Georg Lukács 1914

The Theory of the Novel
The Forms of Great Epic Literature examined in Relation to Whether the General Civilisation of the Time is an Integrated or a Problematic One

1. Integrated Civilisations

HAPPY ARE those ages when the starry sky is the map of all possible paths — ages whose paths are illuminated by the light of the stars. Everything in such ages is new and yet familiar, full of adventure and yet their own. The world is wide and yet it is like a home, for the fire that burns in the soul is of the same essential nature as the stars; the world and the self, the light and the fire, are sharply distinct, yet they never become permanent strangers to one another, for fire is the soul of all light and all fire clothes itself in light. Thus each action of the soul becomes meaningful and rounded in this duality: complete in meaning — in sense — and complete for the senses; rounded because the soul rests within itself even while it acts; rounded because its action separates itself from it and, having become itself, finds a centre of its own and draws a closed circumference round itself. ‘Philosophy is really homesickness,’ says Novalis: ‘it is the urge to be at home everywhere.’

That is why philosophy, as a form of life or as that which determines the form and supplies the content of literary creation, is always a symptom of the rift between ‘inside’ and ‘ outside’, a sign of the essential difference between the self and the world, the incongruence of soul and deed. That is why the happy ages have no philosophy, or why (it comes to the same thing) all men in such ages are philosophers, sharing the utopian aim of every philosophy. For what is the task of true philosophy if not to draw that archetypal map? What is the problem of the transcendental locus if not to determine how every impulse which springs from the innermost depths is co-ordinated with a form that it is ignorant of, but that has been assigned to it from eternity and that must envelop it in liberating symbols? When this is so, passion is the way, predetermined by reason, towards complete self-being and from madness come enigmatic yet decipherable messages of a transcendental power, otherwise condemned to silence. There is not yet any interiority, for there is not yet any exterior, any ‘otherness’ for the soul. The soul goes out to seek adventure; it lives through adventures, but it does not know the real torment of seeking and the real danger of finding; such a soul never stakes itself; it does not yet know that it can lose itself, it never thinks of having to look for itself. Such an age is the age of the epic.

It is not absence of suffering, not security of being, which in such an age encloses men and deeds in contours that are both joyful and severe (for what is meaningless and tragic in the world has not grown larger since the beginning of time; it is only that the songs of comfort ring out more loudly or are more muffled): it is the adequacy of the deeds to the soul’s inner demand for greatness, for unfolding, for wholeness. When the soul does not yet know any abyss within itself which may tempt it to fall or encourage it to discover pathless heights, when the divinity that rules the world and distributes the unknown and unjust gifts of destiny is not yet understood by man, but is familiar and close to him as a father is to his small child, then every action is only a well-fitting garment for the world. Being and destiny, adventure and accomplishment, life and essence are then identical concepts. For the question which engenders the formal answers of the epic is: how can life become essence? And if no one has ever equalled Homer, nor even approached him — for, strictly speaking, his works alone are epics — it is because he found the answer before the progress of the human mind through history had allowed the question to be asked.

This line of thought can, if we wish, take us some way towards understanding the secret of the Greek world: its perfection, which is unthinkable, for us, and the unbridgeable gulf that separates us from it. The Greek knew only answers but no questions, only solutions (even if enigmatic ones) but no riddles, only forms but no chaos. He drew the creative circle of forms this side of paradox, and everything which, in our time of paradox, is bound to lead to triviality, led him to perfection.

When we speak of the Greeks we always confuse the philosophy of history with aesthetics, psychology with metaphysics, and we invent a relationship between Greek forms and our own epoch. Behind those taciturn, now forever silent masks, sensitive souls look for the fugitive, elusive moments when they themselves have dreamed of peace forgetting that the value of those moments is in their very transience and that what they seek to escape from when they turn to the Greeks constitutes their own depth and greatness.

More profound minds, who try to forge an armour of purple steel out of their own streaming blood so that their wounds may be concealed forever and their heroic gesture may become a paradigm of the real heroism that is to come — so that it may call the new heroism into being — compare the fragmentariness of the forms they create with the Greeks’ harmony, and their own sufferings, from which their forms have sprung, with torments which they imagine the Greeks’ purity had to overcome. Interpreting formal perfection, in their obstinately solipsistic way, as a function of inner devastation, they hope to hear in the Greek words the voice of a torment whose intensity exceeds theirs by as much as Greek art is greater than their own. Yet this is a complete reversal of the transcendental topography of the mind, that topography whose nature and consequences can certainly be described, whose metaphysical significance can be interpreted and grasped, but for which it will always be impossible to find a psychology, whether of empathy or of mere understanding. For all psychological comprehension presupposes a certain position of the transcendental loci, and functions only within their range. Instead of trying to understand the Greek world in this way, which in the end comes to asking unconsciously: what could we do to produce these forms? or: how would we behave if we had produced these forms? it would be more fruitful to inquire into the transcendental topography of the Creek mind, which was essentially different from ours .and which made those forms possible and indeed necessary.

We have said that the Greeks’ answers came before their questions. This, too, should not be understood psychologically, but, at most, in terms of transcendental psychology. It means that in the ultimate structural relationship which determines all lived experience and all formal creation, there exist no qualitative differences which are insurmountable, which cannot be bridged except by a leap, between the transcendental loci among themselves and between them and the subject a priori assigned to them; that the ascent to the highest point, as also the descent to the point of utter meaninglessness, is made along the paths of adequation, that is to say, at worst, by means of a long, graduated succession of steps with many transitions from one to the next. Hence the mind’s attitude within such a home is a passively visionary acceptance of ready-made, ever-present meaning. The world of meaning can be grasped, it can be taken in at a glance; all that is necessary is to find the locus that has been predestined for each individual. Error, here, can only be a matter of too much or too little, only a failure of measure or insight. For knowledge is only the raising of a veil, creation only the copying of visible and eternal essences, virtue a perfect knowledge of the paths; and what is alien to meaning is so only because its distance from meaning is too great.

It is a homogeneous world, and even the separation between man and world, between ‘I’ and ‘you’, cannot disturb its homogeneity. Like every other component of this rhythm, the soul stands in the midst of the world; the frontier that makes up its contours is not different in essence from the contours of things; it draws sharp, sure lines, but it separates only relatively, only in relation to and for the purpose of a homogeneous system of adequate balances. For man does not stand alone, as the sole bearer of substantiality, in the midst of reflexive forms: his relations to others and the structures which arise therefrom are as full of substance as he is himself, indeed they are more truly filled with substance because they are more general, more ‘philosophic’, closer and more akin to the archetypal home: love, the family, the state. What he should do or be is, for him, only a pedagogical question, an expression of the fact that he has not yet come home; it does not yet express his only, insurmountable relationship with the substance. Nor is there, within man himself, any compulsion to make the leap: he bears the stain of the distance that separates matter from substance, he will be cleansed by an immaterial soaring that will bring him closer to the substance; a long road lies before him, but within him there is no abyss.

Such frontiers necessarily enclose a rounded world. Even if menacing and incomprehensible forces become felt outside the circle which the stars of ever-present meaning draw round the cosmos to be experienced and formed, they cannot displace the presence of meaning; they can destroy life, but never tamper with being; they can cast dark shadows on the formed world, but even these are assimilated by the forms as contrasts that only bring them more clearly into relief.

The circle within which the Greeks led their metaphysical life was smaller than ours: that is why we cannot, as part of our life, place ourselves inside it. Or rather, the circle whose closed nature was the transcendental essence of their life has, for us, been broken; we cannot breathe in a closed world. We have invented the productivity of the spirit: that is why the primaeval images have irrevocably lost their objective self-evidence for us, and our thinking follows the endless path of an approximation that is never fully accomplished. We have invented the creation of forms: and that is why everything that falls from our weary and despairing hands must always be incomplete. We have found the only true substance within ourselves: that is why we have to place an unbridgeable chasm between cognition and action, between soul and created structure, between self and world, why all substantiality has to be dispersed in reflexivity on the far side of that chasm; that is why our essence had to become a postulate for ourselves and thus create a still deeper, still more menacing abyss between and our own selves.

Our world has become infinitely large and each of its corners is richer in gifts and dangers than the world of the Greeks, but such wealth cancels out the positive meaning — the totality — upon which their life was based. For totality as the formative prime reality of every individual phenomenon implies that something closed within itself can be completed; completed because everything occurs within it, nothing is excluded from it and nothing points at a reality outside it; completed because everything occurs within it ripens to its own perfection and, by attaining itself, submits to limitation. Totality of being is possible only where everything is already homogeneous before it has been contained by forms; where forms are not a constraint but only the becoming conscious, the coming to the surface of everything that had been lying dormant as a vague longing in the innermost depths of that which had to be given form; where knowledge is virtue and virtue is happiness, where beauty is the meaning of the world made visible.

That is the world of Greek philosophy. But such thinking was born only when the substance had already begun to pale. If, properly speaking, there is no such thing as a Greek aesthetic, because metaphysics anticipated everything aesthetic, then there is not, properly speaking, any difference in Greece between history and the philosophy of history: the Greeks travelled in history itself through all the stages that correspond a priori to the great forms; their history of art is a metaphysico-genetic aesthetic, their cultural development a philosophy of history. Within this process, substance was reduced from Homer’s absolute immanence of life to Plato’s likewise absolute yet tangible and graspable transcendence; and the stages of the process, which are clearly and sharply distinct from one another (no gradual transitions here!) and in which the meaning of the process is laid down as though in eternal hieroglyphics — these stages are the great and timeless paradigmatic forms of world literature: epic, tragedy, philosophy. The world of the epic answers the question: how can life become essential? But the answer ripened into a question only when the substance had retreated to a far horizon. Only when tragedy had supplied the creative answer to the question: how can essence come alive? did men become aware that life as it was (the notion of life as it should be cancels out life) had lost the immanence of the essence. In form-giving destiny — and in the hero who, creating himself, finds himself, pure essence awakens to life, mere life sinks into not-being in the face of the only true reality of the essence; a level of being beyond life, full of richly blossoming plentitude, has been reached, to which ordinary life cannot serve even as an antithesis. Nor was it a need or a problem which gave birth to the existence of the essence; the birth of Pallas Athene is the prototype for the emergence of Greek forms. Just as the reality of the essence, as it discharges into life and gives birth to fife, betrays the loss of its pure immanence in life, so this problematic basis of tragedy becomes visible, becomes a problem, only in philosophy; only when the essence, having completely divorced itself from life, became the sole and absolute, the transcendent reality, and when the creative act of philosophy had revealed tragic destiny as the cruel and senseless arbitrariness of the empirical, the hero’s passion as earth-bound and his self-accomplishment merely as the limitation of the contingent subject, did tragedy’s answer to the question of life and essence appear no longer as natural and self-evident but as a miracle, a slender yet firm rainbow bridging bottomless depths.

The tragic hero takes over from Homer’s living man, explaining and transfiguring him precisely because he has taken the almost extinguished torch from his hands and kindled it anew. And Plato’s new man, the wise man with his active cognition and his essence-creating vision, does not merely unmask the tragic hero but also illuminates the dark peril the hero has vanquished; Plato’s new wise man, by surpassing the hero, transfigures him. This new wise man, however, was the last type of man and his world was the last paradigmatic life-structure the Greek spirit was to produce. The questions which determined and supported Plato’s vision became clear, yet they bore no fruit., the world became Greek in the course of time, but the Greek spirit, in that sense, has become less and less Greek; it has created new eternal problems (and solutions, too), but the essential Greek quality of topos nohtos is gone forever. The new spirit of destiny would indeed seem ‘a folly to the Greeks’.

Truly a folly to the Greeks! Kant’s starry firmament now shines only in the dark night of pure cognition, it no longer lights any solitary wanderer’s path (for to be a man in the new world is to be solitary). And the inner light affords evidence of security, or its illusion, only to the wanderer’s next step. No light radiates any longer from within into the world of events, into its vast complexity to which the soul is a stranger. And who can tell whether the fitness of the action to the essential nature of the subject — the only guide that still remains — really touches upon the essence, when the subject his become a an object unto itself; when his innermost and most particular essential nature appears to him only as a never-ceasing demand written upon the imaginary sky of that which ‘should be'; when this innermost nature must emerge from an unfathomable chasm which lies within the subject himself, when only what comes up from the furthermost depths is his essential nature, and no one can ever sound or even glimpse the bottom of those depths? Art, the visionary reality of the world made to our measure, has thus become independent: it is no longer a copy, for all the models have gone; it is a created totality, for the natural unity of the metaphysical spheres has been destroyed forever.

To propose a philosophy of history relating to this transformation of the structure of the transcendental loci is not our intention here, nor would it be possible. This is not the, place to inquire whether the reason for the change is to be found in our progress (whether upward or downward, no matter) or whether the gods of Greece were driven away by other forces. Neither do we intend to chart, however approximately, the road that led to our own reality, nor to describe the seductive power of Greece even when dead and its dazzling brilliance which, like Lucifer’s, made men forget again and again the irreparable cracks in the edifice of their world and tempted them to dream of new unities — unities which contradicted the world’s new essence and were there; fore always doomed to come to naught. Thus the Church became a new polis, and the paradoxical link between the soul lost in irredeemable sin and its impossible yet certain t redemption became an almost platonic ray of heavenly light in the midst of earthly reality: the leap became a ladder of earthly and heavenly hierarchies.

In Giotto and Dante, Wolfram von Eschenbach and Pisano, St. Thomas and St. Francis, the world became round once more, a totality capable of being taken in at a glance; the chasm lost the threat inherent in its actual depth; its whole darkness, without forfeiting any of its sombrely gleaming power, became pure surface and could thus be fitted easily into a closed unity of colours; the cry for redemption became a dissonance in the perfect rhythmic system of the world and thereby rendered possible a new equilibrium no less perfect than that of the Greeks: an equilibrium of mutually inadequate, heterogeneous intensities. The redeemed world, although incomprehensible and forever unattainable, was in this way brought near. and given visible form. The Last judgement became a present reality, just another element in the harmony of the spheres, which was thought to be already established; its true nature, whereby it transforms the world into a wound of Philoctetus that only the Paraclete can heal, was forgotten. A new and paradoxical Greece came into being: aesthetics became metaphysics once more.

For the first time, but also for the last. Once this unity disintegrated, there could be no more spontaneous totality of being. The source whose flood-waters had swept away the old unity was certainly exhausted; but the river beds, now dry beyond all hope, have marked forever the face of the earth.

Henceforth, any resurrection of the Greek world is a more or less conscious hypostasy of aesthetics into metaphysics a violence done to the essence of everything that lies outside the sphere of art, and a desire to destroy it; an attempt to forget that art is only one sphere among many, and that the very disintegration and inadequacy of the world is the pre-condition for the existence of art and its becoming conscious. This exaggeration of the substantiality of art is bound to weigh too heavily upon its forms: the have to produce out of themselves all that was once simply accepted as given; in other words, before their own a priori effectiveness can begin to manifest itself, they must create by their own power alone the pre-conditions for such effectiveness — an object and its environment. A totality that can be simply accepted is no longer given to the forms of art: therefore they must either narrow down and volatilise whatever they has to be given form to the point where they can encompass it, or else they must show polemically the impossibility of achieving their necessary object and the inner nullity of their own means. And in this case they carry me fragmentary nature of the world’s structure into the world of forms.