FOREWORD TO RICHARD WAGNER
In order to keep at a distance all the possible scruples, excitements, and misunderstandings to which the thoughts gathered in this essay will give occasion, considering the peculiar character of our æsthetic publicity, and to be able also Co write the introductory remarks with the same contemplative delight, the impress of which, as the petrifaction of good and elevating hours, it bears on every page, I form a conception of the moment when you, my highly honoured friend, will receive this essay; how you, say after an evening walk in the winter snow, will behold the unbound Prometheus on the title-page, read my name, and be forthwith convinced that, whatever this essay may contain, the author has something earnest and impressive to say, and, moreover, that in all his meditations he communed with you as with one present and could thus write only what befitted your presence. You will thus remember that it was at the same time as your magnificent dissertation on Beethoven originated, viz., amidst the horrors and sublimities of the war which had just then broken out, that I collected myself for these thoughts. But those persons would err, to whom this collection suggests no more perhaps than the antithesis of patriotic excitement and æsthetic revelry, of gallant earnestness and sportive delight. Upon a real perusal of this essay, such readers will, rather to their surprise, discover how earnest is the German problem we have to deal with, which we properly place, as a vortex and turning-point, in the very midst of German hopes. Perhaps, however, this same class of readers will be shocked at seeing an æsthetic problem taken so seriously, especially if they can recognise in art no more than a merry diversion, a readily dispensable court-jester to the "earnestness of existence": as if no one were aware of the real meaning of this confrontation with the "earnestness of existence." These earnest ones may be informed that I am convinced that art is the highest task and the properly metaphysical activity of this life, as it is understood by the man, to whom, as my sublime protagonist on this path, I would now dedicate this essay.
BASEL, end of the year 1871.
THE BIRTH OF TRAGEDY
1
We shall have gained much for the science of æsthetics, when once we have perceived not only by logical inference, but by the immediate certainty of intuition, that the continuous development of art is bound up with the duplexity of the Apollonian and the Dionysian: in like manner as procreation is dependent on the duality of the sexes, involving perpetual conflicts with only periodically intervening reconciliations. These names we borrow from the Greeks, who disclose to the intelligent observer the profound mysteries of their view of art, not indeed in concepts, but in the impressively clear figures of their world of deities. It is in connection with Apollo and Dionysus, the two art-deities of the Greeks, that we learn that there existed in the Grecian world a wide antithesis, in origin and aims, between the art of the shaper, the Apollonian, and the non-plastic art of music, that of Dionysus: both these so heterogeneous tendencies run parallel to each other, for the most part openly at variance, and continually inciting each other to new and more powerful births, to perpetuate in them the strife of this antithesis, which is but seemingly bridged over by their mutual term "Art"; till at last, by a metaphysical miracle of the Hellenic will, they appear paired with each other, and through this pairing eventually generate the equally Dionysian and Apollonian art-work of Attic tragedy.
In order to bring these two tendencies within closer range, let us conceive them first of all as the separate art-worlds of dreamland and drunkenness; between which physiological phenomena a contrast may be observed analogous to that existing between the Apollonian and the Dionysian. In dreams, according to the conception of Lucretius, the glorious divine figures first appeared to the souls of men, in dreams the great shaper beheld the charming corporeal structure of superhuman beings, and the Hellenic poet, if consulted on the mysteries of poetic inspiration, would likewise have suggested dreams and would have offered an explanation resembling that of Hans Sachs in the Meistersingers: —
Mein Freund, das grad' ist Dichters Werk,
dass er sein Träumen deut' und merk'.
Glaubt mir, des Menschen wahrster Wahn
wird ihm im Traume aufgethan:
all' Dichtkunst und Poeterei
ist nichts als Wahrtraum-Deuterei.3
The beauteous appearance of the dream-worlds, in the production of which every man is a perfect artist, is the presupposition of all plastic art, and in fact, as we shall see, of an important half of poetry also. We take delight in the immediate apprehension of form; all forms speak to us; there is nothing indifferent, nothing superfluous. But, together with the highest life of this dream-reality we also have, glimmering through it, the sensation of its appearance: such at least is my experience, as to the frequency, ay, normality of which I could adduce many proofs, as also the sayings of the poets. Indeed, the man of philosophic turn has a foreboding that underneath this reality in which we live and have our being, another and altogether different reality lies concealed, and that therefore it is also an appearance; and Schopenhauer actually designates the gift of occasionally regarding men and things as mere phantoms and dream-pictures as the criterion of philosophical ability. Accordingly, the man susceptible to art stands in the same relation to the reality of dreams as the philosopher to the reality of existence; he is a close and willing observer, for from these pictures he reads the meaning of life, and by these processes he trains himself for life. And it is perhaps not only the agreeable and friendly pictures that he realises in himself with such perfect understanding: the earnest, the troubled, the dreary, the gloomy, the sudden checks, the tricks of fortune, the uneasy presentiments, in short, the whole "Divine Comedy" of life, and the Inferno, also pass before him, not merely like pictures on the wall – for he too lives and suffers in these scenes, – and yet not without that fleeting sensation of appearance. And perhaps many a one will, like myself, recollect having sometimes called out cheeringly and not without success amid the dangers and terrors of dream-life: "It is a dream! I will dream on!" I have likewise been told of persons capable of continuing the causality of one and the same dream for three and even more successive nights: all of which facts clearly testify that our innermost being, the common substratum of all of us, experiences our dreams with deep joy and cheerful acquiescence.
This cheerful acquiescence in the dream-experience has likewise been embodied by the Greeks in their Apollo: for Apollo, as the god of all shaping energies, is also the soothsaying god. He, who (as the etymology of the name indicates) is the "shining one," the deity of light, also rules over the fair appearance of the inner world of fantasies. The higher truth, the perfection of these states in contrast to the only partially intelligible everyday world, ay, the deep consciousness of nature, healing and helping in sleep and dream, is at the same time the symbolical analogue of the faculty of soothsaying and, in general, of the arts, through which life is made possible and worth living. But also that delicate line, which the dream-picture must not overstep – lest it act pathologically (in which case appearance, being reality pure and simple, would impose upon us) – must not be wanting in the picture of Apollo: that measured limitation, that freedom from the wilder emotions, that philosophical calmness of the sculptor-god. His eye must be "sunlike," according to his origin; even when it is angry and looks displeased, the sacredness of his beauteous appearance is still there. And so we might apply to Apollo, in an eccentric sense, what Schopenhauer says of the man wrapt in the veil of Mâyâ4: Welt als Wille und Vorstellung, I. p. 416: "Just as in a stormy sea, unbounded in every direction, rising and falling with howling mountainous waves, a sailor sits in a boat and trusts in his frail barque: so in the midst of a world of sorrows the individual sits quietly supported by and trusting in his principium individuationis." Indeed, we might say of Apollo, that in him the unshaken faith in this principium and the quiet sitting of the man wrapt therein have received their sublimest expression; and we might even designate Apollo as the glorious divine image of the principium individuationis, from out of the gestures and looks of which all the joy and wisdom of "appearance," together with its beauty, speak to us.
In the same work Schopenhauer has described to us the stupendous awe which seizes upon man, when of a sudden he is at a loss to account for the cognitive forms of a phenomenon, in that the principle of reason, in some one of its manifestations, seems to admit of an exception. Add to this awe the blissful ecstasy which rises from the innermost depths of man, ay, of nature, at this same collapse of the principium individuationis, and we shall gain an insight into the being of the Dionysian, which is brought within closest ken perhaps by the analogy of drunkenness. It is either under the influence of the narcotic draught, of which the hymns of all primitive men and peoples tell us, or by the powerful approach of spring penetrating all nature with joy, that those Dionysian emotions awake, in the augmentation of which the subjective vanishes to complete self-forgetfulness. So also in the German Middle Ages singing and dancing crowds, ever increasing in number, were borne from place to place under this same Dionysian power. In these St. John's and St. Vitus's dancers we again perceive the Bacchic choruses of the Greeks, with their previous history in Asia Minor, as far back as Babylon and the orgiastic Sacæa. There are some, who, from lack of experience or obtuseness, will turn away from such phenomena as "folk-diseases" with a smile of contempt or pity prompted by the consciousness of their own health: of course, the poor wretches do not divine what a cadaverous-looking and ghastly aspect this very "health" of theirs presents when the glowing life of the Dionysian revellers rushes past them.
Under the charm of the Dionysian not only is the covenant between man and man again established, but also estranged, hostile or subjugated nature again celebrates her reconciliation with her lost son, man. Of her own accord earth proffers her gifts, and peacefully the beasts of prey approach from the desert and the rocks. The chariot of Dionysus is bedecked with flowers and garlands: panthers and tigers pass beneath his yoke. Change Beethoven's "jubilee-song" into a painting, and, if your imagination be equal to the occasion when the awestruck millions sink into the dust, you will then be able to approach the Dionysian. Now is the slave a free man, now all the stubborn, hostile barriers, which necessity, caprice, or "shameless fashion" has set up between man and man, are broken down. Now, at the evangel of cosmic harmony, each one feels himself not only united, reconciled, blended with his neighbour, but as one with him, as if the veil of Mâyâ has been torn and were now merely fluttering in tatters before the mysterious Primordial Unity. In song and in dance man exhibits himself as a member of a higher community, he has forgotten how to walk and speak, and is on the point of taking a dancing flight into the air. His gestures bespeak enchantment. Even as the animals now talk, and as the earth yields milk and honey, so also something super-natural sounds forth from him: he feels himself a god, he himself now walks about enchanted and elated even as the gods whom he saw walking about in his dreams. Man is no longer an artist, he has become a work of art: the artistic power of all nature here reveals itself in the tremors of drunkenness to the highest gratification of the Primordial Unity. The noblest clay, the costliest marble, namely man, is here kneaded and cut, and the chisel strokes of the Dionysian world-artist are accompanied with the cry of the Eleusinian mysteries: "Ihr stürzt nieder, Millionen? Ahnest du den Schöpfer, Welt?"5
2
Thus far we have considered the Apollonian and his antithesis, the Dionysian, as artistic powers, which burst forth from nature herself, without the mediation of the human artist, and in which her art-impulses are satisfied in the most immediate and direct way: first, as the pictorial world of dreams, the perfection of which has no connection whatever with the intellectual height or artistic culture of the unit man, and again, as drunken reality, which likewise does not heed the unit man, but even seeks to destroy the individual and redeem him by a mystic feeling of Oneness. Anent these immediate art-states of nature every artist is either an "imitator," to wit, either an Apollonian, an artist in dreams, or a Dionysian, an artist in ecstasies, or finally – as for instance in Greek tragedy – an artist in both dreams and ecstasies: so we may perhaps picture him, as in his Dionysian drunkenness and mystical self-abnegation, lonesome and apart from the revelling choruses, he sinks down, and how now, through Apollonian dream-inspiration, his own state, i. e., his oneness with the primal source of the universe, reveals itself to him in a symbolical dream-picture.
After these general premisings and contrastings, let us now approach the Greeks in order to learn in what degree and to what height these art-impulses of nature were developed in them: whereby we shall be enabled to understand and appreciate more deeply the relation of the Greek artist to his archetypes, or, according to the Aristotelian expression, "the imitation of nature." In spite of all the dream-literature and the numerous dream-anecdotes of the Greeks, we can speak only conjecturally, though with a fair degree of certainty, of their dreams. Considering the incredibly precise and unerring plastic power of their eyes, as also their manifest and sincere delight in colours, we can hardly refrain (to the shame of every one born later) from assuming for their very dreams a logical causality of lines and contours, colours and groups, a sequence of scenes resembling their best reliefs, the perfection of which would certainly justify us, if a comparison were possible, in designating the dreaming Greeks as Homers and Homer as a dreaming Greek: in a deeper sense than when modern man, in respect to his dreams, ventures to compare himself with Shakespeare.
On the other hand, we should not have to speak conjecturally, if asked to disclose the immense gap which separated the Dionysian Greek from the Dionysian barbarian. From all quarters of the Ancient World – to say nothing of the modern – from Rome as far as Babylon, we can prove the existence of Dionysian festivals, the type of which bears, at best, the same relation to the Greek festivals as the bearded satyr, who borrowed his name and attributes from the goat, does to Dionysus himself. In nearly every instance the centre of these festivals lay in extravagant sexual licentiousness, the waves of which overwhelmed all family life and its venerable traditions; the very wildest beasts of nature were let loose here, including that detestable mixture of lust and cruelty which has always seemed to me the genuine "witches' draught." For some time, however, it would seem that the Greeks were perfectly secure and guarded against the feverish agitations of these festivals ( – the knowledge of which entered Greece by all the channels of land and sea) by the figure of Apollo himself rising here in full pride, who could not have held out the Gorgon's head to a more dangerous power than this grotesquely uncouth Dionysian. It is in Doric art that this majestically-rejecting attitude of Apollo perpetuated itself. This opposition became more precarious and even impossible, when, from out of the deepest root of the Hellenic nature, similar impulses finally broke forth and made way for themselves: the Delphic god, by a seasonably effected reconciliation, was now contented with taking the destructive arms from the hands of his powerful antagonist. This reconciliation marks the most important moment in the history of the Greek cult: wherever we turn our eyes we may observe the revolutions resulting from this event. It was the reconciliation of two antagonists, with the sharp demarcation of the boundary-lines to be thenceforth observed by each, and with periodical transmission of testimonials; – in reality, the chasm was not bridged over. But if we observe how, under the pressure of this conclusion of peace, the Dionysian power manifested itself, we shall now recognise in the Dionysian orgies of the Greeks, as compared with the Babylonian Sacæa and their retrogression of man to the tiger and the ape, the significance of festivals of world-redemption and days of transfiguration. Not till then does nature attain her artistic jubilee; not till then does the rupture of the principium individuationis become an artistic phenomenon. That horrible "witches' draught" of sensuality and cruelty was here powerless: only the curious blending and duality in the emotions of the Dionysian revellers reminds one of it – just as medicines remind one of deadly poisons, – that phenomenon, to wit, that pains beget joy, that jubilation wrings painful sounds out of the breast. From the highest joy sounds the cry of horror or the yearning wail over an irretrievable loss. In these Greek festivals a sentimental trait, as it were, breaks forth from nature, as if she must sigh over her dismemberment into individuals. The song and pantomime of such dually-minded revellers was something new and unheard-of in the Homeric-Grecian world; and the Dionysian music in particular excited awe and horror. If music, as it would seem, was previously known as an Apollonian art, it was, strictly speaking, only as the wave-beat of rhythm, the formative power of which was developed to the representation of Apollonian conditions. The music of Apollo was Doric architectonics in tones, but in merely suggested tones, such as those of the cithara. The very element which forms the essence of Dionysian music (and hence of music in general) is carefully excluded as un-Apollonian; namely, the thrilling power of the tone, the uniform stream of the melos, and the thoroughly incomparable world of harmony. In the Dionysian dithyramb man is incited to the highest exaltation of all his symbolic faculties; something never before experienced struggles for utterance – the annihilation of the veil of Mâyâ, Oneness as genius of the race, ay, of nature. The essence of nature is now to be expressed symbolically; a new world of symbols is required; for once the entire symbolism of the body, not only the symbolism of the lips, face, and speech, but the whole pantomime of dancing which sets all the members into rhythmical motion. Thereupon the other symbolic powers, those of music, in rhythmics, dynamics, and harmony, suddenly become impetuous. To comprehend this collective discharge of all the symbolic powers, a man must have already attained that height of self-abnegation, which wills to express itself symbolically through these powers: the Dithyrambic votary of Dionysus is therefore understood only by those like himself! With what astonishment must the Apollonian Greek have beheld him! With an astonishment, which was all the greater the more it was mingled with the shuddering suspicion that all this was in reality not so very foreign to him, yea, that, like unto a veil, his Apollonian consciousness only hid this Dionysian world from his view.
3
In order to comprehend this, we must take down the artistic structure of the Apollonian culture, as it were, stone by stone, till we behold the foundations on which it rests. Here we observe first of all the glorious Olympian figures of the gods, standing on the gables of this structure, whose deeds, represented in far-shining reliefs, adorn its friezes. Though Apollo stands among them as an individual deity, side by side with others, and without claim to priority of rank, we must not suffer this fact to mislead us. The same impulse which embodied itself in Apollo has, in general, given birth to this whole Olympian world, and in this sense we may regard Apollo as the father thereof. What was the enormous need from which proceeded such an illustrious group of Olympian beings?
Whosoever, with another religion in his heart, approaches these Olympians and seeks among them for moral elevation, even for sanctity, for incorporeal spiritualisation, for sympathetic looks of love, will soon be obliged to turn his back on them, discouraged and disappointed. Here nothing suggests asceticism, spirituality, or duty: here only an exuberant, even triumphant life speaks to us, in which everything existing is deified, whether good or bad. And so the spectator will perhaps stand quite bewildered before this fantastic exuberance of life, and ask himself what magic potion these madly merry men could have used for enjoying life, so that, wherever they turned their eyes, Helena, the ideal image of their own existence "floating in sweet sensuality," smiled upon them. But to this spectator, already turning backwards, we must call out: "depart not hence, but hear rather what Greek folk-wisdom says of this same life, which with such inexplicable cheerfulness spreads out before thee." There is an ancient story that king Midas hunted in the forest a long time for the wise Silenus, the companion of Dionysus, without capturing him. When at last he fell into his hands, the king asked what was best of all and most desirable for man. Fixed and immovable, the demon remained silent; till at last, forced by the king, he broke out with shrill laughter into these words: "Oh, wretched race of a day, children of chance and misery, why do ye compel me to say to you what it were most expedient for you not to hear? What is best of all is for ever beyond your reach: not to be born, not to be, to be nothing. The second best for you, however, is soon to die."
How is the Olympian world of deities related to this folk-wisdom? Even as the rapturous vision of the tortured martyr to his sufferings.
Now the Olympian magic mountain opens, as it were, to our view and shows to us its roots. The Greek knew and felt the terrors and horrors of existence: to be able to live at all, he had to interpose the shining dream-birth of the Olympian world between himself and them. The excessive distrust of the titanic powers of nature, the Moira throning inexorably over all knowledge, the vulture of the great philanthropist Prometheus, the terrible fate of the wise Œdipus, the family curse of the Atridæ which drove Orestes to matricide; in short, that entire philosophy of the sylvan god, with its mythical exemplars, which wrought the ruin of the melancholy Etruscans – was again and again surmounted anew by the Greeks through the artistic middle world of the Olympians, or at least veiled and withdrawn from sight. To be able to live, the Greeks had, from direst necessity, to create these gods: which process we may perhaps picture to ourselves in this manner: that out of the original Titan thearchy of terror the Olympian thearchy of joy was evolved, by slow transitions, through the Apollonian impulse to beauty, even as roses break forth from thorny bushes. How else could this so sensitive people, so vehement in its desires, so singularly qualified for sufferings have endured existence, if it had not been exhibited to them in their gods, surrounded with a higher glory? The same impulse which calls art into being, as the complement and consummation of existence, seducing to a continuation of life, caused also the Olympian world to arise, in which the Hellenic "will" held up before itself a transfiguring mirror. Thus do the gods justify the life of man, in that they themselves live it – the only satisfactory Theodicy! Existence under the bright sunshine of such gods is regarded as that which is desirable in itself, and the real grief of the Homeric men has reference to parting from it, especially to early parting: so that we might now say of them, with a reversion of the Silenian wisdom, that "to die early is worst of all for them, the second worst is – some day to die at all." If once the lamentation is heard, it will ring out again, of the short-lived Achilles, of the leaf-like change and vicissitude of the human race, of the decay of the heroic age. It is not unworthy of the greatest hero to long for a continuation of life, ay, even as a day-labourer. So vehemently does the "will," at the Apollonian stage of development, long for this existence, so completely at one does the Homeric man feel himself with it, that the very lamentation becomes its song of praise.
Here we must observe that this harmony which is so eagerly contemplated by modern man, in fact, this oneness of man with nature, to express which Schiller introduced the technical term "naïve," is by no means such a simple, naturally resulting and, as it were, inevitable condition, which must be found at the gate of every culture leading to a paradise of man: this could be believed only by an age which sought to picture to itself Rousseau's Émile also as an artist, and imagined it had found in Homer such an artist Émile, reared at Nature's bosom. Wherever we meet with the "naïve" in art, it behoves us to recognise the highest effect of the Apollonian culture, which in the first place has always to overthrow some Titanic empire and slay monsters, and which, through powerful dazzling representations and pleasurable illusions, must have triumphed over a terrible depth of world-contemplation and a most keen susceptibility to suffering. But how seldom is the naïve – that complete absorption, in the beauty of appearance – attained! And hence how inexpressibly sublime is Homer, who, as unit being, bears the same relation to this Apollonian folk-culture as the unit dream-artist does to the dream-faculty of the people and of Nature in general. The Homeric "naïveté" can be comprehended only as the complete triumph of the Apollonian illusion: it is the same kind of illusion as Nature so frequently employs to compass her ends. The true goal is veiled by a phantasm: we stretch out our hands for the latter, while Nature attains the former through our illusion. In the Greeks the "will" desired to contemplate itself in the transfiguration of the genius and the world of art; in order to glorify themselves, its creatures had to feel themselves worthy of glory; they had to behold themselves again in a higher sphere, without this consummate world of contemplation acting as an imperative or reproach. Such is the sphere of beauty, in which, as in a mirror, they saw their images, the Olympians. With this mirroring of beauty the Hellenic will combated its talent – correlative to the artistic – for suffering and for the wisdom of suffering: and, as a monument of its victory, Homer, the naïve artist, stands before us.
4
Concerning this naïve artist the analogy of dreams will enlighten us to some extent. When we realise to ourselves the dreamer, as, in the midst of the illusion of the dream-world and without disturbing it, he calls out to himself: "it is a dream, I will dream on"; when we must thence infer a deep inner joy in dream-contemplation; when, on the other hand, to be at all able to dream with this inner joy in contemplation, we must have completely forgotten the day and its terrible obtrusiveness, we may, under the direction of the dream-reading Apollo, interpret all these phenomena to ourselves somewhat as follows. Though it is certain that of the two halves of life, the waking and the dreaming, the former appeals to us as by far the more preferred, important, excellent and worthy of being lived, indeed, as that which alone is lived: yet, with reference to that mysterious ground of our being of which we are the phenomenon, I should, paradoxical as it may seem, be inclined to maintain the very opposite estimate of the value of dream life. For the more clearly I perceive in nature those all-powerful art impulses, and in them a fervent longing for appearance, for redemption through appearance, the more I feel myself driven to the metaphysical assumption that the Verily-Existent and Primordial Unity, as the Eternally Suffering and Self-Contradictory, requires the rapturous vision, the joyful appearance, for its continuous salvation: which appearance we, who are completely wrapt in it and composed of it, must regard as the Verily Non-existent, – i. e., as a perpetual unfolding in time, space and causality, – in other words, as empiric reality. If we therefore waive the consideration of our own "reality" for the present, if we conceive our empiric existence, and that of the world generally, as a representation of the Primordial Unity generated every moment, we shall then have to regard the dream as an appearance of appearance, hence as a still higher gratification of the primordial desire for appearance. It is for this same reason that the innermost heart of Nature experiences that indescribable joy in the naïve artist and in the naïve work of art, which is likewise only "an appearance of appearance." In a symbolic painting, Raphael, himself one of these immortal "naïve" ones, has represented to us this depotentiating of appearance to appearance, the primordial process of the naïve artist and at the same time of Apollonian culture. In his Transfiguration, the lower half, with the possessed boy, the despairing bearers, the helpless, terrified disciples, shows to us the reflection of eternal primordial pain, the sole basis of the world: the "appearance" here is the counter-appearance of eternal Contradiction, the father of things. Out of this appearance then arises, like an ambrosial vapour, a visionlike new world of appearances, of which those wrapt in the first appearance see nothing – a radiant floating in purest bliss and painless Contemplation beaming from wide-open eyes. Here there is presented to our view, in the highest symbolism of art, that Apollonian world of beauty and its substratum, the terrible wisdom of Silenus, and we comprehend, by intuition, their necessary interdependence. Apollo, however, again appears to us as the apotheosis of the principium individuationis, in which alone the perpetually attained end of the Primordial Unity, its redemption through appearance, is consummated: he shows us, with sublime attitudes, how the entire world of torment is necessary, that thereby the individual may be impelled to realise the redeeming vision, and then, sunk in contemplation thereof, quietly sit in his fluctuating barque, in the midst of the sea.