SOURCE: "Montage and the Faust Theme: The Influence of the 1587 Faustbuch on Thomas Mann's Montage Technique in Doktor Faustus," in Journal of European Studies, Vol. 13, 1983, pp. 109-21.

[In the following essay, Allen argues that the montage technique used by Thomas Mann in his 1947 novel Doktor Faustus was adapted from the fragmented structure of the anonymous 1587 Historia. She also discusses the appropriateness of the montage structure to the Faust story.]

I

In his scholarship on Thomas Mann's use of the 1587 Faustbuch in Doktor Faustus, Dietrich Assmann observes that the Faustbuch exhibits "eine gewisse Montagetechnik" of its own.¹ He quotes Hans Henning's comment that the wealth of sources available to the author of the Faustbuch were so extensive, he must have possessed considerable erudition for his time. Assmann then notes that practically these very words could have been written about Thomas Mann's novel.² Indeed, these words do seem to have been written about Mann's novel and by Mann himself. They recall Mann's description of the preparatory notes he had collected for his novel from many diverse fields: linguistics, geography, political science, theology, medicine, biology, history, and music (Ent., 26).³ They also recall the frequent critical acclaim Mann won as a man of encyclopedic knowledge and Mann's embarrassed denials.⁴ Assmann goes on to point out that the use of sources as a sign of great learning was common practice in the Middle Ages. He also admits that Mann could hardly have overlooked the long list of sources Robert Petsch appended to his 1911 edition of the Faustbuch which Mann used. Is this similarity in the two works intentional? Without examining the question further, Assmann abruptly concludes that this similarity is not intentional but accidental.⁵

The possibility exists, however, that the Faustbuch provided not only a framework of action, essential thematic material, and important stylistic elements for Mann's montage technique, but that it also influenced Mann's montage technique itself in Doktor Faustus. Mann came to view montage as an integral part of the Faust theme. The validity of this hypothesis rests on the conclusions drawn from the following questions: To what extent was Mann aware of the Faustbuch's numerous and extensive borrowings and at what point in the genesis of his novel? How does Mann's montage technique in Doktor Faustus differ from similar techniques in his earlier works? In other words, what is unique about the use of montage in Doktor Faustus? What is the nature of the Faustbuch's potential influence on Mann's montage technique in Doktor Faustus? In what way is montage an integral part of the Faust theme?

II

First of all, Mann's 1938 lecture "Über Goethes 'Faust'" reveals his awareness that the 1587 Spies chapbook was a pastiche of anecdotes about magicians and sorcerers which formed around the figure of the historical Faustus.⁶ In his lecture Mann also speculates that the historical Faustus deliberately used the name "Magus II, Faustus junior" to claim for himself the notoriety surrounding Simon Magus and, like Simon, had a female companion he called Helena. Mann was thus also aware as early as 1938 that the legend of the notorious Simon Magus played an important role in the evolution of the Faust legend, that it was, in effect, another 'source' for the Faustbuch. He also believed that the historical Faustus consciously lived the last years of his life in accordance with the mythical pattern established by his model, Simon Magus, and that Faustus actually sought to become another Simon Magus.⁷

Second, the Petsch edition Mann used includes a fifty-eight page appendix listing the most important sources for the Faustbuch and Petsch quotes from them, sometimes at length, to show how they were often paraphrased or copied word for word. These sources play an important role in Petsch's theory of a Latin original and are discussed in his introduction. As we know from his handwritten notes, Mann read and took excerpts from Petsch's introduction even before turning to the Faustbuch itself. These appear within the first ten pages of Mann's handwritten notes for Doktor Faustus. Mann was thus aware of the Faustbuch's numerous and extensive borrowings from documented sources at a formative stage of the novel's conception.⁸

Third, Mann could not help noticing the heterogenous quality of the Faustbuch's sources. Many of these sources had little, if anything, to do with the Faust legend itself. Rather, they were indicative of the interests of the sixteenth century, its culture and literature, its scientific and geographical advances, and its theological concerns. These sources were used to lend authenticity and authority to the story of Faustus and his quest for unlimited knowledge and experience, to give the impression of its fullness and completeness. Moreover, the use of such disparate sources led to a mixture of styles to which Petsch calls attention in his introduction.⁹ Thus, for example, the following styles and stylistic elements are all juxtaposed: Luther's pithy humour, earthy expressions, and Biblical style, the sermonizing of the narrator, Latin expressions and syntactical constructions, rhymes from Sebastian Brant, the popular mode of the disputation, the travelogue style of the Weltchronik, the dry pedantry of encyclopedias and dictionaries, folksy proverbs, together with the spicy jokes and coarse ribaldry characteristic of popular folklore. Mann, of course, would have been highly sensitive to the peculiar qualities of the Faustbuch's mixture of styles.

III

Hans Wysling examines the development of similar modes of montage in Mann's work at the conclusion of his thorough study of Mann's relationship to his sources in Der Erwählte.¹⁰ On Mann's use of factual, historical, and personal data, Wysling writes that the desire to create a completely convincing illusion of reality leads to the absorption of ever larger amounts of extrinsic material into his works. Eventually his method of working takes on a slightly different form. Beginning with the Joseph tetralogy, the genesis of Mann's novels are characterized by a preparatory stage initiated by the reawakening to an idea he had contemplated for years, sometimes decades, followed by an intense period of study and by extensive quotation from sources which Mann calls "Aneignungsgeschăfte" (Ent., 27) or the period of "Kontaktnahme" (Ent., 35). As in the case of Doktor Faustus, still another stage of studying and taking excerpts begins during composition. Mann's late novels consequently give the appearance of encyclopedic knowledge of truly Faustian scope.¹¹

The Joseph novels are again found to mark the turning point in Mann's use of literary data or "literarische Gegebenheiten". These refer to materials "die selbst schon Geist sind" and are expected to be recognized by the reader.¹² As Herman Meyer has illustrated in his study of Mann's use of quotation in Der Zauberberg and Lotte in Weimar, this use of extrinsic material which is already literary, the incorporation of fiction into fiction, creates new layers of associative resonances within the self-contained world of the novel.¹³ Wysling extends this definition of literary data to include not just literary quotations "that retain the wording of the original", but everything which in some way worked as a stimulus for the novel.¹⁴ Literary data would thus also include Mann's use of Nietzsche's "mythische Vita" as well as that of Faustus's embodied in the Faustbuch.¹⁵

The montage technique in Doktor Faustus does not seem, then, to represent a radical departure from the montage technique that generally typifies Mann's late novels beginning with the Joseph tetralogy. However, we must not forget that this concept of a montage technique does not appear in any of Mann's writings until he is at work on Doktor Faustus. Mann first discusses "das Prinzip der Montage" in a letter to Adorno on 30 December 1945.¹⁶ He has just left a copy of the manuscript of his unfinished novel with Adorno and now requests that Adorno provide him with "ein paar chakterisiernde, realisierende Exaktheiten" to help him create a convincing account of Adrian's Apocalipsis cum figuris.¹⁷ But Mann's request comes at the very end of his letter. Most of the letter is a lengthy defence of his use of montage, and the astonishing fact is that this defence of montage occurs even before the novel is completed and thus long before any negative evaluations of his novel could have been published. In effect, Mann anticipated the controversy on his narrative techniques in Doktor Faustus. Die Entstehung des Doktor Faustus is only the most elaborate description and defence of the montage technique in Doktor Faustus. The letter to Adorno alone would lead one to suppose the montage technique in Doktor Faustus is somehow different from similar narrative techniques in his earlier novels and that Mann was well aware of this fact.

In the letter Mann lists his favourite examples of montage: copying "wörtlich und genau" the symptoms of Nietzsche's illness and his dietary regime from Nietzsche's letters; borrowing the motif of the distant but ever present patron and beloved, embodied historically in the relationship of Tschaikowksy to Frau Meck; and the use of the theme of triangular love from Shakespeare's sonnets wherein the lover sends his friend to woo in his stead and is betrayed.¹⁸ The fact that these borrowings take on a new existence in his novel does not entirely relieve Mann's misgivings about the "un-verfrorenen Diebstahl-Charakter der Übernahme".¹⁹ The famous incorporation of a scientific description of the progressive stages of typhus in Buddenbrooks as an indirect way of conveying Hanno's death was less presumptious and less scandalous. In contrast, the frequent incorporation of materials "die selbst schon Geist sind" in Doktor Faustus gives the appearance "als sei das Aufgeschnappte gerade gut genug, der eigenen Ideen-Komposition zu dienen".²⁰

The borrowing of literary materials which cannot be acknowledged without destroying the illusion of reality also increases the morally uncomfortable dilemma of the author. Intending to borrow significant portions from Adorno's as yet unpublished manuscript, "Philosophie der neuen Musik", Mann feels embarrassed at his own boldness and by his inability to acknowledge Adorno's contributions within the novel. Nevertheless, from the point of view of the artist, Mann explains, he must overcome these inhibitions, for his novel about a musician is also a novel about music; it requires not just "'Initiiertheit'" but also "Studiertheit" to be convincing.²¹ His artistic defence for the "unverfrorenen Diebstahl-Charakter der Übernahme" must therefore be sufficient and Mann hopes Adorno will share his views.

Mann's letter to Adorno, his later letters to other friends, and his apologia in Die Entstehung des Doktor Faustus all reveal a new self-consciousness on Mann's part concerning a tendency which has developed from his earliest novel into a full-blown narrative technique he now calls "montage".²² The Joseph novels, as Wysling argues, may well mark the turning point at which this tendency becomes a genuine narrative technique, but it was only with Doktor Faustus that Mann himself consciously came to grips with this narrative technique as "montage".

These writings reveal two further unique qualities of Mann's use of montage in Doktor Faustus. Mann writes to Adorno that he decided "not to shrink from the borrowing, the appropriation of any extrinsic material" and that this decision was made "from the very beginning".²³ His description of montage in Die Entstehung des Doktor Faustus also emphasizes a new ruthlessness in its application and the fact that it belonged "intrinsically to the conception, to the very idea" of the novel (Ent., 29). Mann obviously feels his montage technique is unique for he refers to the ruthlessness of its application as being "previously unknown" (Ent., 29). In a letter to Emil Preetorius on 12 December 1947, he had already stated his belief in its uniqueness when he described this "eigentümliche Montage-Technik" in Doktor Faustus as "etwas in dieser Weise mir nie Vorgekommenes und Zugestossenes".²⁴ And in a letter to Erich Kahler three days later Mann referred to "diese so nie erprobte Montage-Technik".²⁵

Though Wysling's examination of the development of the montage technique in Mann's work as a whole illustrates the need to proceed with caution, nevertheless the uniqueness of these three new factors in Mann's use of montage is confirmed by the fruits they bear in the novel and by the observations of other scholars. Moreover, their manifestations in the novel recall striking traits of the Faustbuch to mind. Gunilla Bergsten and Sigrid Becker-Frank concur with Lieselotte Voss's conclusion that Doktor Faustus is the "montierteste" of his novels, the novel in which the most extrinsic material is used.²⁶ According to Bergsten, Mann assimilates "unprecedented quantities of material from the most disparate sources".²⁷ Indeed, as was true for the Faustbuch, many of these diverse borrowings are long and copied word for word or only slightly changed. Moreover, just as most of the Faustbuch's sources have little to do with the life of Faustus, so many of these widely varied sources are "totally unconnected with the historical setting of Faust".²⁸ As Becker-Frank points out, in Doktor Faustus Mann wished to present an outline of European cultural history; to do this by means of quotation was "genial".²⁹ The quotations range from the Middle Ages to modern times and are representative of European culture. With this technique, Becker-Frank concludes, Mann created something genuinely new in the field of the novel.³⁰

In fact, not only does Mann quote extensively from lexicons, encyclopedias, and all kinds of literary works from classics, collected letters, memoirs, and biographies to specialized secondary literature, essays, articles, and book reviews, even photographs and paintings, he also quotes his acquaintances, friends, and family, and thus, not surprisingly, himself. In Doktor Faustus the Selbstzitat becomes a new device. Mann quotes from his own works, for example, the story "Beim Propheten", and the essays "Deutschland und die Deutschen" and "Lebensabriss".³¹ In addition, Serenus Zeitblom begins to write his biography of Adrian Leverkühn on the very day Mann begins to write Doktor Faustus. This, Mann emphasizes, is "characteristic for the entire book; for the curious brand of realism inherent in it" (Ent., 29). This has to do with the novel's character "als Geheimwerk und Lebensbeichte" (Ent., 29). Most shocking of all is Mann's use of the tragic suicides of his sisters Julia and Carla embodied in the unsparing portraits of Ines and Clarisse Rodde. As Gunilla Bergsten observes, "'personal data' are exploited in Doktor Faustus more ruthlessly than ever before".³² In Doktor Faustus, the confessional element is "carried to extremes".³³Doktor Faustus exhibits the most extreme use of montage and it is also Mann's most personal novel.³⁴

The extreme mechanical nature of this new ruthlessness in the application of montage must also be taken into account (Ent., 29). Mann successfully integrates quotations into his novel in a way that occurs only rarely in the Faustbuch. There is, however, a certain detached "cut-and-paste" quality about the extensive use of this radical procedure which recalls to mind the mechanical nature of so much of the Faustbuch's use of sources and is difficult to reconcile with accepted assumptions about the creative process. In no work before Doktor Faustus was montage so mechanical. A mixture of styles results, as in the Faustbuch where this characteristic was greatly exaggerated by the haphazard collaboration of a series of editors and copiers. In the first place, Zeitblom's narration of Leverkühn's biography is characterized by three different styles. Zeitblom the humanist writes in a flat, pedantic tone. Zeitblom the learned scholar and devoted friend of Adrian transcends his own personal limitations to achieve a virtuoso prose style. Zeitblom also writes with political fervour against the Nazi regime which has turned his sons against him and forced him to resign his professional post in protest.³⁵ If we substitute religious fervour for political fervour and take the Faustbuch's final moving chapter as an example of a virtuoso prose style, then all three of these styles characterize the narrative of the sixteenth-century chapbook as well. Second, the narration of Adrian's trips to the bottom of the sea and to the stars resemble the travelogue and scientific styles of the Faustbuch. Adrian's dialogue with the Devil resembles the style of the disputations, while the listing and description of Nikolaus Leverkühn's musical instruments recalls the encyclopedic style of the Faustbuch. Third, Mann skilfully juxtaposes the distinct literary styles of the following diverse sources: Luther and the sixteenth-century Faustbuch, the thirteenth-century Bescheidenheit by Freidank, Shakespeare in English and in German translation, Dante in the original Italian, Nietzsche, Die Freideutsche Position from 1931 (a pamphlet which appeared on German University campuses before the war), Blake and Keats in English, Verlaine in French, Grimmelshausen, and of course, Mann himself.³⁶

As Bergsten observes, in Doktor Faustus montage "reaches greater complexity than in previous works".³⁷ If, as Mann reiterated, his new use of montage belonged from the very beginning to the conception, to the very idea of the novel, its radical nature must have already taken shape in his mind back in March 1943 as part of his preparatory work on the novel. From the very beginning, montage was to be both the chief narrative technique and its subject matter. Mann writes in Die Entstehung des Doktor Faustus that he clearly felt his book would have to become the thing it dealt with: namely, "konstruktive Musik" (Ent., 51). Mann had spoken in these terms about Der Zauberberg, but in Doktor Faustus this mode of attaining novelistic unity, reminiscent of Friedrich Schlegel's concept of "Transzendentalpoesie", takes on Faustian dimensions.³⁸

Doktor Faustus is about music (which serves as the paradigm for all the arts), "ein zur Konstruktion verdammter Künstler" and "the desperate situation of art" (Ent., 36); the novel has a musical texture, is "konstruktive Musik", and the novel of its epoch by virtue of its radical narrative techniques.³⁹Doktor Faustus is also about German cultural history and its relationship to the rise and fall of National Socialism in the twentieth century; it is also the confessions of a single representative German, Thomas Mann, and in this respect, again the novel of its epoch. Above all, Doktor Faustus is also a "Nietzsche-Roman" (Ent., 30) as well as a Faust novel. The mythical life of Faustus is grafted onto the historical life of Nietzsche, itself already a "mythische Vita", in such a way that fact and fiction, history and myth, are inextricably intertwined. What is new in this use of montage is the retelling in mythical terms of the life of a person who, unlike Joseph and Goethe, the subjects of Mann's previous novels, belonged to the very recent past. Also new is the fact that Nietzsche's name is not mentioned once throughout the entire novel, because, of course, Adrian Leverkühn is Nietzsche (Ent., 29); yet, Nietzsche's life is nonetheless as transparent as the legendary life of Simon Magus in the Faustbuch. Mann portrays Nietzsche as a modern Faust and this new version of the old Faust legend makes Doktor Faustus the Faust work of Mann's epoch. By means of the "strict style" Adrian aspires to break through to new order and objectivity in musical forms which are nevertheless expressive, and by means of montage, Mann aspires to break through to a new authenticity, a new realism which also incorporates a unique vehicle for expressiveness, a new manifestation of the confessional mode.

Mann's ruthless application of montage sets up a dialectic between the objectivity of its mechanical nature and the subjectivity of the personal act of confession it permits. The former incorporates its claims to authenticity, to historical reality, and its formal adherence to the traditional mimetic nature of the novel form; the latter incorporates the intrusion of autobiography and emotional intensity and the flaunting of traditional novelistic techniques. As Terrill May points out, this dialectic is introduced in Kretzschmar's lectures in Chapter 8 where musical forms are presented as a paradigm for literary forms.

According to this [Kretzschmar's] presentation, contrapuntal polyphony is interpreted from a technical viewpoint where the constructivistic application of strict rules, the "conventions of music", is termed objective. Harmonic homophony is antithetically characterized as opposing established rules, favouring improvisation and individual impulse, spontaneity, and thus, subjectivity.⁴⁰

These opposing principles are then applied to other than musical concerns in the novel, to theological, political and cultural developments, for example.⁴¹ Applied to the novel form, the synthesis aspired to is, on the one hand, the production of a representative cultural product which by means of montage incorporates and transcends the limitations of a single author, a novel which through the strict application of montage attains perfect or nearly perfect mimesis. On the other hand, it aspires to a synthesis which by virtue of the fusion of myth and history, fact and fiction through montage, transcends the limitations of mere fiction and the novelistic form and becomes itself a piece of reality like the legend of Faust and the life of Nietzsche, and that of Mann as well.⁴²

IV

The final question to be resolved is the nature of the Faustbuch's potential influence on Mann's montage technique in Doktor Faustus. From the foregoing we can conclude that the Faustbuch can be seen as the catalyst to Mann's new self-conscious and extreme use of montage. What appealed to Mann was the way the addition of extrinsic sources served to lend authority to the pronouncements of the Faustbuch's narrator and authenticity to Faustus's mission to know all things, experience all things, and do all things. Just as appealing was the way this addition of material from diverse sources by a series of authors, editors, and copiers increased the representative quality of the Faustbuch in relation to its milieu and its epoch. The only major innovations in Mann's montage technique which have no precedent whatsoever in the Faustbuch are Mann's use of personal material from his own life, the development of the Selbstzitat, and the use of quotation to present an outline of European cultural history. These innovations serve the dual purposes of authenticity and representativeness and can be assumed to have developed in conjunction with the others suggested by the Faustbuch.

What is perhaps not so readily apparent is how the Faustbuch might have influenced the fact that the extreme use of montage came to belong intrinsically in Mann's thinking to the conception, to the very idea of Doktor Faustus. Mann's 1938 lecture and an astute observation by Lieselotte Voss suggest an answer. Faustus, Mann says, was a charlatan who, wanting to become a second Simon Magus, came to epitomize all those who conjured up the Devil. Fifty years after his death, all the magic stories associated with him and his life were set to paper and the written legend of Faustus was born. In her book on Doktor Faustus, Voss writes that the life of Faustus in the Faustbuch is not to be understood as an individual, authentic biography but rather as a composite portrait of a legendary type written in the manner of a cautionary tale.⁴³ Mann's own comments and Voss's observation suggest that what the montage technique in the Faustbuch offered Mann was a model for the creating of a legend in a transparent form. Petsch's introduction focuses primarily on the ways in which an historical biography becomes transformed into a legendary life.

In a lecture from 1940, Mann writes

Leben heisst: in Spuren gehen, Nachleben, Identifikation mit einem sichtbarlichen oder überlieferten, mythischen Vorbild! … Alles Leben ist Wiederkehr und Wiederholung, und der sogenannte 'Charakter' des Individuums eine mythische Rolle, die in der Illusion origineller Einmaligkeit gespielt wird.…⁴⁴

The biography of Faustus narrated in the Faustbuch suggested to Mann a way to present this insight and at the same time to present through the extreme use of montage the process by which life is transformed into legend. Montage serves not only the purposes of authenticity and mimesis, but now serves to depict the myth-making process as well. Zeitblom's role as narrator and biographer, played in the illusion that his particular position as observer, participant, and recorder of history is unique, is itself "recurrence and repetition" of an age-old process. Mann, in his turn, follows the Goethean example in recreating the legend of Faustus for his epoch. But in his radical use of montage Mann also assumes all the various roles of author, editor and copier, defying the limitations of historical time and of individual, finite authorship to compile, to "construct", and to create his epoch's legendary life of Simon Magus/Faustus/Nietzsche/Mann as composer Adrian Leverkühn.

V

Mann's letter to Adorno in 1945 suggests that his conception of the use of montage in Doktor Faustus was developed in two discrete stages. Doktor Faustus was initially conceived as a book "that tended toward the principle of montage anyway".⁴⁵ But then Mann decided to carry montage to a new extreme. He writes that he was determined from the very beginning "not to shrink from the borrowing, the appropriation of any extrinsic material".⁴⁶ The specific influence of the Faustbuch's mode of montage and Petsch's introduction and appendix can be discerned between these two stages in the development of Mann's new use of montage and accounts for its unique qualities in Doktor Faustus.

Notes

¹ Dietrich Assmann, Thomas Manns "Doktor Faustus" und seine Beziehungen zur Faust-Tradition (Helsinki, 1975), 102. Within the voluminous scholarship on Thomas Mann's Doktor Faustus, a considerable number of studies have accumulated which, to a greater or lesser extent, deal specifically with Mann's use of the Spies Faustbuch as a source for his novel, his creative borrowing of structural, thematic, and stylistic elements, what Mann called his "Montage-Technik". Assmann, "Thomas Manns Faustus-Roman und das Volksbuch von 1587", Neuphilologische Mitteilungen, lxviii (1967), 130-9; idem, Thomas Manns "Doktor Faustus"; Sigrid W. Becker-Frank, "Untersuchungen zur Integration des Zitats in Thomas Manns 'Doktor Faustus' mit Berücksichtigung der anderen spaten Romane", Diss., Tübingen, 1963; Walter A. Berendsohn, "Faustsage und Faustdichtung", Edda, 1 (1950), 371-82; Gunilla Bergsten, Thomas Mann's "Doktor Faustus ": The Structure and Sources of the Novel, trans. by Krishna Winston (Chicago, 1969); Geneviève Bianquis, "Thomas Mann et le Faustbuch de 1587", Etudes Germaniques, v (1950), 54-59; Henri Birven, "Thomas Manns Roman 'Doktor Faustus' and das Faustbuch von 1587", Der historische Doktor Faust: Maske und Antlitz (Gelnhausen, 1963), 227-9; Maurice Blanchot, "Thomas Mann et le mythe de Faust", Critique, vi (1950), 3-21; Eliza M. Butler, "The Traditional Elements in Thomas Mann's Doctor Faustus", Publications of the English Goethe Society, xviii (1949), 1-33; Eliza M. Butler, The Fortunes of Faust (Cambridge, 1952); Inge Diersen, "Thomas Manns Faust-Konzeption und ihr Verhältnis zur Faust-Tradition", Weimarer Beiträge, i (1955), 313-30; H. S. Gilliam, "Mann's Other Holy Sinner: Adrian Leverkühn as Faust and Christ", Germanic Review, lii (1977), 122-47; Erich Kahler, "Doctor Faustus from Adam to Sartre", The Orbit of Thomas Mann (Princeton, 1969), 86-116; Brigit S. Nielsen, "Adrian Leverkühns Leben als bewusste mythische imitatio des Dr. Faustus", Orbis Litterarum, xx (1965), 128-58; Heinz Politzer, "Of Time and Doctor Faustus", Monatshefte, li (1959), 145-55; Carroll E. Reed, "Thomas Mann and the Faust Tradition", The Journal of English and Germanic Philology, li (1952), 17-34; Harry Slochower, "The Devil of Many Faces: Man's Pact with the Evil One from the Volksbuch to Thomas Mann", Twelfth Street, iv (1949), 196-204; Lieselotte Voss, Die Entstehung von Thomas Manns Roman "Doktor Faustus" (Tübingen, 1975).

² Assmann, "Thomas Manns Faustus-Roman und das Volksbuch von 1587", 131. Hans Henning, "Das Faust-Buch von 1587: Seine Entstehung, seine Quelle, seine Wirkung", Weimarer Beiträge, vi (1960), 35.

³ Thomas Mann, Die Entstehung des Doktor Faustus: Roman eines Romans (Frankfurr-a.-M., 1966), 26. All references to this work will be noted in the body of the text after the abbreviation Ent.

⁴ See, for example, Voss, op. cit. (ref. 1), 229. Hans Wysling calls this Mann's "Scheingelehrsamkeit" and "Scheingeläufigkeit" in "Thomas Manns Verhältnis zu den Quellen: Beobachtungen am 'Erwählten"', Quellenkritische Studien zum Werk Thomas Manns, ed. by Paul Scherrer and Wysling (Bern, 1967), 273.

⁵ Assmann, "Thomas Manns Faustus-Roman und das Volksbuch von 1587", 132.

⁶ Thomas Mann, "Über Goethes 'Faust"', Adel des Geistes (Frankfurt-a.-M., 1967), 582.

⁷Ibid., 585. In Faustus: Geschichte, Sage, Dichtung (Munich, 1982), 114, Frank Baron concludes that Mann probably read Ernst Beutler's 1936 essay "Georg Faust aus Helmstadt" in preparation for his Princeton lecture because Mann refers to "Georg Helmstetter" and Beutler was the first German scholar to make use of the source wherein Faustus appears as Georgius Faustus von Helmstadt. Although I cannot prove conclusively that Mann read Siegried R. Nagel's article, "Helena in der Faustsage", Euphorion, ix (1902), almost all the other information about the Faustbuch in Mann's lecture is contained there, including the mistaken statement that in Richardus's 1926 edition of the Recognitiones Faustus's companion was called Helena and not Luna. (Assmann discusses this latter point in his article, "Faustus Junior: Thomas Mann und die mythische Identifikation", Neuphilologische Mitteilungen, lxxii (1971), 549-53.) Moreover, Princeton University Library records indicate that the volume of Euphorion containing this article was in their possession and available in 1938. Also, Mann's personal friend, Samuel Singer, whose book Sprichwörter des Mittelaters provided Mann with material for Nepo's prayers and who helped Mann extensively in the early stages of his work on Der Erwählte, wrote a review of Milchsack's edition of the Wolfenbüttel manuscript. Singer was therefore familiar with Faustbuch scholarship. Moreover, in his review Singer advocates the hypothesis Mann also espouses, that Faustus was a deranged person who wished to draw to himself the notoriety of Simon Magus by calling himself "magus secundus". Hans Wysling, director of the Thomas Mann archives in Zurich, assures me that the two extant, unpublished letters exchanged between Singer and Mann during the years 1943 and 1947, the years Mann worked on Doktor Faustus, contain no references to the Faust legend. Nevertheless, since, as Wysling maintains, their friendship probably dates from Mann's Munich days, the possibility exists that Mann might have been aware of Singer's ideas on the Faustbuch and that he might have been exposed to Faustbuch scholarship via Singer.

⁸ Mann, op. cit. (ref. 3), 19. Herbert Lehnert, "Thomas Manns Lutherbild", Thomas Mann: Fiktion, Mythos, Religion (Stuttgart, 1965), 197f. See also Voss, op. cit. (ref. 1), 24-28. Princeton University Library's records reveal that the Petsch edition was available to Mann when he was preparing for his 1938 Faust lectures at Princeton. Since the Petsch edition was then (and still is) the most up-to-date edition of the Spies Faustbuch, there is every reason to believe Mann was familiar with its contents as early as 1938. Das Volksbuch vom Doctor Faust (Nach der ersten Ausgabe, 1587), ed. by Robert Petsch, 2nd edn, Neudrucke deutscher Literaturwerke des 16. und 17. Jahrhunderts, Nr. 7-8b (Halle, 1911).

⁹ Petsch, "Einleitung", especially xxivf.

¹⁰ Wysling, op. cit. (ref. 4), 296-322. Like most scholars, Wysling bases his discussion of montage on Mann's own definitions, using as a starting point Mann's categories of "faktischen, historischen, persönlichen, ja literarischen Gegebenheiten" (Ent., 29).

¹¹ Wysling, op. cit. (ref. 4), 303.

¹²Ibid., 309-10. See Mann's letter to Adorno of 30 December 1945 in Thomas Mann, Briefe 1937-1947 (Frankfurt-a.-M., 1963), 470.

¹³ Herman Meyer, The Poetics of Quotation in the European Novel, trans. by Theodore and Yetta Ziolkowski (Princeton, 1968), 6. Wysling, op. cit. (ref. 4), 310.

¹⁴ Meyer, The Poetics of Quotation in the European Novel, 10 and Wysling, op. cit. (ref. 4), 310.

¹⁵ Wysling, op. cit. (ref. 4), 319-20.

¹⁶ Mann, op. cit. (ref. 12), 469.

¹⁷Ibid., 472.

¹⁸Ibid., 470.

¹⁹Ibid., 470.

²⁰Ibid., 470.

²¹Ibid., 471.

²² The most important of Mann's letters to other friends are: to Emil Preetorius, 12 December 1947, in Briefe 1937-1947, 574-7; to Erich von Kahler, 15 December 1947, in Blätter der Thomas Mann Gesellschaft, x (1970), 47-49; to Michael Mann, 31 January 1948, in Thomas Mann, Briefe 1948-1955 und Nachlese (Frankfurt-a.-M., 1965), 16-17.

²³ The fact that the radical use of montage belonged to the very conception of the novel is reiterated by Mann in a letter to his son Michael on 31 January 1948: "So frappierte mich das wiederholt gebrauchte Wort 'Montage', weil ich es selbst gern auf das Buch anwende und die Idee davon tatsächlich von Anfang an schon bei der Conception des Romans eine Rolle spielte" (Briefe 1948-1955 und Nachlese, 16).

²⁴ Mann, op. cit. (ref. 12), 576.

²⁵ Mann, Blätter der Thomas Mann Gesellschaft, 48.

²⁶ Voss, op. cit. (ref. 1), 239.

²⁷ Bergsten, op. cit. (ref. 1), 112.

²⁸Ibid.

²⁹ Becker-Frank, op. cit. (ref. 1), 120.

³⁰Ibid., 121.

³¹ Bergsten, op. cit. (ref. 1), 15, 19, and 31.

³²Ibid., 112.

³³Ibid., 102.

³⁴ Voss, op. cit. (ref. 1), 239.

³⁵ Terrill John May, "The Literary Journal: An Extension of the Ironic Novel, André Gide's Le Journal des Faux-monnayeurs and Thomas Mann's Die Entstehung des Doktor Faustus", Diss., Cornell University, 1972, 100-1.

³⁶ Bergsten, op. cit. (ref. 1), 23 and 39f.

³⁷Ibid., 113.

³⁸ Thomas Mann, "Einführung in den Zauberberg", Gesammelte Werke, xii (Berlin, 1955), 441.

³⁹ Wysling, op. cit. (ref. 4), 297 and Bergsten, op. cit. (ref. 1), 169.

⁴⁰ May, op. cit. (ref. 35), 59.

⁴¹Ibid., 62.

⁴² In his letter to Michael Mann on 31 January 1948 (Briefe 1948-1955 und Nachlese, 16), Mann writes: "Ich war entschlossen zu jeder Art von 'Montage', denn was wir beide so nennen hat ja unmittelbar zu tun mit dem eigentümlichen Hinausgehen des Buches über das Literarische, seinem 'Abschütteln des Scheins der Kunst', seiner Wirklichkeit".

⁴³ VOSS, op. cit. (ref. 1), 241.

⁴⁴ Hans Wysling (ed.), Dokumente und Untersuchungen: Beiträge zur Thomas-Mann-Forschung (Bern, 1974), 97: "'On Myself'. Thomas Manns 'Doppellecture' vor den Studenten der Universität Princeton, 2./3. Mai 1940".

⁴⁵ Mann, op. cit. (ref. 12), 471.

⁴⁶Ibid.