"Phenomenology"

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"Phenomenology"
"Phenomenology"

Johns Hopkins Guide for Literary Theory and Criticism entry (2nd Edition 2005)

Paul B. Armstrong

Source: http://litguide.press.jhu.edu/

Phenomenology is a philosophy of experience. For phenomenology the ultimate

source of all meaning and value is the lived experience of human beings. All
philosophical systems, scientific theories, or aesthetic judgments have the status of
abstractions from the ebb and flow of the lived world. The task of the philosopher,
according to phenomenology, is to describe the structures of experience, in
particular consciousness, the imagination, relations with other persons, and the
situatedness of the human subject in society and history. Phenomenological theories
of literature regard works of art as mediators between the consciousnesses of the
author and the reader or as attempts to disclose aspects of the being of humans and
their worlds. The modern founder of phenomenology is the German philosopher
Edmund Husserl (1859–1938), who sought to make philosophy "a rigorous science"
by returning its attention "to the things themselves" (zu den Sachen selbst). He does
not mean by this that philosophy should become empirical, as if "facts" could be
determined objectively and absolutely. Rather, searching for foundations on which
philosophers could ground their knowledge with certainty, Husserl proposes that
reflection put out of play all unprovable assumptions (about the existence of objects,
for example, or about ideal or metaphysical entities) and describe what is given in
experience. The road to a presuppositionless philosophy, he argues, begins with
suspending the "natural attitude" of everyday knowing, which assumes that things
are simply there in the external world. Philosophers should "bracket" the object-
world and, in a process he calls epoché, or "reduction," focus their attention on what
is immanent in consciousness itself, without presupposing anything about its origins
or supports. Pure description of the phenomena given in consciousness would,
Husserl believes, give philosophers a foundation of necessary, certain knowledge
and thereby justify the claim of philosophy to be more radical and all-encompassing
than other disciplines (see Ideas 95–105 and Meditations 11–23).

Later phenomenologists have been skeptical of Husserl’s contention that

description can occur without presuppositions, in part because of Husserl’s own
analysis of the structure of knowledge. According to Husserl, consciousness is made
up of "intentional acts" correlated to "intentional objects." The "intentionality" of
consciousness is its directedness toward objects, which it helps to constitute. Objects
are always grasped partially and incompletely, in "aspects" (Abschattungen) that are
filled out and synthesized according to the attitudes, interests, and expectations of
the perceiver. Every perception includes a "horizon" of potentialities that the
observer assumes, on the basis of past experiences with or beliefs about such
entities, will be fulfilled by subsequent perceptions (see Meditations 39–46).

Extrapolating from Husserl’s description of consciousness, martin heidegger(1889–

1976) argues that understanding is always "ahead of itself" (sich vorweg), projecting
expectations that interpretation then makes explicit. In the section "Understanding
and Interpretation" in Being and Time (1927)Heidegger argues that inherent in
understanding is a "forestructure" (Vorstruktur) of assumptions and beliefs that
guide interpretation. Heidegger’s account of the interdependence of understanding
and expectations is in part a reformulation of the classic idea that interpretation of
texts is fundamentally circular, inasmuch as in interpretation the construal of a
textual detail is always necessarily based on assumptions about the whole to which it
belongs (see Palmer and hermeneutics). His theory of understanding also reflects his
own assumptions about human existence, which he describes as a process of
projection whereby we are always outside of and beyond ourselves as we direct
ourselves toward the future. Heidegger’s conception of the anticipatory structure of
understanding is important for later versions of phenomenology that focus on
interpretation and reading. Hermeneutic phenomenology (especially as developed
by Hans-Georg Gadamer and paul ricoeur) explores further the role of
presuppositions in understanding, and phenomenological theories of textual
reception (especially the "Constance school," led by Hans Robert Jauss and
Wolfgang Iser) investigate how literary works are understood differently by
audiences with different interpretive conventions (see reader-response theory and
criticism and reception theory).
 Heidegger extends Husserl’s concern with epistemology into the domain of
ontology and in the process, according to some critics, departs from
phenomenology’s original methodological rigor and cautious avoidance of
speculation. Being and Time provides a description of the structures of human
existence (Dasein, or "being-there"), which can be seen as an application of Husserl’s
investigations of consciousness to other regions of experience, including relations
with others, the meaning of death, and history. Heidegger’s descriptions of existence
as a "thrown project" (geworfener Entwurf) and of "care" (Sorge) as the founding
structure of human being are the basis of the theories of such existential
phenomenologists as the Swiss psychiatrist Ludwig Binswanger and the French
philosophers jean-paul sartre and Maurice Merleau-Ponty. Heidegger’s own
conception of human existence is guided by his concern with the "ontological
difference," the relation between "beings" and "Being." He defines human being as
that being for which Being is an issue, although he also finds that for the most part
in everyday life the question of Being is neglected or forgotten. In Being and Time
he explores everyday existence for indirect evidence of Being. In his later work
Heidegger turns to the study of language, which he regards as the "home of Being,"
and especially to poetry, which has in his view special powers to disclose Being (see
"Origin").

Merleau-Ponty (1908–61) retains many of Heidegger’s existential analyses, while

rejecting his metaphysical speculations. He also corrects the early Husserl’s tendency
toward idealism by insisting on the primacy of perceptual experience and the
ambiguities of the lived world. In his most important work, Phenomenology of
Perception (1945), Merleau-Ponty situates consciousness in the body. His notion of
"perception" as the situated, embodied, unreflected knowledge of the world rejects
splitting the mind off from the body or treating the body mechanistically as a mere
object. Consciousness is always incarnate, he argues, or else it would lack a situation
through which to engage the world, and Merleau-Ponty’s awareness of the
necessary situatedness of existence makes him emphasize the inescapability of
social and political entanglements in the constitution of subjects. The experience of
embodied consciousness is also inherently obscure and ambiguous, he finds, and he
consequently rejects the philosopher’s dream of fully transparent understanding.
Reflection cannot hope for a complete, certain knowledge that transcends the
confusion and indeterminacy of unreflective experience. The activity of reflecting on
the ambiguities of lived experience is always outstripped by and can never ultimately
catch up with the fund of preexisting life it seeks to understand. For Merleau-Ponty,
the primacy of perception makes philosophy an endless endeavor to clarify the
meaning of experience without denying its density and obscurity.

Roman Ingarden (1893–1970), the founding father of phenomenological aesthetics,

also rejects idealism, and he wrote his pioneering studies The Literary Work of Art
(1931)and The Cognition of the Literary Work of Art (1937)as contributions to
resolving the opposition of the real and the ideal. Works of art originally attracted
his attention because they seemed to belong to neither realm. Unlike autonomous,
fully determinate objects, literary works depend for their existence, he argues, on the
intentional acts of their creators and of their readers. But they are not mere figments
or private dream-images, because they have an intersubjective "life." Yet their
apparent ideal status as structures of consciousness does not make them like
triangles or other mathematical figures, which are truly ideal objects, without a
specific moment of birth or a history of subsequent transformations (see Work 331–
55).

Ingarden describes a literary work as "an intersubjective intentional object"

(Cognition 14). It has its origin in the acts of consciousness of its creator that are
preserved in writing or through other physical means, and these acts are then
reanimated (although not precisely duplicated) by the consciousness of the reader.
The work is not reducible to the psychology of either the author or the reader,
however. It has a history that goes beyond the consciousness that originated it or
the consciousness of any individual reader. The existence of a work transcends any
particular, momentary experience of it, even though it came into being and
continues to exist only through various acts of consciousness. Ingarden argues that
the work has an "ontically heteronomous mode of existence" (Work 362), because it
is neither autonomous of nor completely dependent on the consciousnesses of the
author and the reader; rather, it is paradoxically based on them even as it transcends
them.

Ingarden finds that the literary work is a stratified formation. It comprises four
related strata, each of which has its own characteristic "value qualities" : (1) word
sounds, (2) meaning units, (3) "schematized aspects" (the perspectives through
which states of affairs are viewed), and (4) represented objectivities. The work as a
whole is "schematic," he argues, because the strata (especially the last two) have
"places of indeterminacy" that readers may fill in differently. In a successful work,
Ingarden argues, the strata combine to form a unified whole that provides a
"polyphonic harmony of value qualities" (369–72).
 Ingarden distinguishes the reader’s "concretization" of the work from the work
itself. The "aesthetic object" the reader produces is correlated to the "artistic object"
the author created but necessarily differs from it. Not only will readers with different
experiences respond differently to the possibilities left open by the work’s
indeterminacies or to the value qualities available in the various strata but the
cognition of a work is an inherently temporal process, so that "the literary work is
never fully grasped in all its strata and components but always only partially," in
"foreshortenings" that "may change constantly" (334). Like other objects that
present themselves through aspects (Abschattungen), the work itself is available
only "horizonally," through an array of incomplete and perspectival views—in
various experiences over the duration of a single reading or in the variety of
different ways in which it may be "concretized" over its history. Ingarden maintains,
however, that "certain limits of variability" constrain a correct or adequate
concretization, and he claims that these limits are predetermined by the structure of
the work (352).

Ingarden has been extremely influential in the development of phenomenological

reader-response theories, but his views have also been subjected to extensive
criticisms and revisions, particularly by Wolfgang Iser (b. 1926). Iser faults Ingarden
for limiting excessively the variability of permissible concretizations. According to
Iser, Ingarden posits "a one-way incline from text to reader and not . . . a two-way
relationship," which can take many unpredictable, possibly irreconcilable forms (Act
173). Reading is a more variable and dynamic activity than merely filling in blanks,
Iser argues, and as a result "a work may be concretized in different, equally valid,
ways" (178). Iser also faults Ingarden for holding a limited, "classical" aesthetics of
value that privileges "harmony" and fails to appreciate the disruptions and
dissonances through which many (especially modern and postmodern) works
achieve their effects. For Iser, reading is a process of discovery in which the surprises,
frustrations, and reversals brought about by the disjunctions in a work have the
power to provoke reflection about the reader’s presuppositions.

Iser’s appreciation of disjunction also leads him to criticize Georges Poulet’s

description of reading as a process of identification. For Poulet (1902–91), the
mystery of reading is that the barriers ordinarily dividing selves are overcome: "My
consciousness behaves as though it were the consciousness of another" (56; see also
geneva school). According to Iser, however, reading is more paradoxical than Poulet
suggests, because "the real, virtual ‘me’" never completely disappears even as "the
alien ‘me’" governing the text’s world emerges (Implied 293). Reading therefore
entails a duplication of consciousnesses, which can give rise to new self-
understanding as a result of the juxtaposition of one’s habitual ways of thinking with
those required by the text. Hans Robert Jauss (b. 1921) goes so far as to equate the
"aesthetic value" of a text with its demand for a "change of horizons" in the reader
due to the disparity between the audience’s "horizon of expectations" and the
horizon of the work (25). Jauss suggests that as literary works become familiar (e.g. ,
through canonization) their value may decrease, because they lose their ability to
shock, surprise, and challenge the reader.

Phenomenology has produced many studies of the imagination, and among the
most original of these are the works of Gaston Bachelard (1884–1962). Bachelard
regards the poetic image as a privileged place in which new meaning emerges and
through which being discloses itself. "The poet speaks on the threshold of being,"
Bachelard claims, and the originality of the poetic imagination testifies to human
freedom by displaying "the unforeseeable nature of speech" (xii, xxiii). Bachelard
asks that readers, in order to open themselves up to the revelations of the image, lay
aside preconceptions and cultivate a capacity for wonder. "One must be receptive,"
he says, and "reverberate" with the poem in order to experience "the very ecstasy of
the newness of the image" (xi). In works like The Poetics of Space (1957)Bachelard
attempts to exemplify the practice he advocates by playfully allowing his own
imagination to resonate in response to images of various kinds. He is particularly
drawn to images of "felicitous space," which suggest the "human value" of places
and objects (xxxi). Bachelard’s attitude toward images can be contradictory,
however. At his best he regards images as evidence of the lived meaning of space,
but at times he descends beneath experience and seeks the origins of images in the
timeless, unconscious archetypes of Jungian psychology (see archetypal theory and
criticism). In any case, Bachelard’s reveries about images of place are themselves
lyrical demonstrations of the creative possibilities of speech.

Interpretation and language were the central themes of late twentieth-century

phenomenology. In order to prevent its reflections from becoming solipsistic and
ahistorical, Paul Ricoeur (b. 1913) calls on phenomenology to take a hermeneutic
turn and to direct its attention, not toward individual consciousness, but toward
cultural objects, which provide social, historical evidence of existence. Because "the
cogito can be recovered only by the detour of a decipherment of the documents of
its life," reflection must become interpretation, that is, "the appropriation of our
effort to exist and of our desire ‘to be’ by means of the works which testify to this
effort and this desire" (102). Hermeneutic phenomenology must also explore the
conflict of interpretations because the possibility of "very different, even opposing,
methods" of understanding is a fundamental aspect of our experience as
interpreting beings (99). A concern with how new, different modes of understanding
and expression emerge leads Ricoeur to pay special attention to creativity in
language, especially the semantic innovations of metaphor. Phenomenology denies
that structure alone can adequately explain language, because new ways of meaning
can only be introduced through events of speech, which may extend or overturn the
limits of existing conventions. Phenomenology also denies that language is self-
enclosed. As Ricoeur argues, "Texts speak of possible worlds and of possible ways of
orientating oneself in those worlds" (144). Language and interpretation are not
stable, closed systems for phenomenology, because meaning, like experience, is
endlessly open to new developments.

The inherent incompleteness of any moment of experience is the basis of jacques

derrida’s influential critique of Husserl’s version of phenomenology. Questioning
Husserl’s dream of a presuppositionless philosophy, Derrida (b. 1930) finds "a
metaphysical presupposition" in the very assumption that a realm of "original self-
giving evidence" can be found, a "self-presence" that is simple, self-contained, and
prior to signification (4–5). Using Husserl’s own theories about time and
intersubjectivity, Derrida demonstrates that "nonpresence and otherness are internal
to presence" (66). Because knowledge is always perspectival and incomplete, the
present depends on memory and expectation (the no-more and the not-yet) to
make sense of the world; elements of absence must consequently be part of
presence for it to be meaningful. Furthermore, one’s assurance that one’s self-
reflections reveal generally shared structures of knowledge and existence rests on
the tacit assumption that another consciousness would experience this moment as
one does, but this assumption is yet again evidence that the presence of the self to
itself lacks the self-sufficiency Husserl sought in his quest for a solid foundation for
philosophy. According to Derrida, Husserl’s commitment to a view of knowledge as
necessary, certain, and guaranteed by indubitable intuitions prevented him from
recognizing the falsity of this ideal even though his own theories about
consciousness and experience implicitly contradict it. Derrida concludes: "Sense,
being temporal in nature, as Husserl recognized, is never simply present; it is always
already engaged in the ‘movement’ of the trace, that is, in the order of
‘signification’" (85). There is no getting beneath the repetitive, re-presentational
structure of signification, Derrida argues, because supplementarity—the
replacement of one sign or "trace" by another—is the structure of self-presence.
 Contemporary phenomenology has for the most part abandoned Husserl’s dream
of finding indubitable foundations for knowledge. His quest for a presuppositionless
philosophy now seems an example of what Hans-Georg Gadamer (1900–2002) calls
"the fundamental prejudice of the enlightenment," namely, "the prejudice against
prejudice itself, which deprives tradition of its power" (270). Although some
prejudices may be misleading, constricting, and oppressive, understanding is
impossible without pre-judgments (Vor-urteile) of the sort provided by cultural
conventions and inherited beliefs. According to Gadamer, "The overcoming of all
prejudices, this global demand of the enlightenment, will prove to be itself a
prejudice, the removal of which opens the way to an appropriate understanding of
our finitude" (276), including our belonging to history, culture, and language. Largely
due to the influence of Gadamer, hermeneutic phenomenology and reader-response
theory have turned their attention to the role of customs, conventions, and
presuppositions in the constitution of the human subject and its understanding of
the world. What remains distinctive about phenomenology is its focus on human
experience, but late twentieth-century phenomenologists stressed the inherent
entanglement of experience in language, history, and cultural traditions.

Paul B. Armstrong

Bibliography

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