Transactive Theory of Reading
Transactive Theory of Reading
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The Miller's Wife and the Professors:
Questions about the Transactive
Theory of Reading
Norman N. Holland
Doesn't this make every reading totally subjective,so that any one reading is
as good as any other?
In teaching, what do you do about misreadings?
Don't people change their readings? I know I read Huckleberry
Finn differ-
ently now from the way I did when I was a child.
Sadly, however, the VF feels deep down inside him that no matter
how clearly he says these, by now, to him, palpable truths, he will
hear these same questions over and over again. To elicit them and
discuss them and perhaps even lay to rest these recurring questions
he has put together some materials for a workshop for professors of
literature. If he coalesces several occasions on which he got groups of
professors to work on his materials, he comes up with the scene with
which this article began.
Meanwhile, back in that seminar room, the VF, ever hopeful,
hands out questionnaires. He promises to hand out his own answers
in exchange for their candor, but even so, the professors assembled
around the seminar table are a little reluctant, a little shy, a little
tested in their professional mettle.
The miller
the miller'sbody
The miller'scorpse
the miller
THE DEAD MILLER
refers to a new subj. serving as gr. subj. of verb "could not have heeded."
serves as antecedent of "it"-applies to hanged miller.
THE DEADMILLER
Again it is referentiallythe hanged body of No. 1.
This also refers to the hanging body of the miller.
Various possibilities:Hanged miller-smell of hanged miller (bowels loos-
ening, etc.-in contrast to pleasant "fragrance"),what was "there"beside the
fear, finally given form-the scene & situation-
THE TRANSACTIVE THEORY OF READING 427
"what else there was" refers to "what he had meant" and "what was hanging
from the beam." The referents are nonspecific and what floats around is the
phantom of fear, or doubt or distrust-something that has no form.
It refers to that "something" that pervades the room, fills it with suspense.
Not knowing what that something is is half the reason for its powerful effect.
It refers to the non-reassuring aspects of the mill-what speaks to her fears
(of the future), not to her knowledge of the past. Fear directs itself toward
the future.
dead. is right at beginning of poem & puts weight on everything that follows
"dead." It suggests what happens.
fear: Because of her first phrase "There are no millers anymore" which is, it
appears, the point of her fear of economic downfall. Such things as yes-
terday, past, linger
Fear. It colors all responses to her encounters in the mill
Some said there was no most important word, leaving the question
blank or fussing with it:
There isn't one. To answer, though: dead
so much death, everywhere-no more millers (other words seem to say again
what it had meant).
I'm uncomfortable choosing-each word seems to be dependent on the
others. "There"is used many times in different ways-as a place-as a non-
place-The poem draws attention to place(The Mill) as determining action.
Others showed remarkable ingenuity:
Same. The irony that there are no millers anymore-and yet no change,
no mark, everything still appears the same.
what brings reader in
"No" that which is disappears;connnects to "nothing,""no millers,""no
form,"would not, "no mark."
MIL The assonant found in "meal"& "miller"-it ties the entire poem
together-especially in "mealyfragrance"
mealy? pleasant, warm ground-down grain, devastated people, "mealy-
mouthedness"of the probably-uncomplaining wife to the miller, & miller
to anyone who might have heard or understood
yet she does not know-yet-and so the poem hangs in the moment
before knowing, when she suspects, doesn't know, doesn't want to believe
? young?
She is probablyshort, as she must look up at the beam where he is hanging
Apron (tea). White face in fear, Hands red with hard work. Slightly over-
weight = the diet of poor people who eat a lot of starch.
no one
I can't think of anyone right now
-Can't think of a literary character just now
430 NEW LITERARY HISTORY
My grandmother-because she was old world & full of care & overworked
My Aunt Betty, who discovered her husband dead on his workshop floor
A former girlfriend, a timorous and dependent person, who gave meaning to
her own life by identification with others-an identification with me I
couldn't tolerate in the end.
She does not remind me of anyone I know. In her fear that something may
have happened to hurt a loved one, she reminds me of me.
And, of course, there was a joker. "Whom does she remind you of?"
"The miller."
So far, we have been looking at answers by many different people
to one question. Although these are skilled professional readers, al-
though they are part of an interpretive community-American uni-
versity teachers of literature-although most are drawing on an es-
sentially similar "New Critical" training, their answers vary all over
the place. Question 1 has "right" and "wrong" answers, but after that,
responses go every which way.5
When we look at many answers to single questions, we can trace
some rather vague patterns, but the whole picture is rather a jumble.
We can get more coherence, however, if, instead of comparing ev-
eryone's answer to one question, we look at one person's answers to
all five questions. For example:
1. body hanging there
2. the only thing that was left was his found body-
3. fear gives feeling of dread
4. no idea-housewife-heavy set; placid air of waiting-doesn't pay
much attention Keeps on with her
5. She reminds me of someone who someone
wants taking a less active role-content to let things happen "They also
serve who stand & wait"She is unaffected by what's happening & partly
paying no attention
In these five answers by someone I'll call Professor One, I can read
back from the last to the first and perceive a pattern. Answer 5 has a
mistake: the repeated "someone," as if the final clause could stand
alone, "Someone wants taking a less active role," as if the final clause
could apply to Professor One herself as well as to the miller's wife.
(Evidently she felt rushed-see 4.) To 5, the most projective of the
questions, the one that allows most room for individual feelings and
associations, she speaks of someone "less active," who only stands and
waits, who is partly paying no attention.
I see the same theme in her answer to question 4: placid, waiting,
not paying attention. Again, as though what Professor One was
saying applied equally to the miller's wife and to herself, she does not
432 NEW LITERARY HISTORY
finish her last clause in 4. Perhaps she as well as the miller's wife is
not paying attention. Perhaps she has identified herself with the wife.
In 3, she names "fear" as the most important word because it "gives
feeling of dread." Again, the phrasing is both passive and vague: the
word does somethingto One, something vague. It "gives feeling." The
verbs in 2 are exaggeratedly passive: "The only thing that was left
was his found body." Finally, in 1, "body hanging there," we get a
"correct" answer to this "objective" question, but stated so as to em-
phasize the theme of passivity ("hanging") and vagueness ("there")
that I find more obvious in her longer, more projective responses.
In tracing these themes, of course, I am primarily talking about her
responses, only secondarily, inferentially about her. The distinction is
essential, for two reasons. First, one cannot infer from One's writing
alone what the relation is between her responses and her personality.
The passivity I see in this specimen of her writing might be an over-
reaction by an intensely active person, or it might be a special frame
of mind for reading, or it might simply be the result of the party the
night before. Second, my reading of her response is as much a func-
tion of my identity as her reading of the poem is of hers. My conclu-
sions, like hers, express me as well as what I am reading. Hence, what
I am describing is a mutual interpretation. She reads the poem and
the poem, so to speak, reads her. I read her response and her re-
sponse, so to speak, reads me. My reading is my attempt to represent
that systematically elusive process in words.
Possibly these interrelations will become clearer if we contrast
One's reading with Professor Two's set of five responses:
1. refers to a new subj. serving as gr. subj. of verb "could not have
heeded." serves as antecedent of "it"-applies to hanged miller.
2. 2d attributionof something in the mill- 1st thing being "fragrance"
3.
4. Unspecified-yet implied she follows, by drowning, her husband'sdepar-
ture by hanging.
5. Tristan, Romeo
Two is reluctant to project at all: he leaves 3 blank and insists in 4 that
the wife's looks are "Unspecified." He makes up the lack by a process
of inference which he attributes to the poem: the poem "implied" she
drowned. Similarly, in 5, he pointed out by way of explanation,
Tristan and Romeo fit in a sort of logical way. Each is a literary figure
who dies in a double suicide or mutual love-death. His appeal to logic
and observable behavior (as in 4) outweighed the woman's sex: very
few respondents to 5 were reminded of men by the miller's wife.
THE TRANSACTIVE THEORY OF READING 433
The themes that come across to me are fear-the word occurs four
times-loss, and deprivation or poverty, specifically in an economic
sense (2, 3, 4, 5). In her metaphors, the future is a container that
holds something to fear (1). Poverty is a pit one can fall into (5). She
gives graphic versions of psychosocial deprivation from a "primary
caretaker." I would call the container and pit symbols for what Four
calls "motherly." The ultimate fear (in psychoanalytic theory) is anni-
hilation at the hands of such a failing caretaker, and Four repeats
that threat twice (2, 3): one is no more, and she attributes the phrase
to the wife. What defense Four expresses against this fear seems to be
simply to face the danger, as the analysts might say, counterphobi-
cally: to fear the future, to know hard times, to be on the brink. If the
choice is fight or flight, Four says fight: accept the fear and live
with it.
The dominant motif in Professor Five's responses is also fear, but
with a somewhat different tone:
1. The miller'swife's fears of her husband'ssuicide: she sees him as if hung
2. It refers to the non-reassuringaspects of the mill-
what speaks to her fears (of the future), not to her knowledgeof the past.
Fear directs itself toward the future.
3. "Dead"
The "dead"fire suggests the failures-and fears-which haunt the poem.
4. I remember nothing of her appearance.She seems an image-abstract-
of domesticity.
5. She does not remind me of anyone I know.
In her fear that something may have happened to hurt a loved one, she
reminds me of me.
THE TRANSACTIVE THEORY OF READING 435
Five's last, candid answer suggests how his whole set of responses may
reflect his own anxiety, leading to his error in the "objective" ques-
tion, 1. The other answers suggest he may have a characteristic way
of speaking about that fear: saying it applies to the unknown rather
than the known, a kind of denial. The miller is only "as if" hung (1).
Something "may have happened" (5). Fears apply to the necessarily
unreadable future (2) and to abstractions, the "non-reassuring
aspects" of a mill (2), or the "nothing" of an abstract image of domes-
ticity (4). Five moves from relatively concrete images-"mill," "fire"
-to abstractions-fear, failure, domesticity, future. The hanged
man is only "as if" hung. He thus wards off literal fear: "She does not
remind me of anyone I know." But he does make a mistake in 1.
Professor Six's responses somewhat resemble Five's:
1. The miller
2. His absence
3. "No"
That which is disappears;connects to "nothing,""no millers,""no form,"
would not, "no mark."
4. apron, thin, long hands & fingers, gaunt cheeks
5. Woman figure in Dorothea Lange's
depression photo. Sense of being lost, bereft, nowhere, empty.
If Five was defending against anxiety, Six was warding off a sense of
absence, emptiness, or depression, as she (like Five) frankly says in
her last response. She chooses "no" for the most important word,
coupling it with phrasings of absence. In 2 she speaks of absence di-
rectly, and in 4 she imagines thinness and gauntness and, first of all,
an apron obscuring the woman's body. In 1, perhaps one can find a
significance in her speaking of "the miller" who is absent instead of
"the miller's body" which is present.
In short, if I look at all the answers by one person, I can trace a
theme or themes that permeate all five:
Professor One: being passive and vague
ProfessorTwo: displacement to language
Professor Three: "anal"themes
Professor Four: loss from a mother
Professor Five: fear of loss, displacement to the unknown
Professor Six: depression at absence; painful acceptance
If these themes permeate all of one person's answers, then they have
436 NEW LITERARY HISTORY
Identity
Reference
Return Hypothesis
omparator
Inner
Reality
Outer
Stimulus
Figure 1. Perception
Identity Two
Ideniy NH Comparator
Identity NNH /rt
--------I-| IC \
loss and anxiety, inferring them from the answers he wrote down and
phrasing them in the light of my own standards and hypotheses.
Hence we need to imagine another identity in the lima bean diagram,
one who is representing the identity of the reader under discussion.
Identity thus enters the feedback picture in at least four points.
Identity frames the hypotheses, identity hears the return, and iden-
tity feels the discrepancy between that return and one's inner stan-
dards. Finally, my identity phrases the identity which does these
things. Moreover, to avoid confusion, it is important to distinguish
between different kinds of hypotheses an identity can put out into
the text. Some are physiological. How fast can my eyes scan this
novel? How fast can I absorb it? How much of the wording of this
poem can I remember as I start the next page? How will the page
division affect my reading? The answers to such questions would ap-
pear at the bottom of the feedback picture. They affect the answers
the reader gets from his hypothesis in quite literal, physical ways.
Other hypotheses make use of cultural or semiotic codes. I intend
"code" in the strict sense: a rule that makes a message possible.1 I
mean letters of the alphabet, numbers, grammar, dictionary
meanings, and other things which have relatively fixed significa-
tions to all people in a given culture. For example, I see an A as an A.
It would be very difficult for me to interpret it any other way. Indeed
I learned this code so young and used it so often it would be well-nigh
impossible for me to unlearn it. I could live for fifty years in Ulan
Bator, reading nothing but Khalkha Mongol, and still, if I saw A, I
would very likely think A.
Such codes are indispensable, enabling and constraining almost in
the same sense as our bodies. We put them as hypotheses into the
poem in order to read words, construe sentences, and arrive at
meanings, and we do so automatically. The whole process is so fast
and unconscious, we scarcely notice it unless we are dealing with a
strange language. The only such code the questionnaire overtly used
was syntax, in questions 1 and 2.
The other codes a professor uses to read a poem are of an entirely
different order. We have seen our six readers seek unity in the poem
("each word . . . dependent on the others"). We have seen professors
resist the idea of imagining either the look of the miller's wife or a
private association to her. They are, I take it, tacitly following a rule:
stick to the words on the page. I hear professors reaching for themes
that go far beyond the immediate story of the poem, themes like
irony, love-death, social determinism (Four), or negativity (Six).
Any one reader uses both kinds of rules, semiotic codes and inter-
pretive canons, putting them out as hypotheses into the poem. The
442 NEW LITERARY HISTORY
two kinds of rules are quite different, however. One can put aside a
search for unity and start deconstructing as easily as one can drop the
Odd Fellows and join the Elks.12 One cannot so easily abandon seeing
A as A or thinking in terms of subject-verb. One kind of rule, the
interpretive canon, is chosen. The other, the cultural or semiotic
code, is learned willy-nilly and can hardly be unlearned.
The "subjective" individual-an identity-puts forth these "objec-
tive" codes as hypotheses with which to read the text. The text in turn
rewards some hypotheses and defeats others. As a result, the person
senses both a cognitive and an emotional return from the text. The
poem may feel delightful, moderately pleasing, anxiety-
arousing, incoherent, frustrating-whatever. These sensations come
about as we readers compare the return we get from the text with our
inner standards for, perhaps, coherence, complexity, unity, or inten-
sity. These inner standards are in turn functions of any one reader's
personality or, better, identity. They may, of course, be learned. We
first apply them as the hypotheses we put forward (but those hypoth-
eses may also be our use of convention, an interpretive community, a
semiotic code, or even our physiology). We apply these standards to
judge the return our hypotheses yield. These standards provide the
language-the terms of the contract, so to speak-in which we hear
the return from the text.
In short, a person-an identity-uses hypotheses with which to
sense the poem. The poem responds to those hypotheses, and the
individualfeels whether it is a favorable or unfavorable response and
so closes the loop, preparatory to sending another hypothesis out
around it. This is the model that has been so closely questioned.13
"Doesn't all this make every reading totally subjective, so that any
one reading is as good as any other?" That is the one question people
most commonly ask me. What I can answer, on the basis of the iden-
tity-cum-feedback model, is that every reading inextricably combines
subjective and objective aspects to the point where those words cease
to be useful terms with which to address the problem. Merely to use
those words is to assume that one could separate reading into subjec-
tive and objective parts, as though one could separate the process of
painting into one part from the medium and another part from the
artist, or a hammering into part from the carpenter and part from
the hammer.
The metaphor hidden in "totally" raises the problem. It assumes
that a reading can be "totally" or "more" or "less" subjective, as
though it were addable parts. By my feedback picture, I am sug-
gesting that we need to think of identity as using, workingwith, building
on, creating from various hypotheses projected into the world. The
world and the hypotheses are, in a manner of speaking, "objective."
THE TRANSACTIVE THEORY OF READING 443
one could consider the response as a function of both the person and
the hypotheses chosen and applied. In that sense, a misreading
would correspond to a wrong hypothesis or a wrong application of a
right hypothesis. But it is not true that the transactive model of
reading eliminates the idea of a misreading. It does ask, however,
that the one who proclaims a misreading make the rule or context
explicit that makes the reading a misreading. Too often teachers take
it for granted-as part of a residual belief, I think, that modes of
reading are self-evident, not to be questioned, eternal verities, lin-
guistic competences, objective.
By contrast, the psychological theory of identity and the transactive
model of reading let us tell a more coherent story of reading. I be-
lieve that, using these theories, we have obtained good evidence, both
from these workshops on "The Mill" and earlier work with individual
readers, for the proposition that each of us reads a poem or a story as
a personal transaction. We, as individuals with individual styles,
create literary experiences within those styles. In doing so, we use the
text. We use the methods we have learned in school. We use the
classroom or reading room or theater or learned conference in which
we are responding. We use the canons of the interpretive community
to which we have allied ourselves. And in reading, in using all these
things, we recreate our personal identities (understood as the agency,
consequence, and representation-ARC-of our own continuity in
time).
It is too simple to say texts impose meanings or control responses.
It is too simple to say there is a subjective part of reading and an
objective part. Rather, we need to understand the text, the interper-
sonal situation, or the rules for reading, as all interacting with a self
in a feedback (like a painter's pigments) in which the self is the active,
creativeelement.The interpretive community, the armchair or theater
or classroom, even the text itself, affect our recreation only reactively,
the way a chisel acts back on a carpenter's plans or as bronze both
enables and limits a sculptor. The text, the rules, the codes are like
musical instruments with which we play variations on our identity
themes.16
In short, reading is an art like any other art. It has its medium, its
techniques, its failures, and its successes. Above all, it has its mys-
teries. The three questions with which I began, however, are not
among them.
UNIVERSITY OF FLORIDA
446 NEW LITERARY HISTORY
NOTES
1 I have expounded these theories through all too many years and stages of develop-
ment. See Poems in Persons: An Introductionto the Psychoanalysisof Literature(New York,
1973); 5 Readers Reading (New Haven, 1975); and Laughing: A Psychologyof Humor
(Ithaca, 1982).
2 Stanley Fish, Is There a Text in This Class? The Authorityof InterpretiveCommunities
(Cambridge, Mass., 1980), pp. 357, 338, 366, and passim.
3 David Bleich, Readings and Feelings: An Introductionto SubjectiveCriticism(Urbana,
Ill., 1975), p. 49.
4 Wolfgang Iser, The Act of Reading: A Theoryof AestheticResponse(Baltimore, 1978).
5 In designing my questions, I now realize I had met some objections raised by Jon-
athan Culler to my work at an English Institute panel on reading. See his "Prole-
gomena to a Theory of Reading," in The Reader in the Text: Essays on Audience and
Interpretation,ed. Susan R. Suleiman and Inge Crosman (Princeton, 1980), pp. 46-66,
esp. pp. 53-56. He objected to studying reading through the free associations of un-
dergraduate readers on the grounds they were not competent, that the search for free
associations will hide the agreement of "ninety-three out of a hundred" readers, and so
on. Here, the readers are professors, committed to professional techniques in reading.
The occasion was public, not a private interview. The questions pointed to the text
rather than seeking associations "away" from the text. I believe this article shows that
the conclusions of 5 Readers Reading hold in this situation, pace Culler, as well as for
undergraduate free associations.
6 Obviously, realizing this more complex process is important in basing psychological
or literary research on questionnaires. The same answer may not express the same
underlying process at all. If one is simply counting deodorant users or Democrats, that
may not matter. If one is studying reading, it may matter very much. For example, I
think my caveat is important for using such valuable survey work as the IEA (Interna-
tional Association for the Evaluation of Educational Achievement) data bank or the
3rd National Assessment of Reading and Literature. See Alan C. Purves, "Using the
IEA Data Bank for Research in Reading and Response to Literature," Research in the
Teaching of English, 12 (1978), 289-96 and Anthony R. Petrosky, "The 3rd National
Assessment of Reading and Literature Versus Norm- and Criterion-Referenced
Testing," Paper presented at the Annual Meeting of the International Reading Associ-
ation, May 1-5, Houston, 1978, ERIC Document No. 159599.
7 A brief, lucid, and authoritative introduction to modern perceptual theory is Edwin
Land's "Our 'Polar Partnership' with the World Around Us," Harvard Magazine, 80
(1978), 23-26.
8 I have spelled out this concept of identity in detail most recently in my Laughing: A
Psychologyof Humor, chs. 9 and 11.
9 For instance, David Bleich can claim that with this theory "the idea of novelty loses
its meaning altogether." See SubjectiveCriticism(Baltimore, 1978), p. 121. The theory,
however, claims no more than that one can trace a consistent pattern in a person's be-
havior beginning in early childhood. Obviously, neither one's ability to trace nor a
mere consistency implies that novelty drops out of human experience.
10 Culler, "Prolegomena," p. 56. One might ask with Freud, "Whose is it then?"
"Unless the content of the dream ... is inspired by alien spirits, it is a part of my own
being." Sigmund Freud, "Moral Responsibility for the Content of Dreams," from
"Some Additional Notes on Dream-Interpretation as a Whole" (1925), in The Standard
Edition of the CompletePsychologicalWorksof Sigmund Freud, tr. and ed. James Strachey et
al. (London, 1961), XIX, 133.
11 I find conceptual difficulties in the loose sense of "code" some semioticians use.
THE TRANSACTIVE THEORY OF READING 447
They announce what is no more than a personal interpretation as a code. In this sense,
the famous Dorothea Lange photograph of the Depression farm wife to which several
readers referred would be a "code" for poverty, obsolescence, or depression. Why not
a code for the oppression of women? For aprons? For thinness? A code in this sense
simply decrees a single, universal meaning for what is patently variable.
12 Jonathan Culler, however, has called these interpretive rules, the conventional
procedures of teachers of literature today, "literary competence," analogizing to
Chomsky's idea of grammatical competence. His metaphor equates the deliberate,
studied practice of a small group of people in universities with the syntactic rules an
entire speech community is born into, acquires almost intuitively, without study, as
children, and continues to live by. See Culler's "Literary Competence," in Reader-Re-
sponse Criticism:From Formalismto Post-Structuralism,ed. Jane P. Tompkins (Baltimore,
1980), pp. 101-17, esp. 108-15.
13 The model, I find, bears some similarity to the "three worlds" hypothesis derived
from studies of the brain by Sir Karl Popper and Sir John Eccles. Basically, World 2
(self-conscious mind), acting through World 3 (mental products such as language, arts,
or theories), governs and is governed by World 1 (physical reality). See Karl Popper
and John C. Eccles, The Self and Its Brain (Berlin and New York, 1977).
14 Working from a different point in the transactions, the interpretive community or
cultural code, Stanley Fish comes to the same conclusion. See Is There a Text in This
Class?, pp. 332, 336.
15 I have discussed this procedure as a Delphi ("know thyself") seminar. See Norman
N. Holland (with Murray M. Schwartz), "The Delphi Seminar," College English, 36
(1975), 789-800; Norman N. Holland, "Transactive Teacning: Cordelia's Death," Col-
lege English, 39 (1977), 276-85; and Norman N. Holland (with the members of English
692, Colloquium in Psychoanalytic Criticism), "Poem Opening: An Invitation to Trans-
active Criticism," CollegeEnglish, 40 (1978), 2-16.
16 You could, of course, in the manner of some deconstructionists, choose to read
this feedback upside down. You could say we are the instruments on which the poem,
the rules of interpretation, or the semiotic codes play out variations on their identities.
That seems, however, a perversely difficult way of thinking about human perception.