The double-layered structure of narrative discourse and complex strategies of perspectivization

PRE-PRINT / Igl, Narrative Discourse (2016) __________________________________________________________________________________________________________________________

PRE-PRINT / peer-reviewed and accepted version; © John Benjamins Publishing Please cite only the printed or eBook version.

Published in: Natalia Igl / Sonja Zeman (eds.): Perspectives on Narrativity and Narrative Perspectivization. (Linguistic Approaches to Literature 21) Amsterdam, Philadelphia: Benjamins

2016, 91-114.

The double-layered structure of narrative discourse and complex strategies of perspectivization Natalia Igl University of Bayreuth

This chapter aims to illustrate the dynamic functioning of the recursive double-layered structure – which this volume sets as constitutive for the narrative discourse – by means of exemplary analysis of complex strategies of perspectivization in narrative texts. The focus of the chapter thus lies on the narrative macro-structure on the one hand and the relation between narrative micro- and macro-structure on the other. The key premise here is the assumption that meta-discursive strategies reveal the underlying double structure of narrative discourse, since they are based on the constitutive distance between the narrator- and character-level (cf. Chapter 1 in this volume). In order to make obvious the recursive embedding of perspectives and the crucial function of the narrator as a dynamic instance of mediation, evaluation, and perception, the chapter introduces a three-staged model of narrative communication. This model builds the foundation for two exemplary analyses of narrative texts which show a very distinct presence and manner of their respective narrator: E.T.A. Hoffmann’s Romantic-era novella The Golden Pot (orig. Der goldne Topf, 1814) and Wolf Haas’ contemporary series of detective novels. Keywords: perspectivization, macro-structure, metanarration, metafiction, metalepsis, distance, mediation, perception, observer, dynamic relation, modernism, genre, irony, text-world, storyworld, cognitive poetics


1. Starting point: distance, perspective, and “meta” In his Essay concerning Human Understanding (1689) John Locke draws an illustrative analogy between the “understanding” (in the sense of ‘knowledge’ and ‘cognition’) and the human eye: “The Understanding, like the Eye, whilst it makes us see, and perceive all other Things, takes no notice of it self: And it requires Art and Pains to set it at a distance, and make it its own Object.” (Locke [1689] 2008: 13) With regard to the relation of complex human cognitive and perceptive dispositions and the scientific analysis and meta-reflection of these dispositions and related phenomena, Locke’s illustrative analogy underlines the requirement of a distal stance of the observer. Taking his notion of “Art and Pains” not only as referring to ‘scientific’ craftsmanship and efforts, but to the realm of the ‘fine arts’, we can link the quote to a crucial premise of contemporary cognitive poetics as an interdisciplinary field of study – namely the notion of the correspondence of cognitive and aesthetic structures and strategies.1 The better we understand the basic cognitive-linguistic principles that underlie communication, semiotic representations and meaning-making in general, the better we can describe what makes aesthetic artifacts like literary texts “specific” and historically distinguishable.

The basic definition of ‘perspective’ given in the present volume describes it as a relation between an (origo-bound) evaluating eye and an object in focus. Therefore, perspectivization requires distance. This relation between the evaluation eye and the focused object implies a notion of ‘distance’ in the sense of an interspace between two coordinates. As I will try to elucidate in this chapter, the concept of distance is intimately connected with metanarrative forms and so-called phenomena of seemingly ‘unnatural narration’ (cf. Alber, Nielsen, & Richardson 2012). As Zeman 1 Cf. Brandt 2013 and Wege 2013 for an up-to-date overview of cognitive poetics. The

studies can be seen as quite complementary to each other, since the first one puts stronger focuses on cognitive-semiotic phenomena, the second one on literary analysis. For a conjunctive approach on the cognitive foundations of grammar and the relation of linguistic micro- and literary macro-structure see also Harrison et al. (eds.) 2014.


argues in the first chapter to this volume, this split provides the basis for the distinction not only of two different viewpoints, but of two different levels from which perspectivization takes place. And this holds for the narrative micro-structure as well as for the macro-structure, as will be illustrated in Section 3. The present chapter focuses on the narrative macro-level and aims to shed light on the recursive double structure of perspectivization that is constitutive for both narrative discourse mode and a specific narration as a whole. The key premise thereby is the assumption that meta-discursive strategies in narratives reveal the underlying double structure of narrative discourse, since they are based on the constitutive distance between the different perspectival levels of narrator and character(s) – and last but not least the textually evoked addressee or narratee.

Based on the cognitive-linguistic framework of this volume, complex perspectivization in narrative is understood as a phenomenon that derives from more basal cognitive structures (cf. Chapter 1 in this volume). It is thus rooted in ‘natural’ human dispositions – but of course enables the development of highly artificial narrative representations. Against this background, the recent narratological discussion about the concept of ‘unnatural narration’ (cf. e.g. Alber, Nielsen, & Richardson 2012) deserves a critical reflection (see Section 3).

But first we should have a closer look on the different forms of meta-discursive strategies. There is an ongoing discussion about the concepts of metanarration, metafiction and metalepsis in the interdisciplinary field of narratology – not least due to the transmedial turn in narratology (for an overview cf. Neumann & Nünning 2014, Pier 2014a; see also Fludernik 2003a, 2003b, Cohn 2012, Gobyn & Lutas 2013). However, since the present chapter aims at outlining the relation of narrative micro- and macro-structure and the dynamic functioning of the recursive double-layered structure which this volume states to be constitutive for the narrative discourse, a conceptual explication rather than a terminological discussion seems to be adequate. Neumann & Nünning (2014: [1]) define and contrast metanarration and metafiction as follows:

Metanarration and metafiction are umbrella terms designating self-reflexive utterances, i.e. comments referring to the discourse rather


than to the story. Although they are related and often used interchangeably, the terms should be distinguished: metanarration refers to the narrator’s reflections on the act or process of narration; metafiction concerns comments on the fictionality and/or constructedness of the narrative. Thus, whereas metafictionality designates the quality of disclosing the fictionality of a narrative, metanarration captures those forms of self-reflexive narration in which aspects of narration are addressed in the narratorial discourse, i.e. narrative utterances about narrative rather than fiction about fiction.

In accordance with this distinction, I use the term ‘metanarration’ with reference to the self-reflexive/-referential relation between a narrator and the act of narration, and ‘metafiction’ with reference to the self-reflexive/-referential relation between a narrator and the narrated world. Regarding the present focus on the relation of the narrative micro- and macro-structure, both forms will also be addressed as ‘meta-discursive’ forms. What becomes clear regarding both ‘meta’-forms is that they require a “contoured” narrative instance – one that is able to refer to its own ‘self’ as origin of discourse and perspectivization, even if it were in a depersonalized manner. Therein lies the key potential of an analysis of metanarrative and metafictional texts with respect to the main focus of the present volume, since the said ‘meta’-forms imply a foregrounded narrator-level. In contrast to the complex blending of viewpoint for instance in case of FIR (see Zeman, this volume Chapter 1), where the narrator’s stance is discursively interwoven with the character’s stance and the narrator-level thus stays covert, meta-discursive narration with its focus on the mediating narrative instance provides an ideal basis to analyze the interplay of narrative micro- and macro-structure. Here, the recursive double-layered structure of narrative discourse rather leaps to the eye, as the analyses in Section 3 aim to show.

With ‘leap’ as a keyword, I turn to ‘metalepsis’, a topic that has “gradually transformed from a minor, rather slipshod remark into a central notion in narratological theories” (Gobyn & Lutas 2013: 157). From a more abstract perspective, I will outline the concept without taking into account the intensive ongoing terminological discussion. Pier (2014a: [1]) gives a


pointed definition of the general understanding of metalepsis in narratology:

In its narratological sense, metalepsis, first identified by Genette, is a deliberate transgression between the world of the telling and the world of the told: “any intrusion by the extradiegetic narrator or narratee into the diegetic universe (or by diegetic characters into a metadiegetic universe, etc.), or the inverse […], produces an effect of strangeness that is either comical […] or fantastic”[.]

Metalepsis can thus be described as a collision of different narrative levels, induced by a narrator or character. At this point, though, a terminological clarification is in order. It is important to draw a distinction between the term ‘narrative levels’ (respectively ‘diegetic levels’) in a narrower sense and the concept of ‘levels of narrative communication’ which I will use in the following. The former generally refers to “an analytic notion whose purpose is to describe the relations between an act of narration and the diegesis, or spatiotemporal universe within which a story takes place” (Pier 2014b: [1]) – or, to put it simply: to embedded narration in the sense of ‘stories within stories’. In contrast, the notion of narrative communication levels refers also to an embedded structure, but to the recursive embedding of perspectival stances on the discourse level. 2. A three-staged model of narrative communication The present section aims at outlining a three-staged model of narrative communication that takes into account the relation between the instances ‘narrator’, ‘character’ and ‘addressee’ or ‘narratee’. The initial question is why there is a need for such model. In order to answer this question, a first glance at E.T.A. Hoffmann’s novella The Golden Pot which will be analyzed in more detail in Section 3.1 is instructive. The following sequence is the beginning of the fourth chapter, where the narrator “materializes” himself for the first time: (1) Let me ask you outright, gentle reader, if there have not been hours,


indeed whole days and weeks of your life, during which all your usual activities were painfully repugnant, and everything you believed in and valued seemed foolish and worthless? At such times, you did not know what to do or where to turn; your breast was stirred by an obscure feeling that a noble desire for an object surpassing all earthly pleasures must somewhere, sometime be fulfilled, a desire which your mind, like a timid child brought up by severe parents, dared not put into words; […] And indeed, kind reader, I should like to think that I have managed by now to bring the student Anselmus vividly before your eyes. For in the night watches in which I am recording this extraordinary story, I have still to recount many peculiar events, which, like a ghostly apparition, turned the everyday lives of ordinary people topsy-turvy, and I fear that you may end up believing neither in Anselmus nor in Archivist Lindhorst; you may even have some unjustified doubts about Sub-Rector Paulmann and Registrary Heerbrand, although the latter two worthy gentlemen, at least, are still walking the streets of Dresden. [Hoffmann, The Golden Pot, Fourth Vigil, p. 20]

Up to that moment, the narrator of this Romantic-era novella stays in the background and does not address himself. But now, he not only addresses himself in his function as narrator of the story, but he also addresses the ‘kind and gentle reader’. What happens in this sequence can be described as the following: On the one hand, the narrator’s mediating position between addressee or narratee and storyworld (respectively characters) is foregrounded – in contrast to the preceding chapters, where the narrator stays ‘abstract’ in the sense of the concept of ‘narrative force’ outlined by Zeman (this volume) in accordance with the cognitive-linguistic notion of ‘narratorship’ (cf. Dancygier 2012).2 On the other hand, the now 2 As Zeman illustrates in the first chapter, the concept of ‘narratorship’ emerges from the

distance between the different narrative spaces involved (cf. Dancygier 2012: 4). Thus, every narration can be said to have a ‘narrator level’, as there is no need for an “incarnated” narrator persona (for a detailed theoretical discussion see Zeman, this volume).


“manifested” narrator uses strategies of double perspectivization towards the storyworld and the addressee’s position by blending the narrator’s point of view and experience with that of the ‘reader’, constantly ensuring himself of the addressee’s attention by phatic expressions. This observation is compatible with the psycho-narratological notion of the narrator as an instance which is “simultaneously ‘in’ the text and ‘in’ the reader” (Bortolussi & Dixon 2003: 37). In the present case, the phenomenon manifests itself textually by means of a strategy of suggestive introspection,3 which Hoffmann uses quite frequently.4 Furthermore, we can observe a metanarrative reflection of these strategies, which implies proximity between the addressee and the characters of the storyworld. The narrator thereby explicitly and ‘intentionally’ acts as a mediator between two different realms.

To understand the dynamics of the analyzed narrative strategies, it is crucial to take into account the abstract quality of ‘fore- and background’ respectively ‘figure and ground’ and their mutual relation: What we perceive as fore- and as background is the result of a dynamic communicative process and cannot be determined as ‘absolute’ in an essentialistic way. Stockwell (2002: 13) emphasizes this relationality also with regard to the (gradual) distinction of discursive micro- and macro-structure:

The notion of figure and ground is a basic and very powerful idea in cognitive linguistics, and it has been used to develop a detailed grammatical framework for close analysis, as well as very general and

3 This is comparable to the concept of “narrative Inszenierung” (‘narrative enactment’)

suggested by Huber 2003, which means a descriptive technique used by a narrator that resemble the dynamic cognitive strategies of conscient human self-perception (cf. Huber 2003: 184; with regard to Hofmann’s novella see also Igl 2003: chap. 3).

4 The relevance of introspection within the scientific and aesthetic discourse of the 19th and 20th has been emphasized in literary studies (cf. exemplarily Streim 2003). Bruhn 2014 underlines this relevance from the perspective of cognitive poetics. Starting point of Bruhn’s reflections on the history of introspection in analytical approaches to the human mind is the observation that there is a “surprising correlation between Romantic-era and present-day mind science” (Bruhn 2014: 210). With regard to the intertwined development of narrative and ‘theory of mind’ see also Nelson 2003.


abstract ideas across whole discourses.

Leila Sadeghi Esfehani affirms this relational quality based on a mereological perspective dealing with the relation between ‘parts’ and ‘wholes’:

[I]t is possible to interpret or use many phenomena as “wholes” (macro-structure), as cognitive units of some kind, with respect to the various “parts”, “sections” or “elements” ([m]icrostructure) of these whole objects. Thus, macro-structures could be considered a plot, summary or a large-scale statement of the content of a text. (Sadeghi Esfehani 2013: 13)

In Section 3.2, I will take a closer look at the ‘boundaries’ of macro-structure, taking into account the concept of genre. In the following sections, the relational notion of an intertwined micro- and macro-structure provides the basis for the analysis of complex strategies of narrative perspectivization. Both narrative discourse and the concrete narrative text are thus understood as (part of) dynamic communicative scenarios. In accordance to cognitive-linguistic notions, the level of the addressee or narratee must be considered as equally important as the level of the narrator regarding the construction of ‘meaning’ in (narrative) communication. As Gavins (2007: 24) emphasizes: “We do not simply gather knowledge through communication, we actively construct it.” In the course of this, the active role of the recipient is not less relevant when it comes to written texts instead of face-to-face communication.

This brings us back to the initial question of this section: Why do we need a three-staged model of narrative communication? If we conceptualize the narrator as a mental construct (cf. Wege 2013: 66), the addressee or narratee becomes a crucial item which a model of narrative communication has to take into account.5 A model that focuses on the binary distinction of

5 Cf. also Sadeghi Esfehani (2013: 13): “The interaction of micro and macro-structure

may be shown as a mapping of a schema from the macro-structure onto the [m]icrostructure to build a system in a story cycle, in which the role of reader is very


‘histoire vs. discours’ respectively ‘story vs. discourse’ will not suffice in doing so. Against this background, the aim of this section is to outline a model of narrative communication that enables to describe and illustrate the dynamic interrelations of the different entities – or, more abstract, levels – that are involved in the narrative communicative situation.

Schmid (2010) suggests a modeling of the narrative communication system which seems quite promising at first. His model (depicted below as Fig. 1) pays tribute to the fact that the ‘narrative communication’ constitutes itself in an act of doubling with respect to what he calls the ‘author communication’.

Fig. 1. The doubling of communication systems (Schmid 2010: 33).

important. Consequently, the story takes place not only in micro or macro-structure, rather there is another structure which makes the links between different structures and makes a united narrative in the reader’s mind.”


This focus on the recursivity involved in phenomena of ‘narrative’ is quite appealing to someone who conceptualizes ‘narrativity’ as a discursive principle. However, if we zoom in, there seems to be a difficulty regarding this model of narrative communication: The horizontal alignment of the entities ‘narrator’, ‘addressee’ and ‘narration’ does not allow for a modeling of (dynamic) narrative strategies of perspectivization. We can of course position the three entities to one another, but they appear to be all on the same level, as Figure 2 shows:

Fig. 2. The narrative communication (Schmid 2010: 33). This “horizontal” model does not allow the illustration of the basic function of the narrator as a mediating and perspective-setting entity, because it conceptualizes the relation of ‘narrator’ and ‘addressee’ as a linear path of communication. In contrast to that, cognitive poetics would have to apply a communication model that accounts for the dynamic relation of the involved entities, both on the extra- and the intra-textual level. As Fricke & Müller (2010: 2) put it, “Cognitive poetics is, among other thing, a programme of explaining presumed or observed psychological effects on the recipient […]. Or at least it is concerned with questions of interaction between ‘text impulses’ and mental ‘reader reactions’.”

We should take into account, though, that it is not simply the text that “communicates” itself to the reader, but that this communication functions


by means of textual representations and ‘text impulses’. A foregrounded narrator persona in a mediator-role can be seen as such an impulse, as well as an explicitly evoked and addressed narratee. My proposal is thus to modify the horizontal scheme as shown in Fig. 3, so that we get a vertical three-staged model of narrative communication levels:

Fig. 3. The three-staged model of narrative communication levels.6 In this model, the narrator and the character level are enclosed in the narrated world, as these two are actually situated inside of the storyworld, whereas the addressee is only evoked by textual features and thus part of the constellation of narrative communication but not part of the storyworld. The different possible stages of the narrator’s ‘manifestation’ as an abstract force up to a clear-cut persona are taken into account by this modeling as far as the narrator’s level isn’t actually completely enclosed by the grey box indicating the narrated world, but rather “sits” on its margin.

This three-staged model of narrative communication allows illustrating

6 This model focuses on the narrative macro-structure and corresponds with the model of

the double-layered structure of narrative discourse which Zeman gives in Chapter 1, Fig. 1.


the dynamic structure of perspectivization in a narrative text with regard to the relation of addressee/narratee, narrator, and character (see Fig. 3a below) – while highlighting the mediating position of the narrator towards the storyworld on the one hand and the extradiegetic position of the addressee on the other. As we have seen in the quoted sequence (1) from Hoffmann’s novella, this mediating function can be foregrounded by narrative strategies that can be described as a double perspectivization. In the following section, these (meta-discursive) narrative strategies of double perspectivization and evaluation will be analyzed in more detail. 3. Exemplary analysis of complex forms of perspectivization in narrative Due to the more theoretical focus of the present volume, the historical perspective can only be broached in the following exemplary analyses.7 Both examples – E.T.A. Hoffmann’s Romantic-era novella The Golden Pot (orig. Der goldne Topf, 1814) and Wolf Haas’ contemporary detective novels – make high use of meta-discursive strategies in the sense as explicated in Section 1. Both examples can be referred to as ‘modern’ based on a wider concept of literary modernism.8 It has been established as a narratological consensus that there is a significant increase of multiperspectival forms of narration since the 18th century (cf. Klepper 2011, Hartner 2014). Though multiperspectivity is strictly speaking not a recent phenomenon, the aesthetic reflection on “the conditions of perception and narration” (Hartner 2014: [7]) since early literary modernism spurs the development of complex forms of narrative perspectivization which manifest themselves for example in the increasing intertwinement of narrator’s and character’s point of view in narrative discourse (cf. Schmid 2010: 120). 7 For a diachronic view on narrative perspectivization see Wagner in this volume who

shows that the theoretical framework and analytical terminology have to be scrutinized with regard to the (media-)historical context of specific narrative artifacts.

8 Cf. for example the very concise outline given by Matthias Schöning in his article on the political or rather politicized extent of German Romanticism as a symptom of ‘modernity’ (Schöning 2006).


As this chapter argues, multi- and meta-perspectival forms of narration

offer a fruitful basis of analysis regarding the intertwinement of narrative micro- and macro-structure insofar as such narrative strategies come along with a foregrounding of the relative – and “alterable” distance – between the different levels of narrative communication. The following exemplary analyses will thus shed light on the dynamic and recursive double-layered structure of narrative discourse and the materialization of perspectival embedding in the narrative macro-structure. 3.1 Meta-discursive strategies in E.T.A. Hoffmann’s The Golden Pot In literary studies on Romanticism and not least in seminars or introductions which cover this era of (German) literary history, Hoffmann’s novella is often referred to as a textbook example of romantic irony. I want to reaffirm this perspective on Hoffmann’s text – and at the same time affirm that we have to understand ‘irony’ thereby not as a rhetorical trope, but as a narrative strategy which shapes the entire discourse of the novella. In her article on irony and other forms of double coded speech and contrastive perspectivization, Kotthoff (2002: 202) puts emphasis on the fact that an ironic utterance transports more than just ‘the opposite of what is said’, since it is “at the same time the speakers’ words and somebody else’s”. She argues (idem: 203) that “in irony the direct meaning is not dropped, but rather that the difference between dictum and implicatum communicates the most relevant information. […] both levels of the utterance (the literal and the implicated) are processed.”

Therein lies the communicative – as well as epistemic – added value of irony which Kotthoff illustrates by means of a pointed example:

If someone says in the middle of a boring party, “What a lovely party,” he wants it understood that his expectation and the actual situation differ greatly. Only this contrastive perspectivation [sic], which is possible in irony, can explain why irony is superior to what is said directly and why one accepts the high processing cost. With irony the speaker wants to make a cleft visible. (Kotthoff 2002: 203)


This last aspect, namely the potential of irony as a form of double coded speech to reveal a “cleft” in terms of two conflicting perspectives – and accordingly two differing systems of reference – is crucial here, as we will see in the following. For now, we should put on record that ‘romantic irony’ is not merely a rhetorical trope referring to an inverse relation of what is said and what is meant, but that the term indicates a narrative strategy of double perspectivization. The “cleft” that is made visible in Hoffmann’s The Golden Pot is twofold, as I want to argue: Within the storyworld, it is the discrepancy of the ‘bourgeois’ and ‘prosaic’ everyday sphere of existence and the ‘fantastic’ and ‘poeticized’ realm of the romantic ‘other-world’ which Anselmus becomes part of in the end of the novella. Beyond that, the course of the narration and the narrator’s dynamic strategies of perspectivization also reveal a recursive “cleft” on a more abstract level, that is: within the system of narrative communication where the respective distance between the levels of narrator vs. character, narrator vs. addressee/narratee and last but not least addressee/narratee vs. character is brought to the fore. In the following, I will illustrate this based on the concrete meta-discursive strategies that are observable in Hoffmann’s novella.

As we have already seen in Section 2, up to the Fourth Vigil the narrator is backgrounded as an abstract, seemingly omniscient mediating instance. In the Fourth Vigil he manifests himself, but is still positioned in distance to the character level, acting as observer of the storyworld and mediator towards the addressed “gentle reader” – who is likewise evoked as a distant recipient and (mediate) observer. However, this distance between the different entities or levels of the narrative communication turns out to be alterable. The strategy of suggestive introspection mentioned in Section 2, for instance, brings the character- and addressee-level closer together – via the mediating narrator and by means of a suggested alignment of reference systems. The reference to the city of Dresden (Fourth Vigil, p. 20) can be seen as another stimulus for the reader to align storyworld and extra-textual ‘reality’. The metanarrative focus on the process of writing and narrating also functions as a dynamic tool to regulate the distance between different levels: On the one hand, the process of writing and narrating the novella seems to be situated inside (a narrative level of) the storyworld, as the first


quote from the novella showed (see example (1): “For in the night watches in which I am recording this extraordinary story, I have still to recount many peculiar events, […]”). On the other hand, the distance between storyworld and narrator is likewise underlined by the focus on script respectively text as medium of the narration.9 The same is true for the relation between narrator and the addressed ‘reader’. As Gavins (2007: 26) notes, in case of written texts the discourse-world is usually split, “with the participants occupying separate spatial and temporal locations.” Over the entire course of the novella, this distance or “disjunction” (idem: 26) between the different levels of the narrative communication is in turns foregrounded and backgrounded by means of narrative meta-strategies.10

As an overview, the frequent – and dynamic – use of meta-discursive strategies throughout the whole novella can be summarized as shown in Table 1:

Table 1: Meta-discursive strategies in Hoffmann’s The Golden Pot. 9 The narrator’s “night watches” – that is: vigils – correspond to the term ‘Vigil’ denoting

‘chapter’ in the narration as material text. 10 For instance, the narrator’s mode of directly addressing the “kind” and “gentle” reader

in Hoffmann’s The Golden Pot evokes the air of familiarity and closeness. This is once more underlined by the allusion to the contemporarily very popular genre of the epistolary novel which also indicates a rather intimate scenario of communication, despite of the participants’ disjunct locations.


Table 1 illustrates the narrator’s elaborate conjunction of the different levels of narrative communication in the Fourth, Tenth and Twelfth Vigil. Based on the three-staged model of narrative communication, Fig. 3a visualizes this interlocking of levels:

Fig. 3a. The dynamic level-relation in Hoffmann’s The Golden Pot. What Figure 3 illustrates is the foregrounded double-perspectivization of the narrator towards the storyworld on the one hand and the extradiegetic world of the addressee on the other. Taking into account the dynamic quality of the described conjunction, I preferred to depict it as an intertwining bond rather than a straight connecting line. If we imagined Fig. 3a as an animated model, we could “pull the twine” and draw the levels closer to one another.

As outlined above, the meta-discursive strategies in Hoffmann’s novella emphasize the relevance of writing/script as a medium – thus implying temporal and/or spatial distance from the events – and the suggestive mode of introspection – thus creating proximity. On the whole, they generate a tension between two differently localized reference systems as two different realms of perception and evaluation. In the Twelfth Vigil, we can observe a metaleptic collision of narrative communication levels:


(2) Very deeply did I feel the sublime happiness of the student Anselmus,

once he was wedded to the lovely Serpentina and had departed for the wondrous and mysterious realm which he acknowledged as his home and for which his heart, filled with strange premonitions, had so long been yearning. But it was in vain for me, kind reader, to try to convey in words any notion of the splendours by which Anselmus was surrounded. I perceived with disgust the inadequacy of every possible expression. I felt entangled in the petty tedium of daily life; my tormenting dissatisfaction made me ill; I crept around as though lost in dreams; in a word, I fell into the state of mind endured by Anselmus, as I described, gentle reader, in the Fourth Vigil. When I glanced through the eleven Vigils that I had successfully completed, I became quite fretful, thinking that I might never be permitted to add the twelfth as a keystone; […] After this had gone on for several days and nights, I at last received a quite unexpected note from Archivist Lindhorst, in which he wrote as follows: […] [Hoffmann, The Golden Pot, Twelfth Vigil, p. 79]

The narrator’s communication – and be it by letter – with the Archivist Lindhorst, who is a figure on the character level, indicates the sudden blending of narrator- and character-level. However, the “cleft” between the different realms remains unbridgeable: Since Anselmus stepped into the ‘other-world’, the narrator’s move to the character-level still brought him not closer in the end. To me, this implication of mise en abyme illustrates the recursivity of the double-layered structure of narrative discourse and its respective materialization in the narrative macro-structure quite beautifully.

With that, I come to the second exemplary analysis that – among other things – lays a focus on meta-discursive strategies of ‘bridging the gap’ between narrator and narratee. 3.2 Bridging the gap between narrator and narratee – Wolf Haas’ metanarrative detective novels The detective novels written by the Austrian novelist Wolf Haas are by no


means constructed in accordance to the genre-typical ‘whodunit’-scheme. Haas’ “Brenner” series – as I will refer to it with regard to the protagonist’s name “Simon Brenner” – is not only appreciated by literary critics but also highly popular amongst an international audience.11

Now, in order to borrow a strategy from Hoffmann’s narrator: The kind reader of this chapter may of course wonder what relevance the rather trivial factor of the public success might bear with respect to the analysis of complex narrative perspectivization in Haas’ novels. The relevance lies in that this remarkable success emphasizes the potential of innovation provided by metanarrative strategies: The “Brenner” novels do contain (stereo)typical elements of a crime novel or detective thriller – starting with the main character, who seems to be a clear-cut personification of the hard-boiled detective of the likewise strongly alluded pulp and noir aesthetics. However, the distinct nature of the narrator, which in the following will be analyzed in detail, comes along with quite radical deviations from genre expectation. The complex strategies of perspectivization employed in Haas’ novels obviously do not have the effect of annoying a broader readership but of accomplishing a distinctive style and an appreciated innovation of the detective genre. This side glance on the context of reception emphasizes once more that narrative micro- and macro-structure have to be understood as relational and dynamic concepts, as outlined above: In relation to the concrete narrative text, ‘genre’ can be considered as macro-structure. When we take into account that a genre changes over time by means of variation of genre-specific aspects, that is, by means of a ‘stable instability’ of the relation between genre expectations and deviations from those expectations (cf. Voßkamp 1977: 30), the intertwining of micro- and macro-structure again comes to light.

All in all, Haas’ novels manage to be highly innovative regarding genre-typical structures and elements while at the same time providing enough 11 Thus far, four novels of the series have been adapted for the big screen, all of them with

great success (the premier of the recent adaptation of Das ewige Leben is planned for 2015, the film’s popular success is highly expected). An interesting side note: Wolf Haas also holds a degree in linguistics – which becomes quite relevant in the two auto-fictional and highly meta-discursive novels Das Wetter vor 15 Jahren and Verteidigung der Missionarsstellung, where the author himself becomes part of the storyworld.


stability of the storyworld by means of recurring elements and strategies over the entire series. In the sixth novel, though, there is a special twist – not simply concerning the plot, but the whole scenario of narrative communication and structure. In an almost “classical” move (regarding Hoffmann’s novella, for example), Haas tops the innovative grasp of the detective genre based on a foregrounded, yet extra-diegetic narrator by allowing him to cross the border and merge into the storyworld. The metalepsis occurs in the final chapter and reveals the power of perspectivization.

At this point, I want to take another short look at the concept of ‘unnatural narration’ mentioned in Section 1. As Alber, Nielsen, & Richardson state in their article “Unnatural voices, minds and narration” in The Routledge Companion to Experimental Literature (2012: 202), “[f]irst-person narrators have developed a number of unnatural tendencies.” A more specific historical frame of this observed development is not given, but with regard to the handbook’s focus on literature of Modern-era and Postmodernism, the dating would read ‘more recent’. From a cognitive-linguistic approach to ‘narrativity’, the concept of ‘unnatural narration’ has to be seen as problematic, since it implies a clear opposition of ‘natural’ vs. ‘unnatural’ forms of narration based on ontological premises and lacks a proper distinction between ‘natural human dispositions’ and ‘artificiality of aesthetic representation’. The increase of multiperspectival narrations in literary Modernism and Postmodernism is of course a historically specific development that deserves appropriate attention – but one key condition for this aesthetic development lies in the basic cognitive-linguistic principle of perspectivization and the self-reflective awareness of viewpoint-relativity (cf. Zeman, this volume). Kotthoff (2002: 217) underlines this crucial point:

Perspectivation is recognized as a necessary prerequisite of human communication […]. The notion rests on the basic experience of multiperspectivity, basically on the insight that, with respect to one and the same object or state-of-affairs, other views than one’s own are possible.’

From a historical point of view, the concept of ‘unnatural narration’ also


proves to be problematic: (Semi-)orally delivered narration performed by a present narrator – as would be the default situation of reception of narratives during the Middle Ages (cf. Wagner, this volume) – need not be more ‘natural’ than (mainly) scripture based narratives. The medium of course shapes the message and provides media-specific means to develop complex aesthetic representations – but a narrator who is present as an actual person can also make use of or produce seemingly ‘unnatural’ acts of narration by means of strategies of perspectivization that have to be judged as ‘impossible’ regarding the laws of physics. Narrators are able to step outside their corporeal and mental boundaries, so to speak (cf. Wagner, this volume).12

Let’s get back to the subject of the exemplary analysis that constitutes the key focus of this section. In the opening sequence of the first novel of Haas’ “Brenner” series with the title Resurrection (orig. Auferstehung der Toten, 1996), the storyworld is opened and outlined in several steps: (3) As far as America goes, Zell’s a tiny speck. Middle of Europe

somewhere. As far as Pinzgau’s concerned, though, Zell’s the capital of Pinzgau. Ten thousand inhabitants, thirty mountains over 3,000 meters high, fifty-eight ski lifts, one lake. Last December, two Americans were killed in Zell. But for now, get a load of this. After the war, it was the skiing that brought prosperity to Zell. Suddenly, snowfall meant money on the ground. But it goes without saying: you can’t be too lazy to bend down and pick it up. Take the lift operators, for instance. All day long they’ve got to watch out that nobody falls out of the lift. Day in, day out, thousands of skiers swooshing right past them. Nobody ever falls out of the lift usually, but if it should happen, not the end of the world, either. Lift operator’s just got to go over to the emergency brake and turn the lift off. [Haas, Resurrection, chap. 1, p. 3]

12 The basis for this potential of creating ‘virtual’ spaces which have their own

‘ontological’ rules, lies in cognitive-linguistic principles, as Zeman shows in Chapter 1.


The complex strategy of perspectivization in the first instance constitutes itself in a blend of a distant and a proximate position of the narrator with respect to the storyworld and its characters. In example (3), the narrator is presented – or rather: presents himself – as an observer who is able to look at the storyworld form a great distance and to ‘zoom in’ ad libitum. He thus seems on the one hand nearly omniscient: Nothing escapes his evaluating eye. He can zoom out a look at the setting – Zell – from a great distance which likewise reveals the relativity of the localization. As a semiotic representation on a map, it is little more than a “tiny speck” – while in the narrative macro-structure, it proves to be a semiotic and conceptual representation of highest relevance for the constitution of the storyworld. On the other hand, the narrator’s knowledge seems to be restricted, as we will see in example (4) below.

With regard to the narrator’s function as an evaluative instance, Wolf Schmid’s emphasis on the importance of the narrator’s “ideological point of view” (Schmid 2010: 100) deserves attention. As Böhm (this volume) points out, this notion comprises the aspects of knowledge and evaluative position. The concept of perspectivization given in this volume lays emphasis on the linkage of perceptive, evaluative and epistemic aspects regarding the notion of perspective or point of view: As outlined before, ‘perspective’ as the relation between an origo-bound evaluating eye and an object in focus implies the (conscious) possibility of different viewpoints and with that provides the capability of mentally shifting from one reference system to another (cf. this volume Chapter 1). In the following example (4), the narrator in Wolf Haas’ Resurrection demonstrates this ‘relativity’ of viewpoints and different reference systems regarding the differing extent of knowledge that he and the addressee supposedly have: (4) No, no, now look here. Zell’s not so small that everybody knows

everybody else. But everybody knows Goggenberger, the taxi-driver, Johnny. He’s an original, alright – you can say that. Because he’s 120 kilos and got a pink Chevrolet that he’s been driving around Zell for twenty years. He’s never done anything else, because, Johnny’s not quite as old as he looks. But where he got the Chevrolet from, that’s what I’d be interested to know.


[Haas, Resurrection, chap. 4, p. 39]

Based on the concept of ‘reference system’, it becomes clear that we have to understand ‘perspective’ in an abstract way that allows us to refer to spatial, temporal, epistemic and evaluational relations. The connecting – abstract – notion is that of ‘distance’ or, more specific, the relation of ‘distance vs. proximity’. In Haas’ novel(s), the narrator’s position with respect to the storyworld is not only seemingly paradoxical on a ‘spatial’ level but also on an attitudinal one, since he takes at once a distanced and an involved stance. The narrator’s attitude becomes eminently crucial in the sixth “Brenner” novel Das ewige Leben (“The eternal life”, 2003)13, where his sympathy for the protagonist in distress seems to induce his metaleptic move from the narrator to the character level. However, the narrator changes not only his position regarding the diegesis, but also crucially the modality of his agency, when he moves from being a ‘spectator’ and teller of the story to being involved in the narrated events. Through his transgressive act the boundaries of the narrative levels are revealed as permeable, even fragile. If we look at the relation of macro- and micro-structure, this becomes more clear: Even though the metalepsis occurs at a specific point of the story line, its effects spread like a wave – as if one threw a pebble into a pond. Fig. 3b illustrates this ‘metaleptic feedback’:

13 The novel has not yet been translated into English.


Fig. 3b. The ‘metaleptic feedback’ in Haas’ Das ewige Leben (“The eternal life”). As a result of this metalepsis, the previously clear-cut seeming distinction between the instances narrator vs. characters undergoes erosion. Likewise, the reader can no longer be certain which specific functions regarding the narrated events and the (presentation of the) storyworld can be attributed to which distinct agents of the narrative setting. In other words, the reader’s knowledge about the narrated world, events and communicative agents that he or she actively gained over the course of reading gets more and more challenged. From a cognitive poetics point of view, the scope of this potential ‘epistemic shock’ induced by the ‘metaleptic feedback’ is not to be underestimated. As Gavins (2007: 24) points out, ‘text-worlds’ are mental constructs and as such the result of a highly active process of reception:

Text World Theory is fundamentally based on an understanding of discourse as a dynamic cognitive process. Specifically, this means that communication is not simply the transmission of a particular message from participant A to participant B through a fixed linguistic code. From a Text World Theory point of view, communication is both the means by which knowledge is transferred between human beings and


the process by which those human beings interconnect the new knowledge structures they encounter through communication with existing beliefs, immediate perceptions and previous experiences.

This active cognitive effort that the reader performs in order to construct meaning of the narrative discourse and the text as a whole is now challenged by the metalepsis and its rebound effects. In concrete terms, the ‘metaleptical feedback’ in Haas’ novel Das ewige Leben manifests itself by means of the first mention of the “Hausgeist” (‘puck’, ‘good spirit’) in the second chapter when the protagonist Brenner lies in the hospital in order to recover from the gunshot injury he suffered in spite of the narrator’s intervention on the level of narrative events. The “Hausgeist” refers to the ‘incarnated’ narrator who appears to be a rather obscure neighbor of Brenner – in fact, for many a long day: As we learn through the inner monologue during the narrator’s manifestation on the character level, the nickname “Hausgeist” in the sense of a rather ghostly resident whom one rarely comes across in the course of day-to-day life has been coined by Brenner’s grandmother, who addressed the neighbor as such. Against this background, we – the readers – must infer that the seemingly extradiegetic narrator has always also been part of the narrated world and a character of the story – albeit an obscure one. The paradoxical conjunction of distance and proximity displays the distinction of the narrator and the character level – by letting them clash.

This emphasizes an important point regarding the notion of micro- and macro-structure: While this volume conceptualizes the binary opposition of micro- and macro-level as the local and global level of linguistic structure (cf. Zeman, this volume), the relational notion does of course not just apply to the distinction of narrative discourse vs. the narrative text as a whole. As the short analysis of Haas’ novel shows, we may have to think of ‘macro-structure’ beyond the single text: The meta-discursive strategies of perspectivization and perspectival ‘collision’ in Haas’ Das ewige Leben make an impact on the “Brenner” series as a whole. In consequence of the metalepsis in the sixth novel and its long-range feedback, the entire system of narrative communication and storyworld of Haas’ detectiveseries become somewhat obscure. Against this background, the concept of ‘storyworld’


should be conceptualized in a non-essentialistic, cognitive way that does not simply match ‘single text’ and ‘text-world’14, but recognizes the latter as a complex mental construct and representation.

Although the conclusive section of this chapter will argue for a concept of ‘narrator’ that includes the narrator’s role as an ‘observer’ and perceptive instance in its own right, I want to emphasize the aspect of ‘voice’ at this point. From a cognitive-semiotic position, the constructive force of the narrator as ‘speaker’ must not be underestimated. In Brandt’s (2013: 470) words,

The narrator voice, in itself, is a space-building device; by setting forth a propositional utterance, the narrator thereby sets up a referential space, prompting the mental enactment of signifieds in the mind of the 2nd person addressee. The addressee is invited into a state of shared attention directed at the referenced semantics: the signifieds of the utterances staged in the discourse.

In Wolf Haas’ novel Das ewige Leben, this referential space set up by the narrator in the act of narration collapses in conjunction with the metaleptic collision of narrator- and character-level due to the radical events of the story. When the narrator, who metaleptically manifested himself on the character-level, gets shot down, this comes along with a ‘shutdown’ of the narrative discourse. The last sequence simulates the narrator’s lapse into silence. This can once more be seen as an intertwinement of the narrative micro- and macro-structure. Throughout the entire “Brenner” series, the narrator’s colloquial manner of speaking and the constant linguistic appellations addressing the narratee as if they joined a face-to-face communication constitutes the narrative style. In the course of this, the narrator shows a strong tendency to hint at things rather than explicitly denoting them, a frequent usage of elliptical phrases, and a ‘spontaneous’

14 The Text World Theory has been founded by Paul Werth (Werth 1999; for an overview

of the theoretical and methodological premises see also Gavins 2007 and Semino 2009). A transmedial account of the mental construction and structure of storyworlds as ‘imaginary worlds’ is given by Wolf 2012.


lack of words – the missing words usually being substituted by “ding” or “dings”, which can be translated as ‘thing’ or ‘thingy’ (as in “You know, that thingy which pins together sheets of paper – I just forgot the proper name for it!”). So when the ‘incarnated’ narrator gets shot in the head, his process of dying is (re)presented as a slide into aphasia. The characteristic style of verbal laxness and lacking words culminates in a mere explosion of “ding”-substitution and spells, or rather, spills “ding” over nearly two pages until the narration (which at this point can hardly be called one anymore) comes to a halt.

The relation between the narrator and the character level has already been addressed in detail in the foregoing sections. In addition to the focus on the narrator as ‘observer’, the following conclusive section aims at underlining the relevance of the recipient respectively the reader – above all in his or her role as narratee. Section 4 thus seeks to come full circle to the three-staged model of narrative communication levels outlined in Section 2.

4. Conclusion In his Preface to The Picture of Dorian Gray Oscar Wilde writes: “It is the spectator, and not life, that art really mirrors” (Wilde [1890] 2006: 3; italics in the original). The ‘spectator’ in this famous quote can be interpreted with regard to different semantic levels. In general, the quote underlines the point which Marshall McLuhan later made with his expression ‘The medium is the message’: Art, literature included, is no mimetic image of ‘the real world’, but a semiotic and media-bound representation of how we perceive the world or parts of it. ‘We’ refers to the producer of a text in terms of the author and – taking into account the recursive phenomenon of viewpoint split described by Zeman (this volume) – the mediating and perceiving instances of the text-world, but also to the recipient.15 Whiteley (2014: 393) emphasizes this linkage of ‘text impulses’

15 The field of cognitive poetics takes this semiotic perspective as a premise when it

comes to the question of meaning construction in literature (cf. Brandt 2013, Wege 2013).


(cf. Fricke & Müller 2010: 2) and the active role of the recipient: “Through narrative technique, readers are positioned in relation to the author, narrator, characters and audiences of a particular narrative[.]”

Both in E.T.A. Hoffmann’s novella and in Wolf Haas’ novel series the distance between the narrator and the addressee or narratee is skillfully reduced by means of a communicative behavior that implies proximity. Narrator and narratee seem to be participants of a face-to-face conversation. In this respect, Haas’ narrative strategies are not unlike those described by Wagner (this volume) regarding medieval strategies of narrative perspectivization by which means the narrator can form a unity with the evoked addressee – and even the actual recipient of the courtly narrative performance. As Wagner (this volume) points out, the narrator’s role as an autonomous observer – and not just as a mediating instance presenting the character’s perception – is frequently foregrounded in courtly narratives. This analytical observation challenges the narratological concept of ‘focalization’ that stands in the tradition of Genette’s clear-cut distinction of the narrator’s and character’s roles as ‘speaker’ vs. ‘observer’. Hogan (2013: 47) sums up this “classic” notion as follows:

As is well known, Gérard Genette distinguishes focalizers from narrators. The narrator is the “agent who produces a narrative” […]. Focalization, in contrast, “denotes the perspectival restrictions and orientation of narrative information relative to somebody’s (usually a character’s) perception, imagination, knowledge, or point of view…. Hence, focalization theory covers the various means of regulating, selecting, and channeling narrative information” […]. “Perspectival” is the key word here. It indicates the relation of the narrator to some point of view on which that narrator focuses his or her attention. For example, narrators sometimes confine their narration to what a particular character experiences or thinks.

The notion of ‘perspective’ is thus mainly restricted to the aspect of shared or differing knowledge regarding the relation of narrator and character. Narrative perspectivization is accordingly not understood as a recursive embedding of perspectival stances, but again as the perspectival structure


caused by the specific shaping of this relation in terms of a restricted or non-restricted point of view from which the narrator acts as the mediator of the story(world). As I want to argue, though, the aspect of the narrator as a functional instance of the narrative communication and hence the concept of narrator as focalizer has to be taken into account not only when it comes to medieval storytelling, but also with regard to ‘modern’ narratives.16 As Zeman (this volume) pointed out, the distinction narrator vs. focalizer becomes a relative one when we take into account the recursive hierarchy of the different levels of narrator and character.

The analysis of the highly meta-discursive narratives in this chapter hopefully revealed two things: Firstly, the double-layered structure of narrative discourse has to be understood as a recursive perspectival relation and manifests itself as such in the narrative macro-structure in form of complex multiperspectival effects. Secondly, the analysis aimed at pointing out that the foregrounding of the narrator not only as a mediating instance but also as a perceiving one by means of metanarrative, metafictional, and metaleptic strategies. All in all and taking into account the crucial role of the recipient in the process of meaning-construction, narrative perspectivization is utterly dynamic in nature. Although the notion of distance between perspectival levels proves to be key for the phenomenon of narrativity, the roles of ‘observer’ and ‘speaker’ are just as little given absolutely as the roles of ‘narrator’ and ‘character’.

With reference to Oscar Wilde’s aphorism quoted at the beginning of this section, I thus want to conclude: It is the narrator as spectator, not simply the ‘unnatural nature’ of the diegesis, that meta-narration really mirrors. References Haas, Wolf. 2003. Das ewige Leben. Roman. Hamburg: Hoffmann und

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16 See also Mieke Bal’s notion of focalization which in contrast to Genette’s

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The double-layered structure of narrative discourse and complex strategies of perspectivization

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