One of the thousands of factors which make both ‘Portrait of the Artist as a Young Man’ and ‘Ulysses’ complicated reads is that in both of them the protagonist – the over-educated literature student Stephen Dedalus – expounds a detailed aesthetic theory. What complicates things further is that 1) the theories don’t really match the novels they’re embedded in, and 2) the two theories contradict each other. What are these theories and which, if either, reflects Joyce’s own position?
Theory 1: Aristotle and Aquinas
In Chapter 5 of ‘A Portrait of the Artist as a Young Man’ Stephen Dedalus, now a student at the university, expounds his aesthetic theory during the course of a long walk round central Dublin with his friend Lynch. Stephen’s theory distinguishes between impure kinetic art – art which arouses emotions of desire or repulsion, movement towards or away from the artwork – and pure art which, in his opinion, creates a mood of aesthetic stasis.
In my review of ‘Portrait’ I say that I’m not particularly convinced by this because The Novel is not at all a ‘static’ art form unlike, say, a painting or a statue. The opposite: a novel is a dynamic art form because 1) as you read through it your understanding of everything – plot, characters, themes etc – is continually changing. And 2) because this dynamic process continues even after you’ve finished reading, as you reflect on the novel or maybe read reviews or essays or the Wikipedia article about it or any other random comments you happen to come across online. Or maybe 3) go on to read another book by the same author which radically influences your opinion of the first book. And so on.
Reading a novel is, in other words, a never-ending and dynamic process. Even if Stephen only meant to draw a distinction between 1) works which create a strong sense of attraction or repulsion (such as, for example, pornography at one end of the spectrum and horror stories at the other) and 2) the kind of work he has in mind which leaves an impression of clarity and detachment, with no emotions of any kind triggered – even this kind of model doesn’t really apply to novels, which people tend to either like or dislike for hundreds of highly personal reasons which could never be fully tabulated.
Theory 2: Shakespeare
So much for Stephen’s first theory as expounded in ‘A Portrait’. As to theory two, in chapter 9 (the ‘Scylla and Charybdis’ chapter) of ‘Ulysses’, the very same Stephen Dedalus, now a few years older and having left university, expounds a drastically different theory, using the works of Shakespeare as his test bed.
There are some key facts to get clear about this. For a start, the Shakespeare theory isn’t abstract like theory 1. Theory 1 relies on Stephen’s clever redefinition of concepts first propounded in the aesthetic theories of Aristotle and Thomas Aquinas – in other words, its comes directly out of his scholastic learning. Theory 2, on the contrary, is practical, in the sense that it arises not from the abstract aesthetic theories of ancient philosophers, but derives from Stephen’s own personal reading of the plays of Shakespeare. So straightaway the two theories inhabit a spectrum between abstract and applied.
But the content of the theories is also diametrically opposed. Theory 1 famously leads up to the conclusion that, if the ideal work of art creates a sense of stasis, then the ideal work of literature should strive to be as objective as possible, should be a work in which the personality of the author disappears. This theory posits that the highest genre of literature is drama because in drama (I’ve put in bold the really famous part of this speech, which is quoted in all discussion of the subject):
The personality of the artist, at first a cry or a cadence or a mood [in lyric poetry] and then a fluid and lambent narrative [in epic poetry], finally refines itself out of existence, impersonalises itself, so to speak. The aesthetic image in the dramatic form is life purified in and reprojected from the human imagination. The mystery of aesthetic, like that of material creation, is accomplished. The artist, like the God of creation, remains within or behind or beyond or above his handiwork, invisible, refined out of existence, indifferent, paring his fingernails.
Theory 2, by contrast, is an elaborate statement of the exact opposite proposition, which is that all the key figures and all the key relationships in Shakespeare’s plays, derive from his own family, are fundamentally autobiographical. Far from being refined out of existence, Stephen now argues that Shakespeare’s personal biography is now everywhere present in his plays.
Stephen focuses on ‘Hamlet’ which he tries to persuade us is Shakespeare’s most autobiographical play. He says one driver for the play was Shakespeare’s trauma at learning about the infidelity of his (older) wife, Anne Hathaway. Many readers think of Hamlet the prince as somehow expressing Shakespeare’s own opinions about life (the powerful speeches about the meaning of life, suicide and so on) but Stephen says the real avatar of the middle-aged, successful playwright stricken with grief at the infidelity of his wife is not the young student prince, but the ghost of Hamlet’s murdered father.
To put it in the rather convoluted language of the book, the idea is that Shakespeare was, like King Hamlet, cuckolded by his brother, Richard. Betrayed by his wife (Ann Hathaway/Gertrude) and betrayed by his brother (Richard Shakespeare/Claudius) Shakespeare is embodied in King Hamlet, the murdered father who returns as a ghost, and we know that Shakespeare played the role of the ghost in the first productions of the play, opposite a much younger actor playing the prince.
Far from refining himself out of existence, the author – in this theory – makes art out of the sordid mess and messy emotions of his own life.
Adding further evidence to the betrayal theme, in a passage about uncles, Stephen name-checks Shakespeare’s brothers Richard and Edmund, describes his assumed rivalry with them, and then goes on to point out how many wicked uncles (and wicked Richards and Edmunds) there are in his plays, notably Richard III and scheming Edmund in King Lear. Surely more evidence for his adulterous betrayal theory?
Having established his approach using ‘Hamlet’, Stephen goes on to talk about other Shakespeare plays, namely the so-called Romances written at the end of his career, which all feature the reconciliation of a father with his daughter (Prospero and Miranda (The Tempest), Leontes and Perdita (The Winter’s Tale), Pericles and Marina (Pericles). There must, Stephen insists, also be a biographical basis to this trope in Shakespeare, so long away in London, being reconciled with his alienated daughter (or grand-daughter?).
Disappointment
I remember being bitterly disappointed when I read this passage as a student. I was hoping one genius would have dazzling insights into another genius but it turns out Joyce had nothing of the sort. The idea that a writer uses his own experiences of his own family relationships in his works is so obvious as to be bathetic.
Far from giving new and unexpected insight into the creative process, the chapter suggests that all literature is autobiographical, is a projection of the artist’s (fractured) self and that the creator (Shakespeare / Joyce) is always present in his creations (Hamlet / Stephen-Bloom). This is not only not very interesting but, taken at face value, it diminishes both Shakespeare and Joyce.
In a dramatic context
To try and read Stephen’s presentation as a lecture or essay is to be disappointed so maybe a more profitable way to think about it is as part of the dramatic content of the novel. In other words, it is not interesting for what it tells us about Shakespeare (next to nothing, apart from a few details Stephen throws into his descriptions, for example of William’s daily walk to work along the Thames to the Globe theatre) so much as for 1) what it tells us about Stephen the fictional character, 2) the light it sheds on the themes of ‘Ulysses’, and 3) the broader artistic world of the day.
Fathers and sons
1. Regarding what the theory tells us about Stephen the fictional character, this is easy. It reveals that Stephen is obsessed with father-son relations, circling round and round the troubled relationship between Hamlet and his dead father, and the sad experience of Shakespeare and his dead son, Hamnet (who died aged 11 in 1596, as depicted in the current movie of the subject). Grandfathers, fathers and sons.
2. And this itself is, of course, entirely fitting in a novel which strongly features themes of fathers and sons: Stephen is anxious throughout the book that, instead of becoming the Great Writer he wants to be, he might instead be turning into a witty, garrulous drinker and failure like his father, Simon.
3. The novel also, of course, features Leopold Bloom who throughout Bloomsday repeatedly thinks about his own son, Rudy, who died when he was just 11 days old (Rudy 11 days, Hamnet 11 years – there are always patterns in Joyce). Bloom also resurrects his own father, Rudolf Virág, in one of the many ‘hallucinations’ in the delirious ‘Circe’ chapter.
4. And, of course, The Odyssey which ‘Ulysses’ is to some extent ‘based on’ (or aligned with or riffs off), is in part a poem about a young son (Telemachus) looking for his long-lost father (Odysseus).
5. Which is itself (sort of) echoed in the overall narrative arc whereby, in the final chapters of the book, young Stephen encounters Bloom in the role of father figure, and Bloom for a while takes a fatherly concern for Stephen (although, as is well known, the analogy doesn’t really hold because Stephen isn’t Bloom’s son and so, far from forging some kind of father and son relationship, Stephen in the end stumbles off into the night probably never to see Bloom again).
In other words, Stephen’s elaborate and contrived theory of Shakespeare not only need not be ‘true’ about Shakespeare, but doesn’t even need to be believable, because it’s not a public lecture or critical essay, it’s the speech of a character in a novel, and so only needs to 1) reflect the personality of the character (as it does) and 2) reflect or refer to some of the wider issues raised in the novel (as it does).
Performance, first aspect
Two more things undermine Stephen’s Shakespeare presentation as a theory. Most obviously, it is a performance. Stephen has arrived at Dublin’s National Library, in the head librarian’s office where are assembled some heavy hitters from the Dublin literary scene, the key figure being the poet A.E. (George Russell), an exponent of mysticism, Platonism, and emotive Irish nationalism. Also in the room are Mr Best (librarian, ‘tall, young, mild, light’) and John Eglinton (a pseudonym for real-life essayist William Kirkpatrick Magee, a literary figure and librarian).
These men know Stephen’s father, Simon Dedalus, and have heard tell of, but never yet met, his super-clever son (also promoted, among others, by his buddy Malachi Mulligan, as Eglinton attests: ‘—I was prepared for paradoxes from what Malachi Mulligan told us…’).
And so the whole situation is by way of Stephen’s opportunity to impress (some of) his elders and betters from the (small) Dublin literary scene. This situation explains why Stephen is so nervous, why he rambles on, and why he overstates and muddles his case (as my rather muddled summary of it indicates) and so is not really believable. It is a dramatic situation in which our hero has to continually gee himself up and keep at it:
Anxiously he glanced in the cone of lamplight where three faces, lighted, shone.
And, as his theory unfurls with increasing improbability, he comes to doubt it himself:
What the hell are you driving at? I know. Shut up. Blast you. I have reasons.
A clash of worldviews
One of the reasons for his nervousness is because Stephen isn’t just confronting eminent figures but eminent figures with a completely opposed aesthetic worldview. It is easy to forget that the whole episode is set in a particular time and place, namely Dublin 1904. Now as I’ve emphasised previously, this means it is describing a society, culture and characters which are in almost every aspect still late Victorian. And one of these aspects is that many of the leading literary figures of the time were still in thrall to fin-de-siecle aestheticism, art for arts sake, and continental Symbolism, all flavoured with the high-minded nobility of the Celtic Revival.
Which means that buried beneath the maze of banter and learnèd references which all the characters in this scene throw around, there is a pretty straightforward clash going on, between the old world of mazy Celtic twilights and high aesthetic values, and Stephen’s aggressively rude insistence on the thumpingly material facts of life, on eating, drinking, peeing, pooing, sex and masturbation.
The elder statesman and poet A.E. represents the school which believes art to be intensely spiritual and to inhabit a realm of neo-platonic forms and perfections. For him and his ilk art must be uplifting and inspiring to take us out of the deadening quotidian world and raise us to the spiritual uplands. In this view, Shakespeare is a genius and genius has access to insights and worlds deprived us ordinary mortals. A.E. says:
—Art has to reveal to us ideas, formless spiritual essences. The supreme question about a work of art is out of how deep a life does it spring. The painting of Gustave Moreau is the painting of ideas. The deepest poetry of Shelley, the words of Hamlet bring our minds into contact with the eternal wisdom, Plato’s world of ideas. All the rest is the speculation of schoolboys for schoolboys.
(Gustave Moreau, here, being used as the epitome of Symbolist painting.)
From my summary, above, you can see how Stephen (and by implication his creator) is against all this. For Stephen great art begins not in a realm of ‘formless spiritual essences’ but in the muck and mess of human existence. This is why Joyce venerated the Norwegian playwright Henrik Ibsen, and wrote a long critical essay about his plays, even writing the man himself a fan letter. It’s because Ibsen represented a complete departure from late-romanticism with its fairies and legends, and instead portrayed messy real modern life, complicated relationships driven by his characters’ fierce internal psychological battles.
But Stephen goes further than this. Ibsen never portrayed someone having a poo or masturbating or farting or having a pee in the garden (all of which happen in ‘Ulysses’). In his own way, Ibsen still respected Victorian manners and conventions. Not so Joyce. Along with all the other achievements of ‘Ulysses’, it brought the crudest physical bodily activities within the realm of artistic discourse. The book sets out to cover all of human life and so how could he leave out the basics?
Ezra Pound wasn’t wrong to see ‘Ulysses’ as a continuation of the meticulous realism of Flaubert, the taking of that kind of realism and accuracy to the limit and then beyond, exploding the bounds of the late-nineteenth century realist novel and going on to invent something completely new.
Back to the theory: hopefully you can now see that it is less valuable as an interpretation of Shakespeare (as which, it is pretty worthless) than as a dramatisation of Stephen (and Joyce’s) fierce punk opposition to the nose-holding high-mindedness of the older, Victorian generation.
Performance, second aspect
OK, so when Stephen presents his theory, he is doing it to not just a sceptical older generation but a generation with fundamentally different ideas about art than he holds and who he is, to some extent, baiting with his transgressive ideas.
But then something else happens to make it even more complicated. This is the arrival half way through Stephen’s nervous presentation of his frenemy and contemporary, the young wit Malachi ‘Buck’ Mulligan, who we saw teasing and antagonising Stephen in the very first scene in the opening chapter.
Half way through Stephen’s presentation shallow Buck arrives in the room and joins in the chorus of witty banter which accompanies every one of Stephen’s propositions, often with barely concealed mockery, for example when he gives his own not inaccurate parody of Stephen’s idea:
—It is quite simple. He proves by algebra that Hamlet’s grandson is Shakespeare’s grandfather and that he himself is the ghost of his own father.
In this respect the whole thing, although radically different in content, echoes in structure the presentation of theory 1 in ‘Portrait’. In that book, although Stephen’s theory is often quoted out of context as a standalone statement, it is actually delivered in a dynamic context, expounded during a long walk with a fellow student Lynch, who continually intervenes with deflating mockery of Stephen’s highfalutin theories.
Same here, only instead of just one set of interlocutors Stephen was already struggling to cope with – AE, Best, Eglinton, the occasional interventions of the chief librarian who pops in and out of the room – the arrival of Mulligan adds a whole new layer of mockery and chaffing to the mix.
So setting aside the radical dissimilarities of content, both theories have this in common, that they are delivered in the course of embattled dialogue with others.
Scylla and Charybdis
I’m aware I haven’t presented all these ideas in a perfect order. It’s quite difficult to do so when everything in the text is connected to everything else. But one last point. As I’ve reread it I’ve come to realise that the A.E. and John Eglinton’s traditional romantic neo-platonic theory is so clearly indicated or defended in its own right, that the chapter in effect contains not one but two aesthetic theories And when you come to think about it, this maybe sheds light on the Homeric parallel.
Scylla and Charybdis – who Joyce’s schemas tell us preside over this chapter – are famous sea monsters from Greek mythology, who lived on opposite sides of the narrow Strait of Messina. Scylla was a six-headed monster living on a cliff, who snatched sailors from passing ships, while Charybdis was a massive whirlpool that swallowed ships whole. Which is why they came to be used as a proverb symbolizing an inescapable dilemma, where avoiding one peril means falling victim to the other.
So: are these two aesthetic theories, the extreme of spiritual neoplatonism facing off against a theory of authorial autobiography, are these the Scylla and Charybdis of the title? In the Homer story, Odysseus’s ship has to sail a perfect middle course between the two perils. Does this suggest that Joyce does not stand behind Stephen’s theory, but somewhere between the two positions?
We know that Stephen has rejected his schoolboy theory of high aesthetic stasis and gone right over to the other end of the spectrum, deliberately shocking his fusty listeners with his insistence on the origins of Shakespeare’s works in the messy biographical details of sex and infidelity, jealousy and death.
But maybe this theory, theory 2, is also only dramatically appropriate to the character of Stephen Dedalus and didn’t represent Joyce’s own final view.
This interpretation is supported when, at the conclusion of his presentation, one of the auditors, John Eglinton, asks Stephen whether he believes his own theory and Stephen immediately (and with uncharacteristically blunt clarity) says No.
—You are a delusion, said roundly John Eglinton to Stephen. You have brought us all this way to show us a French triangle. Do you believe your own theory?
—No, Stephen said promptly.
(The French triangle is Eglinton’s way of saying Stephen’s theory reduces the genesis of one of the masterpieces of European literature, ‘Hamlet’, to the author’s involvement in a sordid little affair of adultery and his wife’s infidelity, a ‘French triangle’.)
But the point of the exchange is obviously Stephen’s immediate ‘No’. Now on one level this reflects the witty tone of banter in which the whole thing takes place, in which everyone is hyper-aware of all the literary references they’re making, distorting and parodying for comic purposes, in which everyone is showing off. To spend an hour delivering a convoluted theory and then reply so bluntly that he doesn’t even believe it himself, is a stylish and witty manoeuvre – its Wildean brashness makes Stephen more worthy to be a member of this caste of witty litterateurs than the original theory.
But it also gestures towards the solution of the puzzle. When faced with a rock and a hard place the solution is neither. Or both. Or parts of both. Maybe the theory is included not just to further delineate Stephen’s character, or because Joyce identifies with it, but because it requires the worldview it’s opposing. Stephen can only express his debunking theory if he has something to debunk and so he needs A.E. and Eglinton and (appearing half-way through, Mulligan) to argue back or mock his theories because the real world is made out of precisely such conflicts and antitheses.
Maybe the point isn’t Stephen’s first theory or second theory or A.E.s platonic theory but a dynamic interplay between all three.
A ghostly answer
In his 1982 book about ‘Ulysses’, Canadian critic Hugh Kenner suggests a typically playful solution. Maybe Joyce’s aesthetic approach can be likened to the figure of Hamlet’s ghost who wanders through Stephen’s exposition of the play, as he, indeed, wafts in and out of the Shakespeare play itself. Like old King Hamlet’s ghost, maybe Joyce’s own autobiography moves in and out of the text, putting in appearances, disappearing but, like the ghost, dominating the entire action even in its absence. Which makes theory 2, instead of a rejection of theory 1 whereby the artist:
remains within or behind or beyond or above his handiwork, invisible, refined out of existence, indifferent, paring his fingernails
More like a subtle extension of it. Maybe the ghost author can drift in and out of the narrative at whim, trailing elements of autobiography like a ghostly cloak, at moments coming powerfully into focus, at others disappearing altogether and so allowing Joyce to believe in both his theories and neither. After all, as Richard Ellmann jokes in his 1972 book, ‘Ulysses on the Liffey’:
Whenever confronted by a choice between two possible things to include, Joyce chose both. (p.34)
So maybe that’s what he’s craftily doing here.
Credit
‘Ulysses’ by James Joyce was published by Shakespeare and Company in 1922.
Related links
Joyce reviews
- Dubliners (1914)
- Portrait of the Artist as a Young Man (1916)
- Ulysses by James Joyce: introduction
- Ulysses by James Joyce: Wandering Rocks
- Ulysses by James Joyce: Cyclops
- Ulysses by James Joyce: Nausicaa
- Ulysses by James Joyce: Oxen of the Sun
- Ulysses by James Joyce: Circe
- Ulysses by James Joyce: Eumaeus
- Ulysses by James Joyce: Ithaca
- Ulysses by James Joyce: Penelope




















