Chapter-5
Sideshadowing and the Principle of the Insufficient Cause
One had an impression of a process of ceaseless gradation. . . . The
last word never seemed to be able to be uttered, for every end was a beginning, every last
result the first of a new opening.Robert Musil, The Man Without Qualities
Nothing is harder to predict than the past.A characteristic Czech joke
during the 1968 Prague Spring It might be objected that even if my discussion of
Appelfeld's novel has succeeded in showing the judgmental callousness and historical
distortions to which backshadowing leads, I have done nothing to challenge the notion that
with a catastrophe as widely known and as constitutive of the ethos of its century as the
Shoah, backshadowing is largely unavoidable. So deeply ingrained is our need to "make
sense" of even the most "senseless" calamities, and so powerful is the urge
to enfold even the harshest of experiences within a recognizable pattern, that we have no
choice but to draw upon the narrative conventions we have learned in other, less grievous
cases or be stunned into a permanent silence. And it is true that a reliance on the most
familiar and elementary building blocks of narrative emplotment often seems to increase in
direct proportion to a story's historical significance and repercussions. But the
prevalence of a pattern is no proof of its necessity, and one of the major strengths of
Robert Musil's unfinished masterpiece, The Man Without Qualities (published in
three volumes: 1930, 1933, 1943), is its principled resistance to exactly those
conventions of foreshadowing and back-shadowing that writers like Appelfeld seem unable to
do without. The Man Without Qualities opens in August 1913, less than one year
before the assassination of Franz Ferdinand, the heir presumptive to the Habsburg throne,
at Sarajevo on June 28, 1914, which triggered, in rapid succession, Austria's deliberately
unacceptable ultimatum to Serbia, a general European mobilization, and finally the
outbreak of the First World War. The pressures and twists of historical contingencies are
central to the novel's unfolding, since Ulrich, its protagonist, reluctantly assumes the
position of secretary of an elaborately ambitious but incoherent plan (the
"Collateral Campaign") to celebrate the seventieth anniversary of the Emperor
Franz Joseph's coronation, which would fall on December 2, 1918. Conceived as a patriotic
response to the prior German plan to honor their own emperor, Wilhelm II, on July 15,
1918, with a national festival celebrating his thirty years on the throne, the Austrian
Collateral Campaign (Parallelaktion ) is patheticallyas well as
risiblyfutile, since Franz Joseph himself was to die in 1916, and by the end
of 1918 both the Austrian and the German empires would collapse and be replaced by
republics. Musil's readers know from the outset that the political and social world the
novel describes has very little time left before perishing in the conflagration of the
war, so there is an unavoidable element of backshadowing in the irony with which the
Collateral Campaign is described. But astonishingly, Musil does not use that knowledge as
a basis for judging the actions and hopes of the characters in the book, nor is his ironic
perspective on contemporary events determined by their historical outcome. The Collateral
Campaign is not ludicrous because the ruler it planned to honor would be dead and
his dynasty overthrown before the celebration's announced date, but because in its
intellectual triviality and ideological blindness, the Campaign represented a ludicrous
idea from the moment it was conceived. As Victoria Yablonsky, one of Musil's most
perceptive American readers, has pointed out, the very existence of the Parallelaktion
"rests on the [nonsensical] assumption that political
unity already exists within the Empire, [the Campaign's] job
[being] merely to express that unity."In the salons and ministries of Vienna, the
chance of a general European conflict is always kept in mind, but it is only one of a wide
range of possibilities, and for the diplomats and soldiers most involved with questions of
war and peace, avoiding such an outcome is precisely how they understand their life's
work. The Man Without Qualities is full of intimations of the coming war, but it is
just as resonant with suggestions that, finally, such an all-engulfing cataclysm can be
prevented. The decisive point is how skillfully Musil allows the whole range of ideas and
hopes held by his characters in 1913 to be heard clearly on their own terms. He regularly
ironizes all of his characters' positions, but he does so only when their blindness and
self-deception is manifest, and hence legitimately judgeable in the context of their own
day, not when they fail to foresee the future. For example, General Stumm von Bordwehr,
the military official who has attached himself to the Collateral Campaign, tells Count
Leinsdorf, the Campaign's originator:
I am convinced that almost everybody nowadays considers our era the
best ordered one there has ever been. . . . The spirit of modern times actually lies in
this great order and . . . it must have been some sort of muddle or other that brought the
empires of Nineveh and Rome to a bad end. I believe most people . . . quietly go on the
assumption that the past is past and gone as a punishment for something that wasn't quite
in order. (321; 2:27) Characteristically, Musil's irony here is directed against, rather
than dependent upon, backshadowing. The social tensions, ethnic rivalries, and irredentist
violence that characterized the Empire in 1913 are quite sufficient to render absurd the
General's blithe confidence in the existence of a uniformly contented citizenry enjoying a
secure confidence in the stability of the social order. But sentiments like the ones just
quoted are precisely what would have been uttered by an official like Stumm (whose name,
quite unlike his personality, means "mute"), and the fact that in the utter
chaos and disorder of the war these platitudes will soon be proved even more disastrously
inaccurate does not make him any less sympathetic a figure or subject him to a greater
degree of ridicule than the novel's more intellectually adroit characters. Analogously,
when the emptily sophisticated senior bureaucrat of the Foreign Office, Tuzzi, says that
"there's nothing so dangerous in diplomacy as amateurish talk about peace. Every time
the craving for peace has risen to a given pitch and there was no more holding it, it's
led straight into war," he is not fore-shadowing the imminent disaster (1006; 2:406).
His comments are fully consonant with his already established professional opinions and
interests and are intended to protect his "speciality," international diplomacy,
from interference by amateurs like the members of the Collateral Campaign. That the war
will soon break out may make this particular observation true, but it does nothing to
validate most of Tuzzi's other judgments, and indeed it was the bungling and
miscalculations of professionals of his stamp that helped turn a containable local crisis
between Austria and Serbia into a continent-wide battle-ground. Both Tuzzi's accurate
premonition and Stumm's erroneous one are independent of any external knowledge about the
war, and are thus credible as contemporary utterances. Both men's pronouncements, that is,
offer appropriate grounds for the narrator's irony in their own immediate context. At its
best, Musil's solution to the technical and epistemological problems raised by the
narration of historical events whose outcome is already known is exemplary in its
lucidity: because it is impossible for the reader to suspend his knowledge of the book's
historical aftermath, the narrator will play upon that knowledge not in order to exploit
it for the emotional intensifies it might add to the story, but rather to undermine that
readerly self-confidence by confronting it with a dense network of voices and ideas whose
complexity and heterogeneity make the assumption of a superior, because subsequent,
vantage point impossible. There are so many plausible scenarios for the future sketched
out in The Man Without Qualities, so many different hopes and expectations voiced
by characters in a position to make astute forecasts, that the entire novel swarms with
projections of contradictory possibilities. It is as though The Man Without Qualities
were all sideshadows, glimpses of diverse but equally credible futures, without any one of
them being granted the aura of inevitability that is indispensable to foreshadowing; only
because we know which of these projected futures came to pass are we tempted to privilege
that one at the moment of its first articulation. But Musil specifically warns us against
the intellectual triviality of such a judgment by satirizing the reader's inclination to
endow a specific moment with greater portentousness strictly because of what ensued. It is
our backshadowing that The Man Without Qualities regularly finds as absurd
as the empty chatter of its fictional characters, and one of Musil's favorite satiric
techniques, applicable equally to the discourse of figures in the book and to conventional
readerly expectations, is to make explicit the link between foreshadowing and a naive
trust in historical warning signs: "A new time had then just begun (for that is,
after all, something that time is doing all the time). . . . These were stirring times,
round about the end of 1913 and the beginning of 1914. But two years, or five years,
earlier the times had also been stirring times" (20, 359; 1:51, 2:72).Just as Ulrich
is deeply frustrated by the gulf between modern man's expert knowledge in the professional
and scientific areas of life and the primitive assumptions with which he interprets the
world as soon as he returns to his private life, so the novel as a whole seeks to undo, in
the technical sense almost to deconstruct, the narrative conventions through which the
reader imposes a linear, prescripted pattern on the motility of both historical events and
individual psyches. Musil's irony works so effectively because he expects readers to
approach a novel set on the eve of the Great War as though it would manifest all the
familiar devices of interpretive foreshadowing, and thus they are already "set
up" by their own assumptions to undergo the shock of realizing that they themselves,
not just the book's characters, indulge in no-longer-credible patterns of thinking. It is
against such patterns and against the habits of mind that reinforce them that Musil
directs some of his sharpest critiques. Life unfolds not only according to the
"Principle of the Insufficient Cause," but along the lines of what modern
mathematics calls a "random walk" rather than the predictable stages of any
historical systematicity: History, however, came into existence for the most part without
any authors. It evolved not from a center, but from the periphery, from minor causes. . .
. The course of history was therefore not that of a billiard-ball, which, once it had been
hit, ran along a definite course; on the contrary, it was like the passage of the clouds,
like the way of a man sauntering through the streetsdiverted here by a
shadow, there by a little crowd of people, or by an unusual way one building jutted out
and the next stood back from the streetfinally arriving at a place that he
had neither known of nor meant to reach. (360-361; 2:74-75)
As we watch the Collateral Campaign set in motion forces that will
help create the necessary, but not sufficient, preconditions for World War I, we see
enacted a drama in which history unfolds without an author or a script. Rather than one
homogeneous authority planning everything, competing centers of power (foreign affairs in
the figure of Tuzzi, the army with Stumm, international finance with Arnheim, etc.) have
separate and usually competing agendas. They form temporary and rapidly changing
alliances, often with groups whose purposes and beliefs are in many ways antithetical to
their own. As in the summer of 1914, it sometimes happens that the particular
"local" alliances that have coalesced for that moment become bound together into
a single, long-term aim by the pressures of a larger event that none of them had expected.
But it is important to recall that no one in charge expected or planned for a conflict of
the magnitude of World War I, nor did the various parties involved envisage any permanent
link to one another. For example, Musil shows us that powerful voices in Austria's foreign
service and army were preoccupied with building alliances designed to prevent the Empire
from becoming Prussia's junior partner. Yet against all the scheming of some of Austria's
most skilled political figures, that is precisely what the Empire did become as soon as
hostilities broke out. Through the surprising tactical alliance of the Prussian
businessman Arnheim and the Austrian career officer Stumm, we witness how the fumblings of
the Collateral Campaign (which was, after all, conceived in a deliberately anti-Prussian
spirit) helped to cement a German-Austrian affiliation, which was the one goal undesired
by anyone involved in its initial conception. Because Musil's problem is so
acutehow to tell a story that is set, like Appelfeld's, at the prelude to a
universally known catastrophe, without allowing that catastrophe to dictate the mode of
narrationhe experiments with various solutions that are linked more through
their family resemblance than by a set of fixed characteristics. One of the most ingenious
of such strategies is elaborated in the following exchange between Ulrich and his cousin
Diotima, the hostess in whose salon the Collateral Campaign regularly meets. They are
talking about General Stumm, and Diotima says, "I shudder from head to foot when I
set eyes on him. He makes me think of death." Ulrich, who knows how peaceable and
good-humored Stumm is, answers her, "A figure of Death unusually well disposed to
life." But Diotima, as so often, has the last word and describes her feelings upon
seeing the General: "But I am seized by panic when he comes up to me. . . . I'm
overcome with an indescribable, incomprehensible, dreamlike sense of dread!" (466;
2:198). By making the usually ridiculous Diotima, at whose vanity and pretentiousness the
reader has often laughed, more prescient than Ulrich, the character with whose
intelligence both the narrator and the reader tend to identify, Musil manages to
incorporate the reader's inevitable awareness of the coming war without giving it any
special authorial weight. If Ulrich were the one to regard Stumm as dangerous (i.e., to
foresee in him one of the officers who would soon command men in operations of mass
devastation) or, still more decisively, if the narrator were to do so, Diotima's intuition
would be transformed into an instance of direct foreshadowing, or, more precisely, it
would be Musil's backshadowing insertion of a knowledge of events unavailable to anyone in
the book. But articulated as it is, the sense of dread at the incipient carnage is only an
intuitive shudder by a character notorious for her capacity for self-delusion; the
likelihood of war is thus incorporated into the novel but only, and thus entirely
persuasively, as one of the possibilities in the air at the time.
Yet readers of The Man Without Qualities know that many of the
novel's characters will die in the trenches, just as Appelfeld's readers know what awaits
the Jews of Badenheim once they have boarded the trains. The lives of many of the Viennese
in The Man Without Qualities are depicted as trivial and self-absorbed, and they
are ironized as maliciously as are the assimilated Jews in Appelfeld's fiction. And since
the futility of the hopes expressed in countless meetings of the Collateral Campaign is
confirmed by the catastrophe of the Great War just as surely as the futility of the Jews'
attempt to live in anti-Semitic Austria is made horribly evident by their murder in the
camps, why does Musil's perspective seem so different from Appelfeld's judgmental fable?
One can begin to answer this question by stressing that the vacuity of
the inner lives of most of Musil's characters, and the self-deception with which they
defend their own interests, is exposed from within, partially by Ulrich's and the
narrator's ironic commentaries and partially by Musil's technique of juxtaposing chapters
on different characters as a means of indirect commentary on hiddenand
usually unwelcomesimilarities. Musil's irony does not require a war to
undermine the "true elite" (wahre Vornehmheit) of the Empire (what Graf
Leinsdorf and Diotima smugly call the conjunction of Capital and Culture [Besitz und
Bildung] in her salon). Tonally, the war only risks disrupting the irony with pathos, and
hence, except in some unpublished fragments, it is not directly narrated. Musil neither
shows the war as inevitable nor uses it to confirm the misjudgments of his
charactersindeed, some of them, like Arnheim, will come out of the
disintegration of imperial Europe with their social position greatly improved. As Tuzzi
observes, a Jewish capitalist like Arnheim (whom Musil based on Walter Rathenau
[1867-1922], the German industrialist and Weimar foreign minister) could
never rise to a cabinet position in a hereditary monarchy. But although many of the
characters in the novel would undoubtedly be killed in the war, the disintegration of
their world is not due to their quotidian pettiness but rather to their inability to be
quotidian enough. They regularly succumb to the appeal of the most rhetorically charged
but contentless catchphrases of the moment, and the mobilization order that electrified
Europe in 1914 would only be one more, although the most destructive, of such
catchphrases. Hence, in The Man Without Qualities, unlike in Badenheim 1939,
there is no need for the frisson on death imagery (the barbed wire, the
restrictions on travel, the registration of inhabitants by the Health Ministry) to do the
work of historical ironizing. Both Musil and Appelfeld rely on indirection and satire in
order to avoid narrating the catastrophe as it is happening. But part of Musil's greater
importance as a writer turns on the openness of his novel to conflicting voices and
multiple, contradictory possibilities for the future: in other words, on his rejection of
backshadowing in favor of sideshadowing. Even though he knows what their ultimate fate was
likely to be, Musil, unlike Appelfeld, can imagine the history of his characters as not
already predetermined. In both novelists' works, historical catastrophe acts as a final,
brutal frame on the whole world of their books, but Musil does not see the frame as
inevitable or all-explaining, nor does he rely on it to generate the story's emotional and
thematic intensities.
Yet so accustomed are readers to the narrative orchestration which
foreshadowing provides, that The Man Without Qualities is regularly misread as
though it exemplified the very techniques it explicitly rejects. Most misreadings of
Musil's novel proceed from the assumption that it is structured as a retrospective fable,
not unlike Badenheim 1939 . Thus, for example, Hannah Hickman sums up the terms in
which the novel is typically interpreted:
The whole work, but especially Book I, is to be seen as a portrait of
a society moving inexorably towards war, like the passengers fast asleep in the train on
course for collision. This inevitable outcome casts a shadow of irony over the entire
narrative, as the various characters, each one a representative figure of the time, pursue
their own concerns and seek their own salvation. Only Ulrich, the man without qualities,
is clear-sighted enough to perceive the sickness at the heart of civilisation, but his
efforts to alert those in positions of power to the dangers ahead meet with almost total
lack of comprehension.It is worth lingering for a moment on Hickman's phrasing, not merely
because expressions like "casts a shadow . . . over the entire narrative" help
confirm the appropriateness of my term backshadowing, but also because she invokes as
self-evident the link between a belief in historical inevitability and a scorn for the
realm of private, individual decisions that we already saw throughout Badenheim 1939
.
In Hickman's view, to "pursue [one's] own concerns and seek
[one's] own salvation" is inherently foolish or evil when an imminent crisis that
people ought to be able to foresee is about to overwhelm everyone. But Musil, I believe,
regarded the issue in diametrically opposite terms. The concern for his own moral,
intellectual and spiritual "salvation" is virtually the only thing that deeply
moves Ulrich. In fact, almost the last words of the published sections of The Man
Without Qualities describe Ulrich as "fighting for his salvation" (1038;
3:442), and the quest to understand himself and his situation in the world better is
exactly what prompted him to take the "year's leave from his life" (47; 1:83)
that is the novel's initial premise. Indeed, many of the main characters in the novel
speculate obsessively and continually about the great issues of the day and try with all
their resources to direct the course of history. It is only "marginal" figures,
men like Ulrich who lack the appropriate emotional "qualities" for public
affairs, who renounce any attempt at historical efficacy and prefer to devote themselves
to the care of their own states of mind. Similarly, the war was never seen as
"inevitable" by Musil, for the very good reason that nothing in history
can be so considered. The war is indisputably a pivotal turning point in world history,
but its historical magnitude gives it no retrospective authority in The Man Without
Qualities . Indeed, the most satiric parts of Musil's novel describe a world in stasis
or in a self-perpetuating muddle, rather than on the verge of disintegration. The Habsburg
Empire we actually are shown in Musil's pages could just as easily have lasted for many
years more rather than collapse when it did (just as, for example, the Ottoman Empire
survived for more than a century after observers were certain of its impending
dissolution). The disintegration certainly happened, but occurrence, as The Man Without
Qualities regularly instructs us, does not imply necessity.
Against any belief in historical necessity, Ulrich strives for what
Musil calls a "conscious Utopianism" (16; 1:48). His utopianism is grounded in
"something that one can call a sense of possibility," and he is particularly
careful to insist that "a possible experience or a possible truth is not merely the
equivalent of a real experience or a real truth but lacking the value of being real"
(16; 1:47-48). The sense of possibility contains a legitimacy of its own,
both as an instigation to action and as constitutive of human freedom. For Musil,
sideshadowing and a certain kind of utopian thinking are crucially linked. But it is a
utopianism radically different from the ideological varieties that have rightly been
criticized as dogmatically monolithic and, in their historical consequences, have proved
all too frequently totalitarian. Such critiques take as their target either fictional
accounts of an already achieved utopia (e.g., Thomas More) or theoretical/political
systems that claim already to know how to bring about a utopia (Marxism, fascism,
etc.). If the content of, or the path to utopia is already available in the present, and
if one assumes that a single model of utopia exists which is universally applicable, it is
likely that the utopian impulse will turn despotic, since only human selfishness or
ignorance, the effects of both of which can be curtailed by state power, prevents the
establishment of the ideal society. But in Musil's reformulation, utopian thinking is
itself a form of sideshadowing, a permanent awareness that things might be different,
that the present state of affairs and the future toward which people seem to be tending
are not the only possible ones. Such a utopianism can never be prescriptive, because it
does not presume to know the specific content of the alternatives to the present. It knows
only that they exist (here the plural term is crucial because it is never a single utopia
that is at issue, but the existence of multiple, alternative presents and futures). For
Musil, the future ramifications of the present are potentially unlimited, and this serves
to guarantee human freedom in a way impossible with teleological readings of history or
with a complacent acceptance of whatever is, as legitimized by the sole fact of its
concrete existence.Musil's typically ironic/serious way to underline this very point is to
deny the attribute of inevitability even to divine creation: "God probably preferred
to speak of His world in the subjunctive of potentiality . . . for God makes the world and
while doing so thinks that it could just as easily be some other way" (19; 1:50).
This, in a sense, is also the problem confronting the novelist: how to create a world
while still indicating that "it could just as easily be some other way." As a
result, and irrespective of those parts of the posthumous drafts
(the Nachlab ) in which Musil tries out having Ulrich go
into combat, it is unlikely that the war could have been inserted successfully into the
novel.Only by setting his narrative before the outbreak of hostilities can Musil guarantee
that neither his characters nor his narrator speak in the tones of predictive historical
certainty. Because the war really did take place, there is too great a risk that its
direct presence in the book would make it appear inevitable. Since Musil is so concerned
to show that many things can be imagined as likely to happen, that numerous paths always
exist, and that history is not driven by any rational principle or internal logic which
would let the future be accurately predicted, he is also particularly careful not to allow
the war to undermine the novel's fidelity to a sense of multifarious possibilities (Möglichkeitssinn
). To include the war directly would risk giving it the privilege of not being just an event
in the narrative, but rather its meaning, and this, precisely, is unacceptable to
Musil.
Because of these deeply principled reasons, the scope of what was
unacceptable put an enormous burden on Musil to create a structure that would suggest a narratable
resolution to his theoretical/ethical requirements. That he in part failed to do so is
clear not only from the incompleteness of the novel at the time of his death, but also
from the nature of the last sections he actually published and the enormous mass of drafts
and fragments he left behind. This is not the place to develop in detail my reading of
these parts and their implications for understanding The Man Without Qualities as a
whole, but because the question of foreshadowing and sideshadowing are so central to the
issues involved, I want to outline briefly the terms of that reading.
Although a variety of reasons, including depression at the lack of an
audience, an intermittent but long-standing "writer's block," intellectual
exhaustion, and the financial uncertainties of an exile's life in Switzerland (where Musil
and his Jewish wife, Martha, fled in 1938), have been advanced for Musil's inability to
complete The Man Without Qualities, I think that once Musil rejected ending the
novel with the melodramatic thunderclap of the outbreak of war (say, for example, the
reading of a telegram announcing Franz Ferdinand's assassination at what would then
obviously become the last meeting of the Collateral Campaign), the novel had to remain
unfinished for strictly internal reasons. The Man Without Qualities is a novel
that, for all its biting irony, struggles to achieve not a distance from the world, but an
adequacy to the world's inherent complexity. A resolution in the text that remained
entirely private (for example, the illuminations of Ulrich's and Agathe's "holy
conversations") and had no correspondence in or influence upon the public world would
be inherently unsatisfactory. One way to crystallize what is at issue here is to
understand that the "unfinishability" of The Man Without Qualities is
closer to the open-endedness and potential interminability of Montaigne's work (whose
individual essays, like the three published books of the Essais themselves, were
revised many times during the life of the author to take into account new ideas,
circumstances, or feelings) than to the Mallarméan project of the single,
all-encompassing Livre that would absorb the entire, anarchic raw material of human
life into its own depths and transform it into a sacred text, self-sufficient and
autonomous. Montaigne's Essais and Musil's novel are "unfinishable"
because the understanding of human existence expressed in their writings has no telos or
single, unique meaning with whose realization their texts could end. Mallarmé's Grand
Oeuvre, on the other hand, is in principle unrealizable because of the absolute split
between word and world, between language as an autonomous object and the world of
phenomenal (un) reality. For Musil, as for Montaigne, it is the inconclusiveness of life
itself, both on the individual, biographical level and on the historical one, that makes
the whole notion of closure so problematic.In the event, the only historically responsible
climax was, as we have seen, exactly the one Musil could not draw upon directly without
jeopardizing the main theoretical premises of much of his narrative. We can trace Musil's
increasing preoccupation with the problem of how to end his novel, and one of the most
revealing signs is the greatly increased, and often distressingly clumsy, introduction of
foreshadowing as the novel continues and his confidence in being able to go on with and
complete it becomes more and more uncertain. If, earlier in the The Man Without
Qualities, interjections like "an appalling war with its millions of dead"
(408; 2:129) are surprising for their rarity, by the end of the last parts published
during Musil's lifetime in 1933, their frequency and overemphatic nature steadily
increase. Musil's anxiety about being able to complete his novel successfully is manifest
not only in the backshadowing of historical events that he now allows to break his earlier
restraint, but also in the foreshadowing of future occurrences in the purely private lives
of his fictional characters. Thus, we now read sentences like "This was what Hagauer
later termed Ulrich's being an accessory before the fact" (738; 3:95); "It was
like a little rent in the vale of his life, through which indifferent nothingness peered.
Here the basis was laid for much that happened later" (781; 3:145); or "Now this
certainly did not mean that at this period Agathe already had the intention of killing
herself" (855; 3:230). But the most awkward examples of the strain in Musil's quest
for an ending appropriate to the book's historical as well as personal spheres are audible
whenever the narrator allows the shadow of the war to validate one of Ulrich's theories.
Thus, in the final paragraphs to be published before Frisé's posthumous editions,
Ulrich describes a general collapse of intellectual coherence and the corresponding
increase in personal and social aggression: "The rubble of futile feelings, the
rubble one age bequeaths to another has piled up as high as a mountain, without anything
being done about it. So the War Ministry can sit back with its mind at rest, and wait for
the next collective disaster." Had it been left in this form, Ulrich's pronouncement
would be consonant with ideas both he and other characters have expressed throughout the
novel and would represent only another, nonauthoritative prediction of what might happen.
But then, in a single phrase, the narrator removes Ulrich's sentences from the realm of
sideshadowing and gives them the retrospective inevitability of authorial backshadowing:
"Ulrich was prophesying the fate of Europe, though he did not realize it" (1038;
3:442). Ulrich may not realize that his speculations are, in fact, certainties, but both
the narrator and the reader do, and it is fascinating to see how, whenever his
self-confidence was at its most unsteady, Musil reverted to the narrative conventions he
had earlier done so much to discredit.
But far more important than these instances of imaginative slackening is
the fact that ultimately Musil chose not to rely on backshadowing to provide the
coherent ending for which both he and his few remaining admirers longed. The war was
permanently available as the great temptation to give The Man Without Qualities the
kind of closure otherwise impossible to achieve, and the stubbornness of Musil's refusal
to utilize it in this way, even at the cost of leaving his book incomplete, is the
ultimate evidence of the centrality of sideshadowing in his thinking.
Here, the contrast with Marcel Proust is particularly illuminating.
Proust, as we will shortly see, also recognized the intellectual and moral force of
sideshadowing, but his commitment to the authority of a finished "great novel"
in the classical tradition was even greater, hence his determination to end à la
recherche du temps perdu with a movement of closure essential to a canonic
masterpiece. In the event, Proust's longing for such an act of closure required a
climactic set piece marked by a series of almost scandalously fortuitous coincidences (the
famous rush of three separate episodes of involuntary memory at the matinée of
the Princesse de Guermantes). But since Marcel went on to write the novel, triggered in
part by these very accidents, they are now inscribed as decisive turning points in the
narrative of a life that needed to be reinterpreted as a destiny in order for the
story to be told at all. This conjunction of randomness and fate, although theoretically
defensible, is too programmatic and didactic in its enactment to be entirely persuasive.
Neither at the level of psychological motivation for Marcel's decision to begin writing,
nor at the level of narrative plausibility for bringing the novel to a close, is such a
series of almost Dickensian, "inevitable coincidences" adequate to the demands
Proust places on them. What would have been required is an entirely new solution to the
problem of ending a novel so that both contingency and necessity are equally registered:
an epistemological perspective and a technical strategy that could manage to achieve a
conclusion without seeming coerced or rigged. In order to dissipate a certain
embarrassment at Proust's actual way of ending his book, the most theoretically adroit of
his recent critics like Leo Bersani and Margaret E. Gray have tried to problematize his
procedure, especially the relationship between Marcel and the novel's narrator: their
readings suggest more ambiguity about the end than it probably possesses, in part, I
think, because while that ending is all too unmistakably in accord with the formal
requirements of a unified "classical" novel, it is dissonant with the richest
insights and local unfoldings of the book itself, which depend on the multiplicity of
perspectives and possibilities only sideshadowing makes narratable. The fundamental move
of Bersani's suggestive new reading is to sever the link between the narrator of Ã
la recherche du temps perdu and the aging Marcel, whom we watch resolving to go home
and begin writing his life story after his shattering experiences at the Princesse de
Guermantes' matinée . I disagree with Bersani's interpretation, and, for all its
admitted awkwardness, accept the more conventional interpretation, which regards the
narrator as the adult writer into whom Marcel painfully grows. I say so reluctantly,
because if the identity of character and narrator were indeed separate, the novel would be
even more expressive of a radical openness incompatible with foreshadowing than I think it
actually is. (In this context, it is worth asking whether a novel fully committed to
sideshadowing ought to center on the life story of a single, clearly identifiable
protagonist at all. Even Musil, for whom sideshadowing was a central intellectual/ethical
principle, had Ulrich's experiences dominate The Man Without Qualities still more
than Marcel's dominate à la recherche du temps perdu . Perhaps only in works
like Joyce's Dubliners (1914) or Dos Passos's Manhattan Transfer (1925) and U.S.A.
trilogy (The 42nd Parallel [1930], 1919 [1932], and The Big Money
[1936]), in which a whole city or historical era are the real "main characters,"
can sideshadowing be best enacted.)
Musil's inability to complete The Man Without Qualities should
more properly be understood as his refusal to do so. In spite of the many temptations,
evident in the later stages of the published sections and still more in the Nachlab,
he resisted artificially concluding the book's quest for a new kind of novelistic
structure, a narrative order that did not rely on pre-established patterns. Instead, Musil
left in fragmentary form the most serious response modern literature has yet provided to
what he had recognized in an early essay as our need for "a type of intelligence . .
. that would strive to discover and systematize the kind of knowledge that suggests new
and daring directions to our emotions, even if these remain only pure plausibilities; an
intelligence, that is, in which thinking would exist only to offer an intellectual
framework to certain still undefined ways of being uman.Where you yourself were never
quite yourself And did not want nor have to be,Desiring the exhilarations of
changes:Wallace Stevens,
"The Motive for Metaphor" What does not change / is the will to changeCharles
Olson, "The Kingfishers" Earlier in the book, I spoke about a certain readerly
pleasure provided by works that flaunt their acceptance of mutually exclusive
possibilities and make evident their unwillingness to enfold each narrative
"accident" into the larger structure of the whole. In this countertradition,
stories whose narratives at first seem structured like the biography of an actual human
being can reveal themselves as utterly unconstrained by the most basic facts of human
existence, including even the inevitability and irreversibility of death. In principle, a
fictional character can have a limitless number of times to perform his life, can have many,
not just one counterlife. In Yehuda Amichai's Not of This Time, Not of This Place
(1963), for example, the main character, Joel, returns to his childhood home in Germany to
find relics of his past and to plot acts of vengeance on the townspeople for their eager
participation in the extermination of the town's Jews. But he is described as
simultaneously staying in Jerusalem to throw himself into an affair with Patricia, an
American gentile temporarily working in Israel as a doctor. Amichai is careful to keep the
two logically incompatible plots linked through a complex, if occasionally forced
parallelism of characters, events, phrases, and imagery in both sections, and the whole
novel ends when Joel is accidentally killed while on reserve duty on Mount Scopus.
Amichai, that is, welcomes the plurality of experiences, but permits only a unique and
irreversible death in his fictional universe.
In The Counterlife, however, Philip Roth shows that a detailed
description of a character's death in one chapter need not be binding for subsequent
sections of the same book. Thus, Henry Zuckerman, whose death from a quintuple bypass
operation is narrated in the first section, is also portrayed as having survived the
surgery and gone to live with the disciples of a ferociously militant right-wing zealot in
a West Bank Israeli settlement. Similarly, the novelist Nathan Zuckerman, Henry's brother,
who tells us the story of Henry's death and then of his curious aliyah, is himself
later described as having died of the very disease and operation he had attributed to
Henry. Alternative and mutually exclusive destinies, love affairs, and moral obligations
are tested in Roth's novel, with the result that the book as a whole is constituted as an
exploration of the impulse to create a series of new existences for oneself and the cost
of doing so. In this sense, fiction is precisely what can reject fixity, and it offers the
most unqualified enactment of our longing for fluid possibilities and limitless
sideshadows. The desire to be free, at least in one's imagination, from the tyranny of
one's own deepest convictions and the moral obligations they impose is part of the
pleasure of novels that pluralize the confines of a strictly linear biographical
narrative. But there are other factors involved as well, including an urge to crack the
armature built up by even the most secure and respectable of one's accomplishments, in
order to break free from the expectations scripted by previous successes. And because
every success is always partial, always a compromise formation, sideshadowing can
crystallize one's repugnance at all the half-measures and surrenders that lie behind the
most glittering of triumphs. More generally, there is the longing to keep open imaginative
options that any unique action or position, no matter how right, inevitably forecloses. It
is this longing that the narrator of Louis Begley's The Man Who Was Late expresses
when he thinks about his happily growing daughters. He does not regret any of their
specific actions or choices; but he is saddened by the very act of feeling himself for the
first time able to predict "what they would most probably be like as adults. There
was nothing in what I saw that I could reprove, but the disappearance of other
possibilities of development was in itself depressing."No doubt the pleasure yielded
by the sudden lifting of conventional narrative and biographical constraints, celebrated
in novels like those by Roth and Amichai, is dependent for its intensity on our long
experience of the more restrictive models it contests. The refusal to satisfy an
expectation of closure, as much as the appeal of tidy endings, only makes sense within the
domain of narrative possibilities opened by figuration itself. But then, the question that
Marcel Proust, more rigorously and relentlessly than any other writer, forces us to
confront is why, at the level of our own self-understanding, are we so powerfully
attracted to both foreshadowing and sideshadowing, even when we acknowledge them equally
as only constructs of our own imagination? Why, in other words, does our pleasure in
sideshadowing and our recognition of its liberating potential coexist with an equally
powerful urge to accede to various deterministic master tropes of biographical and
historical inevitability? In part, I think this is because of a hope that at a certain
level biography will be revealed as destiny. The conviction that one's life can somehow be
understood as having the inevitability of a classically arranged narrative can act as a
barricade against the sometimes overwhelming nostalgia for paths not taken and
regret for actions left undone. We want to convince ourselves that the life we ended up
having was, from the outset, actually the only possible one. Because we are still such
Platonists in our hierarchies, culturally trained to value only the necessary and
essential, and because the "Principle of the Insufficient Cause" applies as much
to our personal lives as it does to historical events, what one might call a
"nostalgia for determinism" is triggered by the realization of the contingent
and accidental character of much of our existence. Musil formulates this sense of
frustration with typical irony: "After all, by the time they have reached the middle
of their life's journey, few people remember how they have managed to arrive at
themselves, at their amusements, their point of view, their wife, character, occupation
and successes, but they cannot help feeling that not much is likely to change anymore. It
might even be asserted that they have been cheated, for one can nowhere discover any
sufficient reason for everything's having come about as it has. It might just as well have
turned out differently" (130-131; 1:177). Yet so fundamental is our
desire to see a necessary link between biography and fate that when the rupture between
what were plausible expectations and the course of an actual life seems too enormous to
incorporate into the conventional topos of a pragmatic "adjustment to a stern
reality," we often think, in Cynthia Ozick's elegant formulation, that "his life
as he was driven to conduct it was a distortion, not a destiny."
At the same time, however, and in spite of the eagerness to believe that
we actually had little choice in the choices we made, an overly forceful statement of pure
determinism quickly provokes our resistance as well, just as in literature, too insistent
a use of foreshadowing makes a text appear to lack verisimilitude and be clumsily
manipulative in its structure. If everything that transpires is immediately marked as only
a figure for some future event, the narrative may forfeit our identificatory sympathy with
the characters' struggle to choose one action rather than another, and in so doing may
eliminate an indispensable element on which our pleasure as readers depends. Hence the
medieval, and particularly the Thomistic, insistence on the significance of the
literal/historical, as well as the allegorical, moral, and anagogical senses of Scripture,
and hence, too, Dante's effort to maintain the historical verisimilitude of his
descriptions of contemporary Italy and his scrupulous care wherever possible to ground his
immense allegorical structure in the circumstantial peculiarities of the historical
moment. Without such care, an allegory quickly empties its "local" stories of
any significance independent of its larger and all-encompassing meaning. Precisely such an
emptying happened, as we have already seen, to the independent significance of the events
narrated in the Hebrew Bible when they were allegorized as a cycle of prefigurations of
the Gospel story by Church Fathers who neglected the most powerful principles of their own
literary theorizing when it came to the Jewish sacred books. Paradoxically, Appelfeld
treats the Jews of Badenheim much like the Christian exegetes treated the Jews of the
Hebrew Bible, that is, as empty ciphers for an ahistorical moralizing allegory. And like
all such allegories, Appelfeld's can never narrate historical events convincingly. Such
writing is in its deepest nature atemporal, linking everything together into a permanently
deferred but everywhere implied total vision. There can also never be any real
sideshadowing in allegory. Historical events that unfold through time involve the
succession of nonnecessary events and contain sideshadows at each moment of their
unfolding; they are thus inherently in contradiction with the terms of an allegorical
understanding/narration.
Like many seemingly intractable theoretical problems, the reliance upon
the mutually exclusive notions of foreshadowing and sideshadowing in understanding our
lives may appear self-contradictory when formulated in general terms, but recast more
prosaically, it becomes far more amenable to understanding. One way to account for this
double interpretative horizon is to see that what we commonly draw upon, without
consciously articulating, is a kind of imprecise mediation between an entirely
predetermined and a totally random explanation for our lives. This mediation seeks to
persuade us that our lives took the paths they did on a kind of probability basis. That
is, at every moment there were other courses possible for us, but each of these
alternatives spoke to perhaps, ten, twenty, or even twenty-five percent of our needs and
expectations at the time; the option we did take, however, hypothetically represented a
greater percentage, perhaps on the order of thirty-five percent. The direction we followed
was therefore not necessarily directed to satisfying the majority of our inclinations and
ideas, but only to a sufficiently decisive plurality over any of the other potential
routes we saw open at the time.
More subtly than any work of art I know, Ã la recherche du
temps perdu probes the endlessly reconfigured relationships we establish between the
different epochs of our lives, so that at times the characters' whole past seems like a
preparation for and foreshadowing of their identity in the present, while at other
moments, each episode exists almost inviolate in its own distinct sphere, with emotions
and associations so rich in themselves as to make ludicrous the notion that they are
preparatory to anything beyond themselves. Only in rereading do these early references
assume any importance. Although in a sense akin to foreshadowing, they lack the
inevitability and determinism of conventional foreshadowing, and often point to a whole
range
of sideshadowed possibilities. Proust creates both a special
case of "only after the fact" foreshadowing (a foreshadowing that doesn't reveal
itself as such until much later, and then only in a careful rereading) and sideshadowing
(he often traces alternative paths to the one taken), and he can do so because he believes
simultaneously in destiny and chance, or, more accurately, he believes that terms like
destiny and chance are neither historical nor biographical "facts," but tropes,
constructs we create to make sense of our lives and give them the inner logic and form
they would otherwise lack.
For example, early in à la recherche du temps perdu,
Marcel mentions a quarrel with his parents "because I did not accompany my father to
an official dinner where the Bontemps were to be present along with their niece,
Albertine, a young girl still almost a child." Since, in a few years, Albertine will
become the overwhelming obsession of Marcel's life, there is something at once
breathtakingly daring and entirely prosaic in the way Proust gives us a glimpse of a
future that easily might have happenedan earlier meeting with Albertine and
thus, perhaps, a different course to their love affairwhich thereby would
have changed utterly the course of the novel we are rereading. Even when Marcel's
attraction to Albertine actually begins in à l'ombre des jeunes filles en
fleurs, she is at first just one of the band of young girls, upon any of whom Marcel's
desire might settle as easily as upon another, and among whom it hovers for many pages
with pleasurably random motility. But once Marcel's imagination has isolated Albertine
from amid her friends in the little band, his curiosity about her is remade, deliberately
and remorselessly, into a devastating passion kept vivid with all the resources of
Marcel's maginative power.Marcel is both the reader and the novelist of his own life,
creating, more than discovering, a plot that enables him to interpret his past as part of
a coherent narrative. But that narrative is recognized from the outset as explicitly
literary, and the emphasis of the novel is on the work required to create an
adequately inclusive and unanticipatable interpretive structure. Moreover, the narrator's
immense investment in the project of comprehending the impulses and needs that govern
human conduct is regularly undermined, not so much because of the inherent psychological
complexity motivating behavior, but rather because so many hypotheses could account
equally for the same observable conduct. Proust draws upon all of the formal possibilities
of sideshadowing to make clear the fundamental epistemological uncertainty into which the
narrator, the protagonist, and the reader of the Recherche are all regularly
plunged. From Marcel's central, lifelong obsessions with the "real nature" of
Albertine's sexuality to the smallest details of social interaction, sideshadowing forces
us to acknowledge the incoherence of our longing for a reliable, logically necessary
explanation. Even so simple a question as why the Guermantes should treat their cousin,
the Marquise de Gallardon, with aloof indifference proves unanswerable: "perhaps
because she was boring, or because she was disagreeable, or because she was from an
inferior branch of the family, or perhaps for no reason at all." Yet not only may
there be many motives for what happens, including some that do not occur to the narrator,
but much of what we do and feel may take place "for no reason at all" (and here
it is hard not to notice the similarity to Musil's "Principle of the Insufficient
Cause"). This realization is itself finely balanced against the conviction that one
can make sense, even if only retrospectively, of one's existence as the unfolding of a
single, all-embracing narrative. The narrator's shifting perspective on the often
contradictory paths that Marcel followed from Combray to the final matinée at
the Princesse de Guermantes, the tense equilibrium between epistemological uncertainty and
analytic assertiveness, and between an explanatory narrative based on pure accident and
one based on ineluctable destiny is paradigmatic for the more general question of how we
try to reconcile the competing attractions of foreshadowing and sideshadowing in our own
lives, both as readers of texts and as interpreters of our own histories.
The retrospective/biographical model for interpretation is so appealing
because, in James Young's phrase, it starts its narrative with a "full knowledge of
the end, which inevitably contextualizes early experiences in terms of later ones."In
any narrative based on such a model, the first small detail is endowed with an importance
it only acquired afterward and could not have had for the subject experiencing it for the
first time. So Marcel's refusal to meet the Bontemps and their niece had no importance for
the boy trying to cure himself of his love for Gilberte Swarm, but reinterpreted from the
vantage point of a man who remembers his love for Albertine as the most intense experience
of his life, the refusal acquires a haunting irony. Marcel, who blames himself for so many
failures, does not, at least, blame himself for this missed meeting, and it is difficult
to imagine that any reader could fault him for an inadequate foreknowledge of his future
passion. Throughout these pages, my aim in having deliberately shifted the focus away from
the Shoah to the story of an unrepresentative, socially privileged individual is precisely
to see how the conventions of foreshadowing and backshadowing are also crucial in
understanding how we make sense out of the vicissitudes of a unique, purely private
existences. I said at the outset that this is a book about narrative conventions and
historical understanding, not about the Shoah as such, although it is the Shoah that
provides the sternest test for my critique of backshadowing. No doubt, however, readers
have been tempted to object that the situations Proust is narrating and the ones
confronting the characters in Badenheim 1939 are so radically dissimilar that it is
simply incoherent to discuss them in analogous terms. At their most restrained and
unemphatic, such objections might underscore that the pogroms and the political success of
organized anti-Semitic parties in the late nineteenth and early twentieth centuries
provided prior examples or a recurrent danger confronting European Jewry, whereas Marcel's
missed meeting with Albertine was both completely accidental and unprecedented. And, of
course, to compare the results of Marcel's refusal with the consequences of the Badenheim
vacationers' self-deception reveals a disparity unbridgeable in its gravity. But Proust's
novel, with its unparalleled richness of psychological/epistemological probing and the
exactness of its account of how we continuously construct and reconstruct
novelisticallythe meaning of our existence (our
"destinies," in an older rhetoric), is especially pertinent because it engages
so directly the problems of narrative and temporality central to our existence as beings
who can only understand themselves through the stories they invent. Paradoxically, when
the domain in question is that of all-encompassing historical forces, a realm in which
accurate foreknowledge would seem to be even less possible than in the restricted horizon
of a single individual's self-knowledge, the demand for prescience actually increases
rather than diminishes. We do not expect Marcel to know what he is missing by turning down
the invitation from the Bontemps, but as we have seen in novels like Appelfeld's or
histories like George Berkeley's, blame for their failure to foresee the future is
assigned collectively to assimilated Austro-German Jewry in spite of the accompanying
disclaimers that their fate was "unprecedented" and "unimaginable."
One consequence that arises from a willingness to take seriously the Principle of the
Insufficient Cause and the logic of sideshadowing in discussing the Shoah is to recognize
that rethinking the history of European Jewry requires something other than assembling
more facts about their lives and the manner of their extermination, invaluable as such
research undoubtedly is. A compilation of data, no matter how complete, is not an
argument, and an inventory of names, dates, and events, no matter how scrupulously
assembled, is not an explanation. What is needed, I believe, is a change in the essential
terms of the narrative models drawn upon in our accounts, so that on the one hand, the
distortions inherent in foreshadowing are guarded against more carefully and, on the
other, that the risks of an in extremis veritas interpretation of culture are
questioned more self-consciously in our accounts. To think differently about the Shoah is
to think differently and more prosaically about values in general, and although the Shoah
must not itself be seen as the tragic instrument by which those prosaic values were made
manifest, it brings into harsh focus the inadequacy of conventionally apocalyptic
accounts. |