9.5 Transactional theory

Transactional theory revolutionized literary studies by emphasizing the reader's active role in creating meaning. It challenged the idea that texts have fixed interpretations, instead arguing that meaning emerges from the dynamic interaction between reader and text.

This approach, developed by Louise Rosenblatt, draws on pragmatist philosophy and emphasizes the personal nature of reading experiences. It distinguishes between efferent and aesthetic reading stances, influencing education and inspiring reader response pedagogy and reception theory.

Origins of transactional theory

• Emerged in the 1930s as a response to formalist and structuralist approaches to literature that emphasized the autonomy of the text
• Drew on pragmatist philosophy (John Dewey) and general semantics (Alfred Korzybski) to emphasize the dynamic, context-dependent nature of meaning
• Challenged the notion of fixed, inherent meaning in texts and instead focused on the reader's active role in constructing meaning through their interaction with the text

Key theorists

Louise Rosenblatt

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• Developed transactional theory in her works "Literature as Exploration" (1938) and "The Reader, the Text, the Poem" (1978)
• Emphasized the unique, personal nature of each reading experience and the importance of the reader's background, emotions, and purpose in shaping their interpretation
• Argued that meaning emerges from the transaction between reader and text, rather than residing solely in either one

John Dewey

• American philosopher and psychologist whose pragmatist ideas influenced Rosenblatt's transactional theory
• Emphasized the active, experiential nature of learning and the importance of individual context and purpose in shaping knowledge
• Viewed knowledge as a tool for action and problem-solving rather than a fixed, abstract entity

Arthur Bentley

• American philosopher and political scientist who collaborated with Dewey on the book "Knowing and the Known" (1949)
• Helped develop the concept of transaction as a dynamic, reciprocal relationship between organism and environment
• Argued against the dualistic separation of subject and object, emphasizing the continuity and interaction between knower and known

Transactional vs interactional models

• Transactional theory contrasts with interactional models that view reading as a one-way transmission of meaning from text to reader
• Interactional models (bottom-up, top-down processing) still maintain a separation between reader and text, while transactional theory emphasizes their inseparability
• In transactional theory, meaning is not a property of either reader or text but emerges from their dynamic, context-specific transaction

Reader-text transaction

Efferent vs aesthetic reading

• Rosenblatt distinguished between efferent reading, which focuses on extracting information and facts, and aesthetic reading, which emphasizes the experiential, affective aspects of the reading process
• Efferent reading (textbooks, news articles) involves a more detached, analytical stance, while aesthetic reading (poetry, novels) involves a more personal, immersive engagement with the text
• Most reading experiences involve a mixture of efferent and aesthetic stances, depending on the reader's purpose and the nature of the text

Evocation and interpretation

• Evocation refers to the reader's initial, prelinguistic response to the text, including sensations, images, and emotions
• Interpretation involves the reader's conscious, reflective effort to make sense of their evocation and construct meaning from the text
• Evocation and interpretation are recursive, mutually informing processes that shape the reader's overall transaction with the text

Stance and purpose

• The reader's stance (efferent or aesthetic) is shaped by their purpose for reading and their expectations of the text
• Purpose can range from practical goals (learning, problem-solving) to more personal, exploratory aims (pleasure, self-discovery)
• The reader's stance and purpose shape their selective attention to different aspects of the text and their construction of meaning

Transactional theory in education

Reader response pedagogy

• Emphasizes the importance of students' personal responses and interpretations in the study of literature
• Encourages students to explore their own evocations and construct meaning through discussion, writing, and other forms of response
• Challenges traditional, teacher-centered approaches that prioritize "correct" interpretations and authorial intent

Constructivist learning

• Views learning as an active, constructive process in which students build new knowledge and understanding through their interactions with texts, ideas, and others
• Emphasizes the importance of students' prior knowledge, experiences, and purposes in shaping their learning
• Encourages student-centered, inquiry-based approaches that foster critical thinking, problem-solving, and personal engagement

Transactional theory vs other approaches

New Criticism

• New Criticism emphasized close reading and the autonomy of the text, treating the poem as a self-contained, organic unity
• Transactional theory challenges New Critical assumptions by emphasizing the reader's active role in constructing meaning and the importance of context and purpose

Structuralism

• Structuralism focused on the underlying systems and structures of language and narrative, seeking to uncover universal patterns and rules
• Transactional theory rejects structuralist notions of fixed, inherent meaning and instead emphasizes the dynamic, context-dependent nature of meaning-making

Formalism

• Formalism prioritized the intrinsic features of the literary work (form, style, technique) over its historical, biographical, or social context
• Transactional theory argues that form and content are inseparable and that meaning emerges from the reader's transaction with the text as a whole

Influence on literary studies

Reception theory

• Reception theory, developed by scholars such as Hans Robert Jauss and Wolfgang Iser, builds on transactional theory's emphasis on the reader's role in constructing meaning
• Examines how texts are received and interpreted by different audiences over time, shaped by changing historical, cultural, and aesthetic contexts
• Explores the "horizons of expectation" that readers bring to texts and how these horizons shape their interpretations and evaluations

Empirical studies of reading

• Transactional theory has inspired empirical research on actual readers and their responses to texts, using methods such as think-aloud protocols, interviews, and surveys
• Studies have explored factors such as readers' backgrounds, motivations, and strategies in shaping their transactions with texts
• Findings have challenged traditional assumptions about the nature of reading and interpretation, highlighting the diversity and complexity of readers' experiences

Critiques and limitations

Subjectivity and relativism

• Critics argue that transactional theory's emphasis on individual reader response can lead to a form of subjectivism or relativism, where any interpretation is considered valid
• Rosenblatt and others have countered that transactional theory does not preclude the evaluation of interpretations based on textual evidence and reasoning, but rather acknowledges the role of the reader in constructing meaning

Role of authorial intent

• Some critics argue that transactional theory neglects or dismisses the importance of authorial intent in shaping the meaning of a text
• Rosenblatt acknowledged the relevance of authorial intent but argued that it should not be the sole or primary determinant of meaning, which emerges from the reader-text transaction

Cultural and historical context

• Critics have argued that transactional theory's focus on individual reader response can neglect the broader cultural, historical, and ideological contexts that shape reading and interpretation
• Later scholars have sought to integrate transactional theory with cultural studies, critical theory, and other approaches that attend to the social and political dimensions of reading and meaning-making