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THE ORIGINS
ERNST BEHLER
The definition of Romanticism has always been the despair of the literary
historian. It is inherent in the nature of designations of epochs to arouse
suspicion that such categorizing suffocates the abundance of life and art
in the formula of a concept. For this reason such designations continue
to remain the favorite subject of nominalistic scepticism. This reservation
is especially applicable to the term «European Romanticism», compris
ing a movement which had as its device, multiplicity, and as its virtue,
formlessness, extending itself to all fields of the intellectual world - litera
ture and poetry, music and painting, philosophy and science, politics and
religion - and also manifesting itself in a variety of national peculiarities.
Thus Romanticism has always been considered as an exemplary model of
the superiority of reality over endeavors to define, of the inability to
comprehend life by means of a concept.
Nevertheless, critics have untiringly expended their energies on this
enigmatic phenomenon for more than a century. When limited to the
ventures to fathom Romanticism as a literary movement, two approaches
appear to be especially fruitful among the numerous books concerning
Die Wesensbestimmung der Romantik, The Meaning of Romanticism, and Les
définitions du romantisme1.
The first approach is of an etymological nature. It consists in the
attempt to reveal the essence of the matter through the history of the
1 Among the numerous studies of the topic, the following books and articles are of special
interest: Fernand Baldensperger, «Pour une interprétation équitable du romantisme euro
péen», Helicon I; D. Parodi, «L'essence du romantisme», Revue de métaphysique XXXVIII;
Jean-Bertrand Barrère, «Sur quelques définitions du romantisme», Revue des sciences humaines
(1951); Adolf Grimme, Vom Wesen der Romantik (1947); Julius Petersen, Die Wesensbestim
mung der deutschen Romantik (1926); H. A. Korff, «Das Wesen der deutschen Romantik», Zeit
schrift für deutseben Unterriebt XLIII; K. Borries, «Das Weltbild und Lebensgefiihl der deut
schen Romantik », Die Welt als Geschichte, VI; Romantik. Ein Zyklus Tübinger Vorlesungen ( 1948) ;
Arthur O. Lovejoy, «The Meaning of Romanticism for the Historian of Ideas t>, Journal of the
History of Ideas II ; Arthur O. Lovejoy, « On the Discrimination of Romanticisms », Essays in
the History of Ideas (New York 1960); Jacques Barzun, Classic, Romantic and Modem (New York
1961); René Wellek, «The Concept of Romanticism in Literary History», Concepts of Criti
cism (New Haven 1963); René Wellek, «Romanticism Re-examined», Concepts of Criticism
(New Haven 1963).
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no Ernst Behler
word «Romantic»2. Studies of this kind demonstrate that the term «Ro
mantic» was used during the 17th and early 18th centuries, presumably
first in England. It served to illustrate fantastic qualities of landscape and
painting, adventurous and exotic features, and also sentimental experi
ences of love. During this period of time in France, England, and then
in Germany, «Romantic » also appeared as a literary category emphasizing
certain characteristics of post-classical literature in the works of Ariosto,
Tasso, Shakespeare, and Dante, as well as in those of Cervantes and Cal
deron3. Later the word came into vogue among contemporary literary
critics as a designation for that new kind of literature that manifested it
self in various European countries at the beginning of the 19th century.
This meaning is now to be explored by analyzing the different contents
which were poured into the formula «Romanticism» by the manifold
representatives of this movement.
The second approach to the meaning of Romanticism is of a critical
nature. Here, one is no longer concerned with the meaning of the word,
but solely with the matter itself, that is, with the literature, the poetry,
and the programmatical writings of this movement4. The comparative
study of these works has as its goal the demonstration of that which is
common to all the Romantic authors, regardless of its relation to their
own definition of Romanticism. This assumption appears to be all the
more necessary in view of the amazing fact that most of the authors whom
we today call Romantic poets did not consider themselves to be Roman
tics. This applies to the Schlegel brothers, to Novalis and Brentano, as
well as to Madame de Staël and Chateaubriand, and also to Coleridge,
Wordsworth, Keats, Shelley, and Lord Byron.
To be sure, the term «Romantic» belongs to the critical vocabulary of
the Schlegel brothers, Madame de Staël, Coleridge, and numerous other
authors of the time. It was indeed a favorite expression for the German
critics, as is exemplified in Novalis' aphorism beginning with the well
known postulate5: «The world must be romanticized.» Having been in
2 Cf. in particular: Fernand Baldensperger, «Romantique - ses analogues et équivalents »,
Harvard Studies and Notes in Philology and Literature XIV (1937), 13-105 ; Richard Ullmann and
Helene Gotthard, Geschichte des Begriffs «Romantisch» in Deutschland (Berlin 1927); Logan
P. Smith, Four Words. Romantic, Originality, Creative, Genius (London 1924).
3 For the results of this etymological discussion of the term, cf. René Wellek, «The Con
cept of Romanticism in Literary History», i3off.
4 This Comparative study is the subject of the second part of René Wellek's article «The
Concept of Romanticism in Literary History», iöoff.
5 Novalis Schriften. Zweiter Band. Herausgegeben von Richard Samuel unter Mitwirkung
von Hans Joachim Mahl und Gerhard Schulz (Stuttgart i960), 545 (No. 105). - The use of
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The Origins of the Romantic Literary Theory 111
fluenced by the contemporary meaning of the word, many a critic and
historian has been seduced into thinking that these authors were referring
to themselves when employing the concept «Romantic».
Upon closer consideration, however, one soon discovers that the term
«Romantic » in that period was by no means used to designate the literary
movement which we today call by that name. When August Wilhelm
Schlegel speaks of the Romantic era of European literature, he unmistak
ably refers to the works of the modern European nations, more speci
fically, to the literary productions of Dante, Ariosto, Tasso, Camoes,
Cervantes, Calderon, and Shakespeare6. According to August Wilhelm
the term by the German authors of the time can be illustrated by the following examples
taken at random: In the fifth part of his Vorschule der Ästhetik of 1804 (second edition 1813),
Jean Paul discusses «Romantic Poetry» as an essential element of modem literature in the
works of Shakespeare, Petrarch, Ariosto, Cervantes, etc. He contrasts the Romantic style
with classical poetry (par. 21) and derives it from the influences of Christianity (par. 23),
Indian wisdom, and the «old-Nordic » mythology of the Edda (par. 22). More recent examples
of the Romantic style are found in Schiller (whose Maid of Orleans is indeed called a «romantic
tragedy»), Herder, Tieck, Klinger and Klopstock (par. 25). - In 1819 Franz Grillparzerwrote
a study «Über den Gebrauch des Ausdrucks <romantisch) in der neueren Kunstkritik» (Sämt
liche Werke. Historisch-kritische Gesamtausgabe. Herausgegeben von August Sauer, XIV,
27fr.), criticizing the «gegenwärtig vorwaltende Hang zum sogenannten Romantischen, zu
jenem Ahnen, Sehnen und übersinnlichen Schauen, für das es in der Natur überall kein Ge
genbild gibt». Grillparzer considers «Formlosigkeit» as «ein Hauptingrediens der sogenann
ten Romantik» and therefore tries to defend Shakespeare and Calderon from being called
Romantic poets. Similar to Goethe (who in a famous statement had said: «Klassisch ist das
Gesunde, romantisch das Kranke», Werke. Jubiläumsausgabe, XXXVIII, 283), Grillparzer
designated Romanticism as «schlecht und verwerflich» without, however, relating this term
exclusively to his epoch. - The second part of Hegel's lectures on Aesthetics (1818-1829) con"
sists of a confrontation of «Die klassische Kunstform» and «Die romantische Kunstform»
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X12 Ernst Behler
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The Origins of the Romantic Literary Theory 113
fied Romantic poetry as having its origin «in the songs of the minne
singer» and in the ideals of knighthood and Christianity13.
Thus the etymological approach to the meaning of Romanticism ends
in an impasse. This method may indeed lead to manifold and interesting
applications of the word by the Romantic authors, but concepts thus
determined unfortunately have the disadvantage of not referring to that
epoch in which our discussion centers.
Only in the second decade of the 19th century, do the beginnings of
the present usage of «Romantic» become evident. Then, representatives
of the new literary movement were polemically labeled by their adversaries
- the traditional neoclassicists and newly developing realists - with this
term that formerly had signified post-medieval literature14. The best
known example of this metamorphosis of meaning is Heinrich Heine's
satirical study of 1833 on The Romantic School of Germany". Ten years
earlier in his pamphlet «Racine and Shakespeare», Stendhal had courage
ously revealed himself to be a Romantic, presumably the first author to
have done so. In the hands of this great satirist, however, the designation
was chiefly a means to ridicule the opposing school of neoclassicism. For
him the Romantic attitude meant primarily poetic originality, rebellion
against the yoke of neoclassical rules. «All great writers were the Roman
tics of their day » according to StendhalI6, whereas the neoclassicists were
«those who, a century after the death of the great writers, copy them
instead of opening their eyes and imitating nature ». This led to the ironi
cal consequence that the idols of neoclassicism, Molière and Racine, were
the Romantics of their era just as Homer was in his time.
In view of this failure of the etymological approach, we must ask our
selves what the Romantics themselves attempted and how their literary
program can be defined. This question shall now be answered by Fried
rich Schlegel.
At first glance this endeavour appears to be a considerable limitation
of the topic. Friedrich Schlegel was a German author who, compared to
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ii4 Ernst Behler
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The Origins of the Romantic Literary Theory 115
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116 Ernst Behler
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The Origins of the Romantic Literary Theory 117
these these two aesthetics on different philosophies of history. The clas
sical theory of aesthetics is founded on Herder's cyclical, organic view of
history, whereas modern aesthetics builds upon Kant's idea of an infinite
progression. The conclusion drawn from these insights is impaired,
however, by Lovejoy's contention that Schlegel had sacrificed one
aesthetical system for the other, that he had evolved from a Classicist to a
Romantic.
In reality, Schlegel's literary theory must be seen as an attempt to unite
these two antagonistic aesthetics, to find a synthesis of the antique and
the modern, the Classical and the Romantic. This was indeed his way of
bringing «poetry to the highest ideal possible on earth»30.
The inspirations for this undertaking date back to the year 1795, that
is, to a period during which Schlegel was primarily occupied with laying
the foundations for a history of Greek and Roman literature. On February
27, 1794, he wrote to his brother31: «The problem of our poetry seems
to be the synthesis of the essentially modern and the essentially antique.»
Thus even his scholarly studies of classical antiquity served the primary
purpose of establishing the program for a new literary epoch32.
His treatise On the Study of Greek Poetry, completed in 1795 and pub
lished in 1797, is the first comprehensive manifestation of this intention33.
The title is misleading, however, since the topic is by no means limited
to classical poetry. In fact, Schlegel deals with the whole of European
literature in order to «detect the path of this aesthetic culture», to divine
«the meaning of the preceding history of literature», and to open «a
great perspective of the future » ". The study centers about the idea that
European literary history is determined by two predominant ideals. The
first had been promoted by the ancients, who achieved «beauty in itself»
in uniform perfection and undisturbed harmony in their works. The
moderns, on the other hand, gave preference to the «restless longing for
the new, the piquant, and the striking ». At this time Schlegel concentrated
the advantages of the Classicists into the term «the objective». In order
to define the characteristic feature of modern literature through a simi
larly expressive formulation in contrast to the «genuinely beautiful» of
ancient poetry, he coined the phrase «the interesting».
30 Kritische Friedrich-Schlegel-Ausgabe, II, 286.
31 Friedrich Schlegels Briefe an seinen Bruder August Wilhelm. Herausgegeben von O. F. Walzel
(Berlin 1890), 170.
32 This fact is emphasized by Eugeniusz Klin, op. cit., 16ff.
33 Friedrich Schlegel. Seine prosaischen Jugendscbriften. Herausgegeben von Jakob Minor (Wien
1882), I, 85 ff.
34 Op. cit., 92.
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118 Ernst Behler
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The Origins of the Romantic Literary Theory 119
next significant step in this progression is found in the flowering of Ro
mantic literature, the ideal of which embodies interesting, subjective
beauty, manifesting itself most conspicuously on Shakespeare's stage.
Now a third epoch may be expected, combining the excellence of Classi
cism with the virtues of Romanticism. It was precisely this climax of
European literature that Schlegel tried to further in his programmatical
writings3®.
Schlegel had published only parts of his literary works. The aphorisms
of the Athenaeum, for example, constitute a selection from literary and
philosophical notebooks containing thousands of fragments. The dis
tinction between Classicism and Romanticism is also a predominant theme
of these manuscripts, especially in those dating from 179740.
Generally speaking, these reflections may be characterized as having
established an extreme opposition of literary styles, the greatest antimony
of intellectual culture. Schlegel tries to propose a complete antithesis of
literary values in order to produce the highest ideal of poetry through
the reconciliation of these polarities. As is now known, the most compre
hensive antimony of Europe's literary culture consisted for him in the
contrast of the antique and the modern, usually rendered in these apho
risms by the terms «Classical» and «Progressive»41.
Schlegel obviously did not cenceive of these terms only as historical
categories designating certain epochs. He also used them in a typological
sense for genuine literary styles which may also be called perfection and
completion (Classic) and imperfection and striving (Progressive). Indeed,
Schlegel renders the Classical by words such as «limitation», «abstrac
tion», «noble», «uniformity and naturalness», whereas the Progressive
is expressed by phrases such as «expanse», «universality», «confusion,
awkwardness, inconsequence», and «mixture of elements»42.
To quote from these notes at random, Schlegel says: «The Classical is
necessarily self-restraint», or «The Classical is systematic formation».
Concerning the contrasts of Classical and Progressive style, one comes
39 A new great stimulus for Schlegel's concept of the Romantic later came from the dis
covery of Indian culture. Cf. A. Leslie Willson, A Mythical Image: The Ideal of India in German
Romanticism (Durham 1964), 199fr. In his Dialogue on Poetry Schlegel had already exclaimed:
«Im Orient müssen wir das höchste Romantische suchen.» (Op. cit., 32.) On his later concepts
of Romanticism cf. Kritische Friedrich-Schlegel-Ausgabe XI, 328fr. (No. 371).
40 Cf. Friedrieb Schlegel, Philosophische Lehrjahre. Herausgegeben mit Einleitung und Kom
mentar von Ernst Behler (Kritische Friedrich-Schlegel-Ausgabe XVIII), and Friedrich Schlegel,
Literary Notehooks. Edited with introduction and commentary by Hans Eichner.
41 Philosophische Lehrjahre, 23 ff.
« Op. cit., II, 34, 61, 39, 66, 33, 78, 88, 102; 37, 59, 66, 119.
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120 Ernst Behler
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The Origins of the Romantic Literary Theory 121
biographies, and annals»46. Thus like the Classical, the Romantic is
an essential element of literature having an eternal value which neces
sitates its integration with the Classical into the new ideal of litera
ture.
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122 Emst Behler
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The Origins of the Romantic Literary Theory 123
more social». Furthermore, Schlegel abandoned the novel as the embodi
ment of the literary ideal as early as 1800. With his Speech concerning Mytho
logy he recognized symbolic poetry as the very climax of literature and
took a position similar to that of Novalis Thus the highest maximum
of poetry should be rendered by that term which Schlegel coined himself
for the phenomenon of «infinite abundance in infinite unity». This term
has recendy been expounded by Karl Konrad Polheim as the culmination
of Schlegel's aesthetic, but again brought into too close a tie with the
theory of the novel". This is the concept of the arabesque.
With this program Schlegel revealed deep insights into the essence of
literature, insights by no means limited to his own literary movement. In
his endeavor to unite the two antithetical aesthetics of nature and art, of
Classicism and Romanticism, he parallels similar efforts made by Schiller.
Simultaneously, Schlegel anticipates an important theme of 19th century
literature reflected in Friedrich Nietzsche, Thomas Mann, and André
Gide, and manifesting itself as an antagonism of two fundamental aesthet
ics; namely, nature and culture, life and decadence, Vitalism and Puri
tanism. Finally, his postulate to produce an absolute work of art, the
highest maximum of poetry, is applicable to all great poetry and brings
this critic into accordance with the great authors of history.
In conclusion, we must now discuss the question as to which artist
is equal to the enormous task here outlined, what qualities of the
intellect he must possess in order to fulfill this «plurality of impera
tives ».
This problem includes the complex theme of the mental attitude of the
modern author. In his attempt at a solution, Schlegel was able to draw
inspirations from a philosopher who had recently taken the act of absolute
creation, of the voluntary active deed («Tathandlung») of the ego as a
basis for new reflections upon human freedom. This philosopher was
Fichte56. With new vigor he had penetrated the depths of subjectivity
and had also shown the objective world in a new light, namely, as a non
ego posited by the ego and standing in an indissoluble interdependence
with the ego.
54 Kritische Friedrich-Schlegel-Ausgabe, II, 31 iff.
55 Die Arabeske. Ansichten und Ideen aus Friedrieb Schlegels Poetik (Paderborn 1966). Cf. also
Raymond Immerwahr's forthcoming article «The Word <romantisch) and its Connections
with Romantic Irony and the Arabesque», The Romantic Period in Germany (University of
London, Institute of Germanic Studies, in print).
56 On Fichte's influence on German Romanticism cf. in particular Friedrich Schlegel, Philo
sophische Lehrjahre. Zweiter Teil (Kritische Friedrich-Scblegel-Ausgabe, XVIII), 4 ff. and Novalis
Schriften. Zweiter Band: Das philosophische Werk (Stuttgart 1960), 29 ff.
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124 Ernst Behler
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The Origins of the Romantic Literary Theory 125
irony» applies chiefly to the relationship between an artist and his crea
tion. Georg Lukâcs saw this most clearly when in his Theory of the Novel,
he considered Romande irony in the «Age of Subjectivity», in a «world
without God», as the «only possible foundation for a genuine and total
creation60 ».
Schlegel rendered this aspect of irony in the aphorisms of theAtheaneum
by complementary terms that at first glance appear to be somewhat eccen
tric. In aphorism 51, for instance, he called irony a «constant alternation
between self-creation and self-destruction». A similar and recurrent
formulation of the same phenomenon is the phrase «developed to the
point of irony», whereby Schlegel understood the highest perfection, a
perfection, however, which just because of its utmost achievement leads
to self-criticism and thus shifts to its contrary. In this context Schlegel
defined deliberation and arbitrariness as naïveté « up to the point of irony »
or the naïve as a refinement «up to the point of irony»61. Schlegel there
fore found two antagonistic powers within the creative process : creative
enthusiasm counteracted by sceptical irony.
This idea of poetry had already been exposed in his early treatises on
Classical literature. Like Nietzsche, Schlegel derived the origins of Greek
poetry from a Dionysiac phenomenon, from a super-individual and in
toxicating experience which evokes both bliss and horror. Poetic imagina
tion is first inspired by an «intuition of infinity», by a «living image of
incomprehensible omnipotence» which discharges itself in «solemn joy
fulness», in «orgiastic dances», in a «blissful rapture» surrounded by
music. «Demonic possession and higher inspiration» formed the origin
of poetry for Schlegel ". Herein he could refer to Plato who had taught
in Ion that poets derive their beautiful products not through art and clear
sightedness, but through divine inspiration, and who in his Laws had relat
ed the old myth that the poet sitting on the tripod of the Muses is out of
his mind and willingly lets his words flow from the fountain of his lips.
In these early studies Schlegel held the opinion that this effervescent
poetic enthusiasm might turn against itself. «The most intense passion »,
he says63, «is eager to wound itself, if only to act and to discharge its
excessive power.» His work On the Aesthetic Value of Greek Comedy of
1794 presents irony as a destructive reaction against the primordial Diony
sian ecstasy of poetic enthusiasm. He says here64 : «This self-infliction is
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126 Ernst Behler
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