Phenomenological Aesthetics: An Attempt at Defining Its Range

Author(s): Roman Ingarden

Source: The Journal of Aesthetics and Art Criticism, Vol. 33, No. 3 (Spring, 1975), pp. 257-269
Published by: Wiley on behalf of The American Society for Aesthetics
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 ROMAN INGARDEN

Phenomenological
Aesthetics: An
Attempt At Defining Its Range

AESTHETICS, if one may apply the term to a larly of the poet. On the other hand in the
period when it was not being used in the Phaedrushe is concerned with literary works
modern sense, has had a peculiar history. and considers the problems attaching to the
From its beginnings in ancient Greece aes- Form of beauty. But he does not explain what
thetic enquiry had oscillated between two in this field is the connection between the
extremes. On the one hand, it focused upon "subjective" and the "objective." In the
the "subjective," that is, creative experiences Poetics Aristotle is concerned almost exclu-
and activities which give birth to works of art, sively with the work of literary art, without
or it concentrated upon receptive experiences any reference to the creative acts of the poet
and behavior, upon the reception of sensa- or the experiences of the reader or listener,
tions, the pleasure and delight in works of art save that in considering the nature of tragedy
(or other things for that matter) out of which, he tries to define it through the way it affects
so it is commonly supposed, nothing further is the consumer. But this really is a sign of his
born. At the other extreme it focused upon failure to explain the nature of tragedy in any
several distinct kinds of "objects" such as other way. This one-sided attitude toward a
mountains, landscapes, and sunsets, or arti- work of literature and its beauty had a long
ficially produced objects usually called "works life both in antiquity, and later during the
of art." From time to time these two lines of Renaissance (Scalinger) and in French neo-
enquiry met, but this usually meant that em- classicism (Boileau). Lessing's Laocoonmay
phasis was placed upon one of them, that their also be considered an example of "objec-
differences were underlined. Thus their tively" directed aesthetics. The opposite posi-
separatedness was maintained. In the nine- tion is taken up by Baumgarten with his con-
teenth century and in our own we have had cept of "aesthetics" which he interprets as a
frequent disputes as to whether aesthetics specific mode of cognition, and in this he goes
ought to be "subjectivist"or "objectivist." well beyond the modem concept of aesthetics.
We first detect this oscillation in Plato. In The situation is similar in Kant, both in the
the Ion he concentrates upon the "subjective," Critique of Pure Reason and in the Critique of
namely the creativity or the creative experi- Judgment.In the first work, as we know, Kant
ences and activities of the artist, and particu- is concerned with purely epistemological
problems, and especially with the a prioriform
The late Roman Ingarden delivered this paper at the
Amsterdam University Institute of Aesthetics on of intuition. But in the other work the concept
March 17, 1969. It was published in Polish in of aesthetics is widened to include communion
Volume III of his Studia z estetyki, Warsaw, 1970. with beauty and with works of art, and thus
This slightly abridged first English version was Kant moves closer to what we understand to
translated by Adam Czerniawski, and is published
by permission of PWN, The Polish Scientific be aesthetic in character. Nevertheless, Kant
Publishers. is largely concerned with the so-called "judg-

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 258 ROMAN INGARDEN

ment of taste" (Geschmacksurteil), with its con- periences, and this happens even where cer-
ditions and efficacy, confining his discussion tain problems which concern the nature of art
of art to a few paragraphs in which there is begin to emerge. This leads Geiger to certain
very little that is new. The same applies to his inconsistencies in his conception of aesthetic
discussion of the beautiful and the sublime. problems. The titles of his works are: Prolego-
In Hegel the emphasis is upon what is beauti- mena to the Phenomenology of AestheticDelight
ful in art (Das Kunstschone) and upon works of (Beigrige zur Phinomenologiedes iiesthetischen
art which, admittedly, are taken to be prod- Genusses),The NatureandRole of Emnpathy, The
ucts of an artist and sub-ordinated to "Mind"' Problemof the Empathyof Mood (Zum Problem
in a special way. Nevertheless the internal derStimmungseinfiihlung), Dilettantismin Artistic
connection between the objective and the Experience,7 he Superficial andthe Deep Workings
subjective is not clarified. of Artand TheMentalSignificance of Art.
The aesthetics of Frederick Theodor What is noteworthy is what Geiger writes
Vischer and of his son Robert which is in- in the introduction to his book Zuginge zur
fluenced by Hegel does, it is true, create a Asthetik(Approaches to Art) which is a collec-
metaphysics of beauty and art, but from there tion of some of the papers I have mentioned:
it turns mainly towards the problem of the "Our approach to aesthetics lies ultimately in
apprehension or cognition of works of art, our own aesthetic experiences,"' which at
and deals especially with the so-called times however develop inappropriately:
"empathy" (Einfiihlung),thereby opening up "Only by purifying experiences will we again
a perspective on related psychological prob- open up an approach to aesthetics." Only in
lems which emerge. But the aesthetics which his paper entitled '"PsychischeBedeutung der
had turned against Hegel, for instance the Kunst" ("The Mental Meaning of Art") and
work of Gustav Theodor Fechner (Vorschule in the article entitled "'Phenomenological
derAsthetik)and of his many followers down to Aesthetics" does Geiger clearly refer to works
Theodor Lipps, and to a large extent that of of art and specifically discuss questions re-
Johann Volkelt, is decidedly subjectivist in regarding the nature of a work of art and of
orientation and has in the end turned into a aesthetic value as subjects for aesthetic in-
branch of psychology. If these people con- vestigation. He here takes aesthetic value,
sidered aesthetic objects (works of art), they that is, something inhering in the work itself,
psychologized them almost without exception, as that which defines the unity of the realm
that is, treated them as something "mental." of aesthetic investigation. But in these papers
It is a remarkablefact that a number of works too the emphasis is upon experiences, and
which had appeared much later and dealt psychological aesthetics is frequently referred
with music, for instance the books by Kurth, to as a discipline which does not stand in need
G. Revesh, and others, had "psychology of of justification. In other papers, for instance,
music" in their titles. in his paper on aesthetic delight, Geiger
This particular development also in- emphasizes that this aesthetic "delight" of
fluenced the first phenomenological works in "savoring" is always directed at something
this field. As far as I know, the first phenome- (some object). He here postulates an "object
nological work in aesthetics is called Der aesthetics" ("Gegenstandsasthetik"). In this
dsthetische Gegenstand. Its author is Waldemar paper, then, we have the clearest example of
Conrad who also published a book on drama. the oscillation between the two lines of
He is concerned exclusively with a general aesthetic enquiry, while the absence of an
analysis of works in different arts, that is, explanation of the connection between the
literature, music, painting, and so on. He had two is felt quite acutely. It is also surprising
nothing to say about creative and receptive that this should happen in the case of the most
aesthetic experiences, and he regards works distinguished phenomenological investigator
of art (aesthetic objects) as "ideal objects" in in the realm of aesthetics who, as can be seen
the sense Husserl gives them in LogischeUnter- from his paper in "Dilettantism in artistic
suchungen, that is, as timeless and immutable experience," was fully aware of the
objects. Some years later Moritz Geiger began boundaries which demarcate aesthetics.
to publish his works in aesthetics. These still Of the later phenomenological works in
deal with the subjective, with conscious ex- aesthetics included in the 1929 Husserl Fest-

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 Aesthetics
Phenomenological 259
schrift there is a subjectivist bias in L. F. systematizationsin general fields like, say, the
Clauss's "Das Verstehen des sprachlichen theory of art. This impression is reinforced by
Kunstwerks" ("Understanding a Linguistic the works of eminent art historians published
Work of Art") and in F. Kaufmann's "Die at almost the same time. Wolfflin's Principles
Bedeutung der kuiinstlerischenStimmung" of Art Historyand Worringer's Abstractionand
("The Meaning of Artistic Mood"), while 0. Empathyattempted through an investigation
Becker's "Von der Hinfailligkeitdes Schonen of actual works of art to discover general char-
und die Abenteurerlichkeit des Kiinstlers" acteristics of works in specific artistic move-
("The Fragility of Beauty and the Artist's ments in the visual arts. A similar tendency
Search for Adventure") has an objectivist also manifested itself in the analysis of litera-
thrust, the author arguing that Phenomenol- ture exemplified by Walzel's Gehalt und
ogy is an "ontological enquiry in the realm Gestalt.We now began to hear about "a gen-
of aesthetic problems." eral science of literature" ("allgemeine
Thus in this respect phenomenological Literaturwissenschaft")and in Poland about
aesthetics is no different from earlier en- "theory of literature." In Germany, as far as
quiries. Because Conrad's work did not prove I know, only Ermatinger used the expression
influential it looked as though phenomenol- "philosophy of literature" in a collection of
ogy too was inclined towards subjectivist essays entitled PhilosophiederLiteratur(1930).
oriented aesthetics. This, together with the It is not clear how one is to interpret these
then steadily growing psychologically moti- three concepts. Nor is the meaning of that
vated aesthetics, led to a reaction by some generality clear, especially of the way in which
philosophers and historians of art. These in- "general" predication was to be arrived at.
cluded Max Dessoir (in 1907) and Emil Was it to be by empirical generalizations
Utitz who was close to phenomenology and based on the experience of specific works, and
who in 1914 raised the cry of "a general what sort of "experience" was it to be? Was it,
science of art," setting this science up as a for instance, to be achieved in the way that it
study parallel to aesthetics, as is clear from is done in comparative literature studies, or in
the title of the quarterly which Dessoir pub- some other manner: for instance, through a
lished over several years: "Zeitschrift fur consideration of specific works, through an
Asthetik und allgemeine Kunstwissenschraft." analysis of the general content of a work of art,
This dual title showed that there are two as the phenomenologists themselves wished
different lines of investigation, the one apply- to do?
ing to art, to its works, whose general struc- When in 1927 I began writing my first book
ture and properties have to be elucidated, on this subject it was quite clear to me that
while the other was to concern itself with one cannot employ the method of empirical
aesthetic experience, but in fact turned out to generalization in aesthetics, but that one
be a focal point for remarkably diverse en- must carry through an eidetic analysis of the
quiries. The connection between those two idea of a literary work of art or a work of art
lines of investigation was somehow lost. The in general. So I thought it a mistake to set
title "A General Science of Art" was also a against each other the two lines of enquiry:
source of misunderstandingsin that it seemed (a) the general enquiry into a work of art, and
to emphasize its opposition to aesthetics as a (b) the aesthetic experience, whether in the
philosophical discipline. But from the very sense of the author's creative experience or
beginning it was unclear what precisely this as a receptive experience of the reader or ob-
"general science" of art was to be: whether it observer. I had therefore suitably shaped the
was truly a science or a branch of philosophy. thesis of my book, even though its title was
In practice one got the impression of a philo- Das literarische Kunstwerk,and even though the
sophical enquiry, with the only difference German edition of my Untersuchungen zur
that in contrast to other philosophical en- Ontologieder Kunst(OntologicalInvestigations in
quiries in this field, there was some reference Art) published thirty years later also has a
to actual works of art. But the slogan ap- title suggesting a purely object-directed
peared to emphasize the term "Wissen- aesthetic enquiry, with not a word about
schaft" ("science"). A science, however, inter- aesthetics. But this happened because the
ested not in the history of the subject, but in book was intended as a prolegomena to the

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 260 ROMAN INGARDEN

discussion of several fundamental philosophi- and must be actualized in its potential ele-
cal problems, specifically the problem of ments before it can acquire the shape of an
idealism and realism, with the aesthetic prob- aesthetic object valuable in a specific way.
lems playing then a secondary role. But in For this the work requires an observer who
fact my method of investigation and the way must achieve a certain particular experience,
I had presented the problem put the case namely the aesthetic experience. In this way
quite differently. From the start the work of the internal connection of the work of art
art was assumed to be a purely intentional with its creator and its observer who is ful-
product of an artist's creative acts. At the filling the aesthetic experience became mani-
same time, as a schematic entity having cer- fest. The material world enters as a back-
tain potential elements, it was contrasted with ground and displays itself in the shape of the
its "concretions." A work which for its incep- ontological foundation of the work of art. All
tion required an author, but also the recrea- these elements form a single true whole of a
tive receptive experiences of a reader or higher order which gives a unity to the field
observer, so that right from the beginning, on which includes the work and the human being
account of its very nature and the mode of its in communion with it. We can therefore as-
existence, it pointed towards essentially differ- sign it to a uniform philosophical discipline,
ent experiential histories, different mental namely aesthetics.
subjects, as the necessary conditions of its When in the course of my enquiry the prob-
existence and its mode of appearing (Er- lem of aesthetic value began to press itself
scheinungsweise), while in the annals of its with growing force which I could not ignore,
existence (in its "life," as I used to say) it the internal unity of the whole range of prob-
pointed to a whole community of such lems began to appear to me with increasing
readers, observers, or listeners. And con- clarity, and at the same time I became aware
versely, these experiences can come about that it is necessary to discover such a concept
only in such a way that by their very nature of aesthetics as would guarantee such unity.
they refer to a certain object: the work of art. So, at the Third International Congress of
Moreover, it transpired at the same time that Aesthetics in Venice in 1956, I therefore pro-
it requires for its existence not only these posed that we should take as a starting point
various experiences but additionally a certain of our enquiry into the definition of aesthetics
physical object like a book, a piece of marble, the fundamental fact of the encounter or com-
a painted canvas, which must be suitably munion between the artist or the observer and
shaped by the artist and suitably perceived a certain object, in particular, a work of art: a
and apprehended by the consumer, in order quite specific encounter, which leads in cer-
that against this background the given work tain cases to the emergence of, on the one
of art might appear and that, while remain- hand, the work of art of the aesthetic object,
ing for a period of time unchanged, it should and on the other, to the birth of the creative
assist its many consumers in identifying the artist or of the aesthetically experiencing ob-
work. In this manner, in addition to the server or critic. As expected, the leading
bodily and conscious behavior of various figures at that Congress-the Chairman of
people and to the works of art themselves we that session was Thomas Munro, and the
have also drawn into the discussion certain Chairman of the Congress was Etienne
real material objects as the physical ontologi- Souriau-ignored this suggestion with a cer-
cal basis of a work of art. What is more, the tain degree of contempt, especially since in my
creative behavior of an artist covers not only address I remarked that we should treat this
his productive experiences, but also certain encounter as crucial, while Munro clearly
physical actions which suitably shape a par- favored empirical psychology as a means of
ticular thing or process, so that it can perform tackling aesthetic problems. At that time only
the function of an ontological basis of a paint- my Das literarischeKunstwerkwas known in the
ing, a sculpture, a poem, or a sonata. On the West, so that for the time being my attempt at
other hand, the already produced work of a different orientation or definition of aes-
art, the schematic entity, must be completed thetics proved abortive. I hope that condi-
(concretized) by the consumer in many ways tions are now more favorable to my approach

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 Aesthetics
Phenomenological 261
which I shall try to sketch in the following in order to be able to hear the particular frag-
paragraphs. ments. It is this seeing or hearing that enables
First of all, it has to be stressed that it is in- the artist to continue the work and shaping its
appropriate to regard all the experiences and physical foundation, leading the artist to
behavior out of which a work of art flows as make revisionsor even to a complete recasting
being active, while regarding those experi- of the work. Only occasionally, in the case of
ences and actions which terminate in aes- poetry, do we get the poet composing "at one
thetic apprehension or cognition of a work of go" without having to read through his draft,
art as passive and purely receptive. In both and without any revisions or alterations. This
situations there are phases of passivity and is closely interwoven with the creative process
receptivity-of apprehension and acceptance and yet is itself an act of receptivity, of
-and phases of activity, of movement beyond aesthetic apprehension. We may say that in
what is already given, and to the production this case the artist becomes an observer of his
of something new which has not existed before own emerging work, but even then it is not
and which is an honest product of the artist or completely passive apprehension but an ac-
of the observer. In the first instance the tive, receptive behavior. On the other side,
process does not exhaust itself in the produc- the observer too does not behave in a com-
tive experiencing by the artist: it discharges pletely passive or receptive way, but being
itself in a certain active bodily behavior temporarily disposed to the reception and
during which the physical ontological founda- recreation of the work itself, is also not only
tion of the work of art is shaped. This shaping activity, but in a certain sense at least crea-
is directed by the creative experience and by tive. From the initially receptive phases of his
the work of art which begins to outline itself experience there emerge creative phases at the
and to shine through that experience, which is moment when the already apprehended and
to be seemingly embodied in the work. This reconstructed work of art stimulates the con-
leads to results which are controlled by the sumer to pass from looking to that phase of
artist and which must be subjected to such aesthetic experience in which the apprehend-
control if the artist is successfully to realize his ing subject moves beyond the schematic work
intentions. From this several consequences of art itself and in a creative way completes it.
follow. He swathes the work in aesthetically signifi-
Firstly, there are the specific phases in the cant qualities suggested by the work and then
shaping of the physical foundation, and this brings about the constitution of the work's
occurs on each occasion. Secondly, there is the aesthetic value. (This need not always be the
developing structure of the work of art which case. Sometimes these qualities are imposed
dawns upon the artist in the course of this by the observer without any suggestion, or
structuring of the foundation, the work being without sufficient suggestion from the work
initially swathed in a protoplasmic state. And itself. Then the value of the constituted
finally, the effectiveness coming into being aesthetic object also does not have a sufficient
during the shaping of the physical foundation, basis in the work of art itself. It is in these
an effectiveness in performing the function of various different situations that we find a
embodying and presenting the intended work basis for resolving the problem of the objec-
of art in its immediacy. The artist controls tivity of value in each particular case.) This is
and checks these results, this control taking creative behavior, which is not only stimu-
place during the receptive experience which lated and guided by what has already been
apprehends the properties of the object (the apprehended in a work of art, but also de-
work of art). The painter, for instance, must mands the observer's creative initiative, in
see the products of the particular phases of his order for him not only to guess with what
activity, of what is already painted on the aesthetically significant qualities a certain
canvas, and what artistic effectiveness it pos- area of indeterminatedness in the work of art
sesses. The composer in putting his work to- is to be filled, but also to imagine in immedi-
gether, possibly noting it down in a score, has ate perception how the aesthetically signifi-
to hear how the particular parts sound, and cant congruence which has arisen in the work
for this purpose he often uses an instrument concretized by that completion by those new

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 262 ROMAN INGARDEN

elements as yet unembodied in the work itself these changes and prove their existence, espe-
will sound. Frequently this achievement of cially when we see the work in its finished
bringing the concretized work into immediate state and it shows no signs of the history of its
perception, saturated with aesthetically sig- coming into being. There can however, be no
nificant qualities, comes about with the aid of doubt that these changes which a work of art
considerable activity on the observer's part, undergoes as it comes into being do exist, and
without which everything would be savorless that they correspond to the process of its
and lifeless. This phase of aesthetic shaping coming into being.
and live manifestation of the aesthetic value It is not so easy to demonstrate that when
leads in turn to the phase of the apprehension the observer is apprehending a finished work
of the essence of the constituted valuable of art there are similar changes to the ones
aesthetic object, while the shape of the object just described. This process appears possible
blossoming in this apprehension stimulates and understandable in the case where the ob-
the observer into an active response towards server's apprehension of the work goes astray
the already apprehended value, and to an as- and he comprehends it faultily, but generally
sessment of this value. we do demand and expect that during the
This process, be it (a) active-passive or re- process of apprehending a work of art there
ceptive, or (b) active-creative, is not the should be no deficiency, that it should be ap-
product of man's purely conscious behavior. prehended adequately and that it should
It is the whole man endowed with defined stand before the observer's eyes in a faithful
mental and bodily powers, which during the reconstruction. In such a case we could as-
process undergo certain characteristicchanges cribe to the particular phases of the work's
which will differ, depending upon how the apprehension only the process of discovery of
encounter is taking place and upon the shape particular parts and characteristics of the
of the work of art, or the relevant aesthetic work and of their emergence in immediate
object, that is being created. If this process perception. We would then again be having
leads to the creation of a true and honest work two interwoven parallel processes:on the one
of art, then both this process and the manifest hand, the apprehension, and on the other,
face of the work leaves a permanent mark in the revelation and the appearance in immedi-
the artist's soul. To some extent, the same ate perception of the work of art, which to-
happens when the observer encounters a gether would produce the phenomenon of the
great work of art, an encounter which pro- encounter (communion?) between the ob-
duces the constitution of a highly valuable server and the work. It is, however, rare for
aesthetic object. He, too, then undergoes a the encounter to take such a course as to
permanent and significant change. produce exclusively a pure reconstruction of
The various processes and changes in the the work of art, and were it to happen always
artist or the observer are paralleled by ap- in the case of a particular work of art, it would
propriate changes taking place in the object. mean that as a work of art it is really dead,
In the case of the work of art in the process of aesthetically inert, and therefore does not
being created this is obvious: the work of art really perform its function. The process of
comes into being gradually. And during this apprehending the work which is better suited
period, which may be prolonged, the changes to its character does not appear until the time
occur in the shape and the properties of the when, apart from its pure reconstruction, an
emerging work corresponding to the particu- aesthetic concretion is achieved which be-
lar phases of its coming into being. Similarly, stows upon the naked scheme of the work of
just as the way in which a work of art is being art a plenitude of aesthetic qualities and
created may vary, so may the changes it aesthetic values. This process shrouds the
undergoes. On the whole it would be very aesthetic object until the observer has
difficult to say whether and within what achieved a certain type of final completion
boundaries there exist certain norms govern- (Vollendung)and constitution resulting in a
ing the coming into being of a work of art. In quiescence in his behavior.
specific cases it is very difficult to discover He himself now feels that the completion of

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 Aesthetics
Phenomenological 263
the aesthetic object has been achieved and musical motif, a snatch of a melody, or a har-
that he has accomplished the task of constitut- mony of sounds, a color contrast, or a particu-
ing the object. Now he only has to respond lar metaphysical quality. All this comes from
properly to the already constituted value of the outside and puts a particular pressure on
the aesthetic object in order to do justice to it. the artist in the unfolding of an extremely
The task of performing an evaluation of the rare intuition, even though it is only an in-
aesthetically concretized work of art, con- tuition of the imagination. The role of this
sonant with a response to value, may possibly "object" is to move the artist in a particular
arise and must be solved in such a way that way: it forces him out of a natural quotidian
nothing is altered or disturbed in the already attitude and puts him into a completely new
concretized object, so that the process of disposition.
evaluation should not produce any further This "object" may be a particularly eye-
change in the object. For it to be just and to catching quality of some thing, as for instance,
preserve the untouchability of the evaluated of a pigment both saturated and "shining,"
object this evaluation must not be active. One or a specific shape. It must however be a
may of course speculate whether this is always quality which draws our attention to itself
possible, but it is the essential meaning and because it excites in us an emotionally colored
function of evaluation. experience and an atmosphere of a certain
And once again I must stress that the surprise at its particularity and its wonder-
process of the concretion and the constitution fully penetrating character. The German
of a valuable aesthetic object may run very word reizenddescribes this quality. It may be
differently in the case of one and the same of such a kind that one's drawing towards it
work of art because the very constitutive ex- may change into a "savoring" of its specificity
perience and the circumstances in which it and it may satisfy through its very presence
takes place may be different. This diversity is the spectator's or listener's awakening desire
increased further due to the fact that works of to be in communion with it. Should the
art are quite different in their individuality quality fully succeed in this, it then creates a
and in the essentials of their kind. So they certain primitive, simple aesthetic object. The
may influence the observer variously with experiencing observer's encounter with this
their artistic activity and may arouse him quality gives rise to a certain kind of surprise,
occasionally to quite disparate aesthetic ex- interest, delight, and later even happiness in
perience when he apprehends the work. There the immediate communion with that specific
are thus considerable difficulties in describing quality.
these changes. For the time being we are only This quality may, however, be seemingly
concerned to state that there is a "correla- qualitatively incomplete, heteronymous. It
tivity" and a mutual dependence between may consequently demand completion and
two parallel processes: in the experiencing through its embryonic manifestation it makes
subject and in the object which reveals itself the observer aware of a certain lack which
to the observer and at the same time comes may at times become very unpleasant. This
into being through this manifestation. These lack persuades the observerto seek other qual-
processes cannot be separated and neither ities that would complement that first quality
can be studied in complete isolation from the and would bring the whole phenomenon to a
other. This is the basic postulate of an aes- saturation or final completion (Vollendung),
thetics which has realized that the funda- thereby removing that unpleasant lack. Thus,
mental fact, with the elucidation of which it the observer may find himself undergoing a
ought to start its investigation, is the en- lengthy process lasting until he is able to find
counter between man and an external object that complementing quality, which would not
different from him and for the time being only forge a connection with that first quality,
independent of him. but would also possess a synthetic overtone
This object, thing, process, or event may be acting as a "shape" which envelopes the
something purely physical, or a certain fact in whole phenomenon. This search constitutes
the life, and experience of the observer, or a the beginning of the creative process which

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 264 ROMAN INGARDEN

depends not only on discovering this overtone, the same work again, even in imagination.
but which also creates the qualitative entity One does not often succeed in repeating this
in which that shape finds its ontological base kind of creative vision without the object
and upon which it concretely manifests undergoing significant changes. Hence arises
itself. the thought that the created work must some-
This entity, say a certain combination of how be "fixed" in a comparatively durable
sounds, a three-dimensional structure, or a material. The artist is therefore concerned
certain linguistic whole consisting of sen- with bringing about changes in the surround-
tences, must be suitably shaped in order that ing material world, be that in some thing, or
upon it (or in it) that synthetic shape may be that in order to start the unfolding of a
manifest itself in immediate perception. We certain process so as to make possible an al-
call this shape the work of art. It is seemingly most perceptible presence of the work and a
created by the artist on top of that aestheti- certain kind of embodiment on the basis of,
cally significant synthetic overtone which as for example, a suitably carved stone, as well as
yet is not fully manifest. Naturally, the work the self-presentation of the aesthetically
of art is in itself qualitatively determined. If significant qualities manifesting themselves
that aesthetically active shape is to manifest upon it. The artist therefore tries to shape his
itself, this can only come about through a creative experience in a way enabling it to
"harmony," a congruence between the shape discharge itself in a certain mental and bodily
and the work's qualitative definition, so that behavior or activity which brings about the
the whole which comes about in this way is formation of a thing or a process due to serve
self-sufficient and brings about a complete as the physical basis of the existence of the
self-presentation of that aesthetically active work of art.
synthetic shape. It may also happen that the If he is a painter he covers a canvas with
already composed whole leads to an immedi- paints, if he is an architect he builds a house,
ately perceived presence of one or more com- and if he is a poet he writes a poem. In this he
pletely new aesthetically active qualities not is motivated by the structure of the properties
initially envisaged by the artist, although he is of a work of art which at first appear only in
far from indifferent to them. The process of imagination or, more likely, by means of a
shaping the work of art then moves further. certain fragment of leaven. Then the painting
If however the newly created whole can fulfill or poem in the process of being created helps
the artist's longing and desire to achieve a him to finish the details of a work which
direct communion and a delight in the self- originally appeared to him rather sketchily
present whole ultimately emerging from the and had only the capacity to suggest a vision
process,this brings him satisfactionand peace. of an aesthetically valuable shape. Although
The restless search and creation turns into a the pigmented canvas or the carved stone
wholly peaceful observation and contempla- never, as we frequently say, fully "realize"
tion. That which brings fulfillment and peace the work of art, embody it in themselves or
has the character of something valuable, but constitute the sufficient condition for the
not because it is something which we try to visible manifestation on their basis of the work
reach but, on the contrary, because it is in of art, nevertheless they do provide a certain
itself complete and perfect. kind of support for the intentional feigning or
This new intentionally produced object recreation of, for instance, a painting or a
may for the time be only "painted" in the musical work. And given a suitable behavior
imagination. It therefore does not achieve by the artist or observer, they impose upon
complete self-presence and does not bring the concretion of the work a liveliness and full-
about either an honest fulfillment of desires or ness of an almost perceptible manifestation,
peace. On the contrary, it rouses one's desire thereby making possible the self-presence of
to "see" it in reality. What is more, the purely aesthetically valuable qualities. If for example
intentional object conceived in imagination in the case of an already shaped literary text,
quickly passes together with the image itself, our reading a certain poem silently-assum-
and one should perhaps perform a new act of ing of course that the poem is already "writ-
imagination before one can commune with ten"-is not enough to call forth that self-

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 Aesthetics
Phenomenological 265
presentation of the aesthetically valuable instead of one range of pigments a different
qualities, we then resort to reading aloud, range with the same aesthetically valuable
recitation, or in the case of a dramatic work, overtones. In the course of these various
to a presentation on the stage which possesses changes and operations it transpires that
a higher level of liveliness and effectiveness in neither during the shaping of the physical
affecting the spectator. We then frequently foundation of the work nor during the devel-
talk of the "realization" of the drama on opment of the initial conception and the
stage or on film. But we must not forget that working out of the various details of the work
there are works, lyrics for instance, in the does the artist behave in a purely creative
case of which recitation, especially an unduly way. Rather, during many phases of his ac-
"realistic"S or "vivid" recitation, interferes tivity he assumes the position of an observer
with the self-presentation of emotionally of already educed details of the physical
colored subtle aesthetically valuable qualities. foundation and of the various parts and traits
In their case it is enough for them to appear of the work itself appearing against this back-
in the imaginative intuition in order to mani- ground.
fest themselves in their delicate subtlety and The variety of the basic structuresof works
thus move us most profoundly. But this is in the different arts, which I had once demon-
probably true only of literature, for could it strated, leads to the conclusion that the proc-
also be true of unpainted paintings or effec- ess of the creative composition of works of art,
tively unplayed symphonies? which in their properties are to constitute the
It may happen that when an artist is creat- basis for the aesthetically valuable qualities
ing the physical ontological foundation of his and the formation of the physical foundation
work of art, and has not finished composing of the work, runs very differently. Each of
his work in his imagination but only has a these two factors introduces different diffi-
certain outline which, however, moves him culties to be overcome.
aesthetically, he has a particularly vivid idea On the one hand, it can be the resistance of
of some of its features. He is then also some- the physical materials or the aesthetic in-
times aware that some of them tend, if any- effectiveness of the artistic entity itself which
thing, to interfere with the presentation of demands from the author various skills and
aesthetically significant qualities or that activities to control a variety of techniques or
through a different shaping of the physical to find completely new techniques, the latter
foundation of the work, and thereby of the the more difficult to perfect. On the other
work itself, he would succeed in getting better hand, in this technical battle with the mate-
artistic effects. The artist then changes the rial the artist needs the ability not to lose the
composition of his work, perfects it, and some- basic intuition of the aesthetically active syn-
times, discouraged, abandons it altogether. thetic shape which directs him in his "realiza-
But not in every case does he then have to tion" of his work. The genius of the original
reject the, as we say, intrinsic "idea," that is, intuition and the toil of hard labor have to go
be persuaded that the aesthetically valuable hand in hand, and when their harmonization
shape which originally germinated in the fails to occur, we get a technically abortive
imagination is valueless. On the contrary, entity, which nevertheless allows us to guess
despite everything, he affirms its value and at what it was meant to manifest. Or the
continues to expect that, should he be able fundamental intuition gets lost and, for all the
to present it against a background of a differ- excellent techniques, there is now nothing in
ently composed object (a work of art), it the complete work of the aesthetically valua-
would then be properly "realized" and em- ble quality inspired by that intuition: the
bodied, and would manifest itself in the full- entity may be perfect in its "workmanship"
ness of its value. So once more he constructs and yet inert, having nothing to tell us. But
an object: a painting, a cathedral, a sym- despite all these varieties of creative behavior
phony, or a literary work, or completely on the artist's part the work nevertheless has
changes the material of the ontological foun- in each case the same basic structure which
dation of the work. For instance, instead of belongs to the work's essence.
bronze he now employs Carrara marble, I trust that some details of this structure are

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 266 ROMAN INGARDEN

becoming obvious from what I am here trying each other, others stand out in sharper con-
to say, but I must refrain from a more de- trast. In stopping to consider these patches
tailed analysis, which perhaps is not in any more closely the observer behaves in the way
case required. For I am here concerned only that we do today when we observe a purely
with the thesis that it is a process which often abstract painting where the collection of these
undergoes several phases, in which there is a patches of paint appears to us self-sufficient.
constant contact and encounter between the Soon however some of these patches, either in
acting experiencing artist and a certain ob- their disposition or through their color, begin
ject, or rather two objects: the work of art in to work upon the observer, rousing him to
course of creation and the physical foundation adopt an aesthetic attitude: he now begins to
undergoing change through his influence. sense rather than see certain aesthetically
Moreover, both these elements undergo cor- significant qualities suggested by the disposi-
relative mutually dependent changes. It is not tion, color, and shape of the patches. At a
a collision of dead matter but a living en- certain moment he focuses his attention upon
counter full of activity. them, apprehends them in full focus and de-
In order to make my central thesis clearer lights in them. Finally, he reacts towards
it may be worthwhile characterizing briefly them with either a positive or a negative
the behavior of an observer of a work of art, emotion which representshis response to their
both in his perceptual (receptive) experiences aesthetically valuable disposition of contrast-
and in certain of his bodily actions. It is cus- ing colors. But it may also happen that per-
tomary to talk of the "aesthetic experience" ceiving a certain variety of colored patches
and to mean by it a momentary and homoge- which appear to him completely devoid of
neous experience: there are many such any interconnection produces in him a shock
theories in twentieth-century aesthetics. I had arising from his incomprehension. This leads
once attempted to show that it consists of him to ask: "What is this supposed to be?" or
many various rationally connected elements "What does this represent?" This state of
and occupies many phases. Here I would only disquietude, of incomprehension, may pass
add that this could occur in two different into an attempt at understanding what pre-
ways. The experience starts either with a cisely the painting is all about. And then sud-
sense-perception of a certain physical founda- denly the observer realizes that he is looking
tion of a work of art (a painted surface, a at the painting faultily, regarding the colored
lump of stone, and so on) whose certain de- patches as objective determinations, as the
tails enable the observer to "read" the shape properties of the canvas or wood which has
of the work. Whereupon the work comes to be been painted over for no apparent reason,
constituted in his receptive experience or, whereas he should make use of the colored
alternatively, the observer instantaneously patches to receive a certain quantity of experi-
perceives the work of art itself, that is, he sees ential data which, seemingly of their own
a picture or a sculpture representingsomeone. accord, arrange themselves into a certain
While in subsequent phases of the process the aspect of an object seen from a certain point
perceived painting now begins to work aes- of view under certain lighting conditions.
thetically upon the observer who, passing on The observer allows himself to be drawn
into an aesthetic attitude actualizes the and then suddenly everything becomes "com-
aesthetically valuable qualities which the prehensible." From the multiplicity of colored
work of art has suggested to him and he brings patches a human face emerges: for instance
about the constitution of the aesthetic value of the face of a girl reading a book, as in Renoir's
the whole. In order to highlight this difference La liseuse, or a collection of many colored ob-
in the manner of the observer'sbehavior when jects illuminated by a lively light, as in Sisely's
he apprehends the work of art I shall consider Le brouillard or Pissarro's Femme dans un clos
his behavior through the example of his com- and his Arbres en fleur. Now, on the one hand,
munion with an Impressionist painting. the look of the painting changes.' Only now
In the first instance the observersees for the does it begin to appear as a painting which
time being an area of canvas or paper covered "represents"something, in which objects and
with colored patches. Some of these flow into people appear illuminated by a certain light

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 Aesthetics
Phenomenological 267
in very vibrating, glistening, unstable aspects, the older Rembrandt, in, for instance, his
while the variety of colored patches which lie portrait in the New York Frick Gallery. These
at the basis of this painting do not quite disap- two elements do not appear in all portraits
pear from the field of vision, although they with equal clarity. The observer's apprehen-
are not that which we see and upon which our sion of this type of features in a painting brings
interest rests. about a change in the painting's aspects or
But, on the other hand, the observer's be- looks. The element of the mental and of the
havior also undergoes change. He now accom- mental states brought in by the perceptual
plishes an act of "seeing" which is almost like content livens up the whole painting in a
that of normal visual perception, of things pre- specific way, often giving it a character of
sented "in the picture." In Claude Monet's depth and subtlety because it reveals that
Regattes2 Argenteuilhe sees sailing boats at the part of the human soul which is normally
seaside and reflections of their sails in the hidden or difficult to reach. But this leads to a
waves. At the same time, upon the basis of change in the observer's behavior. He now
that "seeing," he performs an act of compre- understands the sense of the "facial expres-
hension of what is to be presented in the paint- sion" of the person presented or, conversely,
ing, what is to manifest itself as though present in other instances, he stumbles upon some-
when he sees the painting in a proper way. thing incomprehensible or puzzling in that
And it is inappropriate to say that we look expression (and this too is a certain positive
"upon" the picture or that we "see" it. For phenomenon) and is unable to formulate an
although we in fact do look "at the picture," opinion as to what, as we sometimes say, lies
we perceive in the picture just the objects we hidden behind this incomprehensible smile or
have already mentioned, which are mani- look. But while in the first instance this leads
fested to us through our apprehension of to a positive reaction, in the second instance
multicolored patches of whose disposition on he may find himself more or less hurt or put
the canvas we are not at that moment aware. in a weird mood. When the observer comes to
For had we been aware of these dispositions understand the psychological element of the
we would be seeing a smeared or blotched painting, this frequently produces an emo-
canvas, or an abstractpainting, and we would tional reaction in him: kindliness calls forth a
not be seeing either the sailing boats or the state of kindliness, while hostility or a trait of
wavy reflections of their white sails on the malice apparent in someone's face produces a
rippling blue waters of the sea. rather negative attitude in the spectator.
But something else occurs which is peculiar, But these are seemingly extra-aesthetic
and of whose peculiarity we are not normally elements in the observer's experience. Of
aware, precisely because we have experienced greater importance is what in this experience
it so frequently as something completely has consequences for aesthetics. If for instance
"natural" and far from surprising, namely an expression of a mental state or a trait of
that looking upon a human face emerging character is manifested in the painting in a
from a play of patches and light we perceive sharp, imposing, and unambiguous manner,
something more: a friendly smile, satisfaction, so that the presented person appears to the
joyfulness, or deep sorrow. We say, and this spectator as though "alive," the spectator
goes for spectators as well as for painters them- undergoes a different experience. This is a
selves or the so-called critics, that a certain feeling of admiration for the mastery of the
"expression" of the person presented in the painter who succeeded through purely paint-
painting imposes itself upon us. This occurs erly means, through a certain disposition and
chiefly in good portraits like those by Rem- shape, through differently colored patches, to
brandt or Van Gogh. Here the term "expres- bring about the manifestation of something
sion" may mean two different, although as different from the pigments as the joy or the
related things: a certain actual mood, com- maturity of the presented person. The spec-
motion or mental state, or a certain defined tator asks how was it possible that, for in-
trait of the character of the presented person, stance, a character trait of the presented per-
of psychological maturity or kindheartedness son should become visible by these means;
such as we can see in certain self-portraitsby what is more, that something should impose

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 268 ROMAN INGARDEN

itself upon him with considerable force, so share these values. All this brings it about
that he is unable to free himself from, as we that on the one hand justice is rendered to the
sometimes say, this "sensation." 2 What dis- given work of art as a work of art, that it is
positions of colors and lines are required to grasped and understood in its proper function
manifest a look full of love or kindliness with and in the values realized in it, while on the
which a person views another person? The other hand, that between the observer and the
spectator who puts this question to himself artist, the master, there arises a specific reap-
and who looks for an answer in a further proachment,even a certain kind of spiritual
examination of the picture, changes-and communion, although the master is absent
here his behavior alters radically-from a and may well be long since dead.
"naive" spectator who simply communes This sketchy account of the observer'scom-
emotionally with people presented in the munion with a painting must of course be
painting and reacts to their behavior with his checked against many other examples, en-
own behavior in the way that this occurs in riched with new details and deepened.3 Its
ordinary life in interpersonal relationships, primary purpose is to justify and to give a
into a person who treats the given painting as firmer foundation to my main thesis regarding
a workof art, as a peculiar entity which fulfills the encounter of the artist or observer with a
special functions. He now investigates its work of art. If this thesis is true and ade-
specific strata: what is represented and the quately substantiated, then it may serve as a
means of representation. He critically exam- principle of demarcation of aesthetic enquiry,
ines their functions and evaluates their endowing it with a certain unity which is not
artistic effectiveness or ineffectiveness. Finally provided by either the so-called "subjectivist"
he arrives either at a high valuation of the or the "objectivist" aesthetics. This thesis
work or rejects it and condemns it as kitsch. points to a certain fundamental fact from the
In this new attitude he begins to under- analysis of which in its collective totality it is
stand the given work quite differently. This possible to move further in two directions.
understanding now concerns not what is being (1) Towards an analysis of the emerging or
expressed of the mental life of the presented the already finished work of art and (2) to-
person, but rather considers what the individ- wards the investigation of the activity of the
ual strata of the painting contribute to its artist-creator and the behavior of the specta-
whole, what they effect, what is the "calcula- tor, the recreator, and the critic. So, in an
tion" behind the whole painting, what is most analytical structural enquiry into the work of
important in it artistically and aesthetically, art we shall not forget that works of art arise
and what is merely the means to achieve this out of defined creative acts by an artist, and
goal, what is a mannerism acquired from that they are therefore shaped in a certain
others (an intolerable mannerism, we some- purposeful manner, namely in the intention of
times say), and what is a new technical realizing a certain artistic or aesthetic project
achievement or a new discovery, either in the and achievement; that they are also the
realm of the presented world or in the field of products of a behavior in which the basic and
aesthetically significant qualities and the ulti- essential role is played by conscious inten-
mate overtones of aesthetic value. By behav- tional experiences and that in their capacity
ing in this way the spectator becomes a "con- as such products, these experiences may
noisseur" of painterly art, of its various effects acquire only a certain particular mode of ex-
and artistic and aesthetic achievements. This istence and, derivatively, of acting in various
behavior on the part of the spectator endows human communities. Because of their mode of
the observed picture with a new character: it existence they must, when they are being con-
now stands before him as, for instance, a templated by the spectator, be brought by
masterpiece, and also as a work of a master, him to a phenomenal immediate perception,
testifying to his ability and his spirit, to his to a concretion and a self-presentation of
mode of evaluation and the world of his values aesthetically significant qualities, and of the
with which he is in communion; values which aesthetic value resting upon them. In our
he tries to make manifest to his spectators and investigation of the creative acts by the artist
through his work to enable the spectators to we shall never forget what their aim is and

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 Aesthetics
Phenomenological 269
what they can achieve. In investigating the essence of facts and the search for the contents
behavior of the spectator or of the observer in of general ideas entering into the object under
general, we shall remember what it is that he enquiry. It seems to me that this method may
as an observer of a work of art must empha- produce results which it may be difficult to
size, in what way he can do justice to the work achieve in differently organized enquiries. I
of art, how the work's value or lack of it may can support my conviction with the results of
be revealed and made manifest to other my enquiries over several decades, although
people, how he can and ought to carry out I do not deny that they should always be sub-
their evaluation, and lastly, what he does not mitted to checks and amplifications, that they
do and ought not to do as a consumer and should be deepened by fresh investigations.
observer of a work of art, rather than as an In declaring my position I am very far from
idealogue or as a public-spirited citizen. wishing to state that only the phenomenologi-
In pointing to a close connection between cal method is effective in aesthetic enquiry
the two sides-the works of art and the people and that every other method is doomed to
who are in communion with them or produce failure. Neither do I have any desire to impose
them-I am not altering my existing convic- this method upon others. Every enquirer must
tion which I have tried to develop and justify assimilate the method which suits his talents
in many of my works. It is that works of art, and his scientific convictions and enables him
although they are only purely intentional ob- to achieve results which are honest and at
jects-admittedly resting on physical onto- least probable. That goes for me, too.
logical foundations-after all form a special
sphere of being whose peculiarity and specific
endowment ought to be preserved in any
investigation. It must not be violated by 1 I am not here saying that the painting itself
postulates which are foreign to it. Works of changes, but only that its "look" or perhaps "aspect"
art have a right to expect to be properly ap- does. I am expressing myself very carefully because
I do not wish at this stage to decide upon the difficult
prehended by observers who are in commu- issue of the identity of a painting persisting through
nion with them and to have their special the various ways that it is perceived.
value justly treated. 2 This is not the discovery of the Expressionists.

It would take me too far if I were now to They merely place a greater emphasisupon manifest-
ing by painterly means of momentary mental actions,
attempt to develop the problem of philosophi- with a stress upon strange, shocking, and gloomy ap-
cal aesthetics as I have defined it and under- pearances which can be found in older painters like
stood it above. But I wish to add that what Breughel.
8 The descriptions given here are of course idealiza-
may be self-explanatory within phenomeno-
tions. Their function is to sketch a possible and typical
logical aesthetics must here be touched upon course of the encounter and of the processes which
to show that I am not in any way abandoning occur in it. These descriptions systematize, or per-
the conviction that works of art, aesthetic ob- haps rationally order their course. In reality we get
jects, as well as their creators and consumers, certain considerable departures from this order be-
and the connections between the two, may cause these processes are usually influenced by vari-
able incidental conditions which disturb this course.
and ought to be investigated phenomenologi- But these are matters of interest to psychology rather
cally. This method aims above all at bringing than aesthetics which in fact attempts to reconstruct
its objects of enquiry to an immediate given- the phases of the course of the process of the en-
ness in a suitably shaped experience and to a counter. Aesthetics investigates their function in order
faithful description of the data of that expe- to obtain, on the one hand, the constitution of the
aesthetic object in communion with the appropriate
rience. I also continue to be convinced that it work of art and, on the other, to acquire a cognition
is both possible and justified to achieve in both of that object and of the work of art lying at its
these enquiries a disposition towards the basis.

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