%redit
Pro%haH+a7 the poli%e $egan to $road%ast these %on8ersations as a radio serial. (or the poli%e it
,as an auda%ious7 unpre%edented a%t. And7 surprisingly< it nearly su%%eeded9 instantly Pro%haH+a
"as dis%redited< $e%ause in pri8ate7 a person says all sorts o: things7 slurs :riends7 uses %oarse
language7 a%ts silly7 tells dirty Do+es7 repeats himsel:7 ma+es a %ompanion laugh $y sho%+ing him
,ith outrageous tal+7 :loats hereti%al ideas he;d ne8er admit in pu$li%7 and so :orth. *: %ourse7 ,e
all a%t li+e Pro%haH+a7 in pri8ate ,e $ad@mouth our :riends and use %oarse language9 that ,e a%t
di::erent in pri8ate than in pu$li%
is e8eryone;s most %onspi%uous e?perien%e7 it is the 8ery ground o: the li:e o: the indi8idual9
%uriously7 this o$8ious :a%t remains un%ons%ious7 una%+no,ledged7 :ore8er o$s%ured $y lyri%al
dreams o: the transparent glass house7 it is rarely understood to $e the 8alue one must de:end
$eyond all others. Thus only gradually did people realiHe =though their rage ,as all the greater>
that the real s%andal ,as not Pro%haH+as daring tal+ $ut the rape o: his li:e9 they realiHed =as i: $y
ele%tri% sho%+> that pri8ate and pu$li% are t,o essentially di::erent ,orlds and that respe%t :or
that di::eren%e is the indispensa$le %ondition7 the sine Eua non7 :or a man to li8e :ree9 that the
%urtain separating these t,o ,orlds is not to $e tampered ,ith7 and that %urtain@rippers are
%riminals. And $e%ause the %urtain@rippers ,ere ser8ing a hated regime7 they ,ere unanimously
held to $e parti%ularly %ontempti$le %riminals.
1hen ) arri8ed in (ran%e :rom that CHe%hoslo8a+ia $ristling ,ith mi%rophones7 ) sa, on a
magaHine %o8er a large photo o: Aa%Eues Brel hiding his :a%e :rom the photographers ,ho had
tra%+ed him do,n in :ront o: the hospital ,here he ,as $eing treated :or his already ad8an%ed
%an%er. And suddenly ) :elt ) ,as en%ountering the 8ery same e8il that had made me :lee my
%ountry9 $road%asting Pro%haH+as %on8ersations and photographing a dying singer hiding his
:a%e seemed to $elong to the same ,orld9 ) said to mysel: that "hen it becomes the custom and
the rule to di8ulge another person;s pri8ate li:e7 ,e are entering a time ,hen the highest sta+e is
the sur8i8al or the disappearan%e o: the indi8idual.
9
There are almost no trees in )%eland7 and the :e, that e?ist are all in the %emeteries9 as i: there
,ere no dead ,ithout trees7 as i: there ,ere no trees ,ithout the dead. They are not planted
alongside the gra8e7 as in idylli% Central Europe7 $ut right in the %enter o: it7 to :or%e a passer$y
to imagine the roots do,n $elo, pier%ing the $ody. ) am ,al+ing ,ith El8ar D. in the Rey+Da8i+
%emetery9 he stops at a gra8e ,hose tree is still Euite small9 $arely a year ago his :riend ,as
$uried9 he starts reminis%ing aloud a$out him< his pri8ate li:e ,as mar+ed $y some se%ret7
pro$a$ly a se?ual one. BBe%ause se%rets e?%ite su%h irritated %uriosity7 my ,i:e7 my daughters7
the people around me7 all insisted ) tell them a$out it. To su%h an e?tent that my relations ,ith
my ,i:e ha8e $een $ad e8er sin%e. ) %ouldn;t :orgi8e her aggressi8e %uriosity7 and she %ouldn;t
:orgi8e my silen%e7 ,hi%h to her ,as e8iden%e o: ho, little ) trusted her.B 2e smiled7 and then< B)
di8ulged nothing7B he said. BBe%ause ) had nothing to di8ulge. ) had :or$idden mysel: to ,ant to
+no, my :riends se%rets7 and ) didn;t +no, them.B ) listened to him ,ith :as%ination< sin%e
%hildhood ) had heard it said that a :riend is the person ,ith ,hom you share your se%rets and
,ho e8en has the right7 in the name o: :riendship7 to insist on +no,ing them. (or my )%elander7
:riendship is something else< it is standing guard at the door $ehind ,hi%h your :riend +eeps his
pri8ate li:e hidden9 it is $eing the person ,ho ne8er opens that door9 ,ho allo,s no one else to
open it.
10
) thin+ o: the ending o: The Trial6 the t,o men $end o8er K. and one o: them thrusts a +ni:e deep
into his heart< B1ith :ailing eyes K. %ould still see7 right near his :a%e7 the t,o men %hee+ $y Do,l
,at%hing the out%ome< ;'i+e a dogF; he said9 it ,as as i: the shame o: it must outli8e him.B
The last noun in The Trial6 Bshame.B )ts last image< the :a%es o: t,o strangers7 %lose $y his o,n
:a%e7 almost tou%hing it7 ,at%hing K.;s most intimate state7 his death throes. )n that last noun7 in
that last image7 is %on%entrated the entire no8el;s :undamental situation< $eing a%%essi$le at any
time in his $edroom9 ha8ing his $rea+:ast eaten $y other people9 $eing a8aila$le7 day and night7
to go ,here he;s summoned9 seeing his ,indo, %urtains %on:is%ated9 $eing una$le to see ,hom
he ,ants9 no longer $eing his o,n man9 losing his status as an indi8idual. This transformation of
a man from sub8ect to ob8ect is e?perien%ed as shame.
) don;t $elie8e that Ka:+a as+ed Brod to destroy his letters $e%ause he :eared their pu$li%ation.
Su%h an idea %ould s%ar%ely ha8e entered his mind. The pu$lishers ,ere not interested in his
no8els7 ,hy ,ould they ha8e %ared a$out his lettersG 1hat made him ,ant to destroy them ,as
shame7 simple shame7 not that o: a ,riter $ut that o: an ordinary indi8idual7 the shame o: lea8ing
pri8ate things lying a$out :or the eyes o: othersCo: the :amily7 o: strangersCthe shame o: $eing
turned into an o$De%t7 the shame that %ould Boutli8e him.B
And yet Brod made these letters pu$li%9 earlier7 in his o,n ,ill and testament7 he had as+ed
Ka:+a Bto destroy %ertain thingsB9 and here he himsel: pu$lished e'erything3 indis%riminately9
e8en that long7 pain:ul letter :ound in a dra,er7 the letter that Ka:+a ne8er de%ided to send to his
:ather and that7 than+s to Brod7 anyone $ut its addressee %ould e8entually read. To me7 Brods
indis%retion is ine?%usa$le. 2e $etrayed his :riend. 2e a%ted against his :riends ,ishes7 against
the meaning and the spirit o: his ,ishes7 against the sense o: shame he +ne, in the man.
11
There is an essential di::eren%e $et,een the no8el on the one hand and memoirs7 $iography7
auto$iography7 on the other. A $iography;s 8alue lies in the ne,ness and a%%ura%y o: the real
:a%ts it re8eals. A no8el;s 8alue is in the re8elation o: pre8iously unseen possi$ilities o: e?isten%e
as su%h9 in other ,ords7 the no8el un%o8ers ,hat is hidden in ea%h o: us. A %ommon :orm o:
praise :or a no8el is to say< ) see mysel: in that %hara%ter9 ) ha8e the sense that the author +no,s
me and is ,riting a$out me9 or as a grie8an%e< ) :eel atta%+ed7 laid $are7 humiliated $y this no8el.
1e should ne8er mo%+ su%h apparently nai8e Dudgments< the8 pro8e that the no8el is $eing read
as a no8el.
That is ,hy the roman a %le: =,hi%h deals ,ith real people ,ith the intention o: ma+ing them
re%ogniHa$le $eneath :i%tional names> is a :alse no8el7 an aestheti%ally eEui8o%al thing7 morally
un%lean. Ka:+a disguised under the name 6artaF You o$De%t to the
author< BThat;s not a%%urateFB The author< BThese aren;t memoirs );8e ,ritten9 Carta is an
imaginary %hara%terFB You< BAs an imaginary %hara%ter7 he;s implausi$le7 $adly made7 ,ritten
,ith no talentFB The author< BBut this isn;t the usual sort o: %hara%ter9 he lets me ma+e ne,
re8elations a$out my :riend Ka:+aFB You< B)na%%urate re8elationsFB The author< BThese aren;t
memoirs );8e ,ritten9 Carta is an imaginary %hara%terF. . . B And so on.
*: %ourse7 e8ery no8elist7 intentionally or not7 dra,s on his o,n li:e9 there are entirely in8ented
%hara%ters7 %reated out o: pure re8erie9 there are those inspired $y a model7 sometimes dire%tly7
more o:ten indire%tly9 there are those %reated :rom a single detail o$ser8ed in some person9 and
all o: them o,e mu%h to the author;s introspe%tion7 to his sel:@+no,ledge. The ,or+ o: the
imagination trans:orms these inspirations and o$ser8ations so thoroughly that the no8elist :orgets
a$out them. Yet $e:ore pu$lishing his $oo+7 he must thin+ to hide the +eys that might ma+e them
dete%ta$le9 :irst7 out o: the minimum o: %onsideration due persons ,ho7 to their surprise7 ,ill
:ind :ragments o: their li8es in the no8el7 and se%ond7 $e%ause +eys =true or :alse> one puts into
the reader;s hands %an only mislead him< instead o: un+no,n aspe%ts o: e?isten%e7 he ,ill $e
sear%hing a no8el :or un+no,n aspe%ts o: the author;s e?isten%e9 the entire meaning o: the art o:
the no8el ,ill thus $e annihilated7 as it ,as annihilated7 :or instan%e7 $y that Ameri%an pro:essor
,ho7 ,ielding his huge $un%h o: s+eleton +eys7 ,rote the $ig $iography o: 2eming,ay<
Through the :or%e o: his interpretation7 he turned 2eming,ay;s ,hole oeu8re into a single roman
a %le:9
as i: it had $een turned inside out li+e a Da%+et< suddenly7 the $oo+s are in8isi$le inside7 and on
the lining outside7 a reader a8idly o$ser8es the =real or alleged> e8ents o: the li:eCtri8ial7
pain:ul7 ridi%ulous7 pedestrian7 stupid7 petty e8ents9 thus the ,or+ is undone7 the imaginary
%hara%ters are trans:ormed into people :rom the authors li:e7 and the $iographer $egins the moral
trial o: the ,riter< in one short story there is a ,i%+ed mother %hara%ter< 2eming,ay is maligning
his o,n mother here9 in another story there is a %ruel :ather< it is 2eming,ay;s re8enge on his
:ather :or allo,ing his %hildhood tonsils to $e remo8ed ,ithout anesthesia9 in BCat in the Rain7B
the unnamed :emale %hara%ter Bis dissatis:ied ,ith her. . . sel:@a$sor$ed7 unresponsi8e hus$andB<
this is 2eming,ays ,i:e 2adley7 %omplaining9 the :emale %hara%ter o: BSummer PeopleB is to $e
seen as the ,i:e o: Dos Passos< 2eming,ay tried in 8ain to sedu%e her and7 in the story7 he
a$uses her disgra%e:ully $y ma+ing lo8e to her in the guise o: a %hara%ter9 in Across the *i'er
and &nto the Trees3 an unnamed7 8ery ugly man appears in a $ar< 2eming,ay is des%ri$ing the
ugliness o: Sin%lair 'e,is7 ,ho7 B$itterly hurt and angered $y 2eming,ay;s %ruelest passage7
died three months a:ter the no8el ,as pu$lished.B And so on and on7 one denun%iation a:ter
another.
No8elists ha8e al,ays resisted that biographical furor ,hose representati8e prototype7 a%%ording
to Proust7 is Sainte@Beu8e ,ith his motto< B) do not loo+ on literature as a thing apart7 or7 at least7
deta%ha$le7 :rom the rest o: the man. ...B 3nderstanding a ,or+ there:ore reEuires +no,ing the
man :irstCthat is7 Sainte@Beu8e spe%i:ies7 +no,ing the ans,ers to a %er@
tain num$er o: Euestions e8en though they Bmight seem at the :urthest remo8e :rom the nature o:
his ,ritings< 1hat ,ere his religious 8ie,sG 2o, did he rea%t to the sight o: natureG 2o, did he
%ondu%t himsel: in regard to ,omen7 in regard to moneyG 1as he ri%h7 ,as he poorG 1hat
go8erned his a%tions7 ,hat ,as his daily ,ay o: li:eG 1hat ,as his 8i%e7 or his ,ea+nessGB This
Euasi@poli%e method7 Proust %omments7 reEuires a %riti% Bto surround himsel: ,ith e8ery possi$le
pie%e o: in:ormation a$out a ,riter7 to %he%+ his letters7 to interrogate people ,ho +ne, him. ...B
Yet7 surrounded as he ,as B,ith e8ery possi$le pie%e o: in:ormation7B Sainte@Beu8e managed not
to re%ogniHe any o: the great ,riters o: his timeCnot BalHa%7 nor Stendhal7 nor Baudelaire9 $y
studying their li8es he ine8ita$ly missed their ,or+7 $e%ause7 said Proust7 Ba $oo+ is the produ%t
o: a self other than the sel: ,e mani:est in our ha$its7 in our so%ial li:e7 in our 8i%es;9 Bthe ,riters
true sel: is mani:ested in his $oo+s alone.G
Proust;s polemi% against Sainte@Beu8e is o: :undamental importan%e. 'et us ma+e %lear< Proust is
not %riti%iHing Sainte@Beu8e :or e?aggerating9 he is not de%rying the limitations o: Sainte@
Beu8e;s method9 his 8erdi%t is a$solute< that method is $lind to the author;s other self@ $lind to
his aestheti% ,ishes9 in%ompati$le ,ith art9 dire%ted against art9 inspired $y hatred o: art.
12
)n (ran%e7 Ka:+a;s ,or+ is pu$lished in :our 8olumes. The se%ond 8olume< stories and narrati8e
:ragments9
that is< e8erything Ka:+a pu$lished in his li:etime7 plus e8erything :ound in his des+ dra,ers<
unpu$lished and in%omplete stories7 dra:ts7 :alse starts7 reDe%ted or a$andoned 8ersions. 1hat
order should it all ha8eG The editor applied t,o prin%iples< =!> ,ith no distin%tion as to their
nature7 genre7 or degree o: %ompletion7 all the narrati8e ,ritings are set on an eEual plane and =I>
arranged in %hronologi%al order7 that is7 in the order o: their $irth.
This is ,hy none o: the three %olle%tions o: stories Ka:+a himsel: put together :or pu$li%ation
=Meditations7 A ountry Doctor3 A (unger Artist= is presented here in (ran%e in the :orm Ka:+a
ga8e them9 these %olle%tions ha8e simply disappeared9 the indi8idual stories %onstituting them
are s%attered among other things =among dra:ts7 :ragments7 and su%h> $y %hronology9 thus eight
hundred pages o: Ka:+a;s ,ritings $e%ome a :lood ,here e8erything dissol8es into e8erything
else7 a :lood :ormless as only ,ater %an $e7 ,ater that :lo,s and %arries along ,ith it $oth good
and $ad7 :inished and un:inished7 strong and ,ea+7 dra:t and ,or+.
Brod had already pro%laimed the B:anati%al 8enerationB ,ith ,hi%h he surrounded ea%h o:
Ka:+a;s ,ords. The editors o: Ka:+a;s ,or+ sho, the same absolute 'eneration :or e8erything
their author tou%hed. But understand the mystery o: a$solute 8eneration< it is also7 and ine8ita$ly7
the a$solute denial o: the author;s aestheti% ,ishes. (or aestheti% ,ishes sho, not only $y ,hat
an author has ,ritten $ut also $y ,hat he has deleted. Deleting a paragraph %alls :or e8en more
talent7 %ulti8ation7 and %reati8e po,er than ,riting it does. There:ore7 pu$lishing ,hat the author
deleted is
the same a%t o: rape as %ensoring ,hat he de%ided to retain.
1hat o$tains :or deletions ,ithin the mi%ro%osm o: a parti%ular ,or+ also o$tains :or deletions
,ithin the ma%ro%osm o: a %omplete $ody o: ,or+. There too7 as he assesses his ,or+7 and
guided $y his aestheti% reEuirements7 the author o:ten e?%ludes ,hat doesn;t satis:y him. Claude
Simon7 :or instan%e7 no longer allo,s his earliest $oo+s to $e reprinted. (aul+ner e?pli%itly stated
his ,ish to lea8e no tra%e B$ut the printed $oo+s7B in other ,ords7 none o: ,hat the garbage9can
sca'engers ,ould :ind a:ter his death. 2e thus made the same reEuest as Ka:+a7 and he ,as
o$eyed the same ,ay< they pu$lished e8erything they %ould dig up. ) pur%hase SeiDi *Ha,a;s
re%ording o: Mahler;s (irst Symphony. This :our@mo8ement symphony originally had :i8e
mo8ements7 $ut a:ter the premiere Mahler de:initi8ely remo8ed the se%ond7 ,hi%h is not to $e
:ound in any printed s%ore. *Ha,a put it $a%+ into the symphony9 so no, a$solutely e8eryone
%an see that Mahler ,as right to delete it. Need ) go onG The list is endless.
The ,ay Ka:+a;s %olle%ted ,or+s ,ere pu$lished in (ran%e sho%+s no one9 it %orresponds to the
spirit o: the time< BKa:+a is to $e read as a ,hole7B the editor e?plains9 Bamong his 8arious
modes o: e?pression7 none %an %laim greater ,orth than the others. Su%h is the de%ision o: the
posterity ,e are9 it is an a%+no,ledged Dudgment and one that must $e a%%epted. Sometimes ,e
go :urther< not only do ,e reDe%t any hierar%hy among genres $ut ,e deny the 8ery e?isten%e o:
genres7 ,e assert that Ka:+a spea+s the same lan@
guage throughout his ,or+. )n Ka:+a is :inally a%hie8ed the situation e8ery,here sought or
al,ays hoped :orCa per:e%t %orresponden%e $et,een li8ed e?perien%e and literary e?pression.B
BPer:e%t %orresponden%e $et,een li8ed e?perien%e and literary e?pression.B This is a 8ariant o:
Sainte@Beu8e;s slogan< B'iterature insepara$le :rom its author.B A slogan that re%alls< BThe unity
o: li:e and ,or+.B 1hi%h e8o+es the :amous line ,rongly attri$uted to 6oethe< B'i:e li+e a ,or+
o: art.B These magi%al %at%hphrases are simultaneously statements o: the o$8ious =o: %ourse ,hat
a man does is insepara$le :rom him>7 %ountertruths =insepara$le or not7 the %reation surpasses the
li:e>7 and lyri%al %li%hes =the unity o: li:e and ,or+ Be8ery,here sought or al,ays hoped :orB is
presented as an ideal state7 a 3topia7 a lost paradise at last regained>7 $ut most important7 they
re8eal the ,ish to re:use art its autonomous status7 to :or%e it $a%+ into its sour%e7 into the
authors li:e7 to dilute it there and thus deny its raison d;etre =i: a li:e %an $e a ,or+ o: art7 ,hat
use are ,or+s o: artG>. The seEuen%e Ka:+a %hose :or the stories in his %olle%tions is disregarded
$e%ause the only seEuen%e %onsidered 8alid is that di%tated $y li:e itsel:. No one %ares a$out the
artist Ka:+a7 ,ho trou$les us ,ith his puHHling aestheti%7 $e%ause ,e;d rather ha8e Ka:+a as the
:usion o: e?perien%e and ,or+7 the Ka:+a ,ho had a di::i%ult relationship ,ith his :ather and
didn;t +no, ho, to deal ,ith ,omen. 2ermann Bro%h protested ,hen his ,or+ ,as put into a
small conte>t ,ith S8e8o and 2o:mannsthal. Poor Ka:+a7 he ,asn;t granted e8en that small
%onte?t. 1hen people spea+ o: him7 they don;t mention 2o:mannsthal7 or Mann7 or Musil7 or
Bro%h9 they lea8e him only one %onte?t< (eli%e7 the :ather7 Milena7 Dora9 he is :lung $a%+ into
the mini9mini9mini9conte>t o: his $iography7 :ar :rom the history o: the no8el7 8ery :ar :rom art.
13
The Modern Era made manCthe indi8idual7 a thin+ing egoCinto the $asis o: e8erything. (rom
that ne, %on%eption o: the ,orld %ame a ne, %on%eption o: the ,or+ o: art as ,ell. )t $e%ame the
original e?pression o: a uniEue indi8idual. )t is in art that the indi8idualism o: the Modern Era
,as realiHed and %on:irmed7 :ound its e?pression7 its %onse%ration7 its glory7 its monument.
): a ,or+ o: art emanates :rom an indi8idual and his uniEueness7 it is logi%al that this uniEue
$eing7 the author7 should possess all rights o8er the thing that emanates e?%lusi8ely :rom him.
A:ter a %enturies@long pro%ess7 these rights attained their de:initi8e :orm during the (ren%h
Re8olution7 ,hi%h re%ogniHed literary property as Bthe most sa%red7 the most personal o: all
property.B
) remem$er the days ,hen ) ,as en%hanted $y Mora8ian :ol+ musi%< the $eauty o: its melodi%
phrases9 the originality o: its metaphors. 2o, are su%h songs $ornG Colle%ti8elyG No9 that art had
its indi8idual %reators7 its 8illage poets and %omposers7 $ut on%e their in8ention ,as released into
the ,orld7 they had no ,ay o: :ollo,ing a:ter it and prote%ting it against %hanges7 distortions7
endless metamorphoses. At the time7 ) ,as mu%h li+e those ,ho loo+ed upon su%h a
,orld ,ith no artisti%@property %laims as a +ind o: paradise9 a paradise ,here poetry ,as made
$y all and :or all.
) e8o+e this memory to point out that the great :igure o: the Modern Era7 the author7 emerged
only gradually o8er these re%ent %enturies and that in the history o: humanity7 the era o: authors;
rights is a :leeting moment7 $rie: as a photo:lash. And yet7 ,ithout the prestige o: the author and
his rights7 the great $lossoming o: European art in re%ent %enturies ,ould $e in%on%ei8a$le7 and
so ,ould Europe;s greatest glory. )ts greatest or perhaps its only glory7 $e%ause7 i: reminder is
needed7 it;s not :or its generals or its statesmen that Europe ,as admired e8en $y those it %aused
to su::er.
(or authors; rights to $e%ome la,7 it reEuired a %ertain :rame o: mind that ,as in%lined to respe%t
the author. That :rame o: mind7 ,hi%h too+ shape slo,ly o8er the %enturies7 seems to $e %oming
undone lately. ): not7 the8 %ouldn;t a%%ompany a toilet paper %ommer%ial ,ith a passage :rom a
Brahms symphony. *r $e praised :or pu$lishing a$ridged 8ersions o: Stendhal no8els. ): there
,ere still a :rame o: mind that respe%ts the author7 people ,ould ,onder< 1ould Brahms agree to
thisG 1ouldn;t Stendhal $e angryG
) e?amine the ne, 8ersion o: the (ren%h la, on authors; rights< the pro$lems o: ,riters7
%omposers7 painters7 poets7 no8elists ta+e up a minute part o: it7 most o: the te?t $eing de8oted to
the great industry %alled Baudio8isual.B There;s no Euestion this immense industry reEuires
entirely ne, rules o: the game. Be%ause the situation has %hanged< ,hat ,e persist in %alling
BartB is less and less the Boriginal e?pression o: a uniEue indi8idual.B 2o, %an the s%reen,riter
:or a
:ilm that %osts millions pre8ail ,ith his o,n moral rights =say7 the right to pre8ent tampering
,ith ,hat he ,rote> ,hen in8ol8ed in its %reation is a $attalion o: other persons7 ,ho also
%onsider themsel8es authors and ,hose moral rights are re%ipro%ally limited $y his9 and ho,
%laim anything at all against the ,ill o: the produ%er7 ,ho though not an author is %ertainly the
:ilm;s only real $ossG
E8en ,ithout their rights $eing restri%ted7 authors in the old@style arts are suddenly thrust into
another ,orld ,here authors; rights are starting to lose their old aura. 1hen a %on:li%t arises in
this ne, %limate7 those ,ho 8iolate authors; moral rights =adapters o: no8els9 gar$age@%an
s%a8engers ,ho plunder great ,riters ,ith their so@%alled %riti%al editions9 ad8ertising that
dissol8es a thousand@year@old lega%y in its $loody sali8a9 periodi%als that reprint ,hate8er they
,ant ,ithout permission9 produ%ers ,ho inter:ere ,ith :ilmma+ers; ,or+9 stage dire%tors ,ho
treat te?ts so :reely that only a madman %ould still ,rite :or the theater9 and so on> ha8e general
opinion on their side7 ,hereas an author %laiming his moral rights ris+s ,inding up ,ithout
pu$li% sympathy and ,ith Dudi%ial support that is rather grudging7 :or e8en the guardians o: the
la,s are sensiti8e to the mood o: the time.
) thin+ o: Stra8ins+y. *: his tremendous e::ort to preser8e all his ,or+ in his o,n per:orman%es
as an unimpea%ha$le standard. Samuel Be%+ett $eha8ed similarly< he too+ to atta%hing more and
more detailed stage dire%tions to his plays7 and insisted =%ontrary to the usual toleran%e> that they
$e stri%tly o$ser8ed9 he o:ten attended rehearsals in order to e8aluate the dire%tion7 and
sometimes did it himsel:9 he e8en pu$@
lished as a $oo+ the notes :or his o,n produ%tion o: ?ndgame in 6ermany so as to esta$lish it :or
good. 2is pu$lisher and :riend7 Aerome 'indon7 stands ,at%hCi: need $e7 to the point o: la,suit
Cto insure that his authorial ,ishes are respe%ted e8en a:ter his death.
Su%h maDor e::ort to gi8e a ,or+ a de:initi8e :orm7 thoroughly ,or+ed out and super8ised $y the
author7 is unparalleled in history. )t is as i: Stra8ins+y and Be%+ett ,anted to prote%t their ,or+
not only against the %urrent pra%ti%e o: distortion $ut also against a :uture less and less li+ely to
respe%t a te?t or a s%ore9 it is as i: they hoped to pro8ide an e?ample7 the ultimate e?ample o: the
supreme %on%ept o: author< one ,ho demands the complete realiHation o: his aestheti% ,ishes.
14
Ka:+a sent the manus%ript o: BThe MetamorphosisB to a magaHine ,hose editor7 Ro$ert Musil7
,as prepared to pu$lish it on the %ondition that the author shorten it. =Ah7 sorry en%ounters
$et,een great ,ritersF> Ka:+a;s rea%tion ,as as gla%ial and as %ategori% as Stra8ins+y;s to
Ansermet. 2e %ould $ear the idea o: not $eing pu$lished at all7 $ut the idea o: $eing pu$lished
and mutilated he :ound un$eara$le. 2is %on%ept o: authorship ,as as a$solute as Stra8ins+y;s or
Be%+ett;s7 $ut ,hereas they more or less su%%eeded in imposing theirs7 he :ailed to do so. This
:ailure is a turning point in the history o: authors; rights.
)n !"I&7 ,hen Brod pu$lished the t,o letters +no,n as Ka:+a;s testament in his BPosts%ript to the
(irst EditionB o: The Trial3 he e?plained that Ka:+a
+ne, :ull ,ell that his ,ishes ,ould not $e :ul:illed. 'et us assume that Brod ,as telling the
truth7 that those t,o letters ,ere indeed only e?pressing a $ad mood7 and that on the su$De%t o:
any e8entual =8ery impro$a$le> posthumous pu$li%ation o: Ka:+a;s ,ritings7 e8erything had $een
:ully understood $et,een the t,o :riends9 in that %ase7 Brod7 the e?e%utor7 %ould ta+e :ull
responsi$ility upon himsel: and pu$lish ,hate8er he thought $est9 in that %ase7 he had no moral
o$ligation to in:orm us o: Ka:+a;s ,ishes7 ,hi%h7 a%%ording to Brod7 ,ere not 8alid or ,ere so
no longer.
Yet he hastened to pu$lish these BtestamentaryB letters and to gi8e them as mu%h impa%t as
possi$le9 a%tually7 he had already $egun to %reate the greatest ,or+ o: his li:e7 his myth o: Ka:+a7
one o: ,hose %ru%ial %omponents is pre%isely that ,ish7 uniEue in all o: historyCthe ,ish o: an
author ,ho ,ould annihilate all his ,or+. And thus is Ka:+a engra8ed on the pu$li%;s memory. )n
a%%ordan%e ,ith ,hat Brod gi8es us to $elie8e in his mythographi% no8el7 ,here7 ,ith no nuan%e
,hate8er7 6artaLKa:+a ,ould destroy e'erything he has ,ritten9 $e%ause he is dissatis:ied ,ith it
artisti%allyG ah no7 Brod;s Ka:+a is a religious thin+er9 remem$er< ,anting not to pro%laim $ut Bto
li8e his :aith7B 6arta granted no great importan%e to his ,ritings7 Bmere rungs to help him %lim$
to the heights.B 2is :riend7 No,yLBrod7 re:uses to o$ey him $e%ause e8en though ,hat 6arta
,rote ,as Bmere s+et%hes7B they %ould help B,andering humanityB in its Euest :or the path o:
righteousness to Bsomething irrepla%ea$le.B
1ith Ka:+a;s Btestament7B the great legend o: Saint Ka:+aL6arta is $orn7 and along ,ith it a littler
legendCo: Brod his prophet7 ,ho ,ith tou%hing earnest@
ness ma+es pu$li% his :riends last ,ish e8en as he %on:esses ,hy7 in the name o: 8ery lo:ty
prin%iples7 he de%ided not to o$ey him. The great mythographer ,on his $et. 2is a%t ,as ele8ated
to the ran+ o: a great gesture ,orthy o: emulation. (or ,ho %ould dou$t Brod;s loyalty to his
:riendG And ,ho ,ould dare dou$t the 8alue o: e8ery senten%e7 e8ery ,ord7 e8ery single sylla$le
Ka:+a le:t to humanityG
And thus did Brod %reate the model :or diso$edien%e to dead :riends9 a Dudi%ial pre%edent :or
those ,ho ,ould %ir%um8ent an authors last ,ish or di8ulge his most intimate se%rets.
15
1ith regard to the un:inished stories and no8els7 ) readily %on%ede that they ,ould put any
e?e%utor in a 8ery un%om:orta$le situation. (or among these ,ritings o: 8arying signi:i%an%e are
the three no8els9 and Ka:+a ,rote nothing greater than these. Yet it is not at all a$normal that
$e%ause they ,ere un:inished he ran+ed them among his :ailures9 an author has trou$le $elie8ing
that the 8alue o: a ,or+ he has not seen through to the end might already $e almost :ully
dis%erni$le7 $e:ore it is done. But ,hat an author is in%apa$le o: seeing may $e %lear to the eyes
o: an outsider. Yes7 $e%ause o: these three no8els ) admire $oundlessly7 ) ,ould not ha8e :ound
the strength to %arry out :ully Ka:+a;s Btestament.B
1ho %ould ha8e %on:irmed me in that positionG
*ur greatest Master. 'et;s open Don Aui>ote3 Part *ne7 Chapters T,el8e7 Thirteen7 (ourteen<
Don Pui?ote
and San%ho are in the mountains7 ,here they learn the story o: 6risostomo7 a young poet in lo8e
,ith a shepherdess. To $e near her7 he himsel: $e%omes a shepherd9 $ut she doesn;t lo8e him7 and
6risostomo ends his li:e. Don Pui?ote de%ides to attend the $urial. Am$rosio7 a :riend o: the
poet7 %ondu%ts the modest %eremony. Beside the :lo,er@%o8ered $ody there are note$oo+s and
sheets o: poems. Am$rosio tells the gathering that 6risostomo reEuested that they $e $urned.
At that moment a gentleman ,ho has Doined the mourners out o: %uriosity7 Senor 4i8aldo7
inter8enes< he disputes the idea that $urning the poetry truly ans,ers to the dead man;s ,ish7 :or
a ,ish must ma+e sense and this one does not. )t ,ould there:ore $e $etter to gi8e his poetry to
other people7 that it might $ring them pleasure7 ,isdom7 e?perien%e. And ,ithout ,aiting :or
Am$rosios response7 he $ends do,n and ta+es a :e, o: the pages nearest to him. Am$rosio says
to him< B*ut o: %ourtesy7 sir7 ) ,ill permit you to +eep those that you ha8e ta+en9 $ut it is :utile to
thin+ that ) ,ill re:rain :rom $urning the rest.B
B*ut o: %ourtesy7 ) ,ill permit youB9 meaning that e8en though a dead :riends ,ish has :or me
the :or%e o: la,7 ) am not a la%+ey to the la,s7 ) respe%t them as a :ree $eing ,ho is not $lind to
other 8alues7 8alues that may stand opposed to the la,7 su%h as7 :or instan%e7 %ourtesy or the lo8e
o: art. That is ,hy B) ,ill permit you to +eep those that you ha8e ta+en7B ,hile hoping that my
:riend ,ill :orgi8e me. Still7 in ma+ing this e?%eption ) ha8e 8iolated his ,ish7 ,hi%h :or me is
la,9 ) ha8e done so on my o,n responsi$ility7 at my o,n ris+7 and );8e done so as a 'iolation of
a la"3 not
as a denial and nulli:i%ation o: it9 that is ,hy Bit is :utile to thin+ that ) ,ill re:rain :rom $urning
the rest.
16
A tele8ision $road%ast< three :amous and admired ,omen %olle%ti8ely propose that ,omen too
should ha8e the right to $e $uried in the Pantheon. )t;s important7 they say7 to %onsider the
sym$oli% signi:i%an%e o: this a%t. And they immediately suggest the names o: some great dead
,omen ,ho7 in their opinion7 %ould $e mo8ed there.
A :air demand7 %ertainly9 yet something a$out it trou$les me< these dead ,omen ,ho %ould $e
mo8ed right o8er to the Pantheon7 aren;t they no, lying $eside their hus$andsG Certainly9 and
they ,anted it so. 1hat then are ,e to do ,ith the hus$andsG Mo8e them tooG That ,ould $e
hard9 not $eing important enough7 they must stay ,here they are7 and the ,i8es that ha8e $een
mo8ed out ,ill spend their eternity in ,ido,s; solitude.
Then ) say to mysel:< and ,hat a$out the men already in the PantheonG Yes7 the menF Are they
per%han%e in the Pantheon o: their o,n ,illG )t ,as a:ter they died7 ,ithout as+ing their opinion7
and %ertainly %ontrary to their last ,ishes7 that it ,as de%ided to turn them into sym$ols and
separate them :rom their ,i8es.
A:ter Chopin;s death7 Polish patriots %ut up his $ody to ta+e out his heart. They nationaliHed this
poor mus%le and $uried it in Poland.
A dead person is treated either as trash or as a sym$ol. Either ,ay7 it;s the same disrespe%t to his
8anished indi8iduality.
17
Ah7 it;s so easy to diso$ey a dead person. ):7 nonetheless7 ,e sometimes su$mit to his ,ishes7 it
is not out o: :ear7 out o: duress7 $ut $e%ause ,e lo8e him and re:use to $elie8e him dead. ): an
old peasant on his death$ed $egs his son not to %ut do,n the old pear tree outside the ,indo,7
the pear tree ,ill not $e %ut do,n :or as long as the son remem$ers his :ather ,ith lo8e.
This has little to do ,ith any religious $elie: in the eternal li:e o: the soul. )t;s simply that a dead
person ) lo8e ,ill ne8er $e dead :or me. ) %an;t e8en say< B) lo8ed himB9 no7 its< B) lo8e him.B And
my re:using to spea+ o: my lo8e :or him in the past tense means that the dead person is. That
may $e the seat o: man;s religious dimension. )ndeed7 o$edien%e to a last ,ish is mysterious< it
goes $e8ond all pra%ti%al and rational thought< the old peasant ,ill ne8er +no,7 in his gra8e7 i:
the pear tree has $een %ut do,n or not9 yet :or the son ,ho lo8es him7 it is impossi$le to not o$ey
him.
'ong ago ) ,as mo8ed =) still am> $y the end o: (aul+ner;s no8el The ,ild Palms. The ,oman
dies o: a $ot%hed a$ortion7 the man is in prison under a ten@year senten%e9 a ,hite ta$let7 poison7
is $rought to him in his %ell9 $ut he Eui%+ly dismisses the idea o: sui%ide7 $e%ause his only ,ay o:
prolonging the li:e o: the $elo8ed ,oman is to preser8e her in his memory.
B. . . so ,hen she $e%ame not then hal: o: memory
$e%ame not and i: ) $e%ome not then all o: remem$ering ,ill %ease to $e.CYes7 he thought7
$et,een grie: and nothing ) ,ill ta+e grie:.B
'ater on7 ,riting The 5ook of Laughter and Forgetting3 ) immersed mysel: in the %hara%ter
Tamina7 ,ho has lost her hus$and and is trying desperately to re%o8er7 to gather7 s%attered
memories so as to re%onstru%t a person ,ho has disappeared7 a $ygone past9 it ,as then that )
$egan to understand that a memory doesn;t gi8e us $a%+ the dead person;s presence@ memories
are only %on:irmation o: his a$sen%e9 in memories the dead person is only a past that is :ading7
re%eding7 ina%%essi$le.
Yet i: it is impossi$le :or me e8er to regard as dead the $eing ) lo8e7 ho, ,ill his presen%e $e
mani:estedG
)n his ,ishes7 ,hi%h ) +no, and ,ith ,hi%h ) ,ill +eep :aith. ) thin+ o: the old pear tree that ,ill
stand outside the ,indo, :or as long as the peasant;s son shall li8e.