Breaking the Magic Spell: Politics and the Fairy Tale
Author(s): Jack Zipes
Source: New German Critique, No. 6 (Autumn, 1975), pp. 116-135
Published by: New German Critique
Stable URL: http://www.jstor.org/stable/487657 .
Accessed: 15/12/2013 13:32
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at .
http://www.jstor.org/page/info/about/policies/terms.jsp
.
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of
content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms
of scholarship. For more information about JSTOR, please contact support@jstor.org.
.
New German Critique and Duke University Press are collaborating with JSTOR to digitize, preserve and
extend access to New German Critique.
http://www.jstor.org
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
BreakingtheMagic Spell:
Politicsand theFairyTale*
byJackZipes
Politicsand the fairytale. Powerstrugglesand magic. One is temptedto
ask what all those enchanting,loveable tales about fairies,elves, giants,
kings,queens,princes,princesses,dwarfs,witches,peasants,soldiers,beasts
and dragonshaveto do withpolitics.One is temptedbythemagic spellofthe
tales,so it wouldseem,to obliteratetheirreal historicaland social basis and
to abandon oneselfto a wondrousrealm whereclass conflictdoes not exist
and whereharmonyreignssupreme.Yet, ifwe rereadsome of the taleswith
historyin mind,and ifwe reflectfora momentabout the issuesat stake,it
loveabletalesare filledwithall sorts
becomesapparentthattheseenchanting,
overkingdoms,rightful
ofpowerstruggles
rule,money,women,childrenand
land, and that their real "enchantment"emanates from these dramatic
conflictswhose resolutionsallow us to glean the possibilityof makingthe
world,that is, shapingthe worldin accord withour needs and desires.In
essence,themeaningof thefairytalescan onlybe fullygraspedif the magic
spell is brokenand if the politicsand utopianimpulseof the narrativesare
forceswhichdistinguished
themfirstas a prerelatedto the socio-historical
capitalistfolkform(Volksmarchen)in an oral traditionand whichthengave
rise in Germanyat the end of the 18th centuryto a bourgeoisart form
(Kunstmarchen)that has its own modernliterarytradition.
Sincewe lack an adequate history
of thefolkand fairytales,and sincethey
have unique national and cultural developments,I want to limit my
discussionto thepoliticsofthetalesin Germanyduringthe18thand theearly
19th centurieswith the intentionof dispellingfalse notions about both
the politicsis not the only
narrativeforms.Needlessto say, understanding
one
can
take
to
folk
and
tales.
such a perspectivewill
Yet,
fairy
approach
show that it is only the Marxistmethod which can lead to a historical
clarificationand a total view of theseparticulargenres.
Heretofore,criticshave not been concernedwith explainingthe sociopoliticalconnectionbetweenthefolkand fairytale. Mostof theresearchhas
been conductedin the area of the folktale withheavyemphasison anthro-
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
117
pological, sociological,psychological,philologicaland literarymethods.1
The anthropologicaland sociological studies reveal divergenttendencies
whichoftencomplementone another: the so-called FinnishSchool, best
in AmericabytheworkofStithThompson,2seeksto reconstruct
exemplified
the historyof a tale by tracing,collectingand categorizingall its variants;
the receptionist-biographical
approach focuseslargelyon the specificinput
folknarratorsmakein retellingthetalesand howtheyare influencedby their
research centers around
communities;3 the ethnological-comparative
in
and
national
characteristics
the tales by comparing
isolating
examining
variantsof different
countries.4Psychologicalinterpretations
alwaysdepend
on theadherenceto a particulardisciplineand schoolof thought.5Obviously
theJungiansand Freudianshave been among the most activein thisfield:
Jungianshavediagnosedthepatternsand figuresofthetalesin relationto the
oftheunconscious,following
archetypes
Jung'slead in his famousessay"The
Phenomenologyof the Spirit in the Fairy Tales," while Freudians and
neo-Freudianshave made exhaustivestudiesof the tales in connectionto
sexual drives,dream symbolismand phases of sexual developmentand
maturation.The philologicalschool has concentratedmainlyon providing
correcttexts,documentsand thoroughexplicationsof the originaltales. An
ofthephilologicalschoolis theformalist.
offshoot
Here theworkof Vladimir
in
in
that
he was the firstto show
the
has
most
influential
1920s
been
Propp
of thetalesas thoughtheirgenetic
themorphologicalpatternsand structures
and
developmentwere bound by theirown aestheticlaws.6 Structuralists
to
include
formalist
scholars
have
moved
from
this
approach
literary
purely
the folktale in a largerculturaldevelopment,and here the workof Max
1. For a good discussion of the differentapproaches, see Mathilde Hain, "Die
fber die letztenJahrzehnte
(etwa 1945-1970),"Deutsche
Volkserzahlung:Ein Forschungsbericht
45 (May 1971), 243-274,and Richard M. Dorson,"Foreword,"Folktalesof
Vierteljahrsschrift,
Germany,ed. Kurt Ranke (Chicago, 1966), pp. v-xxv.
2. See The Folktale(New York,1946). The FinnishSchool'sworkis bestrepresented
byAntti
ed. Felix
Aarne. See the essay "Ursprungder Marchen" in Wege der Mdrchenforschung,
Karlinger(Darmstadt,1973), pp. 42-60. This excellentcollectionofessayscontainsshortpieces
of different
schoolssuch as Reuschel,Leyen, Panzer, de Boor, von Sydow,
by representatives
R6hrich,Ltthi, K. Ranke and Pop.
3. A good example of this type of work is Otto Brinkmann,Das Erzahlen in einer
(Manster, 1931).
Dorfgemeinschaft
4. See GottfriedHenssen, ed., MecklenburgerErzahlen...aus der SammIung Richard
Wossidlos(Berlin, 1958) and Reinhold Btinker,Schwdnke,Sagen und Mdrchen heanzischer
Mundart (Leipzig, 1906).
5. There is an excellentcollectionof essayscoveringthe different
approaches: Wilhelm
und Tiefenpsychologie
Laiblin, ed., Marchenforschung
(Darmstadt,1969). See also Paulo de
Carvalho-Neto,Folkloreand Psychoanalysis
(Coral Gables, 1972).
6. Morphologyof the Folktale,2nd rev. ed., Indiana University
(Bloomington,1968).
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
118
NEW GERMAN CRITIQUE
Lithy has had greatimpact.7He has studiedthehistoricaldevelopmentand
relationofthefolktalewithothergenresand explainedhowfolkmotifsplaya
rolein otherformsofliterature.Withthe exceptionof the remarkablework
the importanceof the
by Linda Dtgh,8 whotendsperhapsto overemphasize
few
to
folk
scholars
have
tried
the
tale in the broader
storyteller,
very
place
in
even
contextofa socio-cultural
and
development,
Degh'sbook,notenough
attentionis paid to thepoliticsofthetales.In thisregard,despiteitsimmense
thescholarshipin thisfieldhas simultaneously
contribution,
playeda partin
a
the
of
the
over
vital
tales,
casting magic spell
quality
dilutingtheirsociohistoricalimportand oftenobscuringproblemswithextraneousmaterial.By
focusingon thepoliticsof boththefolkand fairytalesfromthemiddleof the
18thcenturyto thebeginningof the 19th,I wantto seta Marxistframework
whichcan encompassotherscientific
approachesand hopefullyindicatehow
these approachescould be put to a more properuse in a socio-historical
serveto disenchantthe tales. Only
contextand how theycould consequently
can thenatureof theirstructureand contents
throughsuch disenchantment
be fullycomprehended.
Over thecenturiestheinfluenceof folkand fairytaleshas notdiminished.
On thecontrary,
holdoverour real
theycontinueto exercisean extraordinary
and imaginativelivesfromchildhoodto adulthood.The enormousamountof
to thisas does theconstantuse and transformation
of this
scholarshiptestifies
material in novels,poetry,films,theater,tv, comics,jokes and everyday
conversation.Recentlythe thrivingpornographicindustryhas sought to
capitalizeon thegeneralattractionto folk-talemotifsbypublishingvolumes
ofsexyfairytales. The motifsand storiesappear to be so well-known
and so
much part of our livesthat mere allusionis all that is necessaryto provide
of the folk
pleasureand stimulateinterest.Yet, in fact,our comprehension
and fairytalesremainslimitedand has been coloredperversely
by a culture
whichhas notonlybegottena Walt Disneymonopolyof thismaterial
industry
butwhichalso fogstheunderlying
reasonsforour attractionto the tales. By
relocatingthehistoricaloriginsof thefolkand fairytalesin politicsand class
struggle,theessenceofitsdurabilityand vitalitywillbecomemoreclear,and
itsmagic willbe seen as part of humankind'sown imaginativeand rational
drive to create new worlds that allow for total developmentof human
2nd rev. ed. (Bern. 1960). Marchen, 3rd rev. ed.
7. See Das europaischeVolksmarchen.
(Stuttgart,1968) and theEnglishversionofEs wareinmal(Gottingen,1962), whichis translated
as Once Upon a Time (New York, 1970).
8. Marchen,Erzahlerund Erzahlgemeinschaft
(Berlin,1962). There is also a good surveyof
folktalescholarshipin thechapter"Ueberblick iber die Ergebnisseder bisherigenMArchenforschung,"pp. 47-65. This book was revisedto a certainextentand translatedunder the title
Folktalesand Society(Bloomington,1969).
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIRY TALE
119
qualities.The utopianimpulsehas itsconcretebase. "The magic in the tales
(if magic is what it is) lies in people and creaturesbeing shownwhat they
reallyare,"' and one could add, in being shownwhat theyare reallyand
realisticallycapable of accomplishing.
The termMarchenstemsfromthe Old High Germanmdri,Gothicmers,
and Middle High German Mare, and it originallymeant news or gossip.
Marchen is the diminutiveform of Mdre, and the common term
Volksmarchenor folk tale (of medieval origins)clearlysignifiesthat the
people werethe carriersof thetales. In English,the termfairytale does not
but fromthe Frenchcontede fies
emanatefromtheGerman Volksmarchen
of
and is comparatively
modem
usage. Accordingto the Oxford
speaking
UniversalDictionary,thefirstreferenceto thetermfairytale was in 1750.10
Mostlikelythetermwas derivedfromthepublicationof Madame D'Aulnoy's
book Contesde fies, publishedin 1698 and translatedthe followingyearin
London as Tales oftheFairys." It is extremely
importantto understandthe
social connotationsof the historicaloriginsof the Englishtermfairytale,
whichwas applied to all folktales recordedby the brothersGrimmin 1812
thathave been collectedand translated
and practicallyall the Volksmeirchen
collections
Andrew
intoEnglish,a good example being
Lang's 19th-century
the
term
etc.
Yellow
of the Green,Violet,
However,
fairytale,
Fairybooks,
is a misnomer.Clearly,fairytale refersto the
whenused for Volksmerchen,
writersin the
literary
productionoftalesadapted bybourgeoisor aristocratic
17th and 18th centuriessuch as Basile, Perrault, Madame D'Aulnoy,
Madame de Beaumont, Musl~us and others, who wrote for educated
audiences, and the class nature of the author,which must be studied in
detail, adds a new dimensionto the folktales. Secondly,the termfairytale
came into the language at a particularhistoricaljuncture and gradually
eclipsedthemoreexplicittermfolktale. Sincefairieswereassociatedwiththe
supernaturaland make-believeand sincetheupper-classrecordersof thetale
shiftedthe emphasisof the stories,the originalbasis of the tales became
obfuscated,and it appeared that theircontentsand meaningwere derived
frombizarreoccurrencesand irrationalmindsand notfromactual social and
politicalconditions.In otherwords,it is not by chance thatthe termsfairy
tale and conte de fees enterthe Englishand Frenchlanguages duringthe
9. lona and Peter Opie, The Classic Fairy Tales (London, 1974), p. 11.
10. 3rd rev. ed. (Oxford, 1955), p. 670.
11. The Classic Fairy Tales, pp. 14-15.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
120
NEW GERMAN CRITIQUE
17th and 18th centuries. In feudalism,"the reigningclasses accepted
to distractthem, entertainthem, and lull them to sleep.
storytelling
in these circleswas considerednot an art but a serviceto be
Storytelling
from
the serfand from the entertainer,and it was valued as
expected
such.... While the folktalewas the best-lovedentertainmentat ducal
banquets and in the bedroomsof the big landowners,the tales circulating
amongthepeoplewerebrandedbyboththeclericaland thesecularpowersas
damnable and inspiredby the devil."12Since the imaginativemotifsand
symbolicalelementsof class conflictand rebellionin the pre-capitalistfolk
talesran counterto theprinciplesofrationalismand utilitarianism
developed
bya bourgeoisclass,theyhad to be suppressedor made to appear irrelevant.
The developmentin Germanymakesforan interesting
case study.Given
the spiritof the Aufkldrung,which sought to promote an educational
thesuppressionand deprecationof thefolktale mightseemto be
revolution,
inconsistent
withtheaimsof thebourgeoisie.Yet, "theidea of educationfor
thepeople (Volksbildung)in the 18thand 19thcenturieswas a contradictory
matter.And this contradictionbecame even more pronouncedwhen the
bourgeoisie,whichhad at firstmade itselfthechampionofeducationforthe
of the 'people,' i.e., the peasant,
people, had to recognizethatthe interests
and
were
not
strata,
(any longer) identicalwith the
plebeian
proletarian
of
The
interests
domination.
'educators
of the people' in the 18th
bourgeois
and 19th centuries(increasinglysupportedby the courtsof politicalrule,
whichput throughbans on reading and education,for instance,through
censorship)soughtto solvethiscontradiction
by arguingfortheconceptof a
To be sure,thepeople shouldbe educatedand learn
'limitedenlightenment.'
how to read--but the contentsof thiseducationand readingwas to remain
controlled."13
The controlswerenotonlyplaced on thefolktalesbut on all literary
forms
whichappealed to the imaginationand mightstirrebelliousimpulses.14In
censoredin two ways: 1)
regardto the folktales,theywere predominantly
theywerenot publishedand circulatedin theiroriginalformas told by the
lower-classstorytellers--the
brothersGrimmmade the firstattemptalong
theselinesin theearly19thcentury,and evenhere,theystylizedthetalesto a
certaindegree; 2) insteadof folktales,the newspapers,weeklies,yearbooks
and anthologieswerefilledwithand floodedthemarketwithdidacticstories,
the
fables,anecdotes,homiliesand sermonswhichwereintendedto sanctify
12. Degh, Folktalesand Society,pp. 65-66.
13. DieterRichterand JohannesMerkel,Marchen,Phantasieund soziales Lernen (Berlin,
1974), pp. 22-23.
14. Ibid., 22.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
121
interestsof the emergingmiddle class.-' As Leo Balet and E. Gerhard
was theunique era ofmoralismand was insistent
on
remark,the18thcentury
ofmankind.16However,themoralsproved
preachingabouttheperfectibility
themselvesto have a class bias whichexcluded the "imperfect"lower-class
elementsofsocietyand theirculturalformsas well. In Germany,thefolktale
as a pre-capitalistart formcontinuedto be preservedand cultivatedby the
commonpeople throughoutthe 18th and 19th centuries.As Linda D(gh
pointsout: "Withthe spreadof literacy,the growthof urban life, and the
developmentof culturaland educational class distinctions,the European
meansofartisticexpressionforthe
folktalebecameone ofthemostimportant
loweststrataof society,since educationof the people progressedonlyvery
amongthe educational
slowlyas a resultof increasingly
strongerdistinctions
elite. The fundamentalfeudal aspect of the folktaledid not change, or
Thoughelementsofmoderntechnology
penetratedthe
changedonlyslightly.
it. The uneven industrialand
folktale,theydid not essentiallytransform
urban developmentin Europe had its effectupon the existenceof the
folktale:the mightyindustrialevolutionin WesternEurope made peasants
intoa middleclass. The folktaleremainedwithinthelowermiddleclass and
retiredto thenursery."'7As the bourgeoisiegraduallysolidifieditselfinto a
classin Germany,thefolktale began to be regardedwithsuspicionand was
and lack ofmorals,i.e.,
artbecause of itssupposedvulgarity
labeled inferior
it belongedto the illiteratelower classes and did not contain a bourgeois
ethos.18In its place bourgeoiswritersindustriously
produceddidactictales
withthelawsof
whichpreachedhowone was to conductoneselfin conformity
ofthesewritings
arethose
one'ssocialclassandstate-amongthebestknown
Nicolai20published
Friedrich
ofJoachimHeinrichCampe19and Christian
writers
from
theendofthe18thcentury.
therewerecertain
toward
However,
thebourgeoisclasssuchas Wieland(Der goldeneSpiegel,1772),Musius
derDeutschen,1782-86)and Mozart(Die Zauberfltte,1792),
(Volksmarchen
whosaw thefolktale as partof a nationalheritagewhichhad to be recovered
ifa nativeGermanartofhighqualitywereto be developed.These authorsas
wellas the Sturmund Drang writers,who followedmorein the traditionof
15. See W.H. Bruford,Germanyin theEighteenthCentury:The Social Backgroundof the
LiteraryRevival(Cambridge,1965), pp. 291-327,and Klaus Epstein, The Genesisof German
Conservatism
(Princeton,1966), pp. 29-83.
der deutschenKunst,Literaturund Musik im 18. Jahrhundert
16. Die Verbfirgerlichung
(Frankfurtam Main, 1972), pp. 288-299.
17. Dtgh, Folktalesand Society,p. 66.
18. See the introductory
chaptersto Richard Benz, Mdrchendichtungder Romantiker
(Gotha, 1908), and Dtgh, Folktalesand Society,pp. 65-68.
19. See Richterand Merkel,Mlrchen, Phantasie und soziales Lernen, pp. 20-22.
20. See Epstein, The Genesisof German Conservatism,
pp. 38-41.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
122
NEW GERMAN CRITIQUE
Herder,borrowedheavilyfromfolkloreand used it in orderto tryto forgea
sense of unity among the German people. A second wave of German
theromantics,wenta stepfurtherat the end of the 1790s
bourgeoiswriters,
by radicallyutilizingthe folktraditionin a heavilysymbolicalliteratureto
and hypocrisy
ofbourgeoiscodeswhichweregradually
critiquetherestraints
in
of
instituted
being
public spheres interest.In sum, the end of the 18th
saw
the
century
following
development:1) thegradualdesignationof thefolk
tale as inferiorart (Trivialliteratur)
by rapidlygrowingbourgeoisreading
withdidactictales, novelsand
audienceswho were"cultivating"themselves
of the
playswhichespouseda bourgeoisethos,2) a radical transformation
folktale by theromantics,who opposednotonlythecrudemannerin which
thefolktraditionwas beingdiscardedby theirownclass butwho also sought
thefolkmotifsso thattheycould serveas a new artformto
to "revolutionize"
expose and criticizethe growingalienation and banalityof everydaylife
whichwas slowlybecomingdominatedbya bureaucratizedand industrialized
marketeconomy.It shouldbe stressedthat,whilethe romanticsassumeda
positive attitude toward the folk tale and its tradition, these writers
maintaineda minorityposition.In essence,bourgeoisaudiences began to
and moralisticstoriesand novelspublishedby Nicolai
thriveon rationalistic
and lightdidactic plays sanctifying
and otherentrepreneurs
the bourgeois
orderwrittenby Ifflandand Kotzebue.The folktale, thoughit continuedto
exist, was downgraded,as though it were but a figmentof people's
imagination.By dispensingwith the folk tale and establishingtheirown
marketand artformswhichtendedto legitimizetheirinterests
literary
(and
which in part also contained the minorityprotestof the romantics),the
minimizeand controltheutopianimpulseof the
bourgeoisiecouldeffectively
imaginativeelementsin the folk tales, dismissingthem as nonsensical,
irrationaland trivial.
was retained,the 19th centurysaw the
Though the term Volksmdrchen
creation of a new term Kunstmarchenand the relegation of the
to the lower classes and the domain of the householdand
Volksmdrchen
children.While the termfairytale is not the "correct"translationand
ofKunstmarchen,
I shallbe usingit as suchsinceitservesto makea
definition
clearhistoricaldistinction
the Volksmarchen.
The folktale is partof
vis-d-vis
a pre-capitalist
oral
tradition
which
people's
expressestheirwishesto attain
better living conditions through a depiction of their struggles and
contradictions.
The termfairytale is of bourgeoiscoinageand indicatesthe
adventof a new literaryformwhich appropriateselementsof folkloreto
address and criticizethe aspirationsand needs of an emergingbourgeois
audience.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
123
In discussingthe connectionbetween the Volksmtirchen
and Kunstmarchen,it is vital that a furtherdistinctionbe made between those
the folktale at
such as theromanticswho "revolutionized"
bourgeoiswriters
theend of the 18thcenturybyendowingit withnew formsand meaningsin
keepingwithsocial and politicalchanges,and the largerbourgeoisaudience
whichtendedto negatethe originalutopian potentialin the folktales that
was groundedin the commonpeople's driveto realizetheirgoals in conflict
has been thoroughly
investiThis importantdistinction
withtheiroppressors.
in
in
the
folk
tale's
the
historical
of
study
reception GermanybyDieter
gated
Richterand JohannesMerkel.Their book, Marchen,Phantasieund soziales
Lernen,is concernedforthemostpartwiththeimaginativeelementsin folk
tales, and theybeginby takingthe Freudiannotionof the imaginationand
redefiningit in a socio-historicalcontext: imaginationis not only the
needs which are bound by
necessaryproductof an individual'sunfulfilled
butit is sociallyand historically
staticinfantilesexualwishesforgratification,
conditioned and embraces more than sexual desires. According to
Richter-Merkel:
"Imaginationis theorganizerofmediation,in otherwords,
the [mental]labor processthroughwhichnatural drives,consciousnessand
the outerworldare connectedwithone another."21Hence, imaginationis
historicaland changes; it can be used not onlyto compensateforwhat is
lackingin realitybut can be used in realityto supplypracticalcriticismof
oppressiveconditionsand the hope for surmountingthem.
Richterand Merkelarguethatthe dominationof the bourgeoisieand the
socializationprocesswhichdevelopedsince the 18th centurycontributedto
theimaginationof all segmentsof society,thereby
organizingand controlling
its
preventing emancipatorypotentialfrombeing realizedwhetherin action
thispoint,theystudythefunctionof imaginative
or in artforms.To illustrate
elementsin the folktale and show how theyunderwenta decisivechange
in books
whenthebourgeoisiebegan consciouslyto controltheirtransmission
and magazines.As we know,thefolktaleswereoral narrativesand contained
popular motifswhichwerethousandsof yearsold. In each historicalepoch
by the narratorand audience in an active
theyweregenerallytransformed
and interchangeto producea versionwhich
mannerthroughimprovisation
would relateto thesocial conditionsof the time.These tales did not spring
froma supernaturalrealm,nor weretheyconceivedforchildren.The basic
natureofthefolktalewas connectedto theobjectiveontologicalsituationand
dreamsof thenarratorsand theiraudiencesin all age groups.In theirclose
studyof the Grimm'scollectionof folktales, Richterand Merkelshow that
21. Marchen, Phantasie und soziales Lernen, p. 18.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
124
NEW GERMAN CRITIQUE
thesenarratives,
eventhoughmarkedbybourgeoisstylization,
all retainhope
conditionsoflifeand thattheimaginativeelements(miracles,
forimproving
of the desiresof the
magic) functionto bring about a real fulfillment
protagonistswho were oftenunderdogsor victimsof social injustice.
To theextentthatRichterand Merkelshowhowliberatingtheimagination
can be and how it has been curbed in bourgeoissociety,theirbook is an
immenselyvaluable contributionto the theoreticalstudyof folkand fairy
tales. However,thereis one significant
problemwiththeirwork:theydo not
the
of
aspects the imaginativeand emancipatory
investigate contradictory
elementsin the folktale.22Whereasit is truethatchange is realizedin the
tales, thischange reflectsthe desireof the lowerclasses to move up in the
worldand seize poweras monarchs,not necessarilythe desireto altersocial
relations.The endingsofalmostall folktalesare notsolelyemancipatory,
but
actually depict the limits of social mobilityand the confinesof the
of that
imagination.Still, the tales are vividimages of the contradictions
period, and theyglimpsethe need and possibilityforlimitedchange.
The Marchen,as weknowittoday,is a folkformof artwhichstemslargely
fromlate feudalismand earlycapitalism.This was the period in Germany
when the tales became of general interest,were collected and recorded.
Therefore,in analyzinga particulartale it is necessaryto take intoaccount
whereand whenitwasrecorded,whatpossiblechangesweremade in thetale
which might have originatedthousandsof years ago, and what unique
contribution
thestoryteller
mayhave made in lightof communalconditions.
Oftenit is difficult
to be exactin demonstrating
wheredefinitechangeswere
made in a particularversionof a tale. However,we do know fromthe
historicalevidenceand different
versionsgatheredbytheFinnishSchool that
in theactivetellingof thetalesthecontentswereeasilyapplicableand made
applicable to theconditionsof late feudalismand earlycapitalism.Thus the
folktale as an artformthatwas changedconstantly
byitscarrierscan be said
22. For the debate about the functionof imaginativeelementsin fairyand folk tales,
particularlyamong Marxists, see Christa Burger, "Die soziale Funktion volkstiimlicher
1, ed. Heinz Ide (Stuttgart,
Erzihlformen--Sageund Marchen," ProjektDeutschunterricht
1971), pp. 26-56; MartinFreiberger,"Wirklichkeit
und kindlichePhantasie,"kfirbiskern,1
"Warumnichtauch die altenMarchen" kfirbiskern,
(1974), 51-67; ElviraH5gemann-Ledwohn,
1 (1974), 70-73; BerndWollenweber,"Marchenund Sprichwort,"
6,
ProjektDeutschunterricht
ed. Heinz Ide (Stuttgart,1974), pp. 12-92.See also WilfriedGottschalch's
reviewof the Richter
and Merkel book, "Kinderunterhaltung:Phantasie und Marchen," in Aesthetik und
Kommunikation,20 (June1975), 85-87.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIRY TALE
125
tobe stampedbytheunevenhistoricaltransition
fromlate feudalismto early
capitalismin Germany.To thisextentthe fairytale (Kunstmarchen)is the
of thispre-capitalist
folkformarisingin Germanylargely
bourgeoisification
because of the social changes and upheavals in the 18th century.
As pre-capitalistart form,the folk tale presents,in its partialityfor
metallicand mineral,a setand solid, imperishableworld.23This
everything
imperishableworldcan be linked to conceptsof medievalpatriarchalism,
monarchyand absolutism,particularlyin the 17th and 18th centuriesin
Germany.The worldof the folktale is inhabitedlargelyby kings,queens,
princes,princesses,soldiers,peasants,animals and supernaturalcreatures,
rarelyby membersof the bourgeoisie.Nor are theremachinesand signsof
In otherwords,the main charactersand concernsof a
industrialization.
monarchisticand feudal societyare presented,and the focus is on class
struggleand competitionfor power among the aristocratsthemselvesand
betweenthe peasantryand aristocracy.Hence the centralthemeof all folk
tales: "mightmakes right."He who has powercan exercisehis will, right
wrongs,becomeennobled,amassmoneyand land, winwomenas prizes.This
is whythe people (das Volk) were the carriersof the tales: the Marchen
cateredto theiraspirationsand allowed themto believethat anyonecould
become a knightin shiningarmoror a lovelyprincess,and theyalso presentedthestartrealitiesofpowerpoliticswithoutdisguisingtheviolenceand
brutalityof everydaylife. The manner of portrayal,as Max Liithi has
shown,24is direct,clear, paratacticaland one-dimensionalin its narrative
perspective,and thisnarrativepositionreflectsthe limitationsof feudal life
curtailed.So it is in the
to one's situationwereextremely
wherealternatives
folktale. There is no mentionof anotherworld.Onlyone side of characters
is confinedto a realm without
and livingconditionsis described.Everything
morals,whereclass and powerdeterminesocial relations.Hence, the magic
and miraculous serve to rupture the feudal confines and represent
theconsciousand unconsciousdesiresof thelowerclasses."A
metaphorically
is a criticism
of ossifiedreality.
worldinverted,an exemplary
world,fairyland
It does not remainside by side withthe latter; it reactsupon it; it suggests
thatwe transform
it,thatwe reinstatewhatis out of place." 25This statement
Frenchfairytalesis applicableto thefolktale as well
Michel
Butor
about
by
and pointsto thesocial critiquelatentin the imaginativeelements.The fact
seeka totalrevolution
thatthepeople as carriersof thetalesdo notexplicitly
discussionof the folktale's styleand form,see Ltithi'sDas
23. For themostcomprehensive
europdischeMarchen.
24. Ibid.
25. MichelButor,"On FairyTales," EuropeanLiteraryTheoryand Practice,ed. VernonW.
Gras (New York, 1973), p. 352.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
126
NEW GERMAN CRITIQUE
and utopianaspectin
ofsocial relationsdoes notminimizetherevolutionary
theimaginativeportrayalofclassconflict.Whatevertheoutcomesofthetales
in thatthey
are-and forthemostpart,theyare happyendsand "exemplary"
affirma morejust feudal orderwithdemocratizing
elements--theimpulse
and critiqueof the "magic" is rooted in a historically
explicable desire to
overcomeoppressionand change society.
Perhapsthebestknownand mostwidelycirculatedcollectionoffolktalesis
thatof the BrothersGrimm.These Marchenwererecordedduringthe first
decade of the 19thcenturyin the Rhineland. They were told in dialect,
largelybyservants,housewives,a watchmanand inhabitantsfromtownsand
small cities and were stylizedand transcribedinto High German by the
Grimms.Consequently,a thoroughanalysisof the tales must take into
accountthe backgroundof the narratorsand theircommunities,the social
upheavals of the times caused by the Napoleonic Wars, the advent of
oftheGrimms,includingtheirreasonsfor
and theperspective
manufacturing
folk
tales
for
their
collection. In dealingwiththepoliticsof
certain
choosing
the tales I want to limitmydiscussionto an analysisof the socio-historical
in twotales,How Six Travelledthroughthe Worldand
conditionsas reflected
Hansel and Gretel,to demonstratehow connectionsmightbe made to the
actual strugglesof thatperiod. In the first,How Six Travelledthroughthe
World,theelementsofclassstruggleare mostapparent,and theentirefeudal
systemis placed in question. In thesecond,Hansel and Gretel,whichis more
widelyknownand has been watereddown in modernversions,the social
are at firstnot as clear. For audiencesof the 18thand early19th
references
forthe peasantry,the social and politicalsignswere
centuries,particularly
unmistakeable.
How Six Travelled throughthe World concerns a man, who "was
in all kindsofskills,"26serveda kingvaliantlyduringa war, but
well-versed
was miserablypaid and dismissedby the king when the war ended. The
soldierswearsthathe will avengehimselfif he can findthe rightpeople to
help him. Indeed, he encountersfivepeasants,who possessextraordinary
powersand agree to assisthim. The soldier seeks out the king, who has
declaredin themeantimethatanyonewho can defeathis daughterin a foot
race can marryher.Ifshehappensto win,deathis thereward.Withthehelp
ofhisfriendsand theirsupernatural
gifts,thesoldierwinstherace. However,
thekingbecomes"irritatedand his daughterevenmorethatsuch a common
in hisemployshouldwinthewager."27The kingplotsto kill
soldierformerly
26. Kinder-undHausmdrchen(Munich,1963), p. 387. The Germantitleofthetale is Sechse
kommendurch die ganze Welt.
27. Ibid., p. 389.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
127
the soldierand his friends,but theyoutsmartthe king, who promisesthe
soldierall thegoldhe can carryifhe renounceshis claim to theprincess.The
soldieragreesand has one of his friends,who has enormousstrength,carry
away the wealthof the kingdom.The kingsends the royal armyafterthe
soldierand his friendsto retrievethe gold. Of course,theyeasilydefeatthe
army,divide the gold amongstthemselves,and live happilyever after.
It is obviousthatthistale treatsa social problemof utmostconcernto the
lowerclasses. In the 18thcenturyit was customaryforthe state to recruit
soldiersforstandingarmies,treatthemshabbilyand abandon themwhen
therewas no moreuse forthem.Here the perspectiveof the storyis clearly
thenarratorand
thatof thepeople, and thoughitsoriginsare pre-capitalist,
theGrimmswereprobablyattractedto itsthemebecause of itsrelationto the
Napoleonic Wars and perhapseven the Napoleonic Code (institutedin the
Rhineland). Common soldierswere indeed treatedmiserablyduringthese
In thistale
wars; yet,theCode gaveriseto hopesforgreaterdemocratization.
a commonman showshimselfto be the equal of a kingif not better.The
miraculous
symbolicof the real hidden qualities
talents--themagic--are
or
whichhe himself
possesses, theymightrepresentthe collectiveenergiesof
small people, the powertheyactuallypossess.When thesetalentsare used
properly,thatis, whenused to attaindue justiceand recompense,thepeople
are invincible,a theme common to many other folk tales such as The
Bremen Town Musicians. Thus, the imaginativeelementshave a real
referencein historyand society,for the peasant uprisingsand the French
Revolutionin the 18thcenturywere demonstrations
of how the oppressed
people could achievelimitedvictoriesagainstthe nobility.To be sure,these
victorieswere oftenof shortduration,and the peasants and lower estates
could be dividedor pacifiedwithmoneyas is the case in thistale, wherethe
social relationsare not changed. Still, it is importantthat the tale does
illustratehow commonpeople can worktogether,assertthemselvesactively
and achieve clear-cutgoals, using theirskillsand imagination.
The storyofHansel and Gretelis also a storyofhope and victory.Again the
perspectiveis plebeian. A woodcutterdoes not have enoughfood to feedhis
ofhischildren,convinceshimthattheymust
family.His wife,thestepmother
abandon his childrenin the woods in order to survive.The childrenare
to trickand killher.
almostdevouredbya witch,but theyuse theiringenuity
No foolingaroundhere.Then Hansel and Gretelreturnhomewithjewelsand
embrace theirfather.
The struggledepictedin thistale is againstpovertyand againstwitcheswho
Here again the imaginativeand
have housesoffoodand hiddentreasures.28
28.
Cf. B. Wollenweber,"Marchen und Sprichwort,"pp. 24-28.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
128
NEW GERMAN CRITIQUE
magicelementsofthetalehad specificmeaningsfora peasantand lower-class
audienceat theend ofthe18thcentury.The warsofthisperiodoftenbrought
withthemwidespreadfamineand povertywhichwere also leading to the
breakdownof the feudal patronagesystem.Consequently,peasants were
oftenleftto shifton theirown and forcedto go to extremesto survive.These
extremesinvolvedbanditry,migrationor abandonmentof children.The
hereto symbolizetheentirefeudal
witch(as man-eater)could be interpreted
systemor the greed and brutalityof the aristocracy,responsiblefor the
therealizationof
conditions.The killingof thewitchis symbolically
difficult
the hatred which the peasantryfelt for the aristocracyas hoardersand
oppressors.It is importantto note thatthechildrendo not turnagainsttheir
as one mightthinktheywould. On the contrary,they
fatheror step-mother
reluctantly
comprehendthesituationwhichforcestheirparentsto act as they
do. That is, theyunderstandthe social forcesas being responsiblefortheir
plightand do notpersonalizebyviewingtheirparentsas theirenemies.The
of thetale is significant,
forit helpsexplainthetolerantattitude
objectifying
not
towardthestep-mother
is
(which
alwaysthecase). It mustbe remembered
that women died young due to frequentchild-bearingand unsanitary
werecommonin households,and thisoften
conditions.Thus, step-mothers
withthechildrenfromformer
led to difficulties
wives.In thisrespect,thetale
reflectsthestrainedrelationsbut sees themmore as a resultof social forces.
The step-mother
is notcondemned.Neitherbythenarratoror the children.
return
unawarethatshe is dead. They returnhome withhope
home,
They
and jewels to put an end to all theirproblems.
In boththesetalesclassconflictis portrayedin lightof pre-capitalist
social
conditionswhichwerecommonin the late 18thand early 19thcenturiesin
Germany.In neithertale is therea politicalrevolution.What is importantis
thatthecontradictions
are depicted,wherebytheprejudicesand injusticesof
feudalideologyare exposed.The magic and imaginativeelementsare closely
forthepeasantryto changeconditions,albeitin a
tiedto therealpossibilities
limitedway.The emphasisis on hope and action.The soldierand hisfriends
act and defeatthekingwhenevertheyare tested.Hansel and Gretelact and
killthewitch.The formof thetale, itsclosed,compactnature,is shaped by
the individualcarriers,who distributethe storiesand allow the common
people to learnhowtheymightsurvivein an unjustsocietyand strugglewith
hope. Whateversymbolsand magic are used can clearlybe understoodwhen
placed in the historicalcontextof the transitionfromfeudalismto early
capitalism.
Naturallyit could be arguedthatthefolktale has nothingat all to do with
the socio-politicalconditionsof feudalism.That is, the folktale originated
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
129
thousandsof yearsago, and we stilldo not knowhow or when. But we do
knowthatit was cultivatedin an oral traditionby the people and passed on
fromgenerationto generationin essentially
basic patternswhich
35 different
havebeen keptintactoverthousandsofyears.As VladimirPropphas shown,
of elementswithinthe patterns,and these
therehave been transformations
changesdepend on the social realitiesof the period in whichthe tales are
told.29Linda D6gh clarifiesthispoint in her thoroughexaminationof the
in a Hungarianpeasant community:"Our
social functionof thestoryteller
knowledgeof European folktalematerialstemsfromtwo sources: literary
of the traditional
worksand oral tradition.The moststrikingcharacteristic
and conceptswhichwe discover
taleliesin thefactthatthesocial institutions
in it reflectthe age of feudalism.Thus the questionof the originof the
folktalecoincideswiththatof the originof literaturein general."30Clearly
the folktales collectedin the 17th, 18th and 19th centuries,thoughthey
preservedaestheticpatternsderived frompre-capitalistsocieties, did so
elementsand motifscontinuedto
because thesepatternsplusthetransformed
reflectand speakto theconditionsofthepeople and thedominantideologyof
the timesto a great degree. Though primitivein origin,the folk tale in
Germany,as toldin thelate 18thcenturyand collectedbytheGrimmsin the
early 19th, related to and was shaped by feudal conditions.
During the transitionalperiod fromfeudalismto capitalismin Germany
whentheaspirationsoftheemergingmiddleclassbecame morepronounced,
increasedthe
whena trendtowardunificationof the different
principalities
chances for expanded trade and manufacturing,when growingpublic
education led to greaterliteracyof the people, another art form, the
whichoweditsoriginsto thefolktale, began to develop.This
Kunstmarchen,
of the folktale both as short
be
called the bourgeoisification
tale
can
fairy
narrativeand drama. Fromthe verybeginning,if we examinethe worksof
and otherstowardthe end of the
Wieland, Muslus, Klinger,Jung-Stilling
18thcentury,we can see thatthe fairytale derivedits perspectivefromthe
socio-politicalconcernsof the respectiveauthors.The folktale as a popular
narrativeand dramaticformwhichaddressedthe needs and dreamsof the
masses during feudalismwas gradually appropriated and reutilizedby
des contesfantastiques,"Thdoriede la littuature,trans.and
29. See "Les transformations
ed. Tzvetan Todorov (Paris, 1965), pp. 234-261.
30. D6gh, Folktalesand Society,p. 65.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
130
NEW GERMAN CRITIQUE
whosoughtto expresstheinterests
and conflicts
of therising
bourgeoiswriters
middle classes duringearlycapitalism.
At firstthe fairytale was hamperedby too much of a dependenceon the
originalfolktale and feudalideology.It was not untilthe 1790swhenGoethe
Das Mlrchen,whichconcernsthe FrenchRevolution
withhis programmatic
and the formationof a new societybased on ideas of social reformism
and
and theromanticsfirstwiththetalesofWackenroder,Tieck and
classicism,31
Novalis and later withthoseof Brentano,Eichendorff,
Fouqu6, Chamisso,
Hoffmannand others,weredrawnto thisformthatitsreal "revolutionary"
ofthetale is theemphasison
Characteristic
potentialcould be demonstrated.
class conflictinvolvingprogressive
segmentsof the bourgeoisieagainstmore
elements.The newhero is no longera princeor peasant,but a
conservative
bourgeoisprotagonist,
generallyspeakingan artist,the creativeindividual,
who has numerousadventuresand encounterswith the supernaturalin
pursuitof a "new world" wherehe will be able to develop and enjoy his
talents.The quest is no longerforwealth and social status (though class
struggleis involved)butfora changein social relationsand a millenium,and
thisis significant,
forit reflectedthe influenceof theAmericanand French
Revolutionsand other revolutionary
movementsat the end of the 18th
worldof absolutismalwaysremainsintact,the
century.Whereasthefolk-tale
chaos, confusion,
fairytale recordsthebreakdownof an old worldstructure,
to attaina newworldwhichmightallowforgreaterhumane
and thestriving
conduct. In its form,the fairytale is multi-dimensional,
hypotacticalnot
to distinguish
betweenthe
paratactical,and open-ended.Oftenit is difficult
unrealand therealin thetale. This complexmode of portrayalagain reflects
a change in societywhere new perspectivesand stylesof life were more
accessibleto and wereappropriatedby themiddleclassesand whereeverytraditionwas
thingassociatedwiththefeudalworldand theJudaeo-Christian
broughtinto question.
As an expressionof the progressiveelementsof the bourgeoisiein early
capitalism,the fairytale at first,both in formand content,places a high
regard on the freedomof the creativeindividual, opposes the growing
mechanizationof life and the alienationcaused by capitalism,and implies
thatman mustmasterboth his own talentsand timeto create a new world
wherehumanismreigns,not harmony.In contrastto the one-dimensional
worldof the folktale, theworldof the fairytale has a broaderspectrumof
social types.Ideologicalelementsassociatedwithfreeenterprise,
wage labor,
accumulationand profitare added, questionedand critiqued.Anti-capitalist
31. See Hans Mayer, "VergeblicheRenaissance: Das 'Marchen' bei Goethe und Gerhart
Hauptmann," Von Lessing bis Thomas Mann (Pfullingen,1959), pp. 356-382.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
131
attitudesare frequent(fordifferent
reasons,of course) in the fairytales of
Brentano(Gockel, Hinkel und Gackeleia), Eichendorff(Libertas und ihre
Freier),Chamisso(PeterSchlemihl)and Hoffmann(KleinZaches and Meister
Floh) and become more pronouncedby the end of the 19th centuryin
Hofmannsthal's
Geschichtedes Kaufmannsohnes
und seinervierDiener and
in
the
20th
century HorvAth'sSportmarchenand Dablin's Marchen
during
vom Materialismus.Machines, inventions,automatonsand cities become
standardpartsof the settingsas Marianne Thalmann has demonstratedin
Romantikerentdeckendie Stadt.32Subjectivity
assumesa more important
role. The tale is now part of a literarytradition,and the language is more
subtleand metaphorical.The action,ideas and formsdependon theauthor's
socio-politicalstance. In fact,it was throughthe fairytale as narrativeand
drama that bourgeois artistspresentedthe need for social change by
purposelyreutilizingfolk motifs,elementsand plots. One could possibly
argue thatGermanbourgeoisartistswereparticularlyattractedto the fairy
talesincetheycould writetheirsocial and politicalprotestsin a typeof "slave
language." Given the censors during the Napoleonic Wars and early
Metternich
periodand therestraints
placed on theirenergiesand progressive
and intellectuals
becameproneto a metaphysical
drive
ideas,Germanwriters
to interiorize,33
and the fairytale was a suitable metaphoricalmode to
expresstheir unfulfilledwishes for greatersocial and cultural freedom.
tookan elitistpositionand portrayedthe artistas savior
Thoughsomewriters
ofsociety,theyall recognizedthata newworldhad to be formedout of chaos,
and this world can be likened to a world of eros, ideologicallyand
aesthetically
projectedas a world wherethe creativenature of all human
is
allowed
fulldevelopmentand wheredifferences
betweenpeople are
beings
cultivatedand respected.No matterwhat has become of the fairytale, its
and progressive,
not escapist,as has
main impulsewas at firstrevolutionary
too oftenbeen suggested.The realmof the fairytale containsa symbolical
reflectionof real socio-politicalissuesand conflicts.
32. Munich, 1965.
33. See the excellent study by Hans J. Haferkorn,"Zur Entstehungder biLrgerlichin Deutschlandzwischen1750 und 1800," in
literarischenIntelligenzund des Schriftstellers
und literarische
DeutschesBairgertum
Intelligenz,ed. BerndLutz (Stuttgart,1974). On p. 114,
he remarks:"Since the aristocracypreventedthe free-lancewriterfromparticipatingin the
decision-making
process,and thereby,at thesame timeexcludedhimfromthatsocial situation
thereremainedonlythewayof
inwhichhe could havefullydevelopedhis bourgeoispersonality,
typesof inwardness(Innerlichkeit)in which the free-lance
resignation.This led to different
leftno otherrecoursebut to make
writer-estrangedfromhisliterary-political
possibilities--was
thepoliticallyhomelessmembersofthe'middlestrata,'i.e., thebourgeois'class,' appear noble in
an aestheticsense."
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
132
NEW GERMAN CRITIQUE
In theearlyphase ofromanticism,
Wackenroder,Tieck and Novaliswrote
of
drew
towardtherationalist
tales
which
fairy
upon theirresentment
protest
the
utilitarianprinciplesbeinginstitutionalized
by
bourgeoisieand the states
in which they lived. Wackenroder'sEin wunderbaresmorgendlandisches
Mdrchenvon einemnacktenHeiligen(A WonderfulOrientalTale about a
Naked Saint)usesthewheelof timeas a symbolofbourgeoisstrictregulation
of work ("time is money") to demonstratehow humankind and the
imaginationcan be depletedoftheirvitalessencein sucha process.In Tieck's
Der Runenberg,Christianseeksto escape theorderlylifeoftownand garden
since he findssuch respectability
suffocating.Eventuallyhe goes insane
because thereare no optionsforthe imaginationwithinbourgeoisconfines.
In his Klingsohr Marchen, Novalis has der Schreiber (the scribe),
utilitarianrationalism,pose a threatto the creationof a new
representing
realm whichis to be composedof love (Eros) and peace (Freya). Afterthe
Schreiberis defeated,wisdomand imaginationgiveriseto the new realm-obviouslya countermodel to the real Germanstateswhich held creative
forcesin check. In each one of these fairytales there is a socio-political
statementabout existingconditionsalong withan expressionof hope that
humankindcan create non-repressive
societies.
of theradical
Wackenroder,Tieck and Novaliswereonlytheinaugurators
romanticfairytale. E.T.A. Hoffmann,whocame afterthem,is perhapsthe
bestexamplefordemonstrating
howrevolutionary
and utopianthefairytale
could become. Not only was Hoffmannthe culminatorof the romantic
movement,but he was the most originaland ingeniousin exploringthe
aestheticand politicalpossibilities
of the fairytale. Here Der goldene Topf
(The GoldenPot, 1814), conceivedat the end of the NapoleonicWars, at a
time when he was experiencingpersonal difficultiesregarding what
professionalcareerhe shouldpursue(musician,writeror lawyer?)and at a
time whenearlycapitalistmarketconditionsin publishingand the lack of
made the processof writingforunknownaudiencesall the more
copyright
usesthefairytale to make a socio-political
alienating,Hoffmannconsciously
statement.Subtitled"Ein Mairchenaus derneuenZeit,"34Hoffmann's
storyis
dividedinto 12 vigils,two of which recountthe mythof the lost paradise
Atlantis.The plotconcernstheyoungstudentAnselmus,whois in theprocess
of being groomedto become a privycouncillor,but who has a mysterious
encounterwiththe beautifulblue-eyedsnake Serpentina,daughterof the
ArchivariusLindhorst. We are informedthat Lindhorst was actually
banishedfromAtlantisbecause he had violatedthe eroticprinciplesof this
ed. WalterMilller-Seidel
34. E.T.A. Hoffmann,
Fantasieund Nachtsti2cke,
(Munich,1960),
p. 179. "A Tale fromthe New Times."
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
133
paradise.His returnis predicatedon howhe defendstheseprincipleson earth
and whetherhe can findsuitable matchesfor his threedaughters-young
menwho believein thepowersof the imaginationand love. AfterAnselmus
fallsin lovewithSerpentina,he takesa positionwithLindhorstas scribe,and
he discovershis unusual creativepowersas writer.This positionas writer
bringshim into conflictwith the KonrektorPaulmann and Registrator
Heerbrand,who want him to marrythe prim and properVeronika,settle
down as Councillor,and lead an orderly,usefulbourgeoislife. A seriesof
whichinvolvedrunkenness,
missedappointments,
dreamadventures
conflicts
and psychologicaltormentculminatein a majorbattlebetweenthe forcesof
and repression(representedby a witch)and the
rationalism,utilitarianism
forcesof creativity,
imaginationand freedom(representedby Lindhorst).
Lindhorst
wins,and in theend, Anselmusarrivesin Atlantiswhere
Naturally,
he can realizehis love forSerpentinaand givefullreinto his giftsas artist,
forcesoffunctionaries,
whowantto mold him
unharassedbytheconstraining
in theirown image.
Obviouslythereare manylevelsto thistale, and thisshortr6sum6,which
focuses on the socio-politicalimplications,does not do justice to the
remarkableironicmannerin whichHoffmannsubtlyweavesdreams,visions,
3s
mythsand realityto formwhatBaudelaire has termeda paradis artificiel.
The artificialparadiseofthisfairytale is a real compositepictureof thesocial
struggleswhich Hoffmannand other bourgeoisartistsof that time were
experiencing.Anselmusas a youngwriter(or as a memberof the intelligentsia)seeksto avoid themanipulationof civilservantswho want to make
himintoa meretoolof thestate.He senseshis potentialas a creativehuman
beingand seeksto liberatehimselffromforces(Paulmann, Heerbrand)that
seekto chain himto a lifeof drudgery-forces
symbolicalof social rationaliand marketconditions.The movementin the
zation,civilserviceconformity
tale is dialectical: Anselmusswingsbetween two poles, rationalismand
idealism,seekingto incorporatethe best fromboth in orderto achievehis
paradise. His instinctiverebellion(begun in a moment of intoxication)
becomesmoreand more a consciousone duringthe courseof the struggle,
and thestruggleis clearlyagainsta socializationprocesswhichwantsto drain
the individualof his or her creativeand criticalqualitiesforthe profitof a
rulingclass. The verybeginningof thetale involvesAnselmusturningovera
basketof apples and cakessetout forsale bythewitch.This clash, described
as accidental,turnsout to be themajordramaticconflictofthestory:market
versushuman values. As we know fromHoffmann'sother tales like Der
35. See OeuvresComplites,ed. Yves Gerard Le Dantec (Paris, 1961), pp. 323-462.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
134
NEW GERMAN CRITIQUE
Sandmannand Die Automate,he was verymuch disturbedby tendenciesof
earlycapitalismwhichcaused humansand human relationsto assume the
ofthingsand machineswhilethereal productivepowerand quality
properties
ofhumanbeingsbecame distortedand mystified.
Therefore,he endeavored
and in Der goldene Topf, he
to expose thisdehumanizationin his writings,
and artistsfromthebourgeoisclassitselfmustrefuse
arguesthatintellectuals
to participatein sucha demeaningand dementedsocio-economic
processand
musttakea standforanotherworld.This worldis notjustone offlight,but it
is also an imaginativeprojectionofrealpossibilities
for changinghumanand
relations.
productive
The romanticsand theirfairytales have too oftenbeen misread and
misinterpreted,particularlyby Georg Lukics,36 as having initiated
irrationalism
and a literatureof flightand fancyin the Germantradition.
Nobody can deny the idealistic and imaginativefeaturesof romantic
literature.However,it is not importantto ascertainand judge whetherthe
romanticswere consequentlydecadent and irrational,but to comprehend
whyand how theyreacted to those disruptiveand unsettlingsocial forces
fromfeudalismto earlycapitalism.By developingthe
duringthe transition
fairytale, theywereactuallycontinuinga folktraditionwhichtheywantedto
endow with theirown class aspirationsand interests.Specificallytheyall
wanted at different
stages to projectthe possibilitiesfor realizinggreater
freedomin civilsocietythatwas undergoinggreatupheavals.The fairytale
changesand questionsthe limitsof change in a conservative
society.It does
notpresenthappy-endsolutionsbecause therewerenonein reality(exceptfor
Metternich's
"happy"HolyAlliance)at thebeginningof the 19thcentury.In
itscandor and imaginativeuse of folklore,the fairytale provesitselfto be a
characteristic
nationalform,expressing
theneed forgreaterjusticeand more
in oppositionto arbitrary
rationalalternatives
socio-political
repression.Thus
itis notbychance thatalmostall theestablishedand reputablewriters
of the
19thand 20thcenturies(Marike,Stifter,Keller,Heine, Raimund,Nestroy,
Biichner,Storm,Gotthelf,Raabe, Hofmannsthal,Hesse, T. Mann, Rilke,
Brecht,Kafka up throughBil11and Lenz) have turnedto the fairytale not
onlyto seekrefugefromtheGermanmisgrebut to commenton and suggest
thatthe misereneed notbe, thatchangeis possiblein reality.Naturally,the
fairyrealms of each one of these authorsmust be exploredcarefullyin
relationto thepeculiarattitudesand philosophiesofeach author,formanyof
these writershave also used the fairytale to delude themselvesand their
36. Cf. Die ZerstUrung
der Vernunft(Neuwied, 1962) and Skizze einer Geschichteder
neuerendeutschenLiteratur(Neuwied, 1964).
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions
POLITICS OF THE FAIR Y TALE
135
audiencesabout social conditions.Still,at theirsymbolicalbest,theGerman
fairytales include historical and political referenceswhich reveal the
imaginationactivelyservingthe general strugglefor greater clarityand
freedomin society.Indeed, in transcendingthe limitsand springingthe
confinesoftheirownsocietywithmagic,fairytalesprovideinsighton howthe
rationalization
need to be and
systems
processof exploitativesocio-economic
can be humanized. Hence, the reason for our continual return and
attractionto folkand fairytales: breakingthe magic spell in fairyrealms
themagicholdwhichoppressors
andmachines
seemtohold
meansbreaking
overus in our everyday
reality.
BERKELEYJOURNAL
OF SOCIOLOGY
410 BARROWSHALL
UNIVERSITYOF CALIFORNIA
BERKELEY,CALIFORNIA94720
ReviewVol.xix1974-75
A Critical
inChile
andSocialism
Medicine
Waitzkin
and
Modell
America?
Whither
&Plotke
LLHorowitzReply
byJoseph
ontheState
andLenin
Weber
Wright
Outlook
Marxism:A
Prolet-Aryan
&Mack
byHimmelstein
Moore Replies
andGlanz;
A~es,Boggs,
other
articles
byMoreira
Results
ofNegative
the ournal
introducing
The BJS focusses on radical alternatives to
currently dominantparadigmsin social theory.
Subscriptions for the annual issue are $2.50
for individuals, $5.50 for institutions.
Subs. from outside the US and Canada are 500
more due to postage. Please send US bank
check or US moneyorder. Volume XX will be
available after July 21, 1975.
This content downloaded from 137.140.1.131 on Sun, 15 Dec 2013 13:32:22 PM
All use subject to JSTOR Terms and Conditions