“Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger: Summary and Critique

Introduction: “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger

“Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and translated by Elizabeth Benzinger first appeared in New Literary History, Vol. 2, No. 1, as part of a symposium on literary history in Autumn 1970. This influential essay presents a framework that reconsiders literary history’s role in relation to literary theory, urging a shift away from solely formalist or Marxist interpretations. Jauss critiques these schools for treating literature as a closed system, ignoring its interactive and socially impactful dimension, especially its reception by audiences. By proposing an “aesthetics of reception,” Jauss argues that literature’s value and historicity derive not only from its creation but also from its engagement with readers over time. This “dialogue” between text and reader forms a living history that changes as each generation interprets literature anew, bridging historical and aesthetic analysis.

The essay’s importance lies in its challenge to prevailing views that literature’s meaning and value are inherent and static, as well as in its proposal of a dynamic model where the audience plays a pivotal role in literary continuity and historical impact. This approach reshapes literary theory by grounding it in human experience, making it integral to cultural and historical understanding. Jauss’s ideas significantly influenced the field of reader-response criticism and expanded the methodological toolkit of literary historians, marking a progressive turn towards contextual, socially engaged literary analysis.

Summary of “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger

• Literary History’s Role in Bridging Theory and Reception: Jauss critiques both Marxist and formalist approaches to literary theory for ignoring the audience’s role in the literary experience. He advocates a literary history that integrates the audience’s reception and interaction with texts, acknowledging their active role in shaping a work’s historical impact (Jauss, p. 7).
• Audience as Historical Agent: Rather than treating the reader as a passive recipient, Jauss argues that the audience is a “history-making energy” that transforms a work through reception. Literature achieves continuity through this evolving relationship with readers over time (Jauss, p. 8).
• The Aesthetics of Reception: Jauss introduces the aesthetics of reception as a new framework, suggesting that literary history should be viewed as a dialogue between past works and the evolving public perception. This perspective allows literature to maintain relevance across generations by adapting and responding to new interpretive contexts (Jauss, p. 10).
• Horizon of Expectations and Aesthetic Distance: The concept of a “horizon of expectations” is central, as it defines the frame within which readers interpret new works based on previous experiences and genres. The aesthetic value of a text, according to Jauss, can be measured by the extent to which it challenges or expands this horizon, creating “aesthetic distance” (Jauss, p. 12).
• Evolutionary Process in Literary Development: Jauss asserts that literary history is not linear but evolves through a dynamic process of reception and reinterpretation. This ongoing “literary evolution” reshapes old forms as new works provide fresh perspectives, influencing both current literary norms and historical canons (Jauss, p. 17).
• Synchronic and Diachronic Analysis of Literature: Jauss proposes integrating both synchronic (cross-sectional) and diachronic (historical) analyses to understand literature within its broader social and historical contexts. This combined approach can reveal how works are situated within and respond to their immediate literary environment while influencing future interpretations (Jauss, p. 30).
• Impact of Literature on Social and Ethical Norms: Literature’s social function goes beyond mere representation, as Jauss argues it plays a role in shaping moral and social values by challenging prevailing standards. Through this lens, literature actively participates in defining societal ethics rather than merely reflecting them (Jauss, p. 35).
• Beyond Mimesis to a Societal Function of Literature: Moving beyond traditional aesthetics, Jauss asserts that literature’s role in society is to provoke reflection and offer alternative viewpoints, thus fostering critical thought and potentially inspiring societal change (Jauss, p. 37).

Theoretical Terms/Concepts in “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger

Theoretical Term/Concept	Definition	Explanation/Context in the Text
Aesthetics of Reception	A framework that centers on the reader’s experience, emphasizing the role of reception in the historical and aesthetic life of a text.	Jauss suggests that the value and meaning of literature are actively shaped by its audience, not only by the author or text itself. This approach positions the reader’s interaction as essential to understanding literature as a historical process (Jauss, p. 8).
Horizon of Expectations	The collective set of cultural, social, and aesthetic norms and expectations that shape how readers interpret and respond to a work.	A work’s impact is measured by how it aligns with, challenges, or redefines these expectations, creating “aesthetic distance” based on the level of novelty and deviation from prior norms (Jauss, p. 12).
Aesthetic Distance	The gap between a reader’s existing expectations and the experience offered by a new work, reflecting the degree of novelty or challenge posed by the text.	Jauss argues that works with high aesthetic distance stimulate reader engagement by provoking new perspectives. The “greater” the distance, the more the work challenges norms and encourages reflective reception (Jauss, p. 12).
Literary Evolution	The dynamic process by which literature develops over time through the ongoing interaction of reception, interpretation, and creation.	This evolutionary approach contrasts with linear or teleological models, as it sees literature developing through complex dialogues between old and new works, shaped by reader response and historical context (Jauss, p. 17).
Synchronic Analysis	A method of studying literature at a single historical moment, analyzing how works interact within a common cultural or literary horizon.	Jauss advocates synchronic cross-sections to examine how contemporary works resonate with or differ from each other, revealing a system of relationships within a specific time period (Jauss, p. 30).
Diachronic Analysis	Analyzing literature as it develops over time, focusing on historical progression and transformations in literary forms and reader responses.	Jauss suggests combining diachronic and synchronic analysis to trace both the evolution of genres and the shifting patterns of reader reception, offering a fuller picture of literary history (Jauss, p. 30).
Impact History	The history of a work’s influence, tracking how it has been received, interpreted, and integrated into cultural and literary norms over time.	This concept supports the idea that literary history includes the progression of responses to a text, showing its evolving role in shaping cultural and aesthetic values (Jauss, p. 31).
Classical	Refers to works that transcend historical distance and maintain relevance across time, often seen as possessing inherent “timeless” value.	Jauss challenges this static view by suggesting that a work becomes classical only through continued reinterpretation by successive generations, underscoring the role of historical mediation in constructing “classics” (Jauss, p. 23).
Social Function of Literature	Literature’s ability to influence and shape societal values, norms, and ethics, extending beyond its role as mere representation of social realities.	According to Jauss, literature can redefine morals by challenging prevailing norms, as shown by works that evoke moral or ethical reconsideration within the reader, often inspiring societal shifts (Jauss, p. 35).
Question and Answer Structure	A hermeneutic method where literature is understood as posing questions that invite reader response, aligning with Gadamer’s idea of historical dialogue.	For Jauss, each work embodies questions pertinent to its time, which may only be fully realized in new contexts. Readers must interpret literature by engaging with its implied questions, thereby linking past and present meanings (Jauss, p. 22).
Genre Horizon	The set of formal and thematic conventions associated with a particular genre that shapes how readers approach a text.	Jauss argues that new works often engage with the “genre horizon,” either conforming to or challenging these conventions, which shifts the reader’s expectations and redefines genre boundaries (Jauss, p. 14).
Impersonal Narrative Form	A narrative technique that presents characters’ thoughts and feelings without explicit narrative commentary, leaving moral interpretation to the reader.	Jauss discusses Flaubert’s use of this style in Madame Bovary, highlighting how it subverted moral norms and invited readers to question accepted values, thus serving as an example of literature’s social function (Jauss, p. 35).

Contribution of “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger to Literary Theory/Theories

1. Reception Theory

• Contribution: Jauss is considered a pioneer in reception theory, where he challenges the conventional focus on the author and text alone by placing the reader’s response at the center of literary analysis. He argues that literary meaning is not fixed but changes with each generation’s reception.
• Key Concept: Horizon of Expectations – This is defined as the framework of cultural and historical norms through which audiences interpret literature. Jauss proposes that the meaning of a text emerges through the reader’s response, shaped by historical context and prior literary experience.
• Reference: Jauss states, “The historical life of a literary work is unthinkable without the active participation of its audience” (Jauss, p. 8), underscoring the reader’s role in shaping the work’s impact over time.

2. Historicism and Diachronic Analysis in Literary Studies

• Contribution: Jauss revitalizes literary historicism by introducing a dynamic, evolutionary model for understanding literary development, which contrasts with traditional, linear historicism. He suggests that literature should be understood as part of an ongoing dialogue with both past and future works.
• Key Concept: Literary Evolution – Jauss’s notion of literary evolution involves tracking the transformation of genres and themes across time through the lens of reader response and societal change.
• Reference: He explains that literary history should account for the “mutual mediation” of old and new forms, emphasizing literature’s continuous transformation rather than a static historical narrative (Jauss, p. 17).

3. Hermeneutics and Dialogism

• Contribution: Jauss integrates hermeneutic principles, particularly from Gadamer, into literary theory by framing literary history as a “dialogue” between past and present. This dialogic relationship forms the foundation of understanding literature in a historical and interpretative context.
• Key Concept: Question and Answer Structure – Inspired by Gadamer’s hermeneutics, Jauss advocates for a method where each text is seen as a response to specific historical and literary questions, requiring the reader to engage with its historical and ethical implications.
• Reference: Jauss argues that understanding is achieved through “the process of fusion of such horizons which seem to exist independently,” suggesting that readers must actively interpret the questions each text implicitly answers (Jauss, p. 22).

4. Aesthetics and Value of the Classical Canon

• Contribution: Jauss critiques the concept of the “classical” as a fixed standard, proposing instead that the status of classical works results from their ongoing reinterpretation by successive generations. His challenge to classical aesthetics supports a more fluid, reception-based understanding of literary value.
• Key Concept: Classical as a Construct – According to Jauss, works become classical not through inherent “timelessness” but through sustained relevance and reinterpretation by later audiences.
• Reference: Jauss contends, “the concept of the classical which interprets itself” obscures the role of historical reception in determining a work’s status, stressing that classics are products of continual engagement (Jauss, p. 23).

5. Sociology of Literature and the Social Function of Art

• Contribution: Jauss explores literature’s role in society by examining how it challenges or reinforces social norms. He moves beyond representation theories, suggesting that literature actively shapes societal values and ideas, rather than merely reflecting them.
• Key Concept: Social Function of Literature – Jauss argues that literature contributes to society by expanding the reader’s moral and ethical imagination, often challenging prevailing norms and fostering new social perspectives.
• Reference: He illustrates this with Flaubert’s Madame Bovary, which forces readers to re-evaluate their moral judgments, highlighting literature’s power to provoke ethical reflection (Jauss, p. 35).

6. Structuralism and Genre Theory

• Contribution: Jauss addresses the limitations of structuralist genre theory, particularly in its tendency to treat genres as static categories. He instead views genres as evolving systems that respond to shifting reader expectations and cultural norms.
• Key Concept: Genre Horizon – Jauss’s concept of genre horizon introduces a dynamic view of genres, where texts not only conform to genre expectations but also reshape and expand them, thereby evolving the genre itself.
• Reference: Jauss notes, “The new text evokes for the reader (listener) the horizon of expectations and rules familiar from earlier texts, which are then varied, corrected, changed or just reproduced,” pointing to genre as an evolving framework (Jauss, p. 14).

7. Impact History and Historical Consciousness in Literary Theory

• Contribution: Jauss introduces the idea of “impact history,” proposing that a work’s influence is best understood through the sequence of its reception and reinterpretation over time. This continuous interaction aligns literary history with the evolving consciousness of readers.
• Key Concept: Impact History – By tracing a work’s impact on successive generations, Jauss’s theory accounts for shifts in cultural significance and literary value over time, focusing on the progression of literary influence.
• Reference: He states, “The history of literature can be rewritten on this premise,” suggesting that impact history can be a foundation for a revised, reader-centered literary history (Jauss, p. 31).

Examples of Critiques Through “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger

Literary Work	Critique Through Jauss’s Framework	Key Theoretical Lens	Explanation & Reference
Madame Bovary by Gustave Flaubert	Jauss critiques Madame Bovary by focusing on the reception and moral dilemma it presents to readers, emphasizing how Flaubert’s use of impersonal narration forces readers to confront their own judgments.	Reception Theory, Social Function	Jauss uses Madame Bovary as an example of how new literary forms like “impersonal telling” create moral ambiguity, making readers question societal norms rather than imposing a moral stance. This narrative style disorients readers, challenging them to interpret the story’s ethical implications (p. 35).
Don Quixote by Miguel de Cervantes	Jauss analyzes Don Quixote as a work that uses parodic genre conventions to reshape audience expectations, evolving the genre of chivalric romance into a critical commentary.	Genre Horizon, Evolution of Genres	Jauss highlights how Don Quixote creates new horizons by parodying familiar conventions, like the chivalric romance, which leads readers to recognize the absurdity of traditional heroic ideals. This challenges and reconstructs genre boundaries for readers of the time (p. 14).
Perceval, the Story of the Grail by Chrétien de Troyes	Jauss interprets Perceval as a “literary event” rather than a static historical artifact, viewing it as a text that establishes new narrative expectations for the medieval audience.	Literary Evolution, Impact History	Jauss asserts that Perceval introduced complex narrative forms and thematic depth that broke from previous epics. By doing so, it becomes “eventful” only through readers who understand it as an innovative step beyond prior heroic narratives, expanding the genre’s possibilities (p. 10).
Chimères by Gérard de Nerval	Jauss examines Chimères as a work that confronts and subverts Romantic conventions, challenging readers to re-evaluate Romantic ideals and mythic motifs.	Horizon of Expectations, Reception Theory	Jauss notes that Chimères mixes familiar Romantic symbols with an unsettling sense of existential despair, creating a distance from reader expectations. This horizon shift forces readers to reconsider their Romantic ideals, reflecting Nerval’s own critique of Romanticism’s limitations (p. 16).

Criticism Against “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger

• Lack of Emphasis on Authorial Intent
  Critics argue that Jauss’s emphasis on reader reception overlooks the importance of authorial intent. By focusing predominantly on the audience’s interpretation, Jauss may diminish the significance of the author’s original purpose and context.
• Over-Reliance on Subjective Reception
  Reception theory can be seen as overly subjective, as it depends heavily on the audience’s changing perceptions and experiences. Critics suggest this may lead to a relativistic view of literature, where meaning fluctuates excessively with each generation’s reception, undermining the stability of a text’s meaning.
• Inadequate Engagement with Power Dynamics in Interpretation
  Jauss has been critiqued for not addressing how power structures and social hierarchies impact reader interpretation and reception. This oversight limits the theory’s ability to account for how dominant ideologies might shape and control literary interpretation over time.
• Insufficient Methodology for Determining Canon
  Jauss’s theory has been critiqued for offering little guidance on evaluating why certain works become canonical while others do not. Critics argue that simply tracking the “horizon of expectations” is inadequate for explaining why certain texts maintain prominence in literary history.
• Neglect of Cultural and Social Contexts
  By focusing on the aesthetic experience of the reader, Jauss may inadequately account for broader cultural, economic, and social forces that influence both the production and reception of literature. This narrow focus could limit the applicability of his theory across diverse socio-cultural contexts.
• Limited Applicability to Non-Western Literature
  Reception theory, as formulated by Jauss, has been criticized for its Eurocentric approach, which may not apply as effectively to non-Western literary traditions with different structures of literary history, genre, and audience engagement.
• Tendency Toward Retrospective Bias
  Jauss’s method of reconstructing past “horizons of expectations” has been criticized for being speculative and prone to retrospective bias. Reconstructing past receptions risks imposing present-day understandings onto historical interpretations.

Representative Quotations from “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger with Explanation

Quotation	Explanation
“The historical life of a literary work is unthinkable without the active participation of its audience.”	Jauss emphasizes the role of the reader in bringing a text to life and creating its historical relevance, challenging previous theories that focus only on authorial intent and formal structure. He asserts that literature’s impact evolves over time as it interacts with different generations of readers.
“Literary history can be rewritten… by an aesthetics of reception and impact.”	This statement highlights Jauss’s belief that literary history should consider the evolving responses and interpretations of audiences rather than adhering strictly to a chronological or stylistic analysis. The reception theory thus calls for a “rewriting” of literary history to include how works affect readers across different times and contexts.
“A literary work is not an object that stands by itself and offers the same face to each reader in each period.”	Jauss critiques objectivist approaches to literary analysis, arguing that texts do not have a fixed meaning. Instead, each reader and period brings a unique interpretation, reinforcing the dynamic relationship between the work and its audience.
“The new text evokes for the reader the horizon of expectations and rules familiar from earlier texts.”	Jauss introduces the concept of the “horizon of expectations,” where a reader’s prior experiences with literature shape their response to a new work. This “horizon” becomes the basis for evaluating the innovation or predictability of the text, as readers compare it with their past literary experiences.
“Aesthetic distance… is the distance between the given horizon of expectations and the appearance of a new work.”	Jauss explains that the “aesthetic distance” between what a reader expects and what a text delivers determines the text’s novelty and artistic value. If a work challenges or negates readers’ expectations, it often requires a shift in their understanding, marking it as innovative.
“The history of literature is a process in which the passive reception of the reader changes into active reception.”	This reflects Jauss’s belief that readers do not merely absorb literature passively but engage with it actively over time, responding critically and reshaping their interpretations. This process involves transforming initial responses into deeper critical understandings and even new creative works.
“The specific achievement of literature in society can be found only when the function of literature is not imitation.”	Jauss challenges the notion of literature as merely reflecting society, suggesting that it actively influences social beliefs and norms. Literature should be seen as an active force that offers new perspectives and possibilities, going beyond mere representation of existing reality.
“Literary history based on the history of reception and impact reveals itself as a process.”	By framing literary history as an ongoing process of reception, Jauss argues that literature evolves not just through the addition of new works but also through continuous reinterpretation by readers and critics. This view treats literary history as dynamic and open-ended rather than static and fixed.
“The perspective of the aesthetics of reception mediates between passive reception and active understanding.”	Here, Jauss describes his theory as bridging the gap between simply consuming a text and actively engaging with it. This shift to active understanding occurs when readers interpret, question, and even produce new meanings in response to the text, advancing literary tradition.
“The judgment of the centuries… is the successive development of the potential meaning present in a work.”	Jauss refers to the enduring impact and evolution of a work’s meaning over time. Instead of one definitive interpretation, the “judgment of the centuries” reveals how literature accrues significance as different generations uncover new facets and applications, showcasing its lasting value and relevance.

Suggested Readings: “Literary History as a Challenge to Literary Theory” by Hans Robert Jauss and Elizabeth Benzinger

1. Jauss, Hans Robert, and Elizabeth Benzinger. “Literary History as a Challenge to Literary Theory.” New Literary History, vol. 2, no. 1, 1970, pp. 7–37. JSTOR, https://doi.org/10.2307/468585. Accessed 13 Nov. 2024.
2. Foley, John Miles. “Genre(s) in the Making: Diction, Audience and Text in the Old English Seafarer.” Poetics Today, vol. 4, no. 4, 1983, pp. 683–706. JSTOR, https://doi.org/10.2307/1772320. Accessed 13 Nov. 2024.
3. Jauss, Hans Robert, and Elizabeth Benzinger. “Literary History as a Challenge to Literary Theory.” New Literary History, vol. 2, no. 1, 1970, pp. 7–37. JSTOR, https://doi.org/10.2307/468585. Accessed 13 Nov. 2024.
4. Mailloux, Steven. “Literary History and Reception Study.” Interpretive Conventions: The Reader in the Study of American Fiction, Cornell University Press, 1982, pp. 159–91. JSTOR, http://www.jstor.org/stable/10.7591/j.ctt207g64r.11. Accessed 13 Nov. 2024.