9.2 Horizon of expectations
9 min read•august 20, 2024
The concept revolutionized literary theory by emphasizing how readers' prior knowledge and shape their understanding of texts. Developed by in the 1960s, it draws on and to explain the active role of readers in constructing meaning.
This concept highlights the dynamic nature of interpretation, showing how expectations evolve with changing historical contexts and literary innovations. It plays a crucial role in guiding readers' understanding, shaping their , and influencing the range of possible interpretations of literary works.
Origins of concept
- Horizon of expectations emerged as a key concept in literary theory during the 1960s and 1970s, drawing on insights from reception theory and hermeneutics
- The concept aimed to explain how readers' prior knowledge, assumptions, and cultural context shape their understanding and interpretation of literary works
Jauss and reception theory
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- Hans Robert Jauss, a prominent German literary theorist, played a crucial role in developing the concept of horizon of expectations as part of his reception theory
- Jauss argued that readers approach texts with a set of expectations based on their previous literary experiences, cultural background, and historical moment
- Reception theory emphasizes the active role of the reader in constructing meaning and the importance of considering the historical reception of literary works
Gadamer's influence
- The concept of horizon of expectations also draws on the hermeneutic philosophy of Hans-Georg Gadamer, particularly his notion of the
- Gadamer posited that understanding occurs when the reader's horizon (pre-understanding and prejudices) merges with the horizon of the text (its historical and cultural context)
- This fusion of horizons enables the reader to grasp the meaning of the text while simultaneously broadening their own understanding and expectations
Key components
- Horizon of expectations consists of several interrelated elements that shape readers' encounters with literary works and influence their interpretations
- These components include the , the , and the literary and prevalent at the time of reading
Reader's pre-understanding
- Readers approach texts with a pre-existing set of knowledge, beliefs, values, and experiences that form their pre-understanding or prejudices
- This pre-understanding influences how readers perceive and interpret literary works, guiding their expectations and shaping their aesthetic experience
- Examples of pre-understanding include personal background (education, cultural upbringing), ideological commitments (political beliefs, religious faith), and prior literary encounters (familiarity with genres, authors, or specific works)
Socio-historical context
- The socio- in which a reader encounters a text plays a significant role in shaping their horizon of expectations
- This context includes the prevailing cultural norms, social structures, political climate, and intellectual currents of the reader's time and place
- For instance, a reader's expectations of a novel in the Victorian era (social mores, gender roles) would differ from those of a contemporary reader approaching the same text
Literary and genre conventions
- Readers' expectations are also influenced by their familiarity with literary and genre conventions prevalent at the time of reading
- Genre conventions (narrative structure, character types, themes) create a framework of expectations that readers bring to their encounter with a text
- Examples include the expectations associated with specific genres like romance (happy ending, idealized love), detective fiction (mystery, clues, resolution), or epic poetry (heroic protagonists, grand scale, elevated language)
Dynamic nature
- Horizon of expectations is not a static concept but rather a dynamic and evolving one, shaped by changing reader expectations, shifting historical contexts, and the interplay of in literary production
Evolving reader expectations
- Readers' expectations are not fixed but can evolve over time as they encounter new literary works, engage with different , and experience changes in their personal and cultural circumstances
- This evolution of expectations can lead to new readings and interpretations of texts, as well as shifts in the canon and critical reception of literary works
- For example, has transformed readers' expectations and interpretations of classic texts (Jane Eyre, Pride and Prejudice) by foregrounding issues of gender, power, and agency
Shifting historical contexts
- As historical contexts change, so do the horizons of expectations that readers bring to their encounters with literary works
- Shifts in social norms, political ideologies, and cultural values can significantly alter how readers perceive and interpret texts from different historical periods
- For instance, contemporary readers may approach colonial literature (Heart of Darkness, Kim) with a critical awareness of imperialism and racism that was not part of the original audience's horizon of expectations
Interplay of tradition and innovation
- The dynamic nature of horizon of expectations is also shaped by the interplay between literary tradition and innovation
- Authors can challenge or subvert readers' expectations by introducing new forms, styles, or themes that break with established conventions and create a sense of defamiliarization
- Examples include the modernist experimentation of James Joyce (stream of consciousness, fragmentation) or the postmodern metafiction of John Barth (self-reflexivity, blurring of reality and fiction), which disrupted traditional narrative expectations
Role in interpretation
- Horizon of expectations plays a crucial role in guiding readers' understanding of literary works, shaping their aesthetic experience, and enabling or limiting possible interpretations
Guiding reader's understanding
- The reader's horizon of expectations serves as a lens through which they approach and make sense of a literary text
- This horizon provides a framework for understanding the text's meaning, themes, and significance, guiding the reader's interpretation and response
- For example, a reader's familiarity with the conventions of tragic drama (noble protagonist, fatal flaw, inevitable downfall) will shape their understanding of a play like Oedipus Rex
Shaping aesthetic experience
- Horizon of expectations also influences the reader's aesthetic experience of a literary work, including their emotional response, appreciation of form and style, and evaluation of the text's quality or value
- When a text meets or exceeds readers' expectations, it can produce a sense of satisfaction, pleasure, or admiration
- Conversely, when a text violates or challenges readers' expectations, it can create feelings of frustration, confusion, or even rejection
Enabling or limiting interpretations
- The reader's horizon of expectations can both enable and limit the range of possible interpretations of a literary work
- On one hand, the horizon provides a necessary starting point for understanding and engaging with the text, allowing readers to draw on their prior knowledge and experience to construct meaning
- On the other hand, the horizon can also constrain interpretation by predisposing readers to certain readings and making it difficult to see beyond their own assumptions and biases
- For instance, a reader's expectation of a happy ending in a romance novel may limit their ability to appreciate a subversive or ambiguous conclusion
Relationship to other concepts
- Horizon of expectations is closely connected to other key concepts in literary theory, including reception theory, the , and intertextuality
Reception theory connections
- As a central concept in reception theory, horizon of expectations is part of a broader focus on the reader's role in the creation of literary meaning
- Reception theory emphasizes the historical and cultural situatedness of reading, arguing that the meaning of a text is not fixed but rather constructed through the interaction between the text and its readers
- Other key concepts in reception theory include the (the hypothetical audience presupposed by the text) and the (the real-life individuals who encounter and interpret the text)
Hermeneutic circle similarities
- The concept of horizon of expectations shares similarities with the hermeneutic circle, a central idea in the philosophy of interpretation
- The hermeneutic circle refers to the iterative process of understanding, in which the interpreter's prior knowledge and expectations (the whole) shape their understanding of the text's parts, which in turn modify their overall understanding
- Like the fusion of horizons, the hermeneutic circle involves a dialogical encounter between the interpreter's pre-understanding and the text's meaning, leading to a deepened and transformed understanding
Intertextuality and genre expectations
- Horizon of expectations is also closely linked to the concept of intertextuality, which refers to the way in which texts are shaped by and respond to other texts within a literary tradition
- Readers' expectations are often formed through their familiarity with other texts in the same genre or by the same author, creating a web of intertextual connections that guide interpretation
- For example, a reader's expectations of a sonnet will be shaped by their knowledge of the sonnet tradition (rhyme scheme, volta, themes of love and beauty) and their encounters with specific sonnets by poets like Shakespeare or Petrarch
Implications for literary analysis
- The concept of horizon of expectations has significant implications for literary analysis, emphasizing the importance of historically situated readings, challenging ahistorical interpretations, and recognizing the reader's subjectivity
Historically situated readings
- Horizon of expectations encourages literary scholars to consider the historical and cultural context in which a text was produced and received
- This approach emphasizes the importance of understanding a text's original horizon of expectations, including the , social norms, and intellectual currents of its time
- Historically situated readings can provide insights into how a text's meaning and significance have shifted over time and across different interpretive communities
Challenging ahistorical interpretations
- By foregrounding the role of the reader's horizon of expectations, the concept challenges ahistorical or universalizing interpretations of literary works
- Ahistorical interpretations assume that a text's meaning is fixed and unchanging, transcending historical and cultural boundaries
- The horizon of expectations reveals the limitations of such interpretations, demonstrating how the meaning of a text is always shaped by the specific contexts in which it is read and understood
Recognizing reader's subjectivity
- The concept of horizon of expectations also highlights the subjective nature of literary interpretation, acknowledging the role of the reader's individual background, experiences, and assumptions in shaping their understanding of a text
- This recognition of subjectivity challenges the notion of a single, authoritative interpretation and instead embraces a plurality of possible readings
- By acknowledging the reader's subjectivity, literary scholars can engage in more self-reflexive and nuanced analyses that account for their own biases and limitations
Critiques and limitations
- Despite its influential role in literary theory, the concept of horizon of expectations has also faced critiques and limitations, including accusations of relativism, the downplaying of authorial intent, and the difficulty of defining expectations
Accusations of relativism
- Some critics argue that the emphasis on the reader's horizon of expectations can lead to a form of relativism, suggesting that all interpretations are equally valid and that there is no objective meaning to a text
- This critique contends that the concept undermines the possibility of shared understanding and the evaluation of interpretations based on textual evidence and logical reasoning
- Proponents of the concept, however, argue that recognizing the role of the reader's horizon does not necessarily entail a complete relativism and that interpretations can still be assessed based on their coherence, persuasiveness, and fidelity to the text
Downplaying authorial intent
- Another critique of the horizon of expectations is that it can downplay the importance of authorial intent and the text's inherent meaning
- By emphasizing the reader's role in constructing meaning, the concept may seem to suggest that the author's intentions are irrelevant or inaccessible
- However, advocates of the concept argue that it does not necessarily exclude authorial intent but rather situates it within a broader network of influences and constraints, including the author's own horizon of expectations
Difficulty defining expectations
- A practical limitation of the concept is the difficulty of precisely defining and reconstructing the horizon of expectations for a given text or historical moment
- Expectations are often complex, varied, and implicit, making it challenging for literary scholars to identify and analyze them in a systematic way
- This difficulty can lead to speculative or overly generalized claims about readers' expectations and the way they shape interpretation
- Despite these limitations, the concept remains a valuable tool for exploring the dynamic and context-dependent nature of literary meaning and interpretation
Key Terms to Review (21)
Actual reader: The actual reader refers to the real individual who engages with a text, bringing their own personal experiences, emotions, and interpretations into the reading process. This concept emphasizes the unique perspective each reader holds, shaped by their cultural background, education, and life experiences, which influences how they understand and interact with the text. The actual reader contrasts with theoretical constructs like the implied reader or the horizon of expectations, as it focuses on the tangible engagement of individuals in the reading experience.
Aesthetic experience: Aesthetic experience refers to the profound engagement and emotional response that individuals have when interacting with art or literature, characterized by a sense of beauty, pleasure, or heightened awareness. This experience is shaped by the viewer's or reader's previous knowledge and expectations, influencing how they interpret and appreciate a work.
Affect Theory: Affect theory explores the role of emotions and feelings in human experience and how they influence behavior, social interactions, and cultural production. This theory emphasizes the significance of non-verbal communication, embodied experiences, and the interplay between individual emotions and collective affective states, highlighting how feelings can shape expectations and responses within specific contexts.
Canonical texts: Canonical texts refer to the works of literature that are considered essential or authoritative within a certain literary tradition or cultural framework. These texts are often revered for their artistic merit, historical significance, or philosophical depth, shaping the foundations of literary study and cultural discourse. Their status as 'canonical' often leads to their inclusion in educational curricula and critical discussions.
Cognitive poetics: Cognitive poetics is an interdisciplinary approach that explores how readers understand and interpret literary texts through cognitive processes, emphasizing the mental activities involved in reading. It connects the structures of language and literature with the psychological mechanisms of perception, memory, and imagination, providing insights into how codes and conventions shape reader responses and how expectations influence the interpretation of texts.
Cultural context: Cultural context refers to the social, historical, and cultural environment in which a text is created and received. It shapes the meanings that individuals ascribe to literary works and influences how audiences interpret them based on their own experiences and backgrounds.
Feminist criticism: Feminist criticism is a literary approach that seeks to understand and critique literature through the lens of gender dynamics, focusing on the representation of women, the role of patriarchy, and the societal structures that shape gendered experiences. This perspective emphasizes how texts reflect, reinforce, or challenge the cultural norms surrounding gender and highlights the importance of women’s voices and experiences in literature. It intersects with various other critical frameworks, revealing deeper insights into power relations, cultural identities, and historical contexts.
Fusion of horizons: Fusion of horizons refers to the process where two different perspectives or viewpoints come together to create a shared understanding. This concept is rooted in the idea that every individual has their own 'horizon' of experiences, beliefs, and expectations, and when they engage with others, these horizons can merge, allowing for deeper insights and interpretations of texts or situations.
Genre conventions: Genre conventions are the established practices, techniques, and elements that define a specific genre in literature, film, or other artistic forms. These conventions shape audience expectations and create a framework for understanding the narrative structure, character roles, and thematic elements typical to that genre. They serve as a guide for both creators and audiences, influencing how stories are told and received.
Hans Robert Jauss: Hans Robert Jauss was a prominent German literary theorist known for his contributions to reader-response theory and the concept of the 'horizon of expectations.' His work emphasizes how readers' interpretations of texts are shaped by their cultural and historical contexts, making the reader an active participant in the meaning-making process. This perspective highlights the dynamic relationship between texts and their audiences over time.
Hermeneutic circle: The hermeneutic circle is a concept that refers to the process of understanding a text by interpreting its individual parts in relation to the whole, and vice versa. This cyclical approach emphasizes that our understanding of a text is shaped by our preconceived notions and the cultural context we bring to it, creating an ongoing dialogue between the reader's perspective and the text itself.
Hermeneutics: Hermeneutics is the theory and methodology of interpretation, particularly the interpretation of texts, language, and symbols. It involves understanding how context, culture, and the reader's perspective influence the meaning derived from a text. This concept is crucial in various fields like literature, philosophy, and theology, as it helps to analyze how meanings are constructed and understood based on prior knowledge and experiences.
Historical Context: Historical context refers to the social, political, cultural, and economic conditions that surround a specific event or piece of literature at the time it was created. Understanding historical context is crucial because it helps to illuminate how the time period influenced the work's themes, characters, and motivations.
Horizon of expectations: The horizon of expectations refers to the set of cultural and historical contexts that shape a reader's understanding and interpretation of a text. It encompasses the assumptions, norms, and conventions that a reader brings to their reading experience, influenced by their time period, background, and previous literary encounters. This concept highlights how different readers might perceive the same text in varying ways based on their unique perspectives.
Implied reader: The implied reader refers to a conceptual construct created by the text that represents the ideal reader who is able to understand and interpret the narrative as intended by the author. This concept is closely tied to the idea of how a text engages its audience, guiding their expectations and responses based on shared cultural contexts and knowledge.
Interpretive Communities: Interpretive communities refer to groups of readers who share similar interpretive strategies, cultural backgrounds, and values, which influence how they understand and derive meaning from texts. These communities highlight the role of social context in interpretation, suggesting that meaning is not fixed within the text itself but rather shaped by the collective experiences and perspectives of its audience. This concept underscores the importance of considering the horizon of expectations when analyzing literature.
Literary conventions: Literary conventions are the established techniques, practices, and features that define the structure and style of a text. These conventions help readers understand how to interpret a work and set their expectations for how the narrative will unfold, impacting their overall engagement with the material.
Reader's pre-understanding: Reader's pre-understanding refers to the knowledge, experiences, and cultural background that a reader brings to a text, shaping their interpretation and response. This concept highlights how a reader's perspective influences their engagement with literature, as each individual approaches a text with unique expectations and insights based on their previous encounters with similar themes, genres, or styles.
Reception theory: Reception theory is a literary theory that focuses on the reader's role in interpreting a text, emphasizing how meaning is constructed through the interaction between the text and its audience. This approach highlights that a text does not have a fixed meaning but rather that its significance evolves based on the cultural, historical, and individual contexts of the readers, making the act of reading an active and dynamic process.
Socio-historical context: Socio-historical context refers to the social and historical circumstances that shape and influence a text, including the cultural norms, values, events, and conditions of the time in which it was produced. Understanding this context helps readers grasp how societal factors impact themes, characters, and narratives in literature. This term emphasizes the importance of considering both social dynamics and historical moments to fully appreciate a work's meaning and significance.
Tradition and innovation: Tradition and innovation refer to the dynamic relationship between established cultural practices and new ideas or methods. This interplay often shapes how art and literature evolve over time, with tradition providing a foundation and context for innovation to emerge, challenging or redefining existing norms.