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PAPERS ON POETICS AND SEMIOTICS 8

Even-Zohar PAPE R S I N H I S T O R I C A L POETICS

Itamar Even-Zohar

PAPERS IN
HISTORICAL POETICS

The Porter Institute for Poetics and Semiotics


Tel Aviv University

PAPERS IN HISTORICAL POETICS

PAPERS ON POETICS AND SEMIOTICS


Edited by B. Hrushovski and I. Even-Zohar

No. 8

The Porter Institute for Poetics and Semiotics


Tel Aviv University P.O.B. 39085
ISRAEL

Itamar Even-Zohar
PAPERS IN HISTORICAL POETICS

Tel Aviv, 1978

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8

1978 Itamar Even-Zohar


Printed in Israel
University Publishing Projects
28 Hanatziv Street, Tel Aviv

CONTENTS

Foreword ........................................................................................................................ 7
I
The Function of the Literary Polysystem in the History of Literature.......................

11

The Relations between Primary and Secondary Systems in the Literary


Polysystem................................................................................................................ 14
The Position of Translated Literature within the Literary Polysystem......................... 21
The Polysystem Hypothesis Revisited.......................................................................... 28

II
On Systemic Universals in Cultural History.............................................................. ... 39
Universals of Literary Contacts..................................................................................... 45
Interference in Dependent Literary Polysystems ......................................................... 54

III
Russian and Hebrew: The Case of a Dependent Polysystem..................................... ... 63
Israeli Hebrew Literature: A Historical Model............................................................. 75
Bibliography

95

Foreword
This book consists of articles and papers written between 1970 and 1977, dealing
with various aspects of literary history mostly from the point of view of historical
poetics. literature is herein conceived of as a stratified whole, a polysystem, whose
major opposition is assumed to be that of high, or canonized, versus low,
or non-canonized, systems. The repertoire of components (items, models) posses
sed by the polysystem behaves according to certain principles. The main principle
governing this behavior is assumed to be the opposition between primary and
secondary patterns (activities/systems). These are hypothesized as universals of any
cultural system, but are discussed mainly within the scope of literature. Primary
activity is presumed to be that activity which takes the initiative in creating new
items and models for the repertoire (the system, the axis of selection), while
secondary is conceived of as a derivatory, conservatory and simplificatory activity.
With the help of these categories of stratification and typology, it is assumed
that a whole range of questions about the synchronic and diachronic existence of
literature can be discussed in a more fruitful way than that pursued by traditional
histories of literature with little theoretical basis. This does not mean an improve
ment on the methodological level only, but also implies a modification of the
very concept of literature, i.e., of the object of study itself. First and foremost, it
may rid itself of aesthetic fallacies which, for any theory, are incompatible with
what is postulated by historical analysis. Thus, the way will be opened for a sound
and unbiased discussion of some of the important components of (literary) culture
such as translated literature, low genres and semi-literary phenomena. These,
and others, will not only become legitimate objects of study, but will be inte
grated and correlated with phenomena from which they were previously isolated
and detached.
As is well known, because of the heterogeneity of the historical scene and what
would appear to be the overwhelming disparity of the data, scholars lamentably
chose to apply reduction, as if the reduction of heterogeneity to homogeneity were
the only tenable way of saving the idea of structured and systematic inhesion. This
approach no longer seems prevalent in linguistics, but it can still be observed in
literary studies. The hypothesis of the polysystem with its derivatives-may, there
fore, be a useful tool in overcoming this unsatisfactory state. But it should im
mediately be added that reality does not offer only univocal polysystemic
structures in which the principles of stratification and the dynamics of change are,
as it were, as pure as in classical textbook examples. In order to be scientifically
valid the polysystem hypothesis must serve not only for such cases where the whole
range of hypothesized relations can be demonstrated, but also for cases in which
the concept of absence (zero sign) cannot be avoided.
Accordingly, it is not sufficient that one recognize that literary polysystems
be discussed in their relationships with other literary poly systems. One has also

FOREWORD

to realize that whole literatures may behave vis--vis one another as various strata
within a single whole, thus constituting an over-all literary aggregate, a kind of mega
polysystem, the structure of which could explain relations hitherto neglected.
Moreover, certain literatures may turn out to overlap some other literature(s), thus
creating symbiotic structures. Rather than considering them a hornets nest in an
otherwise harmonious theory, these cases thus become test cases par excellence for
both the validity and flexibility of the theoretical concepts suggested.
Written over a period of seven years, the papers in this collection are naturally
diverse in tone, scope and degree of elaboration. As they represent various stages of
work, they inevitably include repetitions and inconsistencies, as well as different
points of view about identical issues. Nevertheless, they reflect a more or less co
herent endeavor whose points of departure are deeply rooted in the structuralist
and semiotic traditions of the Russian Formalists and the Czech Structuralists. As
the work discussed in this collection is still in progress, I would prefer these papers
to be seen as an interim report rather than as chapters in a finalized theory. I
believe that in fields as dynamic as poetics and the semiotics of culture, this approach
can be useful.
****

I would like to take this opportunity to express my gratitude to institutions and


individuals who have assisted me in a variety of ways. I am indebted to the
Institute of General Literary Studies of the University of Amsterdam and The
Netherlands Organization for the Advancement of Pure Research (Z.W.O.) which en
abled me to stay in Amsterdam for research purposes in 1975 and 1976. Universals
of Literary Contacts, The Position of Translated Literature within the Literary
Polysystem, and Interference in Dependent Literary Polysystems, published here,
are the outcome of the year I spent there. I would also like to acknowledge my
indebtedness to the Germanic Department of the University of Antwerp (U.I.A.)
and the Catholic University of Leuven (Louvain) where I discussed and presented
various ideas which appear in this collection. My colleagues in Amsterdam, James S
Holmes, Bernard Scholz, Jens Ihwe and Teun A. van Dijk, as well as Raymond van
den Broeck, Andr Lefevere and Frank Coppieters of Antwerp and Jos Lambert
of Leuven were of enormous assistance. It was my further privilege to discuss several
questions dealing with my work with Maria Renata Mayenowa, who was also a guest
at the University of Amsterdam in 1975 and with Jeanne and Jan van der Eng, who
never lost patience listening to my green ideas. My thanks also to Irene Portis
Winner and Thomas G. Winner for their helpfulness and friendly assistance with my
paper Russian and Hebrew, presented to the Bellagio conference at Rockefeller
Center, which they organized. Last, but not least, Benjamin Hrushovski, Gideon
Toury and the late Joseph Haephrati of Tel Aviv University were of invaluable help
in reading and discussing some of these papers with me.
Tel Aviv, July 1977

The Function of the Literary Polysystem in


the History of Literature
The Relations between Primary and Secondary
Systems in the Literary Polysystem
The Position of Translated Literature within
the Literary Polysystem
The Polysystem Hypothesis Revisited

The Function of the Literary Polysystem in the


History of Literature*
The importance for literary history of the correlations between central and peripheral
literature as well as between high and low types was raised by Russian Forma
lists as soon as they abandoned their partially a-historical attitude, early in their
history. The nature of these correlations became one of their major hypotheses
in explaining the mechanisms of change in literary history As klovskij put it:
When the canonised art form (i,e,, that which occupies the center of
the literary system I E-Z.) reaches an impasse, the way is open for
the infiltration of the elements of non-canonised art, which by this
time have managed to evolve new artistic devices (1923.27).

A fascinating pre-theoretical work on the function of popular forms for high litera
ture was Vinogradovs article on Gogols The Nose, published as early as 1919.
There he collected much evidence for the use of popular elements in the Gogol
text. He failed, however, to interpret the results of his inquiry in terms of literary
history; those implications were drawn only later by Tynjanov, Ejxenbaum and
their students.
If the whole of literary production in a certain period can be described in terms
of the oppositions between central and peripheral, high and low, each existing as
it were in its own sphere, then one could assume a model of literary production
similar to the one I recently suggested for language (Even-Zohar, 1970). Since it
is by now fully acknowledged that language is a heterogeneous, not homogeneous,
system, i.e., a system of systems, I suggested to label it, for the sake of convenience,
a polysystem. The same, so it seems, holds true for the literary system. To adopt
klovskijs terms (though not exactly in the same sense), the literary polysystem
can be dichotomised into canonized vs. non-canonized systems, each divided in its
turn into sub-systems. The non-canonized system would include all those types
normally ejected from the realm of literature, and often called sub-literature,
penny literature, entertainment, cheap, vulgar literature, etc,; this includes
thrillers, detective stories, sentimental novels, pornographic literature and so on.
To get an idea of how different these systems were felt to be, let us look at
French literature from the 1850s onwards. We have there two famous cases of
writers, who, while operating within the framework of canonized literature,
eventually introduced elements from the non-canonized sub-system of erotic and
pornographic literature. As a result they had to defend themselves in court against
the charge of having committed a crime of outrage a la morale publique.

* Paper presented to the Tel Aviv Symposium on the Theory of Literary History,
Tel Aviv University, February 2, 1970.

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POLYSYSTEM: IN LITERARY HISTORY

Nobody could possibly consider the indecent descriptions in Madame Bovary


as anything more than innocent tudes as compared with the rich and flourishing
non-canonized pornographic literature of the day. Baudelaire, on the other
hand, was much more audacious in his Fleurs du mal, though, again, hardly
comparable with la flore pornographique of the time. Zola, though never pro
secuted on these grounds, was not the last French writer to use non-canonized
literature pour pater les bourgeois. In all these cases, the scandal and shock were
not necessarily caused by the appearance of certain features m the works men
tioned above. It was rather their introduction into canonized literature, and the
consequent disorder caused to the established stratification within the polysystem,
that met with so much objection. In a polysystem where highly codified stratifi
cation prevails, any minor move from one stratum to another may be taken as a
major offense. This should be understood in light of the fact that, at least for
the cultural elite, all literary types were accessible, i.e., this section of society
might have availed itself of both canonized and non canonized literature.
The tensions within the literary polysystem may serve as a most interesting
explanation not the least for enigmatic historical cases. Hebrew literature, to
take a concrete example, has had a very peculiar history, which needs complex
explanations. It seems that, due to historical circumstances, this literature main
tained symbiotic relations with other, non-Hebraic, literatures. However, it is not
the symbiotic nature of Hebrew literature as such which concerns me here, but
rather the symbiotic relations within a literary polysystem as far as they
constitute a factor in literary evolution.
The most remarkable fact about Hebrew literature in the so called Revival
period (around the 1880s) is that it almost completely lacked a non-canonized
system. In spite of that, we still observe in that literature certain features that
might well suggest the existence of some land of non-canonized system. This,
I believe, can be explained as follows:
1. Non-canonized elements interfered with Hebrew literature via
another literature, notably Russian.
2. Some other literature functioned for Hebrew as its non-canonized
system.
I will not discuss the first assumption because I have not yet gone beyond
primary studies with it. The second assumption, however, seems to be clearer.
Yiddish literature seems to have functioned as Hebrews non-canonized system;
at the same time the latter functioned as the canonized system of the former.
This may explain not only the transformations which certain texts underwent
when translated from one of these languages to the other, or the fact that many
Jewish writers were bilingual, or that Yiddish writers often desperately wished to
be translated into Hebrew (as a means of canonization). It may also furnish
an explanation as to how a literature written in an unspoken language could

POLYSYSTEM: IN LITERARY HISTORY

13

maintain its vitality and from time to time actualize those changes without which
a literary polysystem would probably petrify. It also suggests the indispensability
for a system of certain items, so that if it does not already possess them it has
either to invent them or borrow them in some way or another.
There still remains a lot of work to be done in testing and refining these hypo
theses, but I hope they will be accepted as a basis for better literary history.
The case of Hebrew briefly discussed here is by no means unique, and it seems
to me that the historical situation of many other literatures can be discussed in
the same terms with fruitful results.

Tel Aviv, February, 1970

(Published in Hebrew translation in Masa, 6.3.1970. This version is slightly


revised.)

The Relations between Primary and Secondary Systems


in the Literary Polysystem*
One of the major achievements of Russian Formalism at its latest and most
developed stage was its vital interest in all the facts of literature and its attempt
to analyze the intricate relations between them. Thus, not only major
literature, accepted on the grounds of aesthetic values or any other kind of
cultural reputation, was admitted as a legitimate object for literary science, but
also such phenomena as mass literature: popular literature of all sorts, marginal
and peripheral literature (such as journalese semi-literary texts), folktales, etc.
This type of literature was accepted not on general cultural, anthropological or
sociological grounds, as is often the case in Western scholarship today but on the
solid ground of literary science, particularly theoretical and historical poetics.
This does not mean that a sociological point of view was excluded; it was rather
transformed into socio-literary notions. Thus, in one of his most brilliant articles,
On the Evolution of Literature, Jurij Tynjanov ([1927], 1929:30-47) suggested
that we view literature as a system, correlated with other, extra-literary systems.
Boris Ejxenbaum, too, who cooperated with Tynjanov on this subject, did research
on what he called the literary ethos, i.e., the multiplicity of socio-literary facts
involved in the processes of literary production and existence. All this work was
abruptly stopped, as we know, by extra literary circumstances. In the West,
interest in types of literature other than the usual major ones has grown rapid
ly of late. In English speaking countries, much interest is shown in detective
fiction and science fiction, and less in other kinds of popular literature; in
Germany, all kinds of Trivialliteratur and Unterhaltungsliteratur have become
an object of investigation; in France, various kinds of popular literature have
been dealt with (mainly by the Bordeaux group). In other words, many scholars
now admit that literary or semiliterary texts, traditionally excluded from litera
ture or considered unworthy of intellectual or academic treatment, are an
indispensable part of the literary culture of a society, and their study contri
butes to the development of the human sciences. This is, of course, an enormous
change in traditional attitudes towards this kind of literature.
In spite of this change, we are still a long way even from the pioneering formu
lations of the Russian Formalists in these matters. The main reason for this is
that the theoretical frameworks for dealing with all types of popular literature/
Trivial-/Unterhaltungsliteratur are very vague and incomplete, and often miss
the main point to wit, the relations between the various types of literature,
their interactions both synchronically and diachronically. Most studies devoted

* Paper presented to the VIIth Congress of the International Comparative Literature


Association, Montreal-Ottawa, August 13-19, 1973.

POLYSYSTEM; INTRASYSTEMIC RELATIONS

15

to the subject do not conceive of literature as a system, and consequently observe


each type separately, without any attempt to link it to the other. Moreover,
most of these studies pay little attention to the literary aspects of the subject.
As a result, many of their findings have not been integrated into literary studies
or criticism, but have, at best, remained at the margin.
It would be, therefore, rewarding I believe to come back to Tynjanovs
conception of literature as a system. I would, however, like to introduce a slight
terminological modification and call it a polysystem, thus making it possible to
speak of literary systems as members of this polysystem. Most scholars have come
to agree that the most rewarding typology of this polysystem is that which dicho
tomizes it into canonized vs. non-canonized systems, each consisting of sub-systems.
By canonized literature we mean roughly what is usually considered major
literature: those kinds of literary works accepted by the literary milieu and
usually preserved by the community as part of its cultural heritage. On the other
hand, non-canonized literature means those kinds of literary works more often
than not rejected by the literary milieu as lacking aesthetic value and relatively
quickly forgotten, e.g., detective fiction, sentimental novels, westerns, porno
graphic literature, etc.
In this paper I will not attempt to discuss whether this dichotomy is justified
or not, and on what grounds; nor will I propose any further and more precise
definitions for the respective systems. I will rather sketch some hypotheses on
the nature of the interrelations between the various literary systems. My point of
departure may be formulated thus: Suppose literature can be conceived of as a
polysystem; suppose its main systems are canonized vs. non canonized literature.
What kind of relations could we then observe between these systems?
Both canonized and non-canonized literature must be further classified into
sub-systems, or genres. Although many common denominators exist for westerns
and detective-fiction or for both of these and sentimental magazine short stories,
they are still different genres, and have had different relations with each other
and with the various genres of canonized literature. From another point of view,
all of these may again be classified according to other criteria. Thus, it is neces
sary to include translated literature in the polysystem. This is rarely done, but
no observer of the history of any literature can avoid recognizing as an important
fact the impact of translations and their role in the synchrony and diachrony of
a certain literature. Further, diachronic shifts create a situation where previous
ly dominant norms become peripheral or even obsolete within the new phase
of literature, but are still in use and still have their public. This kind of
literature is usually labelled epigonic; I would like to keep this term, while
excluding any pejorative meaning connected with it. Non-epigonic literature
has no name; I will therefore call it dominant (though I am still looking for
another term). Another criterion for classification may be the reading public.
Thus we have literature for adults vs. literature for children and youth; literature

POLYSYSTEM: INTRASYSTEMIC RELATIONS

for men vs. literature for women (and, of course, literature for both).
According to what is presumed about the nature of systems in general and
the nature of literary phenomena in particular, there can obviously be no equality
between the various literary systems and types. These systems maintain hierarchi
cal relations, which means that some maintain a more central position than others,
or that some are primary while others are secondary. On traditional grounds
one could suggest that the whole of non-canonized literature, literature for youth
and children, epigonic literature and the whole corpus of translated literature
be considered secondary systems. Primary systems, on the other hand, would be
original cononized literature for adults of both sexes, if it is not epigonic.
Can we accept this as a valid classification? If one wants to argue on social
grounds that every group should have its cultural needs legitimized, equalized
(and even financed) by government, it would only be natural to consider the
hierarchy suggested above as reactionary and unjustified. But it does not seem
necessary to deal here with a democratic cultural policy, in which no group in an
ideal welfare state would be discriminated against because of its peculiar taste.
What we are dealing with here is the analysis of literature functioning as a poly
system on factual cultural grounds. Consequently, it seems to me rewarding even
here to accept the above classification as a starting point for further analysis, while
attempting to give it a more solid basis.
The relations between center and periphery, or primary and secondary activities
(social, cultural, etc.) usually conform to the following pattern: phenomena in the
center are gradually driven towards the periphery and remain there as new phenome
na arise in the center and may sometimes be even those of the periphery. But
when these phenomena change positions they rarely remain the same: in the
periphery, they often lose their original functions while remaining materially un
changed, petrified so to speak. And vice versa. Consequently, while new proce
dures and initiatives are encouraged in primary activities, secondary ones demand
maximum perseverance of sanctioned patterns. This can be put the other way
round, too: when one tries new procedures which violate convention, one works
per definition within the framework of primary activity, and vice versa.
This general pattern of primary vs. secondary activities seems to be valid for the
literary polysystem, too. While canonized literature tries to create new models of
reality and attempts to illuminate the information it bears in a way which at
least brings about deautomatization, as the Prague Structuralists put it, noncanonized literature has to keep within the conventionalized models which are
highly automatized. Hence the impression of stereotype one gets from noncanonized works. Although both systems are based on rules which can be called
conventions, and both make use of stereotypes (indeed, no modeling can be done
without them) on all levels (mimetic or linguistic), there is still a basic opposition
between them of a less codified vs. a more codified system. In my own investiga
tions into the various genres of non-canonized literature, I have observed a

POLYSYSTEM: INTRASYSTEMIC RELATIONS

17

recurring pattern that may illustrate my point: no literary structures on any level
were ever adopted by the non-canonized system before they had become common
stock of the canonized one. Most literary techniques such as the shifting point of
view or the flashback could not be adopted by the non-canonized system until
they had attained recognition in the canonized system. To put it in general terms:
in synchrony, canonized and non-canonized systems manifest two various
diachronic phases, the non-canonized overlapping with a previous canonized phase.
But as I tried to explain before, this does not mean that the non-canonized sys
tem adopts canonized structures as they are. What really happens is a kind of
simplification. If it is a question of a literary technique, we get the same tech
nique made simple.
If a writer of westerns adopts linguistic registers to differentiate characters, we
get a much less nuanced differentiation than is usual in canonized literature. The
same holds true for psychological explanations and other kinds of inner motiva
tion for the acts of characters in a novel. What one gets then is more accessible
structures, much more univocal (unequivocal) than in canonized works. This
makes the rules of the non-canonized system more obvious, and it is relatively
easier to extract from such texts even operative manipulation rules (e.g., the
ingredients a publisher often requests from an author of non-canonized litera
ture). This feature is actually the reason why, when speaking of literary para
digmatics, or the literary langue, one should think of non-canonized literature;
canonized literature, on the other hand, often represents deviations from the langue,
and in many cases each work is an idiolect rather than a text, that is, a performance
of the system, of the langue.
At this point one may mistake my description for an indictment of the noncanonized system. This, however, is not the case: all the terms I use, such as
simplification and the like, should be understood not as evaluations but as
termini technici. I would, therefore, like to put forward my second thesis imme
diately, and that is that the oppositions between the various literary systems create
an ideal literary and cultural balance within the literary polysystem. Viktor
klovskij already pointed out that literary novelties (in the canonized system)
are often borrowings from the non-canonized system, folktales included. Viktor
Vinogradov was one of the first to demonstrate, in his little-known analysis of
Gogols The Nose (1919), how non-canonized and semiliterary texts served a
variety of purposes in this Gogol masterpiece. In other words, at least as far as
the nineteenth century is concerned, a non-canonized system was the sine qua
non for a dynamic and vivid evolution of the canonized one. The canonized
system got its popularity, flexibility and appeal by a constant and positive
struggle with the non-canonized system. Dostoevskij and Dickens would be
inconceivable without the popular sensational and sentimental literature of the
time. These writers could not dissociate themselves from the literary reality by
highbrow scorn and contempt for subculture. Instead, they made use of it,

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POLYSYSTEM: INTRASYSTEMIC RELATIONS

tried to compete with it, and clearly were conscious of the fact that their readers
were often consumers of both systems, so that all kinds of manipulations could
be meaningfully grasped by them just like any kind of literary allusions.
These facts disturb me when I read of or hear lamentations over the decline of
culture and the sweeping victory of sub-culture. The fact is that where there is
no sub-culture, or sub-literature (I put it in inverted commas) in our particu
lar case, there is little chance for a vivid and vital high culture or canonized
literature. The reason is not any mysterious hierarchy of cultural (or literary)
structures, but the simple fact that only through its struggle with non-canonized
literature does canonized literature succeed in gaining ground. I would go
further and argue that even when there is a tendency towards dissociation, i.e.,
when the canonized system refuses to make use of the non-canonized, the very
existence of non-canonized norms are indispensable for the canonized system.
The interrelations between the systems are manifest here through evasion: the
canonized system avoids non-canonized structures rather than manipulating,
ridiculing or borrowing them. In other words: whether or not there are positive
interrelations between the systems, overt, latent, direct or indirect, connected or
disconnected the very existence of inevitable differences between the systems
create the peculiar literary balance that is necessary for literature.
I believe that this pattern can be observed not only in cases of full-fledged
literary polysystems, such as Russian or English literatures in the nineteenth
century, but even and perhaps the more so in cases of what I call defect
ive polysystems. This latter notion may seem paradoxical, since it is difficult
to speak of a polysystem, when a decisive part of that polysystem is missing.
But this notion is no more paradoxical than the zero sign, which has been
shown to be a very valuable tool for linguistic analysis. An example of a
defective polysystem is Hebrew literature, even in its new Israeli period. This
literature consisted only of a canonized system, while the non-canonized one
was either totally missing or fulfilled by other literatures, Jewish (as in Yiddish
literature) or non-Jewish. When the non-canonized system was totally missing,
one could observe a kind of literary sterilization: Hebrew literature became
heavy, highly learned, with little if any attention being paid to a potential or
real public. One could even say that it became very academic, often unreadable,
even for the intelligentsia. The lack of stimuli from a strong sub-culture or
popular art just does not create the need for real competition. Literature
becomes highly bookish. Of course one should not forget the economic
factors involved in this socio-literary pattern: competition in Russian and English
literature was on economic grounds as well. Such competition made little sense
in Hebrew literature, since hardly any Hebrew writer was able to make a living
by writing. And when competition focusses on being famous, being noted by
critics, included in school and university syllabi, the canonized system naturally
wins without a struggle. Non-canonized literature, whether it exists or not.

POLYSYSTEM: INTRASYSTEMIC RELATIONS

19

whether it is written in another language or not, is either ignored or scorned at.


Here I would like to make a few more remarks on childrens and translated
literature. Childrens literature need not be identified with non-canonized litera
ture, in spite of its inferior status as against canonized literature for adults. The
relations of this literary class with other classes are too intricate to be analyzed
here. I would like merely to point out that as a secondary type it manifests most
of the features I tried to describe above. One need only recall the brilliant analy
sis by Frazer in The Golden Bough of how meaningful ancient rites gradually
ended as childrens ceremonials, either as simple games or festivities. A similar
process often occurs with literature for children. Structures that are taken in period
A as fully effective and meaningful for an adult public, often become in period B
a peculiarity of childrens literature. Stories of adventure or sentimental agonies
(as launched by Eugene Sue), as well as fantastic criminal mysteries, are gradually
driven out from either canonized or non-canonized literature for adults and come
to rest in either canonized or non-canonized literature for children. In other words,
what has become a naive model for adults, is transferred to childrens literature and
considered there to be fully acceptable. This is just another fascinating illustration
of the point made by Tynjanov on literary changes: Automatized structures do
not disappear, they just move forward (or down, if you wish) from the canonized
system for adults to other literary systems. This implies, though, a correction of
the concept of automatization, but it need not deter us at present.
As to translated literature, its suggested status as a secondary system does not
always hold true. It seems that the position of this system is a shifting one, not
to speak of the differences in this matter between various national literatures.
There are evidently differences between the literatures of large nations and small
ones, and between old ones and young. Thus, the literature of a large nation,
which is also old, would tend to put translated literature in a secondary position,
while a literature of a small nation, whether old or young, would tend to give trans
lated literature a more primary position. Of course, these are only general patterns
of behavior; one has also to take into consideration more specific local factors,
such as the cultural openness of certain people to others. For instance, AngloAmerican and French literature are far more closed in this matter than German or
Russian literature, which have given translation much greater weight. But I would
like to stress once more that by primary or secondary I do not mean socio
logical status, although this might be implied, too. What is decisive in this matter
is to what extent a certain system or type plays a major role within the literary
polysystem, so that one may observe that it structurizes the center of this
literature and dictates literary norms. Of course, there can be a situation where
translated literature is widely read and even well paid for (if this is to be taken
as a symptom of status) yet hardly plays any major role within the polysystem.
There is no better way, in my view, to test such cases than by analyzing the
translational norms. If one finds that the translated literature keeps to the

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contemporary norms of the canonized home system or employs literary innovations


and more or less freely uses (a relative concept, of course) the resources of
language, one would tend to conclude that in this case translated literature
occupies a primary position. This is more often than not coupled with the fact
that translations are the province of dominant canonized writers. Still one should
remember that such a situation is not evidence enough, since even dominant writers
may use secondary norms in their translations, i.e., norms that are not even
contiguous with their own original writings. On the other hand, if one finds that
the translational norms of a certain period represent petrified norms, often simpli
fied, i.e., similar to epigonic and non canonized norms, then there is no doubt that
the translated literature in question constitutes a secondary system. As such, it
represents, diachronically, a previous phase of the canonized literature, and often
damages the nature of the works translated, if they belong to contemporary litera
ture. Impressionistic or surrealistic works translated according to simplified
naturalistic norms are not rare in English translations. And again, this literary
situation cannot be dissociated from a general cultural background. It seems to
me that only large scale research projects with the cooperation of various experts
will make it possible to analyze the intricate interrelations between the various
literary systems more adequately. I hope I have made some small contribution
towards that end.

August 1973

(Published in:
Ha-SifrutI Literature, 17 (Sept, 1974), 45-49 (Hebrew)
Strumenti critici, No, 26 (Feb, 1975), 71-79: Le relazioni tra sistema primario e
sistema secondario alTintemo del polisistema letterario (Italian)
Forthcoming in:
Proceedings of the Vllth Congress of the International Comparative Literature
AssociationfMontreal-Ottawa, August 13-19, 1973.)

The Position of Translated Literature


Within the Literary Polysystem*
In spite of the broad recognition among historians of culture of the major role
translation has played in the crystallization of national cultures, it is amazing to
realize how little research has been done in this field, on either the theoretical or
the descriptive level. Histories of literature mention translations only when there is
no way to avoid them, when dealing with the Middle Ages or the Renaissance, for
instance. One might of course find sporadic references to literary translations in
various other periods, but they are seldom incorporated into the historical analysis
in any coherent way. As a consequence, one hardly gets any idea whatsoever of
the function of translated literature for a literature as a whole or of its position
within that literature. Moreover, there is no awareness of the possible existence of
translated literature as a particular literary system. The prevailing concept is rather
that of translation or translated works treated on individual grounds.
In point of fact there is no reason to feign surprise at this state of affairs. After
all, in most literary studies, whether of periods, genres, or writers, one hardly gets
an idea about anything in terms of historical functions. Not merely translated
literature, but all sorts of other literary systems ate dealt with en passant, if at all.
Childrens literature, magazine short stories, or thrillers, to pick up a few exam
ples at random, are in the same boat. Western literary science, only recently
beginning its attempts to rid itself of ossified historicism, has deserted the field to
traditional scholars. In many respects, we have not moved much beyond the stage
of Russian formalism in the early twenties. The works of Tynjanov, Ejxenbaum,
or irmunskij on literary historiography and history have not yet been outdated
and still wait to be put to actual application. The case of translated literature is
therefore not unique in this connection, and we should bear that in mind even
as we make it our main concern.
As is no doubt clear, I use the term translated literature not just as a con
ventional term to cut short the long circumlocution the group of translated
literary works, but as a denotation for a body of texts which is structured and
functions as a system. What is the basis for such an assumption? Is there the
same sort of cultural and verbal coherence within an often arbitrary group of
translated works as there would seem to be within the body of original literature?
After all, one might argue, original literary works written in the accepted idiom
of a certain national literature correlate with each other, and there is a constant
struggle, as has been demonstrated by Tynjanov, about who will win the central
position. What kind of correlations might there be between translated works,

* Paper presented to the Leuven International Symposium Literature and Translation:


New Perspective in Literary Studies, The Catholic University of Leuven, 27 30 April 1976.

22

POLYSYSTEM: INTRASYSTEMIC RELATIONS

which are presented as completed facts, imported from other literatures, detached
from their home contexts and consequently neutralized from the point of view
of center-and-periphery struggles? My argument is that translated works do
correlate in at least two ways: (a) in the way they are selected by the target litera
ture, the principles of selection never being uncorrelatable with the home co
systems (to put it in the mildest way); and (b) in the way they adopt specific
norms, behaviors, and policies which are a result of their relations with the other
co-systems. These are not confined to the linguistic level only, but are manifest
on any selection level as well. Thus, translated literature may possess modelling
principles of its own, which to a certain extent could even be exclusive to it.
It seems to me that these points make it not only justifiable to talk about trans
lated literature, but rather imperative to do so. I cannot see how any scholarly
effort to describe and explain the behavior of the literary polysystem in synchrony
and diachrony can advance in an adequate way if that is not admitted. In other
words, I conceive of translated literature not only as a system in its own right,
but as a system fully participating in the history of the polysystem, as an integral
part of it, related with all the other co-systems My task now is to try to analyse
what kind of relations obtain.
The idea of the literary polysystem need not detain us long. I first suggested
this concept in 1970 in an attempt to overcome difficulties resulting from the
fallacies of the traditional aesthetic approach, which prevented any preoccupation
with works judged to be of no artistic value. My approach was based on the
working hypothesis that it would be more convenient (rather than more true)
to take all sorts of literary and semi-literary texts as an aggregate of systems.
This is by no means a totally new idea; it was strongly emphasized in the twenties
by such scholars as Tynjanov, Ejxenbaum, and klovskij. Taking their works as
a starting point, I proposed a preliminary formulation of the concept in a paper
presented in 1973.
In a more recent paper, Toury discussed in some detail whether the concept is
fruitful and what typologies might be suggested for it (Toury 1974). I find much
of the same approach in a paper by Lotman (1973, English 1976), according to
whom Baxtins study on Rabelais (1965, English 1971) is the best analysis of
the mechanism of relations between high and low literature to have been written
so far on the basis of a historical corpus. In order to avoid discussing the whole
issue here, I refer the reader to these works.
The polysystem hypothesis can advance our knowledge not only because it
enables us to observe relations where they had hardly been looked for before,
but because it helps to explain the mechanism of these relations and consequently
the specific position and role of literary types in the historical existence of
literature. klovskij sees a manifold of literary models, one of which occupies
the top position while all the rest wait their turn. Tynjanov draws out attention
to the struggles between innovatory and conservatory forces, policies, types, and

POLYSYSTEM : TRANSLATED LITERATURE

23

models within the structure of literature as a whole. Implicitly, the notion of


conservationism includes simplification, schematization, and stereotyping processes.
The question of epigonic literature becomes of major importance in this context.
Consequently, we no longer have to do with an a priori literary stratification, but
with positions assumed by various types or systems which elicit certain features.
When the top position is maintained by a literary type whose pertinent nature is
innovatory, the more we move down the scale of strata the more conservatory the
types prove to be, but when the top position is maintained by an ossified type,
it is the lower strata which tend to initiate renewals. When, in the second situation,
the holders of positions do not change places in spite of this, the entire literature
enters a state of stagnation.
In the light of these assertions, the major issue seems to me not which types
are stratified high or low, but under what conditions certain types participate in
the process of changes within the polysystem. This is why I have suggested the
notions of primary versus secondary activities (Even-Zohar, 1973), the primary
activity representing the principle of innovation, the secondary that of maintain
ing the established code.
What is the position of translated literature in this constellation: is it high, low,
innovatory, conservatory, simplified, stereotyped? In what way does it partici
pate or not participate in changes? My answer to the first of these questions is
that translated literature may be any one of these. It maintains no unchanging
position in principle. Whether it becomes primary or secondary depends upon the
specific circumstances operating in the polysystem. This does not necessarily mean
that its position is permanently shifting; long-lasting conditions of a certain kind
may confine it for rather an extensive time to one position only.
To say that translated literature maintains a primary position is to say that it
participates actively in modeling the center of the polysystem. In such a situa
tion it is by and large an integral part of innovatory forces, and as such likely
to be identified with major events in literary history while these are taking place.
This implies in fact that no clear-cut distinction is then maintained between
original and translated writings, and that often it is the leading writers (or
members of the avant-garde who are about to become leading writers) who pro
duce the most important translations. Moreover, in such a state when new
literary models are emerging, translation is likely to become one of the means
of elaborating these new models. Through the foreign work features are intro
duced into the home literature which did not exist there before. These include
not only a possible new model of reality to replace conventions no longer
effective, but a whole range of other features as well, such as a new poetic
language, new matrices, techniques, intonations, whatsoever. It is clear that the
very principles of selecting the works to be translated are determined by the
situation governing the polysystem: the texts are picked according to their

24

POLYSYSTEM: TRANSLATED LITERATURE

compatibility with the new approaches and the supposedly innovatory role they
may assume within the target literature.
What then are the conditions which enable a situation of this kind? It seems
to me that three major cases can be discerned: (a) when a polysystem has not yet
been crystallized, that is to say, when a literature is young, in the process of
being established; (b) when a literature is either peripheral or weak, or both;
and (c) when there are turning points, crises, or literary vacuums in a literature.
In the first instance translated literature simply fulfils the needs of a young
literature to put into use its newly founded (or renewed) tongue for as many
literary types as possible in order to make it functionable as a literary language
and useful for its emerging public. Since a young literature cannot create major
texts in all genres and types immediately, it benefits from the experience of other
literatures, and translated literature becomes in such a way one of its most import
ant systems.
The same holds true also for the second instance, that of relatively established
literatures whose resources are limited and whose position within a larger literary
hierarchy is generally peripheral. As a consequence of this situation, such litera
tures do not produce all systems required by the polysystemic structure, but
instead fill some of them with translated literature. For instance, non-canonized
literature in such cases may be wholly, or to a great extent, translated. But far
more important is the consequence that the ability of such literatures to initiate
innovations is often less than that of the central literatures, with the result that a
relation of dependency is established not only in secondary systems, but in the
very center of these literatures. (To avoid miscomprehension, I point out that these
literatures may rise to a central position in a way analogous to the way this is done
by secondary systems within a certain polysystem, but this is not the point which
concerns us now.) As unpleasant as this idea may seem to us, since peripheral
literatures tend to be identical with the literatures of smaller nations, we have no
choice but to admit that within a group of relatable national literatures, such as
the literatures of Europe, hierarchical relations are soon established, with the
result that within this macro-polysystem some literatures take peripheral positions,
which is so much as to say that they are often modelled to a large extent upon an
exterior literature. For such literatures, translated literature is not only a major
channel through which fashionable models are brought home, but also constitutes
a model to be imitated. In certain cases we can observe that translated litera
ture becomes the major source of alternatives. In other words, whereas richer or
stronger literatures may have the option to adopt novelties from some peripheral
type within their indigenous borders (as has been demonstrated by klovskij and
Tynjanov), weak literatures in such situations often depend on import alone.
In the third case, the dynamics within the polysystem creates turning points,
that is to say, historical moments where established models are no longer tenable
for a younger generation. At such moments, even in central literatures, translated

POLYSYSTEM: TRANSLATED LITERATURE

25

literature may assume a primary position. This is all the more true when at a
turning point no item in the indigenous stock is taken to be acceptable, as a
result of which a literary vacuum occurs. In such a vacuum, it is easy for
foreign models to infiltrate, and translated literature may consequently assume a
primary position. Of course, in the case of weak literatures or literatures
which are in a constant state of impoverishment (lack of literary items and types
existing in a neighbour or accessible foreign literature), this situation is even more
overwhelming.
To say, on the other hand, that translated literature maintains a secondary
position is to say that it constitutes a peripheral system within the polysystem,
generally assuming the character of epigonic writing. In other words, in such a
situation it has no influence on major processes and is modelled according to
norms already conventionally established by an already dominant type. Trans
lated literature in this case becomes a major factor of conservatism. While the
contemporary original literature might go on developing new norms and models,
translated literature adheres to norms which have been either recently or long
before rejected by the (newly) established center. It no longer maintains
positive correlations with original writing. A highly interesting paradox manifests
itself here : translation, by which new ideas, items, characteristics can be intro
duced into a literature, becomes a means to preserve traditional taste. This
discrepancy between the original central literature and the translated literature
may have evolved in a variety of ways. For instance, when translated literature,
after having emerged as a primary system within a situation of great changes,
soon lost contact with the original home literature which went on changing, and
thereby remained untouched. Thus, a literature that might have emerged as a
revolutionary type may go on as an ossified systme dantan, often fanatically
guarded by the agents of secondary activities against even minor changes.
The conditions which enable this second state are of course diametrically
opposite to those which give rise to translated literature as a primary system:
either there are no major changes in the polysystem or these changes are not
effected through the intervention of interliterary relations materialized in the
form of translations.
The hypothesis that translated literature may be either a primary or second
ary system does not imply that it is always wholly the one or the other. As
a system, translated literature is itself stratified, and from the point of view
of polysystemic analysis it is from the vantage point of the central stratum
that all relations within the system are observed. This means that while one
section of translated literature may assume a primary position, another may
remain secondary. In the foregoing analysis I pointed out the close relationship
between literary contacts and the status of translated literature. This seems to me
the major clue in this issue. When there is intense interference, it is that portion
of translated literature deriving from a major source literature which is likely to

26

POLYSYSTEM; TRANSLATED LITERATURE

assume a primary position. For instance, in the Hebrew literary polysystem between
the two world wars literature translated from the Russian assumed an unmistakable
primary position, while works translated from English, German, Polish, and other
languages assumed an obviously secondary one. Moreover, since the major and
most innovatory translational norms were produced by translations from the
Russian, other translated literature adhered to the models and norms elaborated
by those translations.
The historical material analyzed so far in terms of polysystemic operations is
too limited to provide any far-reaching conclusions about the chances of translated
literature to assume a certain position. But work carried out in this field by
various other scholars, as well as my own research, indicates that the normal
position assumed by translated literature tends to be the secondary one. This
should in principle be compatible with theoretical speculation. It may be assumed
that in the long run no system can remain in a constant state of weakness, turn
ing point, or crisis, although the possibility should not be excluded that some
polysystems may maintain such states for quite a long time. As a rule, in order
that there might be change, there must be some stability. Admittedly, the fact
should not be ignored that not ail polysystems are structured in the same way, and
cultures do differ significantly. For instance, it is clear that the French cultural
system, French literature naturally included, is much more rigid than most other
systems. This, combined with the long traditional central position of French
literature within the European context (or, if you wish, within the European
macro-polysystem), have caused French translated literature to assume an extreme
ly secondary position. The state of Anglo-American literature is rather similar,
while Russian, German, or Scandinavian would seem to show different patterns of
behavior in this respect.
What bearings may the position taken by translated literature have on translational
norms, behaviors, and policies? As I stated above, the distinction between a trans
lated work and an original work in terms of literary behavior is a clear function of
the position assumed by the translated literature at a given time. When it takes
a primary position, the borderlines are diffuse, so that the very category of
translated works must be extended to semi- and quasi-translations as well. From
the point of view of translation theory I think this is a more adequate way to deal
with such phenomena than to reject them on the basis of a static and a-historical
conception of translation. In any case, as translational activity participates, when
it assumes a primary position, in the process of creating new models, the translators
main concern is not to look for ready-made models in his home stock, into which
the original texts could be transferable ; instead he is prepared to violate the home
conventions. Under such conditions the chances that a translation will be close
to the original in terms of adequacy (in other words a reproduction of the
dominant textual relations of the original) are greater than otherwise. Of course,

POLYSYSTEM TRANSLATED LITERATURE

27

from the point of view of the target literature the adopted translational norms
might for a while be too foreign and revolutionary, and if the new trend is de
feated in the literary struggle, the translations made according to its conceptions
will never gain ground. But if the new trend is victorious, the code of translated
literature may be enriched and become more flexible. Under any circumstances,
from the point of view of translation behavior such periods are almost the only
ones when a translator is prepared to go far beyond the options offered to him
by the established code and is willing to attempt a different treatment of the
textual relations of the original. Let us remember that under stable conditions
items lacking in a target literature may remain untransferred if the state of the
polysystem does not allow innovations. But the process of opening the system
gradually brings closer certain literatures and in the longer tun enables a situation
where the postulates of adequacy and the realities of equivalence may overlap to
a relatively high degree. This is the case of the European literatures, though in
some of them the mechanism of rejection has been so strong that the changes I
am talking about have been rather on a limited scale.
Naturally, translated literature when it occupies a secondary position behaves
totally otherwise. Since it is then the translators main effort to concentrate
upon finding the best ready-made models for the foreign text, the result often
turns out to be a non-adequate translation or (as I would prefer to put it) a
greater discrepancy between the equivalence achieved and the adequacy postulated.
In other words, not only is the socio-literary status of translation dependent
upon its position within the polysystem but the very practice of translation is
strongly subordinated to it. And even the question of what is a translated work
cannot be answered a priori in terms of an a-historical out-of-context idealized
state: it must be determined on the grounds of the operations governing the
polysystem. Seen from this point of view, translation is no longer a phenome
non whose nature and borders are given once and for all, but an activity de
pendent on the relations within a certain cultural system. Consequently, such
key concepts as adequacy and equivalence cannot be dealt with fairly unless
the implications of polysystemic positions are taken into account. I would go as
far as to say that this negligence is one of the major mistakes of contemporary
translation theories, which lean too heavily on static linguistic models or under
developed theories of literature. I have attempted to sketch some points which
might give us greater ability to formulate questions relevant for the literary
situation.
Amsterdam-Leuven, April 1976.
(Forthcoming in:
Literature and Translation: New Perspectives in Literary Studies. James S. Holmes,
Jos Lambert and Raymond van den Broeck, eds.,ACCO, Antwerp & Leuven).

The Polysystem Hypothesis Revisited


Work developing the polysystem hypothesis goes on, its applicability being dis
cussed and tested in various investigations (Toury [1974] [1976] ; Lambert
[1976]; Scholz [1976] ; Shavit [1974] [1976] ; cf. also Nemers detailed survey
[1977], esp. 71-75, 76-78, 80-82). This is encouraging for the development of
historical poetics within the framework of the semiotics of literature. Yet in order
for it to cope more adequately than previous models with the complexity of phe
nomena it hopes to explain, its major notions require continued reformulation and
reevaluation. As several points seem now neither fully explicated nor fully under
stood, I would like to discuss them below, though no exhaustive reconsideration of
relevant questions will be attempted.
1. The PS hypothesis involves a rejection of value judgments as criteria for an
a priori selection of the objects of study.
Although this is the most unsophisticated principle derived from the PS hypothesis,
it seems to need special emphasis. It is based on the assumption that we can no
longer confine ourselves m the historical analysis of literature to the so called master
pieces, even if we consider them the only reason for studying literature at all.
Further, this kind of elitist attitude must be banished altogether from literary
historiography. This has nothing to do with standards we may have as critics or
private readers. It means rather, that as scholars committed to the discovery of the
mechanisms of literary history, we cannot use arbitrary and temporary value judg
ments as criteria in selecting the objects of study in a historical context. The
prevalent value judgments of any period are themselves an integral part of the ob
jects to be observed. No field of study can select its objects according to norms of
taste without losing its status as an intersubjective discipline. Naturally one may
take an interest in one particular area of a broad field but even then it is clear
that no particular part of any system can be analyzed in isolation. On the other
hand, I would like to warn against what can be termed a reverse high-brow
approach. There is a tendency among what we might call high-brows with a bad
conscience to ignore cultural hierarchies altogether and play up, instead, popular,
commercial or naive literature as the true and exclusive culture, the kind that
really matters for a historian. This kind of approach, popular enough in certain
circles, is no more useful than traditional elitism or any other form of romantic
enthusiasm for products of the true spirit of the nation, uncorrupted, as it
were, by sophisticated civilization. A non-elitist and non-evaluative historiography
will attempt to eliminate all sorts of biases. The PS hypothesis, therefore,
should not be allowed to become a pseudo-rational justification for democratic
ideas (often expressed by the denigration of high-brow culture) propagated by
literary agents. Such trends, legitimate as they may be within the context of
literary struggle, have nothing to do with a discipline whose task is to observe it.

POLYSYSTEM HYPOTHESIS REVISITED

29

2.
The PS hypothesis allows for a more adequate analysis of intra- and
interrelations.
Traditionally, both literature and language have been discussed in terms of
homogeneity. With both, homogeneity has been wrongly identified with structured
ness and systematicity. This unsubstantiated conception, completely out of date
in linguistics, was also rejected in the 1920s by Tynjanov and Jakobson,
separately and together (cf. Tynjanov [1929a], Tynjanov & Jakobson [1928]).
The notion of a dynamic system, undergoing constant change, the process of which
is in itself a system, i.e., a structure, has since been regrettably ignored by poetics
making possible the triumph of the erroneous synchronistic fallacy in the works of
the so called French structuralists, now so popular in Anglo-American circles.
This notion, however, lies at the base of our PS hypothesis. Its merit lies not only
in the possibility of integrating history (both synchrony and diachrony) into
poetics (and the semiotics of culture) and preventing both the theoretically and
empirically intolerable transformation of a historical object into a series of
a-historical occurrences. Its supreme merit is in making it possible to think of a
heterogeneous whole, a whole which is structured, and consequently whose ele
ments are mutually dependent, in spite of the possible contradictory and seem
ingly incompatible features of each of them in isolation. It thus becomes clear
that in order for a system to function, uniformity need not be postulated. One
only need assume the center-and-peripheiy relation in order to be able to recon
ciliate heterogeneity with functionality. Thus, the notion of hierarchy, of strata,
is not only unavoidable but useful as well. To augment this with the notion of
a system of systems, a multiple system, i.e., a system whose intersections are more
complex, is but a logical step necessitated by the need to elaborate a model closer
to the real world. There is nothing in the polysystem which was not in the
[uni]system except for the stress on the multiplicity of intersections, and hence
the greater complexity of structuredness involved. On the theoretical level, this
would require more sophisticated theorems and the calculation of probabilities
would be, so to speak, less finite.
Perhaps more room will be given for entropy, which may be quantitatively
higher due to the fact that more relations must be taken into consideration, and
more than one center (or rather a hierarchy of centers) must be postulated.
On the descriptive level, this would simply make it possible to focus on a larger
variety of observables without having to reduce the probable number of relations
detected. From the point of view of further investigation, the PS hypothesis
will entail more risk but it may also produce a more flexible model for coping
with the complex hierarchy which literature is in its broad sense.
These principles, valid for the intra-relations of the system, seem to hold true
for its inter-relations, too. Here we are faced with yet another augmentation of
the model, i.e., with the assumption that the literary PS is just a component of a
larger PS that of culture to which it is, semiotically speaking, both subjugated

30

POLYSYSTEM : TRANSLATED LITERATURE

and iso-morphic (cf. On Systemic Universal in Cultural History, below,


pp. 39-44), and thus correlated both with this greater whole and its other compo
nents. The complicated questions of how one literature correlates with another,
how literature correlates with society, language, economy, etc., may here merit less
simplistic and reductionist hypotheses than otherwise. Thus, the infiltration of a
literary PS A into a literary PS B, for instance, need no longer be taken as occurring
on either an individual (molecular) basis, or through one particular stratum or
another (e.g., the central one[s]). The polysystemic structure of literature postulated
here can account for more, and (in an ultimate phase of its development) hopefully
follow up the full course of interference processes.
Similarly, social facts need no longer be assumed to find an immediate and uni
directional, univocal, form in literature, as primitive sociology or history of ideas
(Marxism included) would like us to believe. The intricate correlations between
these cultural systems, if seen as iso-morphic in nature and functional only within a
cultural whole, can be observed on the basis of their mutual give-and-take, which
often occurs obliquely, i.e., through transformational devices, and often via peri
pheries. I think I have demonstrated this at least in part in my observations on the
function of translated literature and other strata which function largely at the
periphery. The elaboration of social phenomena in semiotic terms now being
carried out by a number of scholars will, hopefully, supply the conceptual common
ground hitherto lacking.
Two examples may perhaps illustrate the point. The first is the suggestion that
once we have postulated the notion of system as a construct for an otherwise in
coherent conglomerate of isolated facts, we may very well suppose that systems do
exist. The notion of volume, therefore, may be posited for them, i.e , the PS
can be taken to be an augmented S (unisystem). If we assume that the literary
system is iso-morphic with, say, the social system, its hierarchies can only be con
ceived of as intersecting with the hierarchies of that social system. The idea of a less
stratified literature becoming more stratified, which I suggested as a universal (All
literary systems strive to become polysystemic cf. On Systemic Universal in
Cultural History p. 39) can be thus understood because of the homologous
relations obtaining between literature and society. Accordingly, if the PS hypothesis
is available, more adequate interrelations can be detected. The same holds true for
a key notion of the PS hypothesis, that of the canonized/non-canonized dichotomy.
This dichotomy is formulated in literary terms, because literature is assumed to be a
self-regulating system. Thus, stratification is carried out by the interrelations within
the system. But such a conception is tenable only if the literary PS, like any other
of a cultural semiotic nature, is simultaneously autonomous and heteronomous
with all other semiotic co-systems. The degree of autonomy and heteronomy will
depend on whether the co-systemic items (facts) function at its center or
periphery. Thus, facts of literary life, e.g., literary ideologies, publishing houses,
criticism, literary groups or any other means for dictating taste (cf. Ejxenbaum

POLYSYSTEM HYPOTHESIS REVISITED

31

[1929], 1971.) function in a more immediate way for the stratification of the PS
than other social facts. In other words, literary stratification, (or, for the PS,
multi-stratification), does not operate on the level of texts alone, nor are texts
stratified exclusively according to features inherent in them. Rather, the constraints
imposed upon the literary PS by its various semiotic co-systems contribute their
share to the hierarchical relations governing it.
3.
The PS hypothesis is a functional concept, not a tool for classification.
Classificatory habits are hard to dislodge and tend to creep in unnoticed. They can
be a serious pitfall when trying to apply concepts suggested by the PS theory.
Moreover, on the research level, they produce a preoccupation with irrelevant
and futile questions, such as what specific class (stratum) each individual text
under study belongs to. This is fruitless because the PS theory, including the
canonized/non-canonized dichotomy, is simply not intended to answer such
questions. It rather attempts to provide more sophisticated tools for overcoming
reductionist models and explaining how a great deal of heterogeneous data under
going constant change is interrelated and able to function as a meaningful whole.
This, within, and/or for, other homologous wholes which together constitute
human culture. The PS hypothesis is, therefore, a functional, not a typologicalclassificational concept. It is concerned with dynamic complexes, not with static
phenomena. The functions it may detect are conditioned by complex inter- and
intra-relations within a hypothesized multi-leveled system. The formal items
supposed to carry these functions are admitted as facts of this system only if
such functions can be hypothesized for them, i.e , only if it is analytically fruit
ful to consider them as variously (cor)related with other items to which the same
procedure applies. Further, being a historical phenomenon, the range and nature
of the PS facts necessarily change. Formal units change their functions, while
functions shift to other formal units. The principles according to which these
processes occur are of a systemic nature on both the diachronic and synchronic
axes. In short, all standard hypotheses of systems theory must be kept in mind.
I believe that two implications immediately follow. First, if one is interested
in using the PS theory for classification, the idea of rigid nomenclature must be
rejected. Otherwise, the PS theory will be of little use. Clearly, more detailed
categories must be elaborated to that end, as the PS theory itself is not designed
for such a purpose. Secondly, the object of study of the PS hypothesis cannot
be individual texts, although they are no doubt indispensable to it. Since the
PS is supposed to be a network of multi-relations, it is imperative that it deal
with many texts, often through sampling methods. Hence, it is the idea of the
model (i.e., a certain selection from a repertoire upon which proper textual
relations* have already been imposed) which needs replace that of the individual
* Order, concatenation and positions (matrix), cf. Even-Zohar,1972.

32

POLYSYSTEM HYPOTHESIS REVISITED

text. The latter is discussed as a manifestation of a certain model, whether conserv


ative or innovatory (and thus unprecedented). The importance of a text for the
PS is determined only by the position it might have occupied in the process of
model creation and/or preservation. Instead of dealing with texts exclusively as
closed systems, we are directed towards developing concepts of the literary reper
toire, the literary model and methods of handling large numbers of texts, among
them sampling. Obviously, the syntagmatic aspects of the literary text, the
proper textual relations are insufficient, even with the most advanced formula
tions, to fulfill the demands of the PS hypothesis on levels of both theory and
research.
4.
Canonized vs. non-canonized is a stratificational opposition.
In my paper The Relations Between Primary and Secondary Systems (above,
pp. 14-20), I attempted to provide a model consisting of two pairs of oppositions
for handling the PS relations: canonized vs. non-canonized and primary vs.
secondary. The canonized/non-canonized dichotomy is intended to represent
the macro-opposition of the multi-layered system. Although it might be pos
sible to reduce it to the more general notions of systems theory, i.e., center vs.
periphery, it was felt that the augmented concept of the PS required a more
specific term to denote the tension between official and unofficial cultural strata.
Moreover, this was not just a question of terminology as center-and-periphery
relations are hypothesized for both the canonized and the non-canonized strata.
Hence, this distinction makes it possible to observe more than one center and
periphery within each system and there is, therefore, no need to replace (or
improve) such a dynamic model with trichotomies, as has been suggested (cf.
Toury. 1974: 2.1.3). Such notions as high-, middle- and low-brow may be use
ful for popular discussion, but constitute a real burden on theory and research.
One of the difficulties in handling them is their tendency to develop into
classification categories and increase indefinitely.
Canonicity, however, is not a simple notion, i.e., it does not express one clearcut relation but, rather, a bundle of relations, which have not yet been satis
factorily clarified. Moreover, it expresses, by a contiguity of ideas, not only the
status already acquired by a particular literary unit (text, model), but also its
potential status. That is, it can be applied to literary units either about to gain
status or about to lose status. The former, because of newly-created options,
possess the potential of moving from the periphery into the center of the
canonized system. The latter, on the other hand, tend to decline in the center
although their status may still be perpetuated. The latter, technically known in the
literature as epigonic, may easily be pushed into non-canonized strata once such
units give up certain features. As the situation on the margin is constantly fluc
tuating, only minute historical comparative analysis will be able to cope with an
attempt at description. A-historical classification attempted on such a corpus

POLYSYSTEM HYPOTHESIS REVISITED

33

must fail. It should be emphasized that canonicity is analogous not to the hier
archical oppositions of language function, but to the hierarchical relations governing
the linguistic polysystem. The oppositions that determine what variety of
language will be considered standard, civilized, vulgar, slang, or
high-brow, are not primarily linguistic, but socio-cultural. The selection of a
certain aggregate of features for the assumption of a certain status is extraneous in
this case to that aggregate itself. Obviously, once it has been selected, it may also
contribute to its own continued select position. But even then it would only be
perpetuating a principle which was generated not by itself, but by some other
system. Canonized literature, supported in all circumstances by either conserva
tory or novatory elites, is constrained by those cultural patterns which govern the
behavior of the latter. If sophistication, eccentricity or the opposite features are
required by the elite to gratify its taste and control the center of the cultural
semiotic system, then canonicity will adhere to these features as closely as it can.
Of course, many components of this mechanism have in fact been transformed
into functions operating within co-systems closer to the literary PS. Facts of
literary life, i.e., literary establishments such as criticism (not scholarship),
publishing houses, periodicals and other mediating factors, are often translation
functors of the more remote constraining socio-cultural system. Thus we are
enabled to carry out descriptive work, at least up to a certain extent, in the
field of literature itself, and supply poetics with well-defined terms of reference.
We can observe what features agglomerate around which models, and assume that
the PS regulates itself (cf. Lotman: 1976); that is, we simply register what
status has been dictated by what functors of literary life, especially by those
explicitly formulated, e.g., polemical articles, encyclopedias, traditional literary
histories, school syllabi, etc. Intra-systemic analysis is therefore perfectly
manageable; moreover, it is indispensable if we wish to avoid falling back on
prefunctionalist practices or a-historical, positivist sociology. But if we reject the
idea that the intra-systemic stratification relations within a PS are ultimately
constrained by the larger socio-cultural system, we will be left with a set of
questions badly asked and badly answered.
5. Primary vs. secondary is a historical-typological notion.
While the idea of canonicity denotes hierarchical relations, the primary/secondary
dichotomy refers to the degree (and type) of admissibility of new elements into
a closed repertoire. I would therefore drop the term system in connection
with it, and replace it with pattern or model. When a repertoire is
established, and all derivative models are constructed in full accordance with
what it makes available, then we are faced with a conservative system. Every
individual product (text) of the system will be highly predictable, and any
deviation will be considered outrageous. Products of the conservative system I
label secondary. Contrariwise, the augmentation and restructuration of a

34

POLYSYSTEM HYPOTHESIS REVISITED

repertoire by the introduction of new elements, as a result of which each product


is less predictable, are expressions of an innovatory system. The models it offers
are of the primary type: the pre-condition for their functioning is the dis
continuity of established models. Of course, this is a purely historical notion.
It does not take long for any primary model, once it is admitted into the cen
ter of the canonized system, to become secondary, if perpetuated long enough.
The struggle between the primary and secondary options is not a lesser determi
nant of system evolution than the struggle between high and low strata within the
system. Naturally, change occurs only when a primary model takes over the
center of a system: its perpetuation denotes stabilization and a new conservatism.
Usually, perpetuation is governed by its own specific rules. Thus, it has not been
possible so far to observe the perpetuation of any primary model without structural
modifications that can be termed in an ad hoc manner simplification. This does
not mean that primary models are more sophisticated than secondary, but that
during the course of their perpetuation, and within the secondary models which
ultimately emerge out of them, a process of reduction takes place. For instance,
heterogeneous models are ultimately transformed into homogeneous models; the
number of incompatible patterns within the same structure is thus reduced; com
plex relations are gradually replaced by less complex and so on. Naturally, the
reverse procedure takes place when a secondary model is manipulated in such a
way that it is virtually transformed into a primary one.
As I argued above (4.), canonicity does not necessarily overlap with primariness,
although this may have been the case in more recent times, i.e , since the Romantic
Age. It is therefore important to discover the sort of relations which obtain be
tween canonized/non-canonized systems and primary/secondary models. The more
we observe literature with the help of these notions, the more it becomes apparent
that we are facing an overall semiotic mechanism rather than an exclusively literary
one. As systems are governed by those who control them, the tools fought for will
depend on their relative efficacy for controlling the system. Thus, when control
can be achieved only by break (change), this becomes the leading popular prin
ciple. It will not be supported however, as long as perpetuation can satisfy those
who might lose more by break. Naturally, once there is a takeover, the new reper
toire will not admit elements which are likely to endanger its control. The process
of secondarization of the primary thus turns out to be unavoidable. It is further
reinforced by a parallel mechanism of secondarization, by which a system
manages to stabilize itself, or repress innovation. By such a process, new elements
are retranslated, as it were, into the old terms, thus imposing previous functions
on new carriers rather than changing the functions. Thus, as in the case of a new
regime which carries on the institutions of the old by transferring their functions
to new bodies, so a primary literary model, gradually altered, serves the same
functions of secondary models of a previous stage. Semiotically speaking, this
is a mechanism by which the less immediately understandable, the less

POLYSYSTEM HYPOTHESIS REVISITED

35

decipherable, becomes more so. The less familiar, and hence more frightening,
more demanding and loaded with more information, becomes more familiar, less
frightening and so on. Empirically, this seems to be what the overwhelming
majority of culture consumers really prefer, and when one desires to control
them, this preference will be fully met.
As with Pandoras box, the PS hypothesis may let loose many questions the
answers for which are neither easy nor always pleasant. There is much work to
be done, a fact not less encouraging than frightening.

Tel Aviv, October 1977

II
On Systemic Universals in Cultural History
Universals of Literary Contacts
Interference in Dependent Literary Polysystems

On Systemic Universals in Cultural History*


I
The overall conceptual framework which semiotics tried to provide for the sciences
of man was never reductionist in nature. Because of its vast scope, it was always
dominated by the idea of human activity as an aggregate of sign systems carrying
information, i.e., a system of systems necessarily correlated and functioning despite
their heterogeneity as a structured whole.
It is this view that has made it possible to renew scientific investigation of those
areas which could not previously be integrated into the systematic sciences of man.
Deep dissatisfaction with both the metaphysics of the Geistesgeschichte and the
dogmatic doctrines of art as a reflection of life resulted in relatively prolonged
neglect of questions intuitively felt to be important: the relations between
world, art and society, and the function of the historical context for them, As
a consequence, history, society, language, literature, culture, and other semiotic
systems have been isolated and dealt with separately. True, this made it possible
for each of the disciplines to better clarify its scope and define its methods. But
now an atmosphere of crisis has focussed the concern of many scholars on
semiotics. Crises have always been beneficial for the development of science, and
thus, the emerging semiotic framework has made it possible for various disciplines
to meet again and even open their borders to integrate previously rejected fields of
study. But even more important it has rendered the search for the general possible
without losing sight of the particular. In this connection one of the most valuable
contributions seems to have been the revival of the notion of culture in correla
tion with language, literature and other sign systems.
In numerous works, Soviet semioticians have been discussing culture and the way
to investigate it semiotically. In a recent article by Lotman, Uspenskij, Ivanov,
Toporov & Pjatigorskij, culture is discussed in the following terms (1975:57):
In the study of culture the initial premise is that all human activity
concerned with the processing, exchange, and storage of information
possesses a certain unity. Individual sign systems, though they pre
suppose immanently organized structures, function only in unity,
supported by one another. None of the sign systems possesses a mech
anism which would enable it to function culturally in isolation. Hence
it follows that, together with an approach which permits us to construct
a series of relatively autonomous sciences of the semiotic cycle, we
shall also admit another approach, according to which all of them ex
amine particular aspects of the semiotics of culture, of the study of the
functional correlation of different sign systems.
* Paper presented to the Tel Aviv Symposium Literature and Meaning in Language, Society
and History, The Porter Israeli Institute for Poetics and Semiotics, Tel Aviv University,
April 28, 1977.

40

UNIVERSALS IN CULTURAL HISTORY

Consequently, the authors believe, culture is constructed as a hierarchy of


semiotic systems and it is precisely [this] inner structure, the composition and
correlation of particular semiotic subsystems, which determine the type of cul
ture in the first place (ibid., 61). They admit that several cultures may also
form a functional or structural unity and that such an approach proves especially
fruitful in solving problems of the comparative study of culture (ibid.). Thus,
culture is considered the highest regulating principle of organized human activity,
which, by means of its subsystems, manages to structure the world for human
society. Yet it seems that certain subsystems, due to their ready-made organiza
tional features, may have a more central role for the function of culture than
others. Thus, Lotman and Uspenskij state in their article On the Semiotic
Mechanism of Culture (1971) that
The main work of culture [. . .] is the structural organization of
the surrounding world. Culture is a generator of structuredness
and it creates social sphere around man which, like biosphere,
makes life possible (in this case social and not organic). But in
order to fulfil this role, culture must possess a structural stamping
device. This function is carried out by natural language. The
language imparts an intuitive feeling of structure to all members of
the community: by its evident systemic nature [. . .], by its trans
formation of an open world of realia into a closed world of
names, language makes people treat as structures even such phenom
ena the structural nature of which is, at least, not self-evident.
(Lotman & Uspenskij, 1971:146-147; quoted from Segal, 1974 94-95.)

Language, no doubt, is the most articulate and least mediated sign system, and
also has the ability to comment upon itself. But even from the works of the
above-mentioned Russian scholars it is evident that the role of literature as an
organizer of the world has not been less central. Moreover, as an activity
expressed by language, yet integrating into itself other sign systems by means of
larger modelling units than those possessed by language per se, it has become an
even more powerful organizer. This can be corroborated by the data which
history offers us which indicate what a tremendous role literature played in the
crystallization of the cultures of various collectives. This also clarifies the
privileged status assigned to literature since the emergence of modern nationalist
ideology in the Romantic Age.
Taking all of these considerations into account it should be clear by now
that the semiotic idea of culture is by no means a modern disguise for
traditional Geistesgeschichte nor a new hash of various disciplines. Not only is
it capable of becoming a powerful working hypothesis, tightly linked with both
language and literature in a concrete way, but it already appears that we have
little choice as to whether or not to use it. Unless we want to repeat the mistake

UNIVERSALS IN CULTURAL HISTORY

41

of interpreting a general principle as if it were a unique feature of one subsystem


or another, we will be forced, eventually, to consider cultural phenomena as both
structured by and iso-structural with other semiotic systems, notably though not
exclusively literature and language. In other words, even if our individual points
of departure are language, literature, sociology, history, fashion or public traffic,
we are likely to reach a point at which we cannot proceed satisfactorily unless
we consider our specialized fields as both iso-structural and correlated with
culture, that is both structuring it and structured by it.
II
Using these conclusions as working hypotheses, I would like to discuss the question
of universals in cultural history or, rather, culture within the historical context.
Once we overcome our fear of the notion of culture, the quest for universals
has to be seen as implied by it. If we think of culture in terms of a universal
phenomenon which manifests itself in various times and places as a specific
culture, there remains no theoretical basis for rejecting the possibility of formu
lating universals. The quest for universals has been an intellectual goal for many
generations, and has been discussed recently with some intensity in the framework
of linguistics and the philosophy of language. Many objections have been raised
to the often uncontrolled data used or far-fetched conclusions reached in linguistic
inquiry in this field. But as long as universals do not become the new ideological
dogmas of our time, as long as they are seen as historical generalizations rather
than unhistorical truths, they are no more hazardous or unreliable than any other
scientific hypothesis.
At a symposium in honor of Roman Jakobson (Bielefeld Interdisciplinary Center,
April 20-22, 1975), the question of language universals was discussed, in a not
altogether positive or fraternal spirit. The distinguished semiotician had to take
a firm stand in favor of universals, and he did so in a most unusual way. Instead
of arguing for high-level universals he simply maintained that not only can our
basic linguistic hypotheses be easily reformulated in terms of universals but that
their status as such is unavoidable. For example, he said, we cannot conceive
of language without consonants, nor, from another angle, can we conceive of it
without communication. Hence, these are universals, amply sustained as far as
human language is concerned. At that moment I realized that much of our
work in poetics could have been reformulated in such a way, at the cost, it is
true, of making bold statements which hitherto might have been disguised as
solid commonplaces. Steps can be taken towards reinterpreting our concepts
in terms of universals as well as directing further accumulation of data to that
end. At the end of 1975 I formulated a series of possible universals in a
specific section of historical poetics, that of literatures in contact (Universals

42

UNIVERSALS IN CULTURAL HISTORY

of literary Contact, above pp. 45-53). I realized that the result was a set of
more coherent generalizations where before we had had a body of isolated or
badly linked hypotheses. In addition, the generalizations thus formulated opened
immense opportunities for new research. However, while working on the particular
universals it became increasingly clear that on such a level of abstraction almost
all processes analyzed in the literary system could be seen as iso-structural with
the cultural system as a whole, and/or with any of its components. Thus, the con
clusions arrived at on the basis of speculation could have been drawn from the
descriptive work carried out which was historical by nature. Therefore, the danger
of static observation where the dynamic principle is dominant could be eliminated.
True, the concept of historicity is not unequivocal, but people tend to neglect
the solid, rich tradition developed in that field of modern poetics since the
pioneering work of Tynjanov, Ejxenbaum, Jakobson, irmunskij and others.
According to this tradition, the historical dimension is conceived of as a poly
chronic system, and should by no means be identified with the static and partial
notion of diachrony professed by Saussure. It is to be regretted that such mis
understanding dominated the science of language for decades, in spite of the work
done in Russia and Czechoslovakia prior to World War II. Jurij Tynjanov and
Roman Jakobson had already made this point in their famous 1928 theses:
The sharp opposition of synchronic (static) and diachronic cross
sections has recently become a fruitful working hypothesis, both for
linguistics and for the history of literature; this opposition reveals
the nature of language (literature) as a system at each individual
moment of its existence. At the present time, the achievements of
the synchronic concept force us to reconsider the principles of dia
chrony as well. The idea of the mechanical agglomeration of
material, having been replaced by the concept of system or structure
in the realm of synchronic study, underwent a corresponding replace
ment in the realm of diachronic study as well. The history of a
system is in turn a system. Pure synchronism now proves to be an
illusion: every synchronic system has its past and its future as insepar
able structural elements of the system: (a) archaism as a fact of style;
the linguistic and literary background recognized as the rejected oldfashioned style; (b) the tendency in language and literature recog
nized as innovation in the system.
The opposition between synchrony and diachrony was an
opposition between the concept of system and the concept of
evolution; thus it loses its importance in principle as soon as we
recognize that every system necessarily exists as an evolution, where
as, on the other hand, evolution is inescapably of a systemic nature.
(Tynjanov & Jakobson, 1928; quoted from Matejka & Pomorska,
1971:79-80.)

UNIVERSALS IN CULTURAL HISTORY

43

The following illustration will clarify my point. It was hypothesized by various


scholars, myself included, that literature within the historical context can be con
ceived of as a polysystem, that is, a stratified whole, where the various strata
function as systems. This should have turned out to be particularly fruitful for
both description and explanation of the dynamics of literature within the historical
context. As soon as I started working with this hypothesis, it appeared that there
were cases of literatures which were otherwise structured: they were unstratified
and lacked items, or even whole strata, already established in some of the highly
developed literatures. But this also turned out to be a fallacy, caused by our
traditional prejudices concerning the borders of literature. Thus, both in full-fledged,
highly developed polysystems and in defective ones (those which lacked items), a
strong and marked cline of stratification was always present. True, different means
were used to achieve this and the degrees of detailed stratification differed largely
in the various cases in the course of history. But it became clear that no literature
really ever functions as a non-stratified whole, and, if the correlation between the
strata within it disintegrates for some reason or other, a sort of stagnation takes
over. As a result the system collapses. This has been amply demonstrated in more
than one historical case. Thus, the methodological hypothesis which presumed
literature to be a polysystem could now be reversed and reformulated in terms of
a universal: all literary systems strive to become polysystemic. Even those which
appear to function otherwise turn out in the long run to behave according to the
same pattern.
I intend no jonglement de mots here. I am not looking for another way to say
the same thing. It is an altogether different hypothesis, and a much more risky
one. Still, it is testable, refutable, and definitely calls for the accumulation of
vast new data and the reinterpretation of the old. But here is a second point, and
this is that such a universal cannot possibly be conceived of as peculiar to the
literary system exclusively. All cultural systems seem to follow the same pattern
of behavior, and although it goes without saying that the sign-strata cannot be
materially the same, the same principles apply. This should not sound new to
either linguists or sociologists, although I can not point to any exact formulation.
There is no un-stratified language, even if the dominant ideology governing the
norms of the system do not allow for an explicit consideration of other than the
high, or canonized, strata. The same holds true for the structure of society and
everything involved in that complex phenomenon. Moreover, all anti-stratification
ideologies and experiments on the social level have turned out to be unsuccessful.
What might have changed are the means by which stratificational oppositions are
inherently maintained. That is to say, certain aspects of social injustice may
have been eliminated in one society or another, but as soon as they were
eliminated, others replaced them for stratification purposes, perhaps with less
social harm to the underprivileged. The very same process governs language change
from the point of view of register hierarchy. To quote one example, between 1969

44

UNIVERSALS IN CULTURAL HISTORY

and 1970 through propaganda and wide consensus, the Swedish people decided to
eliminate from their language the polite pronoun ni, equivalent to the French
vous and the German Sie. This should have increased egalitarian feelings
among large sections of Swedish society, but soon new stratificational means ap
peared to distinguish between more and less intimate speech. Only that
particular formalized opposition was neutralized.
If we accept this kind of reasoning and consider it fruitful for cultural history,
then a whole series of hypotheses connected with the one illustrated above can be
elaborated. Such questions could be the struggle between innovatory and conser
vatory forces within a system, manifested in terms of primary versus secondary
activities, using either literary models or fashion norms; or the universality of the
processes whereby items rise to the center and are pushed to the periphery; or
the less acknowledged process by which all primary features in diachrony become
secondary after having been simplified and standardized. All these, and many
other points, need to be and should be reinterpreted and reformulated as univer
sals.

Tel Aviv, April 1977.

Universals of Literary Contacts


1. Introduction
There is an incredible number of works dealing with particular cases of literary
relations, contacts or influences. And there has been a great deal of discussion
recently on basic problems of comparative literary studies. Still, relatively little
has been done in terms of generalizations as to when and under what conditions
such contacts emerge, take place and decline, and what their characteristic features
are.
In this article I intend to raise some major questions about literary contacts
which I have labelled in a rather pretentious way Universals of literary contacts.
Of course, the very existence of universals may be doubted. One may argue
that the variety of cases and the fluctuous historical contexts are too complex and
divergent to make them really available. Moreover, the state of our knowledge
in this area is so lamentable that a lot of work must be done before any such
attempt can be made. My point of departure, however, is the very opposite. It is
because of this poor state that I consider it highly valuable to posit a set of uni
versals, the controversial nature of which might force both methodological
speculations and research into a position where this issue can no longer be neglect
ed. In other words, although the value and existence of universals cannot yet be
reasonably maintained, it seems to me worthwhile trying to formulate some.
Investigating literary contacts should by no means be taken as a sine qua non
of historical studies under any circumstances. Many issues of a historical descrip
tion of national literatures can in fact be investigated without undertaking any
research into the nature of literary contacts at all. I find it necessary to stress
this point because of the current practice by literary scholars to mix up compa
rative studies with general literary ones and to subsume under these headings
problems which do not belong to them at all. Thus, when a target literature is
relatively independent, a source literature might be of secondary importance for
its evolution. On the other hand, when a target literature is highly dependent,
literary contacts might be a major factor for its development. Consequently,
the major condition for considering contacts to be valuable is the extent of their
contribution to the structure of a literature. Obviously, when a whole period, a
whole genre or a group of major writers use appropriations from a source litera
ture in order to introduce changes in their proper system, a historian of literature
can no longer ignore this.
2. Some terms for literary contacts
Two literatures related to each other in one way or another are said to have
contacts. These may be either unilateral and/or bilateral, which means that they
are either maintained in both literatures or only by one of them. The contact
shows itself in such a way that a literature A interferes with a literature B.

46

UNIVERSALS IN CULTURAL HISTORY

Thus, literature B takes over from A certain items: components of the literary
stock, techniques, whole models and matrices. Via this taking over, many nonliterary items may also move from A to B: verbal expressions, whole attitudes,
socio-linguistic patterns, etc. In such types of relation A may be called the source
literature (SLt), and B the target literature (TLt). From the point of view of the
SLt, an item is expropriated by the TLt, while from the point of view of the TLt,
an item is appropriated.
If the rate of appropriations in a TLt is very massive, we may speak of an
invasion, whereas a gradual and limited stream of appropriations may be called an
infiltration. In terms of the item itself, it is introduced into a TLt so as to be
transplanted. This may turn out to be either successful or futile. Often, due to
resistance (the opposite of receptibility) within the TLt, SLt items are rejected.
However, a transplantation may still take place when there are not enough
resisting powers within the TLt to instigate a rejection. Without insisting on a
directional perspective one could state fairly neutrally that items migrate from one
literary system into another. To put it rather generally, an influence is exercised,
a term which preferably should be replaced by any of the technical terms discussed
above whenever possible.
3. The two major types of literary contacts
Generally speaking, it is necessary to distinguish between two major types of
literary contacts (i) contacts between relatively established systems which are con
sequently relatively independent, and (ii) contacts between non-established or fluid
systems which are partly or wholly dependent upon some other system(s).
In the first instance, literatures develop more or less within their own spheres.
Sometimes a foreign system or individual, or a certain fashion, may be of im
portance for them in view of their possible contribution to the process of changes
within them. This happens under relatively favorable conditions for a TLt. Such
has been the case, e.g., of both French and English literatures, at least during the
last two hundred years. Although a lot of observations have been made about the
influence of Ibsen on Shaw or Laforgue on Eliot or Strindberg on a host of
English and French playwrights, it is not yet clear to what extent these contacts
have been more than a mere stimulation for the evolution of creative minds.
In the second case, a certain literature can, to a relatively great extent, be
dependent upon another literature, because of, inter alia, its tender age, or
weakness or specific cultural or political conditions. In such cases, a SLt may
function for a TLt almost as if it were a part of it. This generalization applies
roughly to the literature of a minority group within a majority group, or to
groups which are geographically connected to or politically subjugated by some
other group. For example, Ukrainian vs. Russian, Flemish vs. French in the
nineteenth century, Hebrew vs, Arabic in medieval Spain, Norwegian vs, Danish
(up to 1900), Czech vs. German (roughly up to World War II), etc. In some

UNIVERSALS OF LITERARY CONTACTS

47

cases, target literatures in such a constellation are already symbiotic, i.e., they com
bine two (or more) languages. For a certain period, Norwegian was symbiotic
with Danish, and Hebrew and Yiddish literatures constituted a symbiotic literature
up to World War I, when they parted. Symbiosis is often dictated by the defective
nature of a certain literature, i.e., its lack of certain systems (types, genres), which
is frequently a result of socio-cultural conditions. When a community uses two (or
more) languages (which may be as different and unrelated as Hebrew and Yiddish),
these are often differentiated in terms of functional oppositions. For example, in
the above mentioned Hebrew-Yiddish symbiosis, Hebrew occupied the position of
high literature whereas Yiddish occupied that of a popular and non-canonized
one. For such literatures, literary contacts obviously play a more decisive role
than for the independent ones. In this article, however, the structure of sym
bioses will not be discussed; only probable contacts of those with an outside SLt
will be taken into account.
4. Channels of literary contacts
The channels through which contact may take place, and consequently cause
migration of items, are various. Generally, one could distinguish between cases
where a SLt is known directly in its own language and cases where the SLt is
known and read only, or mainly, through translation. In the first case, TLt
writers have to coin verbal items for SLt items with no intermediary activity.
In the second case, translators are already doing this job, and writers take the verbal
solutions from a ready made corpus in their own language. In both cases however
one encounters processes of translation because of the fact that a translation al
ready occurs in the first case. However, the behavior in both cases is not identical,
because writers who are directly appropriating are likely to be less subjugated to
secondary norms within the target literature.
5. Some examples of possible universals of literary contacts
No. 1 Literatures are never in non-contact
For a long time linguistics ignored all cases of heterogeneous systems. Method
ologically, this was of course very convenient. This attitude is no longer maintained.
The Prague school work on language interference, and most decisively Uriel Weinreichs work (Languages in Contact, 1955) pointed to the need to deal with hetero
geneous structures. In literary studies, the lamentable situation of historical and
comparative studies, more often than not being a hotchpotch of mechanical sorti
ments of facts, parallelisms and influences, forced many literary scholars
striving for a sound literary theory to turn their backs on questions of
interference of systems, and to deal with the literary system as if it were pure
and homogeneous. But this attitude can no longer be maintained in either literary
studies or in linguistics. We must admit that with the exception of some very

48

UNIVERSALS OF LITERARY CONTACTS

remote and isolated cultures (which still may have had decisive contacts in an
unknown past), most systems known to us grew out of a continuous contact in
terms of processes of reception and rejection of outside items. There is not one
European literature which, at one time or another, did not have to lean heavily on
some other literature, whether Greek, Latin, French or German. For certain litera
tures, political, geographical and cultural conditions made interferences less imposing.
For others, this became the normal situation. On the whole, I would be inclined to
assert that contacts are the rule rather than the exception. Of course, the extent of
real interference and its role for any TLt is a separate question.
No. 2 Literary contacts are not necessarily linked with other contacts between
(two) communities
It seems inconceivable to isolate literary contacts from contacts on other levels of
human activity. For instance, could one think of a literary contact without a
linguistic one? The answer, however, is positive: when the contact channel is ex
clusively via translation, linguistic contacts do not take place between the target
community and the source community. For example, Turgenev probably played a
decisive role in Danish letters, but there emerged no affinity with the Russian
language. The same holds for the role played by other Russian writers in the
various European literatures. Of course, such a situation does not exclude appro
priations on the verbal level, but these are introduced by the channel and do not
involve any direct linguistic contacts. On the other hand, when the contact occurs
via direct channels, the linguistic contact is virtually a prerequisite for the literary
one. For example, Russian writers in the nineteenth century often acquired a
knowledge of French before they knew any Russian (Pukin, Tolstoj). It goes
without saying that the role of the source language was of major importance for
their literary development.
The same holds for general cultural contacts, and even more so for political ones.
Literary contacts may be part of a general cultural affinity, as a consequence of
which a target community may appropriate social habits as well as verbal construc
tions, tones and fashions. This may even be part of political affinity, even if
achieved by violence, e.g., colonialism (French in some Arabic countries). But
this is not always the case. In many instances we can observe migration of partial
systems only, and there is no mutual concatenation in this respect for other
cultural series.
The meaning of these assertions is that while it is true that no cultural items
are isolated, a target culture may still have contact only with some isolated features
of a source culture. This is determined by the conditions under which a contact
takes place. It is clear that groups which are in a state of geographical, political,
economic and linguistic interference, often have literary contacts only as a part
of a whole relationship. However, one could supply examples where hardly any
literary contacts take place in spite of a large front of contacts.

UNIVERSALS OF LITERARY CONTACTS

49

No. 3 Contacts are mostly unilateral


There is no equality in literary contacts. More often than not a TLt maintains
contacts with a SLt while the latter ignores the former. Of course, there are many
cases where both literatures have some contacts, but these are never of the same
nature. For example, Russian literature did influence French literature to a certain
extent in the nineteenth century, but French literature contributed to the very
evolution of Russian literature at that time.
No. 4 A SLt is selected by prestige and dominance
(1) Prestige. A literature may be selected as a SLt because it is considered a
model to look up to (cf. the status of Greek and Latin literatures for all European
ones, and later French, English and German for almost all of the rest). In cases
of defective systems and minority cultures, a prestigious literature may function
as a literary superstratum for a TLt. In simpler words, it is a source on which to
model the TLt, and it takes a position within the TLt as if it were part of its
polysystem.
The reasons for prestige are various, as for instance, when a SLt is old and
there is no established local literature to begin with. This was the position of
Greek vs. Roman culture, and of both vs. all European literatures. Of course,
political and economic power played a big role, but not an exclusive one. Certain
literatures kept their reputations and prestige even when their political power
declined (e.g., French). Of course, ideological affinity is of no less importance;
a literature of revolutionary society may have a strong influence even when
the purely literary conditions are not necessarily favorable.
In order to make the notion of prestige more meaningful, it seems fruitful to
take all European literatures as a system. In this system, there are obvious
hierarchical relations: some literatures assume a position in the center while
others are pushed to the periphery. Central ones are major and strong,
whereas peripheral ones are minor and weak from the point of view of
relations within the system (the reader is asked not to translate these statements
into aesthetic value judgments!). Those literatures which assume a peripheral
position behave like all peripheral entities: they take over features which are
often outdated for the central system; they are usually target literatures and rarely
function as source literatures. Of course it may happen that under certain con
ditions (which have not yet been clarified) a peripheral literature may rise to
a central position and become a major source literature (cf. the Scandinavian
literatures in the late nineteenth century). On the other hand a central literature
may be pushed to the periphery (e.g., Spanish).
(2) Dominance. A literature may be selected as a SLt when it is dominant due to
extra-literary conditions. Of course, a dominant literature often has prestige, but
the dominant position does not necessarily result from it, as for example, when a
colonial power simply makes its own language and literature unavoidable

50

UNIVERSALS OF LITERARY CONTACTS

for a subjugated community. The fact that English and French dominated many
national literatures under their political influence is simply due to this influence.
The same seems to be true of all minority groups necessarily connected to a
majority group. For example, Hebrew poetry in medieval Spain heavily appro
priated Arabic literary models; likewise, Ukrainian heavily leaned on Russian.
No, 5 Contacts are also favored/non-favored by a general attitude of a potential TLt
In addition to the above mentioned principles according to which a SLt may be
selected, it would seem that one could speak of pre-existing attitudes in various
communities towards probable contacts. Sometimes, highly nationalistic societies
reject any contact which is felt to be a threat to national integrity. Thus, Zola,
Daudet and the Goncourts (among others) violently objected to the introduction of
Ibsen, Strindberg or Tolstoj into France, and tried to demonstrate the incompati
bility of such writers with the French spirit. They highly criticized even the
most naive appropriations. This strong resistance, and the rather systematic rejec
tion of outside items even when French translations existed, is a manifestation of
a highly closed system. On the other hand, other communities do not resent
borrowings from the outside so violently, and one may observe some kind of
cultural openness towards other literatures.
No. 6 Interference occurs when a TLt cannot resist it or has a need for it
It is a well known thesis that a literature selects items only in accordance with
its own needs. Of course this is generally true, but we should not ignore cases
where contacts and interference take place in spite of resistance of a TLt. Some
times there is not even a rejecting mechanism and so transplantations may take
place almost freely. This has been the case with many literatures during fermenta
tion, growth or crisis situations: all appropriated an incredible amount of calques,
whole models, techniques, etc., without any filtering mechanism. Yet, a retro
spective rejecting mechanism may evolve at a later stage, and many supposedly
settled appropriations may then turn out to have been temporary ones.
A need is a rather vague notion, but for our purposes it may be interpreted
in a wide sense. For instance, a need may arise when a new generation feels
that the norms governing the system are no longer effective and therefore must
be replaced. In case of favorable conditions for contacts, some SLt functions
as a source for innovation in a TLt. Another common case is when a certain
type evolved in a certain literature is lacking in another, which consequently
might wish to acquire it. For example, thrillers and detective stories undoubted
ly migrated from English literature to practically all the others.
No. 7 Contact may take place with one part of the TLt, and then proceed to
other parts
Even when appropriations are heavy, there is not necessarily an over-all contact.
It is not unusual that whereas some systems (types, genres) remain untouched,

UNIVERSALS OF LITERARY CONTACTS

51

others are under massive invasion, or literally created by appropriations. For


example, a type which did not exist in a TLt is introduced and incorporated in it
through appropriation (cf. No.6.).
In the same way contacts may be confined to only one stratum, e.g., to high
literature or to low literature. Very often, literary items may migrate towards
a lower stratum of a TLt, only to be picked up later by a higher one. For example,
French sensational literature was apparently manipulated and utilized by
Dostoevskij not directly from the original texts but via translations and adaptations
in Russian letters, probably established long before he started writing. The opposite
is perhaps even more common; features of high literature are appropriated from a
SLt, only to go down to some lower type at a later stage, e.g., to the romantic
novel or childrens literature.
No. 8 Contacts are not necessarily maintained with a major (primary) system of
a SLt
In traditional comparative studies, where attention is paid mostly to major writers,
one often ignores the fact that there is no necessary correlation between the
position of an item (a work, a writer) within the SLt and its receptibility for a
TLt. Very often, the direct source of appropriation is only one system, or one
type (as stated above, No. 7), but it need not be the major (primary or central)
item of that type. Obviously, an appropriation may result from a dominant set
of literary norms, either contemporarily or (more frequently) belatedly
(cf. No. 11). But it may also come about from a secondary system, an epigonic
literature, where norms of a higher, more innovatory source, have been schema
tized, regularized and simplified.
Many minor literatures appropriate common literary patterns (such as
romanticism, realism, symbolism) after these are well established in the
major SLt. This is not necessarily carried out by appropriation from a major
source (major writer and the like), but often occurs via epigonic intermediaries,
who have already elaborated a more digestible model in terms of easily appro
priatable ingredients.
In studies concerned with influences it would, therefore, be advisable to
look for the major epigons of a certain period before drawing direct lines
between a certain major SLt norm (or writer) and a TLt norm (or writer). This
means that the process of making a certain item more explicit and more access
ible for the public taste may already occur within a SLt before it is expropriated
by a TLt.
No. 9 Selection of items is commanded by TLt structure; appropriated items
may assume a different function
According to the principle mentioned earlier (No.6) and with the exceptions
stated there (violent SLts and weak TLts), it may be assumed that the selection
of items is done in accordance with the interests and structure of the target

52

UNIVERSALS OF LITERARY CONTACTS

literature. Items are not mechanically transplanted from a SLt to a TLt, but
needs determine and guide the selection,
When selecting an item, the TLt may filter out some of its components. More
over, it does not necessarily keep its SLt function, but rather the opposite seems to
be true: it acquires a new one. Think of Tynjanovs masterly study The Ode as
an Oratoric Genre (in Arxaisty i novatory, 1929) where he demonstrates how the
classical ode appropriated by Russian literature acquired widely different functions
within the target literature.
No, 10 When a system is defective, it is more receptive and less selective
This can be deduced from Nos. 4, 6 and 9.
No, 11 A TLt tends to behave like a secondary system with respect to a SLt
Secondary systems within a literary polysystem are those no longer dominant in
the sense of having a central position for contemporary writers of an emerging
generation, or one which is about to become established. Such a literature there
fore tends to stick to norms which are gradually pushed to the periphery of the
literary polysystem. Traditionally, such norms (and the works produced by
them) have been labelled epigonic (a term which is worthwhile keeping, though
free from any evaluative meanings).
The position of the TLt vis--vis the SLt is often of the same nature.
Diachronically speaking, it is rarely fully contemporary, and often there is a real
gap of time. In many cases where the evolution of the TLt is not as advanced
as that of a SLt (when, for example, a SLt is a major source of new initiatives
and innovations) there are no grounds for a TLt to keep contact with the center.
TLt then produces a literature which is very much similar to the epigonic mass
production within the SLt polysystem itself. This is even more so when appro
priation occurs directly from a secondary SLt system and not at all from a
major one (cf. No. 8).
This does not mean, however, that in a TLt itself appropriations assume the
position of an epigonic literature. As stated above (No, 9), being integrated in
the SLt they assume their position in accordance with the latters structure.
No, 12 A TLt tends to appropriate from a SLt established stratum
This formulation is based on the observation stated above (No. 11) that a
TLt often behaves as a secondary system. This means that a TLt, under the
conditions mentioned above, makes contact with a diachronic phase of a
SLt which is wholly or partly outdated, and disregards a contemporary SLt
phase. For example, romanticism migrated from Germany to Scandinavia
when it began to decline in Germany itself. When a young literature like that
of Esperanto evolved and reached a rather interesting development in the 1930s,
it was modelled after the common European stock of romanticism, which had
been out of date for quite a long time.

UNIVERSALS OF LITERARY CONTACTS

53

The reasons for such a behavior may be partly those indicated in No 4, that is,
hierarchical relations especially in terms of diachronic evolution between
literatures. When it comes to dependent systems one may also think of simpler
reasons such as the fact that members of a peripheral minority group, often remote
from centers of innovations (like the capital) may acquire their knowledge of a
SLt in a more traditional way as news reaches them belatedly.
Still, this is not an established universal, and although I have no ready sustained
cases where the opposite holds, I am sure they can be provided, e.g., when under
specific conditions immediate and direct contact takes place with the latest phase
viz. the avant-garde of the SLt.
No. 13 Appropriation tends to be simplified, regularized, schematized (? )
It is relatively established that what I would call secondary activities (translation,
non-canonized literature, epigonic literature) tend to regularize patterns which are
relatively free in a given source (a source text [for translation], canonized litera
ture [for non-canonized], major literature [for epigonic] ). By implication,
regularized entities are also schematized and simplified. This may mean that while
a certain item may have an intricate or plurivocal function within the SLt, its
function within the TLt may be much more univocal or limited.
Still, the very opposite patterns can be demonstrated too, when for instance a
certain appropriated item which is either simple or complex in a SLt may be
manipulated by a TLt in a complex way, or produce a series of other complex items,
or be put into a nonsimplified, non regularized, non-schematized context.
Obviously, simplificatory behaviors are common, but we lack knowledge about the
specific conditions which determine when they are preferred and when they are not.
6, Conclusion
The set of universals suggested in this article should be taken as highly tentative. They
are neither exhaustive nor sufficiently sustained. Many problems raised are very diffi
cult and often controversial. However, I hope to have demonstrated one possibility
of taking the field of comparative studies out of its stagnant waters and linking it
with both theoretical and historical poetics. It may be fruitful to try and reinterpret
many of the particular case studies in terms of my suggestions to see whether or not
the questions raised here are valid. But it seems even more important to launch new
research projects with these suggestions as part of their working hypotheses, so as to
proceed not only towards a fuller knowledge of the pattern concerned, but also to
wards a better formulation of the relevant questions.
Amsterdam, November 1975
(Forthcoming in:
Functional Studies in Language and Literature. F. Coppieters and D. Goyvaerts,
eds. Story-Scientia, Ghent.)

Interference in Dependent Literary Polysystems*


In my paper Universals of Literary Contacts ([1975] 1977; in this collection)
I suggested that we distinguish between two major types of literary contacts:
(i) contacts between relatively established systems which are, consequently,
relatively independent and (ii) contacts between non-established or fluid systems
which are partly or wholly dependent upon some other system(s). In the first in
stance, literatures develop more or less within their own spheres, though sometimes
a foreign system or part of one may be of importance for them in view of its pos
sible contribution to the process of change within them. Such has been the case,
e.g., of both French and English literatures at least during the last two hundred
years. In the second case, a literature can to a relatively great extent be dependent
upon another literature, which may function for it as if it were a part of it. While
for an independent literature, an alien literature may be of only secondary or
temporary importance, for a dependent one it may become a sine qua non of its
very existence, for a longer period of time. Such has been the case, e.g., of
Ukrainian (vs. Russian), Flemish (vs. French in the nineteenth century), Hebrew
(vs. Arabic in medieval Spain), Norwegian (vs. Danish between 1500-1900), Czech
(vs. German; roughly up to World War II), and many others.
It is the purpose of this paper to discuss problems connected with literary con
tacts in dependent systems. Although the mechanisms of interferences are
basically common for all types of literatures, dependent systems are peculiar in
several aspects. Moreover, as they disclose acute processes of interference,
they throw more light on these mechanisms, and are therefore worthwhile study
ing in order to enlarge our knowledge in this field.
The main condition necessary for making a literature dependent is that it
should be weak. This does not necessarily result from political or economic weak
ness, although more often than not it is correlated with physical conditions which
allow for contacts by pressure (such as subjugation) or otherwise (such as majorityminority or proximity relations). Thus, when there are no cultural conditions
for a weak situation, i.e., when there are no intrasystemic (literary) conditions,
hardly any dependency is likely, even in case of pressure unless a community is
cruelly forced to assimilate. If we look at the history of conquests we can hardly
find a case where political power alone, independent of other factors, caused cul
tural interference of system A within B. The Germanic tribes which conquered
Romania (Italy, France, Spain) adopted the Romanic vernaculars and the culture of
the conquered peoples rather than vice versa, the reason commonly accepted being
the conquerors cultural inferiority. On the other hand, the Celts in Gaul had
adopted Latin culture in earlier times not because they were forced to, but because
* Paper presented to the VIIIth Congress of the International Comparative Literature Association,
Budapest, August 12-17, 1976.

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THE PORTER INSTITUTE FOR POETICS AND SEMIOTICS


TEL AVIV UNIVERSITY
PAPERS ON POETICS AND SEMIOTICS

1.

Ziva Ben-Porat & Benjamin Hrushovski. Snuctural Poetics


in Israel.

$2.00

2.

Dmitri Segal. Aspects of Structuralism in Soviet Philology. $3.00

3.

Channa Kaufman. A Selective Bibliography of Semiotics and


Related Fields in Israel in Recent Years.

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4.

Vjaceslav V. Ivanov. The Significance of M.M. Baxtins


Ideas on Sign, Utterance and Dialogue for Modern Semiotics. $2.50

5.

Benjamin Hrushovski. Segmentation and Motivation in the


Text Continuum of Literary Prose: The First Episode of
War and Peace.

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Poetics in Periodicals: 1974. Edited by Michel Eckhard


(English and French).

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6.
7.

Reuven Tsur. A Perception-Oriented Theory of Metre.

All papers are in English (unless otherwise specified).


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