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Writing Help   
Jun 07, 2017

You've got a thumb drive full of your fan fiction stories. Stories that fuel your imagination and get good reader reviewers over at fanfiction.net. You feel all so powerful and creative when you are writing for yourself. Your imagination just gets heightened and the words just flow out of you when you are imagining the next adventure that Supergirl or the Flash will be going on. It's decent enough writing as far as your audience is concerned. So why, do you end up getting less than stellar scores in your creative writing class? Why does your teacher say you need extra work when it comes to writing your class essays? How come your work is acceptable in some instances but not when it comes to your academic writing needs? Why are those FANBOYS so important in class but not in real time writing?

All these writing rules are driving you up the wall when all you want to do is write. You find yourself staring at the blinking cursor on the screen. Frozen, wondering if you should be writing using the rules you were taught in class as you try to write your great novel. The answer is, no. FANBOYS don't apply when writing outside of the classroom. In fact, there are times when writing grammar rules were meant to be broken and there are reasons why that is so.

First up, you can start a sentence with a Conjunction if it is necessary to do so. Remember, that a conjunction is supposed to connect words and thoughts in a sentence. There will be times when you will need to do that in your sentences. For example:

Me: Our teacher said the test will be composed of basic formulas and...
You: And what?
Me: And problem solving equations.

Breaking Grammar RulesSee how the sentence was structured there? It was impossible to not start the sentence with the word "And", which is supposed to be a FANBOY no-no. Based upon the writing situation, certain FANBOY words could be necessary at the start of the sentence. When done in moderation, nobody will care that the FANBOYS are breaking the writing rules. In fact, it makes your writing more exciting.

Using a conjunction at the start of your paragraph improves your writing presentation and allows you to create a more vivid and creative sentence for the presentation. Here's another example of a conjunction that works well at the start of a paragraph.

Because the fans demanded it, we had to deliver it ! And with that acknowledgement, please welcome, One Direction!

That sort of announcement tends to get the adrenalin pumping among the audience. This proves that FANBOYS have their benefits at the start of sentences. Hey, if TV hosts can FANBOY it, so can we!

Next, let's try to deal with those pesky Split Infinitives. In creative writing, splitting the infinitive sometimes becomes a necessary evil. Getting a word between "to" and a verb helps to strengthen a sentence. A split infinitive creates a more interesting take on a statement, or when clarity is important to the presentation. For example, it is more interesting to hear the following description:

He dropped me off at the corner close to the bus stop. That gave me time to quickly head into the waiting bus.

Instead of:

He dropped me off at the bus stop close to the corner where I boarded the waiting bus in a rush.

Which of the two descriptive sentences caught your eye more? Exactly. Split that infinitive if it means you get to write more effectively.

Don't forget, Personal Pronouns make your writing feel more personal. While teachers will tell you to avoid using the word "I" when referencing anything in your essay, it doesn't really make sense for you to do that. It is impossible to prove that you understand what you are writing about, nor offer a conviction when it comes to siding with a particular discussion, if you do not directly involve yourself in your writing. Use the personal pronouns to help engage the reader. Prove that you stand by what you wrote by saying "I believe". After all, if you don't own up to what you are writing, you lose the very reason that a reader should believe in what you have written. It is one thing to say:

I personally believe that the information I gathered is enough to prove the point...

That has an air of authority to the presentation and convinces the reader that you know what you are talking about. It allows the readers to understand your way of thinking in relation to your story presentation or discussion. Compare that to saying:

According to research, there is enough information gathered to prove the point...

That sounds just so mechanical and doesn't allow you to impart any personal connection with the information that you gathered. It makes the reader question why you think that this generic information should be taken as informative or personal in nature. In other words, you need to get personal with your writing if you want the reader to care about what you are saying. For an even more personal feel, consider the use of contractions in your writing.

Finally, it's okay to contract your words depending upon the audience you are writing for. Basically, Contractions are not a writer's enemy. Using contractions solely depends upon who will be reading your work. When writing for an academic setting, do not contract your sentences. While the written work you produce may sound archaic in terms of today's English standards, this formal English wording is the required element of academic writing. Not contracting your words shows a degree of respect towards your learned mentors and peers. It also helps in presenting more targeted discussions and terms in your essay or research paper.

However, if you are writing for a more informal audience, such as the readers of your fan-fiction or friendly emails or texts, then go ahead and contract away. In fact, that sort of audience expects you to do that. Remember, the audience will dictate your writing style and whether you can break the contraction rules or not.

As a writer, you do not always have to be confined by the formal rules of academic research and writing. Don't let the formal writing rules get to you so much. The rules are in place in the classroom only because you are still learning the rudimentary rules of writing. Once outside of the classroom, all bets are off. Just write as you will and enjoy telling your story in the manner you are comfortable doing.
Writing Help   
Jul 30, 2014

"Song" Essay Writing



If you like all types of music, you might be one of those rare people who have the Wisdom of Appreciation. Some people actively appreciate all that life has to offer, and in ordinary moments their default emotion is gratitude. Those people try to find appreciation for all types of music, even if they don't like it at first.

Maybe you like Rock and Reggae, for example, but you can also open your mind to the kind of experience so many people enjoy when listening to classical music. Maybe you can even go a step further and acquire a taste for poetry. Some people appreciate poetry and essays as forms of music. Did you ever think of poetry and essays as music?

Some students really like the idea of composing "music" in the form of an academic essay. Do you think you might become a better writer if you approach your next essay assignment as a challenge to write a song? Below you can find a writing strategy based on the relationship between essay writing and composing music.

English Musical Composition: An Academic Research strategy for Students Who Like Music



Writing SongYou can approach essay writing in the same way you would approach songwriting. Use rhythm, structure, bridge & fills, and a chorus. Begin by searching Google for articles about your essay topic. Read some articles until you gain an interesting idea about your topic. Meditate on that idea, and use the elements below to compose an inspired essay:

Rhythm: Let your breathing become slower and longer, deeper. You might be able to hear a silent drumbeat in the background of your mind. Maybe if you listen for it, that percussion is always there, ever-present, reflecting your mood and mental clarity. You can read until you find an idea that interests you. Breathe until you catch the rhythm of the breath and hear that drum pattern in the mind. When you listen for your sentences with attention on the rhythm of the breath, you are using rhythm in composition.

Structure: Some students don't know what to write, but you'll always come up with something to write if you read articles about your topic until you spontaneously think of a few important ideas to express. Type a word, and wait for more. Catch whatever the mind utters as you contemplate some interesting idea. The mind is always commenting on one thing and the next. Save those sentences. Write them as they come, and use a paragraph to explain each idea. When you let each idea take the form of a paragraph, and all the paragraphs are related to one main idea, you are using "structure" in composition.

Bridge & Fills: After writing a few paragraphs, you might go back and add a few great transition sentences to lead the reader's mind from one paragraph to the next without missing a beat. You can search Google to learn all about how to write great transition sentences in an essay. When you transition beautifully from one paragraph to the next, it's like using a bridge or a "fill" to segue between parts of a song.

Chorus: Each paragraph can contain a concept that somehow reinforces the main idea of the essay. If it's an argumentative essay, each paragraph will be a point to support the argument. If it's a descriptive essay, each paragraph will describe some part of whatever the essay is about. It's great if each paragraph begins or ends with a sentence that tells how it (the paragraph) backs up the main theme of the essay. When you let each paragraph reinforce the main theme of the essay, it's like using a "chorus" to repeat some important message carried by a song.

Yes, essay writing has the same elements as songwriting. One could argue that essays are not music because they do not have melody, but there really is a subtle melody in the sound of the voice that speaks silently in the mind while one is reading. Write poetry, and you are writing sheet music for the kind of song played on the instrument that is the voice of the reader's mind. That voice has subtle melody, just as your own voice has subtle melody.
Writing Help   
Apr 30, 2014

Term Paper Writing Rules



Just like competitive sport has rules that are pretty much the same everywhere, so do academic papers whether the subject is Nuclear Physics or American literature. The difficulty of churning out a paper is not in the subject but in catching on to the peculiarities of academic writing.

Term Paper Writing RulesWhat goes for tennis goes for term papers: start by learning the rules.

The First Rule

Academic papers are deductive or start with a general idea and then look at specifics. Warning: This is not how the human mind usually works. We usually think the opposite from specific (My stomach is gurgling) to general (I'm hungry). To write academically, you need to flip normal thinking. Zero in first on a generalization or "thesis" (I'm hungry) and then trot out all the specific reasons or evidence to support it (My stomach gurgles, I have a headache, I feel weak).

The Second Rule

This logical twist in academic writing drives rule two: Academic papers always have four parts just like American football or a basketball game:

1) Introduction
2) Body
3) Conclusion and
4) References

Think of The Introduction as the paper's pregame show. Like a fan, you shout out your general slogan or thesis. Like a cheerleader, you convince the reader it's important and, like a sports commentator, you give an overview of game strategy or what you plan to cover.

The Body is game time. This is where you make your specific points, literally, through paragraphs of evidence supporting your thesis. (Since you never quite know what you will write until you write it, you always want to rework the Introduction after you finish the body.) Remember, "Replays: Good in a football game; Bad in the body of an academic paper." Never repeat yourself in the body.

The Conclusion is the post-game rehash. Here you need to replay a bit. Restate your thesis and main points made in the body.

It's easy coming up with specific evidence to pad the body of a paper on "I'm hungry." We all have personal experience with hunger. But, academic papers usually start in unknown territory or with black-hole topics assigned by your professor like: "Satire in Mark Twain," "Causes of the Russian Revolution," or "Business Models." Usually, you need to nail down a start-up generalization or thesis as well as evidence to back it up. This requires a library card, high-speed Internet, and going beyond the confines of your own head.

The Third Rule

Rule three: Academic writing requires research. Talking to your friends, your grandmother, or your hairdresser about your paper is not research. Reading a published book or article, or an on-line electronic source with a clear author, recent date and identifiable publisher are. Doing research helps you come up with a thesis and the evidence to support it. Make sure you mark your tracks or where ideas and evidence come from by taking notes. Not only do you have to do research for an academic paper, you need prove you did. You do this by tacking on a list of the References consulted at the end of your paper. You also need to cite in parenthesis in the body (the author and page) of any statistics, quotes, or ideas you write about that are not your own.

The Fourth Rule

The fourth and final rule is: Academic papers have style. This doesn't mean printing the paper on coloured paper. Just as every team has its own uniform, academic papers also look different. You can tell an English paper from a Psychology one just like you tell the Mets and Orioles apart. Every academic subject uses a particular set of format guidelines for pagination and referencing which are known by their own alphabet soup initials. MLA and APA are two of the most common ones.

Don't worry about what they stand for. Worry about which one you need to use for your paper and religiously follow a guide for that style as you type-up.
Writing Help   
Aug 21, 2013

Dissertation Writing - Without Pain



A dissertation can be referred to as a 15 - 300 page document in technical writing. It contains an introduction, middle, and conclusions, reporting on independent work. Dissertations are vey important part of credit for final year university students. In this case, a gazillion dissertation gives a clear picture of the students understanding on a certain phenomena.

No-Tears DissertationA dissertation represents a structured example of what can be referred to as carrying a carrying the reader. Therefore, to carry a reader with a dissertation the following three steps has to be followed.

- The first step is to Pick up the reader and give them a direction (Introduction).
- Take the readers to a tour one, which they would not have discovered on their own (Middle).
- Put them down, explain how they got there, and describe what they can do next (Conclusions).

The other important aspect in ensuring that one comes up with a perfect dissertation is following a number of laws. These laws include:

The Law of Spells

It is important to note that if the spelling and basic grammar are wrong, the reader gets quite a negative perception about the writer. Incorrect spelling and punctuation are errors. The occasional typo is not a problem, but consistent errors makes a dissertation look incompetent destroying a writer's credibility. Spelling and grammar are signs of a disciplined mind. We expect this quality of students for a university degree; it helps to make the qualification valuable. It is an empirical fact that students with poor spelling and grammar are indifferent students.

The Law of Structure

In respect to the structure law the parts of your dissertation are:

- The sentence, it is clear that Sentences is the basic unit of technical writing. Do not abuse them.
- The paragraph, it is important to note that each paragraph should contain one idea, and it should be clear what that idea is.
- The section, a narrative of ideas should be created from a section, usually culminating in one 'big idea. It should always be evident what the 'big idea' is in each section; explain it at the start of each section, and/or at the end. His strategic move will help the reader understand every step of you writing.

- Introduction, Middle, Conclusions

The Law of Keywords

In this case, the language should be used consistently. Meaning that consistently use the same word to describe the same concept. Do not call your program a 'program', 'project', 'system', and 'code'; pick one word, use it all the time. The key words should be placed in headers. This is because if a writer uses distinct words then the reader will assume that they mean distinct things.

The Law of Activity

Rule of thumb: This is the point of using active voice. It is not recommended that the writer use passive voice.

The Law of the Low Profile

If something is difficult for an interesting and unusual reason, the reason should be reported. For example, the first academic to study computer vision gave the project to a PhD student to finish off over the summer. How difficult could it be 'to see'? It turned out to be incredibly difficult. In one time, the student came back and explained the difficulties. That is something new and interesting.

The law of activity it is important to note that learning is an activity and in that case, dissertation reports on your learning. On the other hand, the law of waffle is discussed as a bad breath the reader will become easily disgusted, and quickly come to dislike a writers writing.

In conclusion, the law of good writing, a writer should think more about the reader, and at the same time, a reader will get a clear picture of the writer from the writing.
Writing Help   
Jun 11, 2013

Model Research Paper - Usage Ideas



Now that you have your brand new, 100% original, custom-written model research paper in your hands, just what are you going to do with it? After all, you can't turn it in as your own - that would be plagiarism, and all institutions of higher education bring down the wrath of the world upon the heads of those who do it. But simply reading the thing isn't going to help you write your own paper, any more than reading the many articles you found when you first tried to write your own paper helped you back then. This short article will give you some tips for ways to best use your model research paper.

Model Research for StudentsFirst, do read the paper. While this is not all you will need to do, it is one of several things you should do. But it is important how you do so, not just that you do so. Pay attention to the ways that research articles and other sources are cited in the paper; specifically, note whether commas were used in the parentheses or not, whether or not page numbers were included, and all of the other tiny details included in citations. For the first few you read, go immediately to the Reference or Works Cited page to see how that particular reference is listed. When you do, go back to the citation and re-examine it. Do this a few times and you will start to see a pattern that makes sense in terms of how other sources of information are cited.

Second, check out the overall structure and organization of the paper. How did the writer introduce the topic? How were the various sections delineated and presented so as to build to an argument, make a case, or try to prove a thesis? How long is each section, and do you think that the relative lengths are in accordance with the particular information in each one? Can you see that an outline could be derived from the organization? If so, jot it down - actually make an outline from the different section headings so that you can practice organizing material from a top-down perspective.

Third, keep the paper in front of you as you write your own. Write yours in tandem - parallel to - the model paper, down to (if you like) keeping the same number of paragraphs in each section and mimicking what is in each paragraph. For example, if there are three paragraphs in the introduction, and you have noticed that the first paragraph tells an anecdote, the second paragraph relates the story to the broader topic, and the third one introduces the topic and lays out the paper for the reader, then do the same thing in your own paper! What you ordered is called a model for a reason; it is intended to help guide your own work, and sometimes the best use of a guide is a close use. If you do this through the entire paper, you should find yourself in possession of an excellently structured, very well organized paper of your own.

Finally, in terms of content, examine the model to see how the outside sources are integrated into the material. This is, quite frankly, the hardest part of the whole thing. One way to make it easier is to actually count the number of citations in each paragraph. Generally, there is at least one, and often up to three or four, in any given paragraph. Much depends upon the actual material being covered. And so, if your model is very heavy on citations, then you should let that be your guide and include lots of references to the materials you found for your own paper. If, on the other hand, the paper you are writing is such that it calls for a lot of your own original thoughts, then you will most likely want to go lighter on the citations (and your model paper will most likely reflect that as well).

Just remember, your model research paper is a template, a guide - it is meant to help you write your own paper - and if you break it down, study it, and use it in that way, it will serve you well.
Writing Help   
Apr 09, 2013
Research Tutorial / Reader Response (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Reader Response Theory



So far, the literary theories we have been discussing are centered on one half of the reading encounter ... the text. Some of the earlier schools, like Russian Formalism and New Criticism, wanted to make the task of literary studies the analysis of texts, period, with no real consideration of other factors. Later theoretical approaches, like Feminism, Marxism, and Postcolonialism, wanted to open up the discussion of texts to considerations of gender, class, and culture. Deconstruction and other offshoots of Poststructuralism strove to unbalance all of the stable readings and meanings that the other theoretical approaches could provide, casting ultimate doubt on the inherent or objective truth value of critical or theoretical statements and evaluations. None of them, however, has brought the necessary agent of reading to the center of the discussion. This is where Reader Response theory comes in, and why, in part, it was developed.

Reader Response in WritingMany of us tend to think of the study of literature as the examination of written words and the events, characters, and stylistic devices employed in their combination. Literature, it is acknowledged, can say something about a given society, a social group, and even provide some insight into the .big questions': Why do people act as they do? Why do good things happen to bad people? How can the just be punished while sinners are rewarded? There is no doubt that all of these considerations go into the study of literature. However, Reader Response theory also wants to include the act of reading in the consideration of how texts actually come to mean something to us. A central question of Reader Response is why people read, what motivates someone to pick up a book or a poem and engage with it in the first place. Another key consideration is how people read. How do I process the words on the page in such a way that I become involved in the story, and forget about the world around me for a time? What is it that a reader must bring to the table in order for a story to happen?

Part of the reason Reader Response theory came to be considered so late in the game (compared to other ways of looking at literature) is that the act of reading seems to happen so effortlessly. From the time we can remember anything at all, we have seen people reading. Here in the West, we begin reading before the age of five, and to not have the ability to read is considered a terrible impairment. We are surrounded with stories, poems, plays, and all manner of texts throughout the course of our lives. It is no wonder, then, that the act of reading seems too simple to bother investigating. After all, someone writes words on page, which create a story or image of some kind. I read the words, and I am able to know the story, image, and message that have been placed there. In this reckoning, reading and writing literary texts is a straightforward matter of communication. However, the reading process is just not this straightforward. Evidence for this exists in the wide individual variation in understanding, interpretation, and feeling readers have when engaging literary texts. Ask any five people what they thought of a given book, and you will get five different (though still related) responses. Clearly, if the process were as straightforward as one might think, there would be far less room for such divergences. It is in searching for the reasons behind these different experiences, which still retain a common core, that Reader Response theory proves its value.

Looking back through the history of literary theory, we can see several key figures who paid significant enough attention to the reader to warrant inclusion within the 'pre-history' of Reader Response theory. The first thinker most often cited in this context is Aristotle, whose Poetics still stands as the foundational document for literary studies in the west. Aristotle's primary concern in the poetics was the dominant literary art form of his time: the dramatic tragedy. Using Sophocles' Oedipus Rex (Oedipus the King) as a case study, Aristotle lays out a model structure for tragedy which takes account of the audience.

Although Aristotle goes to great lengths to specify the textual and rhetorical devices and structures that go into creating a dramatic work, all of these are important not simply for themselves, but because they contribute to an experience the audience undergoes while observing the spectacle. Unlike far more recent schools (like most of Russian Formalism, New Criticism, Structuralism, and Poststructuralism), Aristotle refused to keep separate the features of the texts he explored and the living presence they had in Greek society. Unless the various devices and methods discovered had correlates in the actual experience of people regarding the play, such technical description would fail utterly to account for what he believed was important in literature: the power to move people. The importance of the power of words and narratives to change people was central to another Greek discipline which Aristotle also had a lot to say about, namely, rhetoric. Rhetoric, by definition, is the art of persuasion through language and gesture.

The Greek's fascination with rhetoric supports the contention that they were far more interested in the reader, listener, and audience than almost any crop of thinkers which followed them. The study of rhetorical devices might seem highly technical to the contemporary student (indeed, some of the most challenging terms on the list we presented earlier come directly from Greek, and later Roman, rhetorical study), but note that rhetoric is impossible unless the listener, reader, or audience is taken into consideration. Given rhetorical devices are valuable and interesting in as far as they have effects on the listener. Separated from this purpose, rhetoric ceases to exist, and becomes an exercise in linguistics.

The centerpiece of Aristotle's audience-affect theory is catharsis, a term we have reviewed in a previous series, but which can be quickly re-identified as the experience of emotional release, of affective shift which takes a person into a powerful intensity and then opens them up to letting go this pent-up storm of feeling. It invites interaction and involvement with the drama, but also personal reflection and self-change. Indeed, this might have been one of the main social functions of Greek tragedy. Soldiers, long away from home in foreign wars would return to Athens for the annual drama festival. The featured plays provided a symbolic anchor which enabled the soldiers to understand how their dual roles as soldiers and citizens/family members meshed together, and invited them to consider the common significances every human being considers most important. In this way, the tragedies serve as a kind of group therapy, or even better, cultural attunement therapy. The common experience of the drama enabled the literal and symbolic re-integration of the soldiers into the life of the community. Further, the experience helped the men to find symbols and metaphors that could help them to identify and deal with the horrors they faced on the battlefield. Clearly, Greek tragedy was no 'art for art's sake,' but a powerful cultural force whose study, as Aristotle recognized, had to make the listener central.

Although many individuals and small movements within the world of literature and its study have adopted approaches which took some account of the reader after Aristotle (like the Romantic poet and critic Samuel Taylor Coleridge with his focus on imagination or fancy, or Modernist poet and critic T.S. Eliot with his previously discussed notion of the objective correlative), none have systematically investigated the role of the reader in the construction of textual meaning and experience until the middle of the 20th century, with the rise of Reader Response theory. Many figures, including Hans-Georg Gadamer, and his student Hans-Robert Jauss, pioneered the aesthetics of reception, and formed the foundation for a reader-focused literary theory. However, the most illuminating and comprehensible early figure in Reader Response theory is Jauss's classmate and Gadamer's student, Wolfgang Iser. By reviewing his central concepts, we can develop a strong grasp of the issues at stake for Reader Response theory in general.

For Iser, literature should not be studied in terms of what it is, or even what it means (in the sense of interpretations or paraphrases of its content) but rather in terms of what it does. Thinking back to the Greeks, we can see that Iser shares their concern with the functions of a text in the context of actual human experience. In order to find out what a text does, it is not sufficient (or even particularly helpful) for a literary scholar to perform a detailed interpretation of a literary text; this is merely an attempt to explain the text in its own terms, or to make explicit the meanings and themes that are not explicitly stated or connected in the text itself. While these kinds of readings may be interesting for some, or may illuminate some aspect of the text in question, they tell us very little about the effects the text has on its readers. For Iser, this is equivalent to studying rhetoric without regard for its ability to persuade or change listeners. Literature cannot be properly considered out of its experienced context, because literature, by definition, can not exist in the absence of a reader. This is stronger than the simple claim that we would not know literature existed unless people read it. Rather, the words on the page do not constitute literature until a constituting consciousness takes them in. Words are signals and instructions prompting us to create situations, feelings, and meanings. This is what literature does, and further, does in such a way that my very self can change in the encounter.

It is the idea of encounter that most powerfully sets Iser (and Reader Response theory in general) apart from other ways of considering literary art. For most schools of thought, the literature itself, the text itself, or the words on the page are the objective entity which is primary focus of literary studies. It contains everything it needs to be considered a work of literature, and its various sections cohere in a meaningful structure. Further, every text is the same for everyone who reads it, which means that literary critics can evaluate their arguments with reference to an objectively stable body. This is said to give a grounding and validity to literary study. Even for Deconstruction, it is the text itself which is full of the holes and contradictions which cause its clear meaning to collapse under the weight of its inescapable meaning deferral. In either case, while the conclusions differ, the target is the same. The reader is simply an accident, a perfunctory eavesdropper who never manages to know enough, and whose experience is so utterly subjective that nothing he or she could say would be of any value to a scholar concerned with literature.

Unlike the text-focused model, however, Iser prefers a model that focuses on the encounter, or interface, between text and reader. To focus primarily on the text, as we have seen, is standard literary practice, and would provide nothing new or interesting. The other alternative, a focus squarely on the reader at the expense of the text, would be almost equally dangerous. In fact, if the literary text moves away from a place of central concern, you have moved out of the realm of literary studies, and into another discipline altogether. You can do a psychology, sociology, or even a history of reading without much concern for specific literary texts, but you cease to do literary studies when the reader becomes your sole concern.

Thus, Iser and other Reader Response theorists have to do a careful balancing act between the text and reader, accounting for each at each stage of the reading process, and never elevating one above the other. With this important balance in mind, we can outline some of Iser's most important distinctions without falling into the trap of believing that any of them tells the whole story of the interactive reading process.

A concept at the heart of Iser's concerns is what he refers to as the repertoire. This consists of all the familiar things that we find in a literary text, including social norms, and literary norms. Social norms are the aspects of the social world in the literary text that regulate how individuals interact with each other. Most of the time, the social norms of the text are highly comparable to our own, unless the text is set in a time in the distant past (or, as in science fiction, in the distant future). Even in these cases, the social norms presented are seldom so strange to us that we cannot make any sense of them. In the case of ancient Greek literature, although it was composed by and about people more then 2500 years ago, we still grasp what is going on, and what is at stake, even if we wouldn't react the same way to similar situations today. So, when Agamemnon the king is forced to decide between failing as a king and breaking his word, and failing as a father by sacrificing his daughter, we can understand the dilemma because the social norms in play are still valid for us today. He chooses to honor his duty as king above his duty as a father, and while many of us might not do the same, the norms in play are comprehensible.

Literary norms, on the other hand, include those elements of literature which we have become familiar with over time. An excellent example is genre. If, for instance, you read the following line in a story: 'Seventy million identical steel smiles shocked the planet into submission' you'd likely have no trouble deducing that you were in the midst of a science fiction tale. Like the social norms present within a literary work, the literary norms are also present within the work - in both instances, the text provides the necessary elements to allow a familiar structure to emerge. I cannot arbitrarily decide that the text is science fiction unless the repertoire of the text allows for that possibility. Note, however, that the fact Iser belies the repertoire is located within the text does not mean that the reader has no role in constructing it. On the contrary, without the reader, the textual constructions remain inert. Only the realization of the reader can bring them to life.

Iser's term for the reader's activating or 'bringing to life' the various elements present in the textual repertoire is realization. It is obvious that while a text emulates a world, it does not present a coherent reality. The text, after all, consists of words on a page that are meaningless outside the context a reader brings to them. In the act of reading, the reader makes a text real, makes its world live, and in so doing, sets it alongside the actual world to be compared and contrasted. It is the reader's task (although it isn't usually very conscious, difficult work) to put all of the elements of the repertoire of the text together in a meaningful, coherent way. This will often be a very automatic process, but note that every text allows itself to be read in different ways, which means that readers take the same textual elements of the repertoire and combine them in different ways, all of which still manage to make sense. In this way of thinking, although it is possible to talk about a single text, it is impossible to talk about the 'right' reading. Since realization occurs in each reading encounter, and since every text affords multiple valid, coherent realizations, there simply cannot be a single 'right' reading.

An example will serve to make the relationship between repertoire and realization more clear. In the story I am reading, a man is driving across the prairies in search of his missing horse. He is a cowboy, and he drives a ford truck. Along the way, he buys a pack of chewing tobacco and eats a meal at a diner. Finally, he arrives at the Stampede, and a woman he meets in a bar leads him to his horse. He shoots the men who have stolen it, and rides it off into the sunset, leaving his car for the woman who helped him.

As you can see, although there is story material to work with here, there are multiple ways this material (the repertoire) can be realized in a given reading encounter. For instance, a reader from a large eastern American city might read this story as a classic western, set in America during the first half of the 1900s. The social norms which make this reading possible include 1) the validity of 'cowboy' as a regular occupation 2) horses as worth killing for 3) limited technology at work- Ford (an American company) has been making trucks for decades 4) people interact in a casual, unsophisticated way that fits my idea of early 1900s farm culture.

The literary norms at play here include 1) the cowboy and his horse, staples of the old western 2) disputes are settled with gun-violence, the good-guy winning out 3) the hero rides off into the sunset to end the story happily. So, the social and literary norms present in the text are combined by me into a coherent structure that makes sense of everything in light of everything else. The social and literary norms, keep in mind, are not separated in my realization of the story. In fact, they work into each other. I imagine the story set in the early 1900s, not only because of the various social roles and technologies portrayed, but also because I know that westerns are usually set in this period or before, as a literary convention. Based on my combination (realization) of the raw social and literary materials (the repertoire) presented, a reading emerges that both adheres to the text, and still remains uniquely my own.

One might object at this point that, given the limited about of material described about the story (a tiny repertoire indeed), no other basic readings seem likely, or even possible. In some cases, I admit, you have to look at relatively fine details in the story to find where differences in realizations come from. In this one, however, even though you have only been given a paragraph's worth of the repertoire, it is easy to come up with a very compelling alternate realization that accounts for all of the aspects of the text presented.

Imagine, this time, that instead of a reader from a major city in eastern America, the same story is being read by a contemporary rural farmer in north-western Canada. First of all, he is likely to set the story in western Canada, since there is a vast stretch of prairie there, and it is known for its cowboys. Also, the 'Stampede' will very likely be seen as 'The Calgary Stampede,' which is the major western cultural event of the year. Further, the time of the story is likely to be reported as the present day, or the very near past (even the very near future is a possibility!), since the lifestyle, norms, and technologies represented are consistent with contemporary farm life. Finally, even the literary categorization of 'Western' isn't left in its secure certainty. After all, we are more likely to refer to a story that describes the world we now live in as 'realistic fiction,' or at least a modern adventure, romance, or action story. As this example makes clear, regardless of the repertoire presented by the text, each reader will bring a different, and not necessarily less coherent, realization to bear in order bring it to life.

How is it that a text, which seemingly creates a story and a coherent world by itself, can be read in such different ways? The preceding example shows that the perception we have of a text as a coherent and closed simulation of reality is false, or better, is true only within perception, where our cognitive and affective faculties take up the affordances provided by the text and structure them into a patterned whole. Think for a moment about the incredible thickness of reality: at every moment, there is more going on than a single person could possibly take into consideration, and there is more going on in a given person's consideration than one could ever hope to (or for that matter want to!) record in a text. A literary text, then, far from being a self-sufficient whole, is simply a very thin slice of reality, and even then, each segment of the slice is not always connected to the one next to it. The reason a text can seem like a whole (as it does when we read it) is that we bring an entire world to bear on the scanty information we are presented with by the text. We enter the text by assuming, from the outset, that the world it presents is the same as our world. Of course, it never is, but we persist in this belief until we are directed to believe otherwise by the text. This is known as the Principle of Minimal Departure (Marie Laure Ryan coined this useful term), and it is the default assumption that allows us to flesh out the repertoire of the text.

Any reading encounter must take the facts of the text into account. For instance, in the example we have been using, the protagonist is a cowboy. This is not up for debate, and in anyone's reading, the hero will be identified with that kind of character. However, Iser points out, as we did above, that the text is not complete unto itself, and it leaves many gaps which the reader must fill in or jump across. The most obvious kind of gap is the left-out linking plot detail. For example, we are told our cowboy hero tracked down his horse and shot the thieves. Now, how did he do this? Well, we have been told he has a car, so we can assume he drove to where they were. Of course, if it was nearby, he could have walked. Unless, of course, the helpful girl drove him there herself?. As you can see, the story often leaves these details to the imagination. Strictly speaking, even the shooting of the thieves leaves a gap for us to fill. What did he shoot them with? We assume that, his being a cowboy, he used a gun. However, the text says nothing about this. Technically, he could have finished off his foes with a crossbow.

Of course, you might be objecting, these gaps are either unimportant (who cares how he got to the thieves?) or unmistakably obvious (of course he used a gun!). I will gladly grant both points, so long as we keep in mind that the reader is doing the filling, or realizing, and that different readers will diverge at different gaps. Another kind of gap, which is far more likely to produce differences between readers, and generate interest, is ambiguity. Take, for instance, the following lines: 'Henry's eyes fixed too-wide on the shadowy figure moving above him. The other guests, startled by his trance, squinted into the ceiling but could only conclude that the old man was delirious or epileptic. Except for Molly. She smiled up at her mother floating gently over the party.' Clearly, the ambiguity here is thick.

We begin, by default, with Henry's perspective. Without any evidence to the contrary, we likely believe he is actually seeing something real. Some of us, very skeptical even in literary worlds, might immediately suspect the man is simply imagining what he is seeing. Depending on our stance during the first line, the next sentence comes in to affirm or weaken it. The other guests, though they can clearly see Henry is transfixed in the presence of something, cannot see what it is, or even that there is anything to look at. This clearly affirms the 'hallucination' reading. However, this position is sabotaged by the next line, where Molly (who, for some reason, I take to be a little girl) also sees something gliding across the ceiling. So, who's right? What's your interpretation? Is this question even decidable based on the information given?

Here, we have a gap that must be filled by any reader who reads this story. It is impossible not to notice the competing perspectives, and settling on one or the other (at least until new information makes the old perspective less believable) is inevitable for any reader. The constant revision and correction in the face of this demanding gap is what powers the reader's experience of the story, and it is in this way that the author, by leaving gaps in specific, important places, can draw readers in without determining which way they eventually decide to go. Indeed, one could argue that the gaps in literary works are what make them most enjoyable: imagine a story that tried to fill in as many gaps as it could, so that as far as possible, one main reading would have to be followed. This would make a good technical manual, but a terrible story.

It is obvious that there is an interaction taking place between individual readers and given texts - as we have been discussing, the interface between the text's repertoire and the reader's realization takes place within the gaps every text must leave to be filled. However, not all texts, and not all readers, are created equal. Shakespearian Tragedy is not Classic Western, and James Joyce is not J.K. Rowling. Personally, I love modernist prose and poetry. My friend enjoys romance novels. Clearly, aside from the specific gaps a reader must fill in a given text, there is a pattern or style of response that characterizes what sorts of text a person will want to read in the first place, and how that person will realize the text.

Texts that are termed 'difficult' are ones that leave large gaps full of ambiguities that the reader must work through. Such literature resists easy assimilation to previously established patterns of meaning, and challenges us to make sense of everything. A classic example is the often cited novel Ulysses by James Joyce. Because of its experimental form, it requires the reader to do a great deal of work. Another example is William Faulkner's The Sound and the Fury, where the first chapter especially, narrated from the perspective of a mentally challenged man, presents great difficulties for a reader striving to construct a coherent narrative.

On the other side of the coin, we have creative genres that most often do not present much ambiguity, which means that there are fewer and smaller gaps to be filled by the reader. Much popular genre fiction fits this bill, tending to extend itself into book series that run into the dozens. Romances, mysteries, westerns, detective fiction, and sci-fi all lend themselves to reading experiences that present few challenges to the reader, but which provide for a smooth and rapid reading experience.

The sort of literature a given reader prefers is largely determined, according to Iser, by their tolerance for ambiguity. If I tolerate and even enjoy a great deal of ambiguity, I'll gravitate toward forms that give me opportunities to fill in large gaps. If, on the other hand, I dislike ambiguity, I'll stick primarily with texts that take a smoother, less gappy course. When a reader feels he or she is not being given enough to do by the text, as when a high-ambiguity-tolerance reader is given a very straightforward text to read, Iser calls this situation, appropriately enough, boredom. When a reader feels he or she is being given too much to do, as when a low-ambiguity-tolerance reader is given a very gappy, challenging text, the result is overstrain.

The task of the writer, in the face of the boredom-overstrain restrictions they face when their texts are confronted by readers, is to pitch their work somewhere between the extremes of the two poles. A work which is incredibly taxing will be little read. A work which is completely untaxing is unlikely to be enjoyed. A further implication that arises is that literary works will not necessarily remain in a stable position on the continuum. What was second nature for Homer's or Shakespeare's audience is almost baffling for contemporary readers. On the other side of this coin, when T.S. Eliot originally published his long poem The Waste Land, or when Coleridge published The Rime of the Ancient Mariner, readers did not know what to make of them. Now, they both seem far more accessible, and given time, may begin to seem very easy. By considering the audience, Reader Response criticism reveals that no literary work can remain completely stable over time, because readers, who form one half of the reading encounter, are in cultures which are constantly on the move.

A concern for readers is shared by another prominent critic and theorist, Stanley Fish, who is contemporary with Wolfgang Iser. While they often disagree about specifics, their focus on the reader in the construction of the meaning of the text puts them firmly together in the field of Reader Response theory. To compare them in the broadest strokes for ease of understanding where they diverge from each other, Iser attempts to create a reading model that gives equal weight to the text and the reader. For Fish, the 'little black marks on the page' are obviously necessary, but the real creative power, and the real interest for literary studies, rests with the reader.

One of Fish's most powerful ideas is known as the principle of interpretive closure. This principle states that readers will attempt to construct a stable, complete interpretation as quickly as possible during the reading process. An example from poetry will illustrate this most clearly. Imagine you are beginning a poem, and read the following line: 'The last jackhammers of the dawn persist' The strange image suggests that the jackhammers continue hammering through the dawn. There may not be many of them left (they are the last ones, after all), but they show no sign of stopping the noise they are creating. One can imagine the complete irritation of the nearby inhabitants who, after what was likely a sleepless night, are forced to listen to the terrible hammering through their morning coffees.

Of course, the poem then continues as follows, on the next line: 'in silence, an empty sunrise laying mute the sky.' Well, weren't we wrong in our original take on the opening situation! Rather than persisting as we would normally expect, with noise, the jackhammers are persisting in silence. This suggests an image of the jackhammers laying unused, perhaps at a vacant construction site at the beginning of the day. It also implies that, far from being sleepless, the inhabitants living nearby were not kept up at all by the noisy hammering we originally imagined. The scene, in the space of a couple of words, shifts radically from a cacophony of epic proportions to an almost eerie stillness. By following my natural inclination for interpretive closure as soon as the text seems to permit it, I have unwittingly constructed a scene that I must now completely revise.

Of course, as you might have guessed, Stanley Fish is not suggesting that readers are generally fools who rush into texts inappropriately, and who should take more measured steps so that they do not make mistakes which will only lead to confusion. Instead, Fish believes that poets are aware of the ways readers move quickly to interpretive closure (because they are readers who do this themselves!), and as a result, they exploit this very natural tendency to create meaning in their works. In short, the poem takes advantage of your natural tendency in an effort to make you slip up.

You might be asking why in the world an author would attempt to confuse his or her readers with these kinds of devices. Well, think about what the poet is attempting to do. He or she is not merely attempting to convey, unambiguously, some facts or information to the person who is reading the poem. If that were the case, they could simply write a quick newspaper-like article which captures the gist. Instead, the poem is attempting to lay down a text that provides opportunities for readers to engage in a certain kind of rich experience that goes far beyond the transfer of knowledge. The poet uses whatever tools are at his or her disposal to affect the reader.
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Apr 09, 2013
Research Tutorial / Postcolonialism (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Postcolonialism



Postcolonialism or postcolonial theory is one of the most recent theoretical approaches to literary studies, and has become one of, if not the most, important. Like cultural studies, of which it is a very near relative, postcolonial studies (or post-colonial studies, or post colonial studies) is not limited to the examination of literature, but rather takes as its target all cultural productions relevant to its sphere of investigation. As a result, in order to understand how Postcolonialism functions in literary studies, it is important to understand it in a much broader sense.

Postcolonialism WritingLooking at the term postcolonial, we can see that its prefix (post) is shared with many recent coinages in the realm of cultural studies, like Postmodernism, Poststructuralism, Postfeminism, and so on. It is no coincidence that all of these coinages have their genesis in the description of theoretical interrogations of systems of thought which were seen as being important but too simply presented and full of assumptions that needed questioning. The verb "problematize" (which my spell checker still doesn't like) arises from the "postists" desire to take the established principles of a given dominant discourse and expose its false oppositions and oversimplifying inaccuracies. Each of the posts, as a result, is necessarily the descendent of the non-post precursor it follows, concerning itself with the same basic subject matter and ways of thinking. However, each post also positions itself in opposition to its ancestral non-prefixed namesake, striving to identify and counteract its limitations and problems.

Any corrective or revisionist project must have a system of values in place which guides it, and by which it is able to judge the older system it targets as being false. In many cases, this system features a strong ethical component, and the case of Postcolonialism is no exception. It is undoubtedly useful to make a distinction between ethics and aesthetics in evaluating artistic productions, but this does not mean that art, especially its production, reception, and function, must only be evaluated on aesthetic grounds. Indeed, it can be argued that any system of aesthetic evaluation must rest on an ethical bedrock which is often ignored or simply assumed to be correct. Postcolonialism arises from an evaluation of the ethical implications inherent in the position taken by colonists and colonial powers to the peoples and lands they colonize.

Turning more specifically to Postcolonialism, we can see that it suggests a time after the colonial period, after the times of the European concern, perhaps obsession, with claiming distant lands and distant peoples as their own possessions. Britain, France, and Spain are the primary nations associated with colonial ambitions, though in fact few European nations were uninvolved in the exploration and conquest of lands as far away as China and South America, and as nearby as northern Africa and the middle-east. The history of colonialism is almost as old as the very idea of the nation, and it continues to the present day, so it is far beyond the scope of this series to provide a historical account of it. This has led some scholars to dispute the term Postcolonialism, since it does imply a simple during-and-after chronology that cannot be true, since colonial projects have never actually ceased. Postcolonial scholars, and all those who wish to engage in postcolonial discourse, need to be aware that the prefix "post" does not indicate a uniform temporal progression, a clear start and end to colonial ambitions. Rather, it indicates the progressively increasing awareness of individuals to the problems of colonization, and the shift from one-way imposition to two-way communication.

One of the central tenets of Postcolonialism is the idea that ethnocentrism is the default position of colonizing powers. Ethnocentrism, most simply defined, is the belief that one's own culture, beliefs, opinions, and practices, are superior, possibly even the best that can be. One could argue that ethnocentrism is at the root of (potentially) positive concepts like national pride and patriotism, but as the parenthetical qualification indicates, patriotism and national pride are by no means assumed to be positive by all. It is not a problem to love the place where you have been raised, and where you live, but this love is seldom based on an unbiased evaluation of one's culture. As a result, patriotism can result in an individual's blindness to his or her nation's problems, and an unfair evaluation of others.

Ethnocentrism is less serious when considering nations that are very similar, like the United States and Canada, since so much of their culture and history is shared; one's belief that America or Canada is better is obviously based on a very limited set of highly specific criteria. Further, both nations are wealthy, democratic, largely Christian, and largely English speaking, meaning that questions of racism and bigotry between nations are irrelevant. Add to this the fact that neither nation has a political or military hold over the other, and that neither was colonized by the other, and we can see that there is very little harm in judging your own nation superior to the other of this pair.

More problems arise, however, when ethnocentrism takes a more powerful form, and features in one's evaluation of a significantly different culture. While it is difficult to distinguish most Americans from most Canadians (unless one is highly attuned to regional dialects), it is far less difficult to distinguish Americans from Europeans (based on language), and even less difficult to distinguish Americans and Europeans from Asians. When the differences between two cultures become audible and visible, and exist on other important levels like religion, technology, political organization, and so on, ethnocentrism can lead to far more troubling outcomes, including racism, bigotry, discrimination, and dehumanization.

Looking back to the greatest colonizer the world has ever known, the British Empire, upon which it was said the sun never set, we have the most straightforward example of ethnocentric thinking possible. The British believed in their superiority to other cultures based on all of the factors discussed above, and the more different the culture they encountered was to them, the more they believed they were superior to it. Although this seems like a harsh and simple statement to make, it is a difficult one to argue against. The British engaged in various wars with nations which, while different from them (France and Spain, for instance), were similar in many important respects. One can only really wage a war against an enemy which is more-or-less equal to you in technological prowess, military might, and so on. In fact, declaring war on a nation implies a certain admission of similarity and equality; unless you believed that the other nation is capable of understanding your declaration and fighting back, why would you make the declaration at all? You likely wouldn't (thought there have been notable and laughable exceptions), and would instead merely do what you liked with that land and the people who inhabit it. This is precisely what happens in colonial conquest.

As much as England disliked the French, for example, they would never have accused them of being ignorant and primitive, in general terms. An Englishman might have considered the French immoral or licentious, and a Frenchman might have considered the English unrefined and puritanical, but neither would have doubted that his opponent was capable of both understanding and returning his insult. When it came to European powers and the inhabitants of nations like Africa and India, however, the case was a very different one indeed. When Europeans came upon the inhabitants of these nations (which, although it is convenient to refer to them as such, were not nations as we know them today, the idea of nationhood actually being one of the consequences of colonial involvement) they did not see people who were very much like them. Rather, they saw people of different colors, with different facial features, societies, ways of dress, and so on, who were not technologically advanced, and who followed very different methods of political and religious organization. They were labeled primitive, savage, barbaric, and with the application of such labels, the label "human" was either largely obscured or covered up completely.

Looking at the etymologies of these denigrating labels, it is easy to see the criteria the Europeans used for evaluation. Savage is similar to the French word sauvage which is used to refer to something or someone of the forest, or which is associated with the woods. Both come from the same Latin root silvaticus, meaning woodland or forest. The word gradually began to take on connotations of opposition to the city, or domestic, as human habitation moved continually farther from the forest. Those who lived in the city gradually came to use the word to describe those who lived in the country (and hence nearer the forest), and since the countryside was populated with farmers and fieldworkers, while the city was home to artisans, tradesmen, and the centers of politics and education, this term began to designate people who were uneducated, simple, poor, and uncultured. Because of the word's association with the forest and the things that dwell in it, it also took on the characteristics of the beasts which are closely associated with woodlands, and as people gradually became more removed from the forest, the animals, and the word used to describe them (savage) took on a more ferocious meaning. Thus, savages are unintelligent, simple, poor people who live in the forest, and are ferocious like the animals who live there.

The word barbaric has similarly negative connotations, and its history casts light on another aspect of ethnocentrism's insidious influence. Its roots stretch back into the Latin balbus, which meant "stammering," and it developed to indicate first those outside Greece and Rome (who spoke languages the Greeks and Romans found to be harsh and guttural), and later (by association) rude, uncivilized, and even fierce. So, savage indicates a group of people who live outside of civilized areas, and barbaric refers to outsiders who speak foreign tongues. In both cases, we can see that the terms are contingent on the central and superior position of the person using them. In order to call someone a barbaric savage, I have to see myself as being in the center, and in the right. I live in the right place, speak the right language, and know the right things, so I am superior to the people I am labeling.

The term primitive, as both adjective and noun, is perhaps the one word that contains the connotations of all the other derogatory labels we have been examining here, because it denotes precisely the specific kind of denigration and classification the Europeans employed. The Latin primus is at the heart of the word, and is involved in many positive English terms like prime, indicating the first position, or the best position (primer is the substance you apply first, before the paint; prime-time is the time TV advertisers value most; a prime fishing area is an excellent one). It is the chronological position, however, which is central to the word primitive, which is echoed most closely in English by the word primal. Both words indicate something which has come first, that occupies a place at the roots or genesis of given developing entities.

Taken from a different perspective, this can be seen as a highly positive thing. After all, the person who is the first to do something considered important and valuable is lauded as a hero. However, when applied to humanity, primacy is synonymous with a lack of development. If we imagine, as many colonial Europeans did, that humanity developed by moving from simplicity to complexity (or even from animal to human, as Darwin contended, although his findings were not immediately widely accepted), that means that primitive peoples were those who were in a less advanced state, not far removed from the animals. If I am living in a city with highly complex and ordered social systems, surrounded by (comparatively) high technology, literacy, and a knowledge of (most of) the world's geography, and I encounter a being to whom none of this applies, what am I to think? To the European colonizers, the answer was obvious; this being is, apparently, human, but one at an earlier stage of development than myself and my people. They imagined that they were looking at a state of humanity the Europeans passed by centuries, even millennia, beforehand, and therefore took them to be less advanced in every way imaginable. Rather than treating them as potential partners, or striving to understand them, the dominant approach was to either (or most often, both) exploit or (as far as they considered this was possible) educate. Because the native inhabitants of newly "discovered" (can you discover a land where people are already living?) lands were less technologically advanced, the Europeans assumed all the differences they observed were inferiorities, and that the natives were inherently incapable of achieving the same levels of civilization, and even humanity.

Thus the designation of a group as primitive is a step toward (or perhaps into) seeing them as inhuman, or as proto-humans in much the same way as apes and chimps can be seen in this way. Further, the label serves clearly to separate the labeler from the labeled, the conquerors from the conquered, the anthropologist from the natives being studied. The natives then become, in the language of Postcolonialism, the Other. The Other is a central term, indicating the complete difference and even opposition maintained (or more properly, constructed) by the colonizing power. The Other is defined through the use of the kinds of binary oppositions we discussed in the series on Structuralism. Common pairs which the colonizer uses to other (the word can be employed as a verb in this context) the colonized are primitive/ advanced, intelligent/ stupid, civilized/ savage, holy/ godless, rational/ irrational, reasoned/ emotional, contemplative/ appetitive, ordered/ disordered, sensitive/ insensitive, human/ animal, beautiful/ ugly, white/ black, light/ dark, cold/ hot (think of emotion as well as climate) and many more. The colonizer applies the first of all these pairs to himself, and the second to the colonized, making the first uniformly positive, and the second uniformly negative.

Once the Other has been sufficiently well branded, they (or, more properly, it) no longer occupy the same conceptual space as Us, the people who are civilized and who are doing the evaluating. Since our sense of ethical obligation arises, generally, in a series of concentric relationship circles, the Other is largely removed from ethical consideration. By concentric relationship circles, I mean that each of us, considered as the center of our own circles of relationships, feels a closeness, generally to certain individuals, and less, or none, to others. Obviously, my concern for myself and my own well being is very high. Next, we have the people who are constantly in my life, like my parents, my own children, and often my siblings and closest, longest friends. These groups could also be ranked, with my own children coming in the first circle, my spouse next (or even in the same one as my children), then my parents and siblings, and then my closest friends. This will vary from individual to individual based on specific life circumstances and the relationship history they have with all of these individuals, but generally, the people named here are the prime candidates for being in your closest circles of relationship.

Those in your closest circles enjoy privileged positions in your life, and it is generally accepted that you feel obligations to them that you do no feel for strangers. For instance, if your child needs an organ which you can provide, you provide it. If your friend needs help moving his or her furniture, you (perhaps grudgingly) offer a hand. However, we are far less likely to offer these privileges to more distant relations (like cousins we seldom see, or aunts and uncles we don't know well), and even less likely to offer them to casual acquaintances, coworkers, and so on. Finally, we come to total strangers, who are the least likely of all to receive such considerations from us.

Along with privileges and favors, we also feel that those who are closest to us deserve being treated by higher ethical standards than strangers. Lying to your boss to get off work early is not considered ethical, but it considered more ethical than lying to your spouse or child. Similarly, murder is deplorable whenever it occurs, but there is a special revulsion that accompanies hearing tales of those who have killed those who were closest to them. As objective as some argue we should try to be, people feel a stronger sense of dedication, duty, and care for those who are closer to them, and less for those who are further out, which makes us feel ethically more accountable to people the nearer we hold them to ourselves.

Once question here is how far we are willing to extend these circles of relationship. We mentioned strangers as a distant category, but this is doubtless divided according to geographical location (I am more likely to help someone who comes from the place I come from than someone from another place), and other factors. However, do these circles extend to the non-human? This has become an interesting challenge for ethics, but lived experience tells us that the closest animals (like family pets), can occupy relationship circles even closer than those of some humans. Some people see circles of relationship extending into the animal kingdom, all the way through into living things in general - this kind of extension of human ethics into the natural world is at the root of many environmental movements.

Despite the possibility of being able to extend our range of ethical concern very broadly into the world as a whole, traditionally and historically, there has been a qualitative difference between how we treat human beings, and how we treat all other things. Even today, the majority of people do not see it as a problem that we use animals for food, or force them into doing difficult labor. Animals, after all, cannot think the same way we do, and are incapable of understanding, so we do not owe them the same regard that we owe other human beings. Further, they have no voice, so they are unable to tell us, for better or worse, how they feel about being treated the way they are.

In Postcolonial terms, what we have done, and continue to do with animals, is to Other them; we define ourselves positively according to specific criteria that we find important, assign positive values to the traits we possess, and then assign the opposite and negative characteristics to the group we want to distinguish from ourselves. This same process is precisely what the colonizer does to the colonized, and the results are much the same. If I am able to see the differences between myself and those I have discriminated myself from as being great, I can then consider them qualitatively different, like I do the animals. As a result, this group goes from being on one of my distant relationship circles, to which I attach at least basic ethical considerations (I won't harm them, for instance), to being ranked, along with all other non-human things, as outside the circles of relationship all together, and therefore not suitable targets of ethical consideration.

So, the relationship between colonizer and colonized is not merely one where there are unequal power relationships between the groups - it is not a relationship at all, since one group has all the power and value, whereas the other is merely instrumental - it is considered a non-human tool, which can be useful as a means to achieving the colonizer's other goals (like obtaining wealth), but which is not itself considered a subject, with agency, or with inherent value. The use of human beings as means, rather than ends, is not morally justified; however, since the colonizers consider the colonized non-human, or at least not significantly human, there is no ethical violation.

Obviously, this idea of Othering, while it was coined in Postcolonial discourse, is the same move that leads to all kinds of discrimination and atrocity. In Feminist discourse, men have been seen as historically Othering women, and therefore repressing them. Slavery in America relied on a similar process of dehumanizing Othering to justify the keeping of Africans and their descendents for forced labor. Perhaps the strongest, most horrific example that is widely known is the Nazi Othering of the Jews before and during the Second World War - in this case, the Othering was made even more explicit than usual by its alarming speed, and its outward signs. Jews were branded with an identification number, like cattle, rendering them mere possessions, though without even the instrumental use possessions are afforded. None of these extensions of Othering features explicit colonization, but this is where Postcolonial theory begins to expand beyond its original borders. Just as one can colonize a nation, so too can one colonize a group of people, or even an individual. We can see that the term "colonize" is broadened to include not only physical colonization and occupation of geographical areas, but also personal physical and mental spaces.

In the realm of literary studies, Postcolonial theory has risen to an impressive status, and its discourse has been applied to literature in almost every conceivable way, from its history and production, to its evolution and spread, and even to considerations of texts and authors which predate the colonial period by millennia. Starting near the start, we can see Postcolonial discourse arising in the writings of authors like Edward Said, whose foundational text, Orientalism, laid the groundwork for the critique of historical and contemporary political and educational institutions. Gayatri Spivak is another important early voice in Postcolonial discourse, who combined the kinds of work Said was doing with insights from Postmodernism and Deconstruction.

One of the earliest applications of Postcolonial theory to literary studies has to do with the Western canon. As we have discussed previously, the canon is the unofficial "list" of great works that are said to be the best and most representative of their time in history. Traditionally, literature courses and even departments were dedicated to the canon because the works were considered the best, and therefore the most worth teaching. The problem here, of course, is that the evaluation of the works that make it onto the privileged list has been done, in the West, almost exclusively by white males, who have traditionally chosen works by other white males as preferable. As a result, entire traditions had not been considered literary, and found no place either on the canon, or in the classroom.

Postcolonialists sought to change this state of affairs, and began to argue for the value of works from a far wider array of cultures, including all those that the Europeans colonized. Here in North America, for instance, the writing and stories of Native Americans was completely ignored by the academy. The influence of Postcolonialism has been such that now it is difficult to find a university English or Comparative Literature department that does not offer courses which feature Native American writing. As a result, our understanding of English has been significantly broadened, since the language of English colonizers has been adopted and transformed in many colonized areas. One excellent example is India, where the colonized have learned the language of the colonizers, and often used it to write back against the history and practices of colonization.

One of the primary concerns of Postcolonialism has been to give a voice to those who have traditionally been voiceless, as a means of giving power back to people who have had it taken from them. Postcolonialism has been quite successful in this regard, but it has not happened unproblematically. Those with a voice inside the arenas of academic power, like the universities, had to be the ones to make the first moves, in order to raise awareness to the academic community as a whole that their practices had been exclusionary and based on false assumptions and generalizations. This allowed the discourse to grow, to the point where no academic in the humanities can afford to be ignorant of Postcolonial issues. A problem arises, however, when you consider who is doing the speaking here. In the attempt to give a voice to the voiceless, the academy has actually taken the discourse and made it their own, so that they have once again colonized a metaphorical region and displaced the native inhabitants. As a result, there has been a strong push to involve the formerly colonized, so that they can tell their own stories, and speak for themselves. This means not only reading works from formerly colonized people, but also employing them at the university, attending their conferences, and generally being open to redefining Postcolonial discourse that pays attention to those whom it was designed to empower.

In order to get a feel for Postcolonial theory at work in the literary realm, it will be most useful to apply it to at least two literary texts. To begin, let us use an example that lends itself very well to a basic and obvious Postcolonial reading, Joseph Conrad's Heart of Darkness, which many of you have likely either read in high school or university, or will in the future. If you have not read this book, and do not want the plot details spoiled, stop reading here, since a brief summary is in order to refresh memories, or to introduce the work to those who have not read it.

Most basically, the story is narrated by an old sea-dog named Marlow, who recounts his earliest nautical adventure. He is able to arrange to captain a trading boat down through Africa, on what we assume to be the Congo River, on a mission to transport ivory. As a side project, which eventually becomes his central concern, he is to find and retrieve Kurtz, another ivory trader, who has made a great reputation for himself, but who has gone missing and silent. Marlow's journey is filled with small problems (like needing to wait for rivets to repair his ship) with highly bureaucratic and political overtones, caused by the colonial "government's" lack of will, knowledge, and ability. He is attacked by natives, and uses others to transport goods and do work aboard his steamer. When he eventually comes upon Kurtz, Marlow finds him at a remote village: the local tribe has taken him as a kind of god-leader figure, and they do his bidding. Kurtz has completely fallen into this life, and enjoys the position of power he occupies. However, he is not well, and Marlow is able to convince him to accompany him back to his steamer - Kurtz dies onboard, and his last words are ominous "The Horror! The Horror!"

Because this novel is set in the late 1800s, near the end of the British colonial project, it lends itself very well to Postcolonial criticism. One direct and (somewhat oversimplified) Postcolonial reading sees Conrad as a racist and the novel as a blatant example of the worst parts of colonial discourse. The white European characters in the novel are presented with interesting personalities, and individual identities, while the native inhabitants are only seen through white eyes, and as a result have no depth of character or personality. They are more like the landscape, background to the real, important events of the story. Through such means, they have been dehumanized, which as we have discussed is a classic colonial move in the attempt to overtake the Other.

Further continuing our Postcolonial reading, the story of Kurtz is essentially a colonial fantasy come true. The powerful white man, with advanced technology and a commanding presence, impresses the black natives so much that they bow down to him and treat him like a god. He is welcomed to do as he wishes with their resources, and he can command them to do whatever he likes. The natives are portrayed as being simple-minded, voiceless, and completely dependent on the white colonizer for rule and guidance. Even the title, Heart of Darkness, adds to the racist colonial discourse of the novel. Africa is portrayed as a dark, chaotic place of evil, without culture or civilization, where the color of the inhabitants matches the metaphorical darkness of the continent. Dark stands in opposition to light, which is a key binary in the text. The colonizers are light skinned, enlightened, bright, and so on, while the native inhabitants are dark skinned, dim-witted (not very bright), in the dark about matters outside their own borders, and so on. In short, Heart of Darkness, in this view, illustrates the objections of Postcolonial theory perfectly.

As with most of the other politically or morally guided literary theories we have been discussing, Postcolonial theory can be applied bluntly, resulting in a similar reading for almost any text to which you would like to apply it. The reading I have just outlined is an example of this kind of blunt application, which has considered only the aspects of the novel it sees as problematic, and then condemned both novel and author (which is especially risky, ethically speaking, because it means you have equated authors with their narrators, meaning authors cannot adopt a position that is not their own) as being tools of and evidence for colonial oppression. However, Postcolonial criticism is not defined merely by this kind of deck-stacking approach. By focusing on the parts of the text that do not seem to fit the simplistic "the author is a racist colonialist" approach, it is possible to see the interesting and complex depth of the novel's approach to colonization.

Looking at Marlow's journey, we can see that it is impeded more by problems he has with white colonial representatives than with the black natives. Marlow's motivation for wanting to captain his steamer are simple, and somewhat naïve: he is motivated to adventure as a child, looking at the globe and seeing the darkest reaches of unmapped Africa. However, what he finds on his journey is that the wonder he imagines accompanying discovery is completely destroyed by the imperial, utilitarian attitude the colonial powers have taken. Their goal is to use Africa, to extract its riches, through whatever means necessary. As a result, the natives are treated as largely non-human, and the land is abused. Further, the bureaucratic morass that Marlow despises about life in London has been exported to the Congo; nothing works as you want it to, nothing arrives on time, and everyone is concerned more about keeping their positions secure than with the actual jobs they have been assigned.

In one of the most memorable and telling colonial images of the novel, we are presented with a French vessel that is firing cannon into the jungle. The vessel is attempting to "attack" the natives or to retaliate against them, but the absurdity of the attempt is both sad and laughable. This is an obvious symbol of the failure of the Europeans to understand Africa and its inhabitants. In Europe, there would be an army to attack, and a base to bomb. Here, there is no army, and the "base," as far as they can see, is the entire green expanse of the jungle. What further makes the bombing ridiculous and ineffective is the fact that, as the French boat makes its way down the river, it is not merely harming or punishing a single group: the goal of the bombing is apparently to show one native group that their behavior will not be tolerated. Instead, the vessel is covering miles and miles of territory that is inhabited by numerous different tribes, often with competing interests. The European colonial tendency to lump all of the natives together, and to employ traditional practices in a context which renders them silly, is being pointed out here. In this case, the natives, rather than the Europeans, are shown to be the more rational, adaptable group. They have worked to adjust their way of life in the face of the reality of European colonization, and even their resistance is suited to the task. The Europeans, on the other hand, refuse to take the reality of their new surroundings into account.

Looking at Kurtz and his becoming a god-leader to the natives, we can see that he is not evaluated by Marlow as an exalted being - far from it. Instead, he is portrayed as a man who has lost touch with reality, a man who, while intelligent, ambitious, and charismatic, has simply gone down a dark mental path from which it is impossible to return. Kurtz's state of mind is paralleled by his physical state when Marlow finds him in the jungle. He is ill, hardly able to move without support, a mere shell of what we might imagine to have been his former self. The reality of Kurtz does not match the powerful legend that has sprung up around him. His "little kingdom" is in ruins.

Far from being a mere endorsement and manifestation of colonial powers on a concrete micro scale, Kurtz and his situation seem more likely to represent the failure of the colonial enterprise and its naïve assumptions about its own powers and about the natives. Certainly it is possible to enter the land of another people who are less technologically advanced and impress them with your strange appearance and apparently wonderful abilities. However, over time, these factors alone are not enough to achieve anything. The natives will not be "civilized," your rule will not be firmly established, and you will fall to pieces yourself, or simply desire nothing more than to give up and go home.

It is clear that aspects of both readings I have given for Heart of Darkness are reasonable, and are supported by the contents of the text. What is vital to remember when reading or performing such Postcolonial operations is that there is a multitude of ways each of the key points can be interpreted and connected to other key points in the novel. Through experience with Postcolonial criticism and theory, one can see the array of positions possible in every text, and one can critically evaluate each against the others, providing a more balanced and inclusive view of the text that aligns with one's own experience of the work.

A novel like Heart of Darkness is an excellent and obvious place to start when working out the terms and conditions of Postcolonial theory, because it is a work both set and written in colonial times. The colonization of Africa is everywhere present in the novel, and this is precisely what Postcolonial criticism was born to evaluate. The reach and power of Postcolonial studies is so impressive, however, that it is able to detach itself from its European colonial roots and take effective aim at very different temporal periods, both past and present. Even the over two millennia old Greek epic The Iliad is not beyond its reach. One might argue that Homer, its acknowledged author, could not possibly have had colonial issues on his mind when he wrote (or compiled) his poem - such matters don't rise to the level of general human concern for thousands of years. However, this is largely irrelevant in considering whether Postcolonial theory is applicable to a given work. The focus, in this case, is not on the colonial issues that are manifestly arrayed and dealt with (as in Heart of Darkness); as much can be learned from examining what is covert or latent in a given work. Issues that are not being explicitly explored because they are taken as a given by a particular culture can still be fruitfully examined, giving us a better understanding of the text, as well as the culture that produced it.

The Iliad is a story, told in the form of an epic poem, about a war that is being waged between the Trojans and Greeks. The story beings in the mists of time, before The Iliad proper begins, when a powerful Greek leader, Menelaus, is playing host to a Trojan delegation including Prince Paris and his brother Hector. Paris, gifted of all men for his sheer beauty, falls for Menelaus's wife, Helen, who is said to be the most beautiful mortal woman. They are obviously very well suited (imagine a classical Brad and Angelina pairing, without any of the strong sense of social duty), and Paris takes Helen with him as he flees to Troy, back under the protection of his father's great armies.

Menelaus, needless to say, is outraged. He decides that an armed response is needed, but realizes that he will need help if he is to have any chance against the combined might of the Trojan armies. Therefore, he calls together all the great leaders of the Greek states, and they set out for Troy armed to the teeth and looking for vengeance (not to mention Helen). They arrive and see that Troy's defenses are formidable, so they lay siege to the city. This lasts for about ten years, with either side scoring major and minor victories, and both sides (especially the Greek) enduring a lot of internal conflict. Achilles, the greatest Greek hero, becomes angry, at one point, that Agamemnon (the overall leader of the Greek forces) has taken the Trojan slave he had captured for himself, which causes Achilles to withdraw, pouting, to his ships, and leaves the Greek army very vulnerable. Eventually, with Achilles and Hector both dead, and the Greeks nearly defeated, clever Odysseus (known later by the Romans as Ulysses), comes up with the Trojan horse ploy: the Greeks build a huge wooden horse as a peace offering/gift to the Trojans in the hopes it will keep them from chasing them home for revenge. Then, the Greek ships set sail. The Trojans bring the horse inside the city as a great symbol of their victory, and get loaded drunk. That night, the Greeks who had hid themselves in the hollow belly of the wooden horse exit it, and run around the city killing everyone they can, eventually setting fire to the city and thoroughly looting it. Their ships, now returned, pick them up to transport the heroes, as well as the wealth of Troy, and of course Helen, back to Greece.

Although the point of the mission was, putatively, the recovery of a stolen bride, Postcolonial criticism is highly applicable to numerous aspects of this story. First of all, the story begins with an event that underlines the metaphorical colonization of women in Greek society. Helen is the idealized, perfect manifestation of woman, prized for her beauty alone. Menelaus owns her, having earned the right to claim her as his own property, or territory, by virtue of his strong social standing and strong army. This is a reflection of Greek social values, which saw women as territories to be conquered by the most powerful men. When Paris arrives for his ill-fated visit, he sees this exotic beauty, and decides that he will have her for his own. He takes her away, and while we are never quite sure what Helen thinks of all this (and different Greek sources portray her differently), we know that Paris has made a successful conquest, and has "colonized" Helen. The overlap between Postcolonialism and Feminism is evident here, but this is fitting since the two fields do share significant concerns in literary and political scholarship.

Further connections between Feminism and Postcolonialism are evident in the core personal conflict at the heart of The Iliad: the feud between Agamemnon and Achilles, begun by a dispute over a captured slave woman. After a successful raid on a temple, Achilles chooses for himself a priestess by the name of Briseis. A standard practice in colonial conquest is to take the native women as "wives" or slaves, or simply to rape them. This, as I mentioned above, is the kind of dual colonization that women in the colonized region face. Not only do they have their homes taken, but their bodies as well. This is precisely the content of a poignant speech made by Hector's wife, Andromache, as Hector prepares to face off against Achilles. She is obviously worried about his life, and about her own, and her child's, but part of the subtle horror she evokes as she speaks is the thought of the Greek men overcoming the city's defenses and taking her as their slave-bride. Clearly, colonial practices have been present for a far greater expanse of time than the so-called colonial period.

Looking at the war as a whole, we can see that it maps well onto the standard colonial script. A nation comes from overseas with superior forces and attempts to overcome the native inhabitants, taking over their land and homes. The natives resist as best they can, and the two sides arrive at a kind of stalemate, where the superior force is unable to make further progress. Think about Afghanistan, to compare a recent conflict. Many armies have become colonial powers there, for a time, but in the end a stalemate was reached, and the colonial power eventually retreated. This essentially happens to the Greeks, who are almost driven completely back to their boats, and might well have been repelled, were it not for Odysseus's trickery.

The Trojan horse itself is an interesting symbol of the dangers which lurk beneath the promises of colonialism. Nations often come to a new territory with gifts and promises to improve the lives of the native inhabitants. Missionaries, often on the vanguard of colonial missions, bring new tools and comforts to the people, and offer them the chance at a life beyond this life that will be eternal. However, this shiny package is not all it appears to be. With the supplies and promise of salvation come more and more colonizers, who want the land and its resources for themselves. By the time the natives have realized what is happening, how they are being used, and how their culture is being destroyed, it is too late. The Trojan horse is already within the city's walls, and all of its consequences will be felt.

It is evident that there are some differences between this story and the usual colonial script - the imbalance of power is not nearly as marked between the Greeks and Trojans, and the two nations seem to be able to barter, fight, and communicate from positions of relative parity. That being said, Postcolonial theory is flexible enough to be used to describe an array of texts and situations, in a way that provides insights that would otherwise be unavailable, or overlooked. While Postcolonial theory will not produce enlightening or interesting readings of all texts, it has enough to say that, when reading any work, it should be something you take into consideration. You will surprise yourself with what you find.
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Apr 09, 2013
Research Tutorial / Psychoanalytic Theory (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Psychoanalytic Theory - Part I



While many of the theories we have encountered so far have both their adherents and detractors, and while all have garnered at least some controversy, perhaps no theoretical approach to literary studies can elicit such a powerful response, positive or negative, as Psychoanalytic Theory. This may be an unfamiliar term to many of you, but even if you have not heard of Psychoanalytic Theory, you have likely heard of psychoanalysis, the method of psychology developed by Sigmund Freud and practiced by him and his followers up to the present day. You might be wondering why I don't simply use the term psychoanalysis throughout this article series, since it is more succinct and certainly more familiar. However, there is an important distinction that needs to be maintained between psychoanalysis and Psychoanalytic Theory. The former refers to a specific method of treatment of patients with certain kinds of psychological problems, and psychoanalysts are professionals who get paid to help patients with these problems.

Psychoanalytic Literary TheoryPsychoanalytic Theory, on the other hand, is the theoretical foundation upon which psychoanalysis is based. All psychoanalysts need to know this theoretical material, since psychoanalysis is the application of Psychoanalytic Theory in the treatment of patients with psychological disorders. It is obvious, then, that since I am looking at this theory from the perspective of literary studies, psychoanalysis itself is not something that I will be considering; as useful or interesting as it might be, the treatment of patients has little if anything to do with literary texts. Note also that Psychoanalytic Theory is not usually capitalized. I do so here merely in order to remain consistent throughout this series on literary theory. Just as I capitalized Feminism and New Criticism, so too will I be capitalizing Psychoanalytic Theory, both to underline its nature as the focal point of this current discussion, and to stand it on equal footing with the other theoretical approaches featured in this series.

Whether or not the terms Psychoanalytic Theory or psychoanalysis are familiar to you, it is highly likely that you have heard the name Sigmund Freud (pronounced "Froid"), if only in the most general terms. He has become a generic name for a psychiatrist or, even more commonly, a friend who insists on telling you what your psychological problems are and how to solve them. ("Since when did you become Sigmund Freud?") Freud's name has also become well known in English through the term which bears his name, the "Freudian slip," a phenomenon which involves a person substituting one word accidentally for another, but in the process saying what he or she is really thinking.

Freud's ideas have exerted a far more powerful and wide-ranging influence than the previous examples which employ his name indicate by themselves. For instance, if you have ever heard the term Oedipal complex, anal-retentive (or just anal), penis envy, ego, or libido, you have been exposed to Freud's work, and have thus been influenced by his thought. Many of the terms which have made it into and survived in popular parlance have been altered or turned to different ends, as we shall see as we explore these terms in more depth. Penis envy, for instance, is now often used as a term which indicates a man's jealousy of another's man's larger penis, or as the perceived general jealousy women have of men. In its original manifestation, however, the term referred to a very specific stage of female sexual development, and was only later taken up by non-psychoanalysts and non-Psychoanalytic Theorists to refer to very different things.

The adoption of Freudian terms by society at large has resulted in a general confusion about Psychoanalytic Theory, as the many pieces that have made it through the transformation of everyday language do not cohere in any unified structure, and do not seem to have any relation to one another. This is one factor that causes a lot of people, both academics and others, to roll their eyes when someone begins talking about Psychoanalytic Theory. Another factor that leads people to doubt Freud's work is a general stigma surrounding clinical psychology and psychiatry; it is very telling that the most common slang term for any professional who helps individuals with psychological problems is "shrink," as in "I heard Billy is seeing a shrink." This nickname might seem fairly innocuous, and it has become so common that most people likely don't even consider its roots, which makes it, at the very least, a curious term which doesn't seem to say much at all. However, it derives from the longer, former slang term which is no longer in such wide use, "head shrinker," which might seem more related to the task of mental health professionals (which work on the head, or brain, at least), but which still makes little sense on its own, without a little more etymological digging.

Confusingly, we refer to people who think too much of themselves (who are conceited, in other words) as having a swollen head, but this has nothing to do with the origins of the term "head shrinker." Instead, we have to look at tribal cultures which anthropologists in the 19th and early 20th century so vividly presented to the public imagination. These "savages" lived in societies very different from our own, which were run not according to democratic principles of government or the rule of law, but rather on the basis of physical strength and familial inheritance. They also featured figures who acted as the tribe's spiritual leaders, who were something of a cross between priests and doctors. They were known by a host of different nicknames, including shamans, medicine men, and witch-doctors. In certain tribes, these witch-doctors wore adornments gained from various battlegrounds, which consisted of the heads of their enemies; they used certain techniques to shrink and embalm these heads, giving them a highly grotesque appearance. This practice cemented the connection between the witch-doctor and head shrinking, which is still an image that arises from time to time in popular culture, especially in the movies.

The connection between head-shrinkers and psychologists or psychiatrists now becomes a little clearer. The shamans were individuals who combined the spiritual aspects of the individuals within the tribe with their physical aspects. They could cure disease, for instance, by performing certain rituals, or exorcise someone's demons if that person was possessed (and therefore acting "crazy"). Because the psychiatrist or psychologist attempts to treat visible, often physical problems through mental avenues, and since both try to help people who are acting "crazy" (though we don't attribute this behavior to demons anymore), the label of "witch-doctor" was applied to these professionals, and since shrinking heads was associated so closely to witch-doctors, it wasn't much of a leap to begin referring to mental health professionals as "head-shrinkers." Needless to say, this is not a flattering term by any stretch of the imagination, and was intended to disparage psychology as some kind of arcane, false magic or primitive voodoo. Fortunately, psychology has come a long way, as have people's perceptions of it, but the original stigma against it still adheres in the seemingly innocent term "shrink" that many of us still use to this day.

Aside from the more general stigmas facing Psychoanalytic Theory in the form of biases against psychology or psychiatry of any kind is a more specific problem; when people think of Psychoanalytic Theory, if they know anything about it at all, they invariably associate it with sex. This might not be a problem if the theory was designed to deal specifically and only with psychosexual disorders, but since Psychoanalytic Theory attempts to account for human psychological development in general, many people are highly uncomfortable with its sexualized focus. Most disturbing for many is the fact that Freud uses sexuality and sexual foci to describe the development of infants and children. We most often choose to think of children as "innocent" of any sexual thoughts and desires, and as any combination of children and sexuality as the ultimate perversion. As a result, Freud's theories are resisted by many because they are "simply scandalous," and are considered completely unacceptable because they combine two things which are considered by many to be morally and ethically incompatible - childhood and sexuality.

This point of view is understandable if one only knows as much about Psychoanalytic Theory as I have presented here so far (which is almost nothing specific); if one studies it in slightly more detail, however, one can see that Freud was not being perverted or somehow inappropriate. His descriptions of the influence of sexual forces in childhood places them largely in the realm of the unconscious mind, and even when he does make reference to the actual sexual functions and sensations infants and children experience, he does so in a way that accurately portrays those physical sensations. Children do not understand their sexual feelings and sensations as such, and so even Freud is not attempting to rob childhood of its innocence in a way that could be construed as disgusting or inappropriate. One can argue that he is wrong in total, or that his focus is off, or that he gets some facts wrong, but the argument that his theories are perverted or morally despicable is a much more difficult one to support.

There are other aspects of Psychoanalytic Theory that have been hotly contested throughout the course of its history, and I will present some of these arguments here. However, as has been the case with the other theoretical approaches I have presented, I will do my best to present Freud's work as he did, or at least in a way that followers of his would find unobjectionable. Like most of the theoretical approaches I have presented, Psychoanalytical Theory is not a single, monolithic approach, and many eminent psychoanalysts and Psychoanalytic Theorists do not agree with one another on aspects of the theory and its implementation in practice. Therefore, my approach here will be practical and limited in scope. I will present Psychoanalytic Theory in terms Freud himself used, to show how the theory originated, and to show the common basis for the various developments of his work that have taken place. After laying out Freud's work, I will then turn to look at its specifically literary applications, as one might see them in the literary academy today. Psychoanalysis does not have as wide a following as it once did (especially in the 70s and 80s), but it nonetheless remains a vital set of concepts for any student pursuing literary theoretical studies. In taking this approach I am leaving out the work of several notable psychoanalysts (Carl Jung foremost among them), and while I encourage you to learn more about their developments of Freud's work, time and space restrictions do not allow me to treat them in sufficient detail to justify their inclusion at all.

Psychoanalysis and Psychoanalytic Theory were born in Vienna in the 1890s, where Sigmund Freud was attempting to treat patients with what he termed neurotic disorders or neuroses. These disorders were defined as psychological problems which caused a person varying degrees of distress, but which did not impair most psychological capacities, such as reason and memory. Neuroses also did not generally impair people in their day-to-day lives, and so were not debilitating or greatly life altering. Despite their nature as a relatively minor psychological problem, neuroses attracted Freud's attention because he saw them so frequently in his practice; most the patients who came to him, regardless of what else they had to deal with, or what their age or social position, suffered from some degree of neurosis. As a result, Freud determined to find the nature of various neuroses, and to find a suitable and effective treatment.

Freud did come up with what he believed was the general cause of all neuroses; neuroses were physical and mental manifestations of distress caused by the repression of desires and the internal conflict between these desires and the internalized social norms that caused the patient to suppress them in the first place. Of course, this is as complicated as it sounds, and Freud actually devised an entire system or model of childhood development into which all of the elements above fit together. This model progressed as Freud continued working on his theories, going from the relatively straightforward, to the most difficult, but perhaps also the most refined, formulations. I will present Freud's theories in the same order, which will give you a good grounding in his thought process; the latter developments of the theory should be far easier to understand in the light of the former aspects. Note that the earlier models he uses are generally not simply discarded. Rather, they are subsumed into the later models, which stretch, expand, and categorize in more detail what came before. Again, I will not sketch any of these models in all their complete detail, and I will skip some intermediary steps in the evolution presented here, because this is an introductory series. I do encourage anyone who wants to know the details in their most fine-grained form to consult Freud's own texts, preferable in the order in which he composed them.

One of Freud's first model employs a well known metaphor to understand the human mind: the iceberg. According to Freud, people tended to give far too much credit to consciousness, and to our conscious selves. It does seem like consciousness is the dominant and largest aspect of our mental lives, but this is merely a matter of perception. We are only able to access what happens in our consciousness, but this represents only the part of the iceberg which is above water, which is only about 10%. The bulk of our minds are unconscious, which is represented by the 90% of the iceberg that is below the surface of the water. In this model, it is obvious that consciousness is only a representation of a small fraction of what is actually going on in the mind, and so it becomes clear that Freud's theories are going to focus on what he termed the unconscious, rather than the consciousness. The consciousness consists of what has made itself available to our awareness, and of what we have permitted ourselves to be aware of. This idea of permission, of allowing ourselves to be aware of things, is a central aspect of Psychoanalytic Theory which is pivotal to all of Freud's work.

Just as the consciousness is the part of us that is aware, and consists of the aspects of ourselves about which we allow ourselves to be aware, the unconscious is that part of our mental activity that we are not aware of, and which we do not allow ourselves to be aware of. In Freud's work, and in Psychoanalytic Theory in general, the standard way we now have of thinking of unconscious mental activity does not apply in such broad terms. For example, functions like breathing and the regulation of hormones in the body are all accomplished by the brain, and are all done automatically, whether we consciously will them to happen or not. However, this is not what Psychoanalytic Theory has in mind when it talks about the unconscious. The unconscious consists of those memories, behaviors, desires, fantasies, and possibilities about our lives and ourselves that we refuse to notice or acknowledge. So, the unconscious is not merely a place where mind functions in ignorance of consciousness (thought it is that too); it is a place where those aspects of mind consciousness refuses to recognize exist. The unconscious is repressed by consciousness, and as a result, we are kept unaware of its activity.

There are many reasons why consciousness might repress certain memories and desires; some would cause constant pain, whereas others would be considered shameful and disgusting by society, and might lead to actions that would be similarly negatively evaluated. Thus consciousness functions to habitually repress the memories and desires that we would find it difficult to live with on a daily basis. These buried aspects of our selves, however, do not merely remain quietly buried. They can surface into our lives, though always in a different, transformed shape. Distress for no apparent reason, or a seemingly irrational fear or hatred of an individual or object, can be traced back, in Freud's theory, to the suppression caused by consciousness. These symptoms of repression are the cause, Freud claimed, of neuroses, and the best treatment for them was to undergo psychotherapy with a trained analyst, who would use various techniques to make these unconscious conflicts available to conscious thought.

This might seem like a complete contradiction, on first examination. After all, if the unconscious is, by definition, that aspect of mind to which the consciousness has no access, how could any kind of therapy make any part of the unconscious apparent to consciousness? Freud believed that, since unconscious conflicts were capable of causing distress, which certainly existed in a form that was available to consciousness, then there could be other ways by which the unconscious made itself apparent, even in an unrecognizable form, to consciousness. One of the main ways Freud saw of getting to the unconscious was through the analysis of dreams. In dream states, the normal inhibitions which suppress certain memories and desires is not functioning, or is functioning in a far less vigilant way, which means that these normally inaccessible aspects of the unconscious can present themselves. Of course, the censor of consciousness is never completely disabled, and thus dreams often present repressed thoughts in metaphorical forms; parents, for example, can be represented as kings and queens, several individuals can be combined into a single figure, and each character in a dream can be taken as an aspect of one's self. Because of his belief that dreams revealed aspect of the unconscious, Freud spent a great deal of time studying them, and attempting to discover the various types of transformations that were possible between the dream image presented to or reported by the dreamer, and the actual repressed content of the unconscious which was being transformed.

Aside from dreams, which received, and still receive, a lot of attention in psychoanalysis and Psychoanalytic Theory, Freud also believed the unconscious could be made more visible in what we might now term free association. Freud would ask a patient to relax and clear the mind. He would then present them with a word which they would respond to immediately, so that they had little or no time to consciously consider a response. When a response arose that seemed telling, in the opinion of the analyst Freud, he would question them about it, and in so doing attempt to dig deeper into the patient's unconscious motivations for making that association. This concern for language manifests itself in another way Freud saw into the unconscious of his patients, which was through something he called parapraxes, or what we would now call the Freudian slip. In his original inception of the term, Freud saw parapraxes as being the unconscious expression of a thought that was repressed by consciousness. The most obvious, and most telling examples, occur in modern sitcoms and films when an individual calls his or her spouse by the wrong name, especially during sexual intercourse. This indicates that the person who uttered the wrong name is actually unconsciously fixated on the individual he or she named, rather than the individual he or she is with.

A very well known example of this phenomenon occurs in the sitcom Friends, in the episode where Ross (a central character), is marrying Emily, a woman he has been seeing for some time. He has had a long standing interest in another central character, Rachel, for many years, and the two dated for stretches of time over the years. She refused to come to the wedding, as she felt it would be awkward, and, we assume, she still harbored unconscious feeling for Ross. However, as the wedding begins, Ross notices that Rachel is in the audience, having just arrived. The ceremony begins, and the priest asks Ross to repeat after him "I, Ross, take you, Emily, to be my lawfully wedded wife." Ross responds with the show-stopping "I, Ross, take you, Rachel, to be my lawfully wedded wife." His bride is mortified, as is he when he realizes what he has said, and although they finish the wedding, the marriage is doomed to be remarkably short-lived.

Ross reveals more than he means to here, and, a psychoanalyst would argue, more than he even consciously knows. He has convinced himself that he loves Emily most, and that he no longer has feelings for Rachel. However, through his Freudian slip, he reveals both to others and to himself that his unconscious feelings for Rachel are profound. A Freudian slip can, and often does, occur in this kind of verbal display, but Freud did not limit it to verbal utterances. Misreading some text, for instance, so that you believe it says something very different from what it does, also points to the emergence of your unconscious fixations into your conscious activities. Even certain physical activities, like accidentally slapping one individual instead of another, or moving in a completely wrong direction in response to a given stimulus (like a bridesmaid's unconsciously backing away from a bouquet thrown at a wedding, even though she believes that she actually wants to catch it), can be considered Freudian slips. Essentially, any time your actions, be they verbal, purely mental, or physical, cause you to react in a way that seems contrary to what you believe about yourself, the odds are good that your unconscious is poking through the surface of your conscious life.

One of the major tenets of psychoanalysis, as we can see from Freud's concern with aspects of the unconscious that bubble to the surface, is to make apparent to the neurotic patient those hidden, unconscious drives, desires, fantasies, and memories that are being repressed by consciousness. The theory is that, by exposing the troublesome aspects of the unconscious to conscious examination, the conflicts which they are causing, and the neuroses which are the result, can be treated effectively. It is plain to see that self deception is a cornerstone of Psychoanalytic Theory, and that the reveling of such self deceptions to the self deceiving individual is a key to the effective treatment of neuroses. Of course, this all makes sense on its own terms, but several questions still need to be addressed. One of the most pressing of these is where these unconscious drives, desires, and memories come from in the first place. It is one thing to merely assume that they exist and to expose them, but it is another to show how it is that they come to develop in the first place. After all, treating an illness or disorder is doubtless a good thing, but being able to identify the causes of such disorders and to prevent them from arising in the first place is far better. Freud was not remiss in attempting to explain these causal considerations, and it is in his explanation that the well known psychoanalytic focus on childhood and children's development comes to the fore.

Freud divided the development of children, both male and female, into four different stages which correlate with the different body parts upon which they fixate at different stages of development. These stages include the oral, the anal, the phallic, and the genital, and stretch temporally from the child's emergence from the womb to the onset of puberty. Freud calls these the stages of psychosexual development, and while he was particularly interested in how the failed resolution of these stages caused neuroses later in life, he was one of the first to pay attention to the different stages of childhood development which we take for granted today.

When a child is born, it is basically not much more than a seething cauldron of desires and needs, and it will do whatever works efficiently to achieve these ends without ever being really aware, consciously speaking, of what it is doing. The infant is motivated exclusively by the libido. We use libido today, in popular jargon, to refer exclusively to adult (or post-pubescent) sex drive in individuals, but Freud's conception of the term was significantly different. He uses libido to refer to all sexual and survival instincts that motivate behavior, including hunger, fear, and lust. The mind is driven most essentially by the libido, making it the force that motivates all our behavior and thought. As we shall see, it is not given free reign throughout the lives of healthy children and adults, but in the life of the infant, no other forces exist to curb its constant appetitive seeking of pleasure. The infant is guided solely by what Psychoanalytic Theory refers to as the id, which is the aspect of mind that is concerned with seeking out sensual pleasure and satisfaction. The id is the first of the three aspects of personality that Freud describes in his later writings as the structural model of mind, and knowing what these are is important to understanding how the others aspects of his theory of childhood development operate.

In his later writings, Freud made further distinctions in his iceberg model of personality that we discussed previously, which resulted in his creation of three distinct aspects of mind which participated in conscious and unconscious thought to varying degrees. The id, as I have mentioned, is the aspect of personality concerned with pleasure and desire, and is the seat of libido, which motivates all other behavior in the most primitive of ways; it drives aggression, anger, sexual desire, hunger, and all the appetites. As a person develops, the pure selfish drives of the id are counteracted by the rise of the superego. The superego is the aspect of personality that arises when the developing person is able to comprehend social norms, which first occur, according to Freud, in the presence of the father figure. These norms serve to suppress the previously free-ranging desires of the id, and cause individuals to behave in ways that are socially acceptable. The recognition of these norms results in the individual curbing their thoughts and behavior to align with them, and as a result, through habitual suppression of behaviors and thoughts, the person eventually internalizes these norms, which creates the superego within the individual. Once these norms are internalized, the person no longer has to be presented with punishments or rewards from following the norms in order to act in accordance with them, since they become an integral part of the person's personality. Thus, the superego is a person's conscience, their sense of morality, which allows them to interact productively with other individuals in society. It provides a guide to appropriate behavior, outlines the taboos of the society, and gives the person feelings of guilt and shame when that individual defies the internalized norms.

The third and final aspect of personality in this structural model is the ego. This is another term that has come to have different meanings and associations in common speech than Freud intended. We speak of an individual as an "egomaniac" or as having an inflated ego if the person is conceited, or thinks too much of him or herself in an arrogant way, thinking only of him or her self and not of others. In Psychoanalytic Theory, however, the ego is defined far more specifically, and is considered to be the aspect of personality that mediates between the id, superego, and external reality. The way Freud describes the ego is in terms of a rider of a horse. The id, superego, and external reality constitute the forces that are at work in and upon an individual, and all are elements that are largely or entirely operating independently of the person's conscious desires (after all, the way the world around me operates, for instance, is something I can do little to control). The ego is the rider of this unruly horse, and steers the individual on a path which takes all the other forces into consideration and takes action in the way that steers the best possible course, given what it has to work with. The ego can be seen as a person's rational faculty, the seat of caution and deliberation which grows more robust and potent as a person matures. The ego can also be seen as the person's sense of self, although Psychoanalytic Theory is careful to note that all of the other considerations of personality play a role in the formation of this sense as well. The ego leads the way as far as consciousness is concerned, but the self that emerges is not reducible to ego alone since the other aspects of personality have such a powerful influence.

With regard to the iceberg model of consciousness discussed previously, ego partakes in consciousness most, though a great deal of it is also not available to our conscious penetration; after all, if we were completely cognizant of all the ego did, we would be in far more direct contact with the workings of the id and superego, since the ego has to mediate between these. Instead, the ego operates at least in part beneath the level of consciousness, and decides which aspects of our experience we come to consciously know about. The conscious aspect of ego is the result of what, unconsciously, the ego has decided will be presented to awareness. It is the mediator of the other forces that are at work in personality, but all we really know is the result of the mediation, not the process that brought it about. Of course, the ego is not perfect in its censoring duties, and so the phenomena we spoke about before, like the Freudian slip and the results of free association, are able to rise into conscious awareness in an inadvertent way.

Now that we have seen the developed mind in the terms Freud laid out, it is time to turn back to the phases of childhood development and uncover, in more specific terms, how the three vital aspects of personality come to be in the first place. The first stage, as we have mentioned previously, is the oral stage, and anyone who has had or even seen very young infants knows where the title for this stage comes from. As was mentioned previously, children of this youngest age are entirely constituted by the id, and want nothing other than their desires and needs to be gratified. Having little motor control, the child is completely dependent on its parents, especially its mother, for providing everything it needs. The infant's primary contact point with the external world is the mouth, and it derives pleasure and satisfaction through suckling, tasting, and eating. An infant will thus attempt to suckle at its mother's (or any woman's breast) for both sustenance and comfort, the latter of which is shown to be important when we consider that, in the absence of an actual nipple, the infant will be pacified with a rubber or plastic substitute, or if these too are absent, their own thumbs.

None of this is particularly surprising or groundbreaking, nor was it even in Freud's time, but what he claims can happen if the child does not progress through this stage properly is not so intuitive. The conflict at this stage arises when the child is weaned from breastfeeding; the source of a child's comfort and sustenance is taken away from it, and it must redirect its desires to another source. If a child is not able to do so, he or she will become fixated on the oral, unable to break this deep-seated attachment. This manifests itself later in life in a transformed, metaphorical way, and may lead to an individual's developing an oral fixation to gain comfort, in ways as diverse as nail biting, eating excessively, drinking alcohol, smoking, and so on. This orally fixated individual may also have problems with dependency, since he or she did not successfully accomplish the transition from being totally dependent on the mother to being more self-sufficient, which is what the weaning process is all about. Other issues are also attributed to oral fixation in Psychoanalytic Theory, but for our purposes, those that have been presented are the most direct and relevant.

Just as the oral stage was primarily focused on the mouth and its associated actions, the anal stage, as you might have guessed, is focused on the anus and all its functions and products. At this stage of development, the libido is still the prime mover of personality, and its focus is on bowel and bladder movements. A child in this stage of development is concerned with his or her controlling the bowel and bladder, and the major conflict arises in the form of toilet training. The id, still the primary component of the child's personality, wants nothing more than the desires of the body to be met, and so when the child has a desire to defecate, he or she will naturally do so to satisfy their urge. However, when it comes time to be toilet trained, the id is no longer given free reign, since the child's parents expect him or her to begin using the bathroom instead of a constantly attached diaper. The ego's formation is certainly one of the results of this process, as the child is expected not merely to give in to their natural functions and urges, but rather to control them. Directing and controlling the self, especially the id as we discussed earlier, is the function of the ego, so successfully passing through the anal stage is vital to the development of a child into a healthy adult.

In Freud's estimation, the parents have a very important role to play in toilet training which can either result in children's successful transition from one stage of psychosexual development to the next, or in their being caught at the anal stage and harmed in a way that will remain with them throughout their adult lives. If the parents are too permissive about toilet training, Psychoanalytic Theory suggests that the child will likely develop an anal-expulsive personality, which is destructive and wasteful. If the parents are too strict, and punish the child for his or her failures in an excessive way, the child will likely develop an anal-retentive personality, which is uptight, rigid, and inflexible. This is one term that has survived almost completely unaltered despite its wide adoption in contemporary popular culture. We are more likely to refer to a person as being "anal" rather than "anal-retentive," but the root is the same, and I remember a time in the 80s when "anal-retentive" was the more common popular term, which makes sense, since "anal" is merely a shorthand version of it, and the long form almost always precedes the short. Ideally, parents would reward their children for their accomplishments and monitor them closely, providing the children with encouragement that leads to a sense of accomplishment and pride. When this is the case, the child has the best chance of making a successful, healthy transition from the anal to the phallic stage of psychosexual development.

The phallic stage of development, as you again probably already guessed, is one where the libido is focused on the genitals. However, as we will see a little further on, this is not the same as the genital stage of development, where the focus is overtly sexual and rooted in the developments of a sexually mature body. It is at this stage where children become acutely aware of their genitals, and where, Freud posits, children learn the differences between male and female genitals, and begin to develop ideas about these differences. This stage is of pivotal importance to Psychoanalytic Theory, since it is here that the processes which initiate the Oedipus complex, penis envy, and many other key concepts are located.

As we have just mentioned, the phallic stage of psychosexual development is one that leads to the development of the Oedipal complex, which is so foundational and important to Psychoanalytic Theory that it deserves as lengthy a description as I have space in this series to give it. To begin with, the term Oedipal may not be familiar to many of you; however, once you know the story of the character from whom it takes its name, Oedipus, you will see precisely why it has the name it does. In ancient Greek myth, Oedipus was born to Jocasta and Laius, the king and queen of Thebes. There was a prophecy declaring that he would kill his father and marry his mother, which, needless to say, unnerved the king and queen. So, they bound the babe through the ankles and gave it to a servant to leave exposed in the wilderness. The servant set out, but simply could not go through with it, so he handed the child off to a shepherd, who took the child in and raised it as his own son. The word Oedipus, for those of you with etymological inclinations, comes from two Greek words meaning "swollen" and "foot," an appropriate name considering that his infant ankle binding left him with permanent scarring.

As time passes, Oedipus grows into a young man, but he hears tell of the prophecy attached to his fate, that he will kill his father and marry his mother, and is, understandably, upset. He decides that he has to leave his parents and never return, so that he is certain he will not perpetrate the terrible actions which have been predicted. Far outside the city on his travels he comes across a small party of men coming in the opposite direction who speak rudely to him, and there is an altercation which results in Oedipus killing the men, one of whom is, unbeknownst to him, his birth father Laius, the king of Thebes! He makes his way to Thebes where he is able to solve the riddle of the sphinx which breaks a curse that had been plaguing Thebes, and as a result, he is made king. As is fitting, he marries the widowed queen, Jocasta, who is, as you will remember, his birth mother, and in so doing fulfills the second part of the prophecy. There is a little more to the story, but for our purposes, I will end by saying that when Oedipus finds out what he has done he gouges out his own eyes, and casts himself out of Thebes. Jocasta commits suicide, and the house is cursed for several generations.

Turning back to psychosocial development, Freud believed that the progress of male and female children was different through the phallic stage, but that a similar process guided their differing developmental journey. In the case of boys (about which Freud seemed far more certain), he proposed that the libido, in the phallic stage, is primarily concerned with the genitals, which promotes the boy to be sexually attracted (in a way that cannot really be considered conscious) to his mother, who becomes the object of his desires. The mother is the source of the fulfillment of all the child's needs, and so it makes sense that he would also look to her as the logical target of his libidinal desire. However, at this point the boy also becomes acutely aware that the mother's attentions are not his alone, and that she also grants some of her time and attention to her husband, the boy's father.

The How's and Why's of Literature

Psychoanalytic Theory - Part II



At this point, when the boy realizes that he and his father are both competing for the same resource - the affections and attentions of the mother/wife - he grows uncomfortable and fearful. After all, the father is a powerful figure in his life and in the household, and the boy cannot hope to win versus such an opponent. Appropriately then, the condition where a male child is sexually attracted to his mother and in competition with his father is known as the Oedipal complex; the child, of course, does not attempt to kill his father or have sex with his mother, but the basic drives are analogous to the inadvertent behaviors which doomed Oedipus himself. Afraid of the consequences of his desires, and the punishment which might arise from them in the anger of the father, the boy (in the phallic stage, remember), having noted the differences between male and female genitals, believes that females have had their genitals cut off, and posits that this was likely done as punishment by the father for desiring the mother. The boy then grows afraid that his father will castrate him as punishment, suffering what Freud called castration anxiety. This anxiety causes the boy, who identifies with the father as he who possesses the object of his desire (the mother), to shift the libidinal focus from his mother to women more generally conceived. Psychoanalytic Theory refers to this shifting process as displacement, and it is one of the most important ways childhood experiences are transformed into adult behaviors.

As I mentioned previously, the developmental path for boys and girls is significantly different, in Freud's conception, during the phallic stage, since the libidinal focus is on the genitals, which are one of the earliest criteria for children to differentiate between the sexes. Girls, like their male counterparts, begin during the phallic stage to see their mothers as appropriate targets for their libidinal drive, and begin to be sexually attracted to them. The problem, of course, is that the girl, when she becomes aware of the differences between male and female genitals, realizes that she is not able to have a sexual relationship with her mother, since she does not have the requisite penis. As a result, she desires a penis, which would give her the power to have the desired sexual relationship with her mother. She thus looks to her father, who is equipped with a penis, as a solution to her problem, and wants to obtain his penis. This desire to possess her father's penis leads to her having sexual desire for her father, which is a crucial step in developing normal sexual drives. Like boys, who realize that their fathers will likely be angry with them for competing for the love of the mother, girls begin to feel that their mothers will be angry with them for competing for the love of the father. This results in the girl's developing the belief that she has been castrated by her mother, as a punishment for being sexually attracted to her father, which in turn leads to her abandoning her mother as an object of sexual desire, and focusing exclusively on her father. Since her mother is a rival, she desires to dispose of her and take her place, so she models herself after her to achieve these ends. However, she fears further retribution from the mother, and, like her male counterpart, employs displacement as a defense mechanism, shifting the target of her desires from her father to men in general.

The idea of penis envy emerges from this stage of development as well, at the point where the developing female child realizes that she does not have a penis, and desires to have one. For Freud, this is a pivotal moment in the psychosexual development of females, which often results in feelings of powerlessness or inferiority in women in their adult lives. It almost goes without saying that this is one area where Freudian Psychoanalytic Theory and Feminism collide head on, but I will say something about it here because the clash is an important one in the realm of literary and cultural theory. Freud had a distinctly male-centered view of psychological processes and development, and so while his story of male childhood development seems plausible (relatively speaking), his account of female development seems forced, if not simply incorrect. The basic idea that women, lacking penises early in their development and feeling this lack, are envious of those who possess them and doomed to feel less powerful than men as a result, is simply taken as a slap in the face by many Feminists, who do not believe that women, unconsciously or otherwise, somehow naturally feel inferior to men, in any respect. They believe that any such feelings are attributable to culture, and to the social structures the patriarchy has erected to maintain male domination and ensure women believe they are inferior to men.

This only begins to scratch the surface of the problems Feminism has with Freud, and of course I have only illustrated a single view, whereas Feminists are not a monolithic group. In fact, some later Feminist schools, especially those rooted in Poststructuralism, work extensively with Psychoanalytic Theory, although their primary reference point is the work of Jacques Lacan, whose developments of Psychoanalytic Theory modify and depart from Freud's in many important respects, including a more metaphorical treatment of the key developmental milestones and stages, as well as a focus on the linguistic implications of psychoanalytical concepts.

Continuing with the groundwork of Freud's Psychoanalytic Theory, once a child, male or female, has passed through the phallic stage of development, the superego is finally in place. In the case of the boy, the father forms the outside influence which is the source and embodiment of social strictures and values, limiting the free reign of the id which had previously defined the child's personality and behavior. For the first time, the child has been able to both see the potentially terrifying consequences of violating taboos, and to internalize this fear and the values which must be upheld to prevent it from manifesting. In short, the boy internalizes the father as a forbidding source of powerful authority, and this constitutes the superego in the young child. For girls, a similar process is at work, although, in Freud's model that I just described, the mother is the source of value and fear. In both cases the child comes to associate the internalized, daunting rule of the father and mother with more general societal norms and expectations, creating a superego that is more broadly functional and inclusive. Most children lose the fear of their parents at some point in their progress to adulthood, so it is imperative that they have internalized their early experiences and do not reply on threats of direct punishment to avoid inappropriate behavior.

If a child has problems making the transition through the phallic period, Freud identified several possible effects that he saw as serious problems. Homosexuality is one of these possible outcomes, as are various problems with authority, and the rejection of gender roles considered appropriate to the individual male or female. Again, this is an aspect of Freud's Psychoanalytic Theory that has been widely and vehemently criticized by both gender and queer theory, since it identifies homosexual and transgender individuals as suffering from a psychological disorder. Freud's theories of childhood development, already severely criticized for their treatment of female development, is seen as being especially deficient when it comes to accounting for individuals who do not fall into traditional heterosexual patterns. The notion of appropriate gender roles, as well, is highly controversial, for it assumes that men and women are naturally attuned to behaving in a given way based on their sex. This supports the idea that men and women should occupy definite positions in the social structure, an idea that Feminists see as limiting and simply incorrect. They would be inclined to explain traditional gender roles on the basis of cultural and social structures, all of which are human constructions, not psychological or biological imperatives.

Turning back to Freud's theory of psychosexual development, we now move into a transitional period. After the tumult of the earliest stages of childhood development, and before the powerful changes that will accompany puberty, there is a period of development which Freud refers to as the latent period. In this stage, the dramatic shifts that have occurred so far and the structures of mind they have instantiated (the ego and superego) are left to develop in a gradual way. It is a time of relative psychic stability, since the libido, with its accompanying sexual drive, is kept in close check by the ego and superego. The sexual energy of the phallic stage is still present, but it gets redirected into other pursuits like play and the development of friendships. This latency stretches from about the time a child enters school until puberty, and it composes what most would consider to be the purest expression of childhood.

The period of latency ends with the onset of puberty, and begins the final stage of psychosexual development, the genital stage, which will continue throughout a person's life. Like the phallic stage, the genital stage focuses the libido on the genitals, but this time with a mature, active sexual drive. The sexual energy characteristic of the earlier stages of development returns, but this time the target of desire becomes members of the opposite sex. Sex becomes a strong motivator, to be certain, but this is not the only form of expression the genital stage facilitates. To this point, children's only real concerns were for themselves and their own bodies. At the genital stage, there is a marked out-turning of interest, and the individual begins to pay close attention to other individuals, becoming far more involved with them in a way that allows for the formation of close bonds, ranging from deep friendship to romantic love. Thus, the extroversion of sexual desire is accompanied by the extroversion of the individual in a more profound way, which, if the stage is entered into successfully, should result in a person becoming loving, unselfish, and generous. Of course, anyone who remembers their early adolescence knows that this does not happen all at once, but the wheels are set in motion at puberty, and they continue turning throughout the rest of the person's life.

As was the case for the other stages of psychosexual development, Freud identifies problems for individuals who fail to successfully pass into the genital stage. He surmises that those who have spent too much libidinal energy in the first stages of development will not have enough left to enter the genital phase. As a result, they will not be able to turn their concern outward from the focus on themselves, their own bodies, and their parents. This means that they will have serious problems engaging in mature relationships, and will find it difficult to focus on the responsibilities and demands that come with an adult engagement with the social world. The person will remain focused on themselves and on fulfilling their own needs and desires, following the dictates of the id in a childlike fashion rather than directing its energies (through a developed ego) in a mature way.

There is a host of Freudian Psychoanalytic Theory that modifies, expands, and goes beyond what has been presented so far in this article, and, as usual, I will recommend that those of you who are interested go to Freud's own texts and explore in a finer, more detailed way his treatment of the topics I have presented here in summary form. It is certain that a specialist in Freudian Psychoanalytic Theory will note some places in this series where I have simplified a complex concept or left out something which might well be of interest to a reader, but the foundation I have laid out here will be sufficient to provide a grounding for the application of Psychoanalytic Theory to literary studies, which is, after all, my primary objective.

Literary texts hold a tremendous amount of potential for Psychoanalytic Theory, and they can be seen as a further elaboration of the same principles that operate in dreams. Psychoanalytic Theory sees dreams as presenting various aspects of the unconscious in transformed ways. Thus, dream images are often highly symbolic and representative, rather than literal and direct manifestations of unconscious drives, fantasies, and memories. One could even argue that dream analysis undertaken by psychoanalysts involves a very detailed reading of dreams, with reading taking on the meaning it has for literary scholars - the close examination of the structures and elements of the work which are combined in a system or interpretation that connects them and allows for the emergence of unified themes. One of the key differences between the reading of a text and the reading of dream, however, is that a text (taken from a New Critical or Structuralist perspective, at least) can be evaluated on its own terms, without reference to the author or other external factors. A dream, on the other hand, is not usually understood in the same way. It might be possible to do a strictly literary reading of a dream on its own terms, but this would at least in part defy the purpose of analyzing the dream in the first place. Psychoanalysts study dreams to understand more about their patients, and so rather than looking just at the dream as it is presented, they are concerned to understand it in terms of the individual's experience. By conducting such a dream reading, the analyst hopes to be able to break down the various transformations the dream presents, and to pierce to the underlying unconscious factors that lead to the images and scenarios that manifest themselves. Thus, the analyst seeks to provide an interpretation of the dream and its elements in terms of the dreamer, and so they are not even reading the dream per se, but rather the person who is doing the dreaming.

Another key difference between literary works and dreams is that dreams, according to Psychoanalytic Theory, are products of the unconscious, and as such the dreamer has little or no control over them. They seem to bubble spontaneously to the surface during sleep, and while there are rare states (such as lucid dreaming) when the dreamer is aware he or she is dreaming and can then control aspects of the dream experience, this is the rarest exception rather than the norm. A text, on the other hand, is the conscious production of the author, and, far from spontaneous, literary productions are most often painstakingly considered and arranged, according to a plan the author has in mind, which is usually designed to create a given effect in potential readers.

However, interesting results often emerge when the tenets of Psychoanalytic Theory are applied to texts which treat them as if they were dreams, and the author the patient. Taken from this perspective, the text is still considered to be an intentional product of the author, but it is seen as saying much more about the author than the author even realizes. Basically, the message or intended effect of the author is seen as being a cover or veil for the aspects of his or her repressed unconscious desires, fears, fantasies, and memories. A literary text, in the same way a dream does, encodes these unconscious drives of the author in images and language that the author is not even aware says anything about his or her psyche. As is the case for the study of dreams, each character in a given literary work, as well as their relations, and even the settings in which everything takes place, can be seen as manifestations of different aspects of the author's psyche. Thus, from one way of looking at it, the text is actually a symptom of the author's pathology, a paraphrase of a statement made by Psychoanalytic Theorist Jacques Lacan, whose work paved the way for the rise of Psychoanalytic Theory in literary studies.

Lacan, a French theorist, is most comfortably positioned in the Poststructural camp of literary theory, since his ideas are rooted not only in Psychoanalytic Theory, but also in linguistics, and are focused on a remodeling of structuralism. He turns Psychoanalytic Theory on language itself, and attempts to explain how meaning and language can be generated at all in psychoanalytic terms, perhaps most notably in an interesting application of Freud's Oedipal complex. As we remember from our discussion of the Oedipal complex during the phallic stage of psychosexual development, the male child sees the father as a rival for the love of the mother, and so wishes to dispose of and replace him. However, he fears castration, and so must not do that which would anger the father, which would be having sex with the mother. So, although the son desires to be like the father, and identifies with him, he can never be the father, for he can never have the mother he desires in the way he desires. As a result, the father becomes elevated into an ideal that simply cannot be reached, and Lacan posits that the father at this point goes from being a mere physical presence to a powerful abstraction, what he calls The Name of the Father. This coincides with Freud's idea of the child's internalization of the father figure becoming the superego, only described in more metaphorical, and more powerful terms. Lacan believes that this Name of the Father is pivotal not only in developing a superego, but in making meaning itself possible.

Just as the figure of the father is sublimated into the Name of the Father in Lacan's terminology, so too is the actual mother transformed into a new, conceptual form, known simply as desire. The mother represents desire on two levels that have a great deal of overlap for the infant especially. On the one hand, the mother represents the libidinal focus of the infant, and so sexual desire is one of the mother's primary meanings for the child going through the earlier stages of psychosexual development. In a related way, the union the child seeks to achieve with the mother is expressed more generally as well; when the child is still quite young, it has not yet made the distinction between itself and the world around it. The self-other distinction that is so vital to normal adult functioning does not instantiate itself until the child develops beyond the id, and into the possession of an ego and superego. In the phallic stage of psychosexual development, the child undergoes the processes associated with the Oedipal complex, which acts to make the ego bloom, and instantiates the superego upon its completion.

In this Oedipal process, in Lacan's terminology, the Name of the Father, the actual father taken as a powerful metaphysical concept, is what causes the child to be severed from the mother. Till that point, the child sees him or her self as an entity coexistent with the mother in an undifferentiated state of oceanic sameness where all needs are taken care of. However, with the imposition of the Name of the Father comes a marked separation from the mother, since the fear of castration prompts the child to separate itself from the mother, and to identify with the father. Thus, the mother becomes the longed-for perfection, the essence of desire itself, for the child feels powerfully its separation from the source of all its pleasure and sustenance, and wants nothing more than to achieve a return to this unity. This return, of course, is impossible once separation has been achieved, and so the object of desire is perfected because it can never be attained; one can never see oneself as being the same entity as the mother, and one can never possess her sexually because, first, of fear of the father, and second, because the child learns the strict taboo against this kind of union. Thus, the mother embodies the purest target of unachievable desire.

As a result, all desire is rooted in lack, or absence. Both the mother who is the target of desire, and the father whom the child eventually attempts to emulate and become, represent unachievable goals. Both of these become the preconditions for our existence in the world; we desire the unattainable, and so we desire to become that which could attain it (the Name of the Father, the ultimate phallus), but neither is ever possible. Language emerges as a structure which is rooted in these essential incompatibilities. All language is rooted in a desire to say something, to communicate, to exert ourselves on the world. Further, all language is an attempt to capture in words precisely what it is we are feeling and thinking, which is itself impossible. Finally, language relies on the belief that there is some objective power that exists outside it that makes it consistent and intelligible among different people; without this belief, any speech act would be seen as an utterly futile one. Thus, we constantly seek to achieve the phallus, the source of all power and mastery, but are doomed to fail. As a result, language is constantly missing its mark, and the desire of perfect union between thought and word is never achieved.

Lacan's work revisits and remodels Ferdinand de Saussure's work on language which we read about in previous series, which forms the basis of most Poststructuralist conceptions of language. Lacan's work itself became a popular and even dominant way of considering language, and was adopted by Poststructuralists of many types, including Deconstructionists and Feminists, to name but two of the groups we have already spoken of so far. Language, like our desires in general, is able to make reference only to itself, and is only intelligible in terms of itself and its own inherent rules and structures. That which gives language meaning, the Name of the Father, is outside the system of signification, and while it can be seen as that which gives language meaning, it is outside of the meaning creating structure and so ineffable and unpronounceable. Thus, all language, and all meaning, is centered on an essential lack or absence; this aporia between meaning and that which makes meaning possible is the generative force (and inherent contradiction) of language itself.

Needless to say, Lacan's work is probably the most esoteric and confusing of all the Psychoanalytic Theorists, and many, many Poststructural theorists have dedicated themselves to rendering his work both more lucid and more applicable to literary studies. In order to make a Lacanian reading easier to imagine, and to outline a story which is at the very core of Lacan's generation of his basic ideas, it will be most useful to present a psychoanalytic reading of the first creation myth of Genesis, where the Lord creates everything that is.

The first three words of the Bible, most appropriately, begin things in their proper chronological order, with the words "In the beginning" letting the readers know just where they stand, and when the events that are about to unfold are taking place. From here, we learn that in the beginning, the only thing there is is God, and something known as the "Word"; however, the Word, whatever it is, is with God, and the Word is God, and so there seems to be just one massively undifferentiated powerful entity or substance which comprises the universe.

With the constituents (or more properly, constituent) of the early universe now established, we can see that the Biblical idea of creation maps onto the Lacanian concept of psychosexual development in an interesting way. Everything begins with an undifferentiated character, and all those things which will later be thought of as separate things, and even that which will eventually cause the divisions to be made between all things, are contained in a single mass or substance. This maps onto the infant's sense of complete union with the world around it, and especially its union with the mother, desire itself. Everything is a part of it, and it is a part of everything else, just as the universe, at this point, is all one thing, the being and substance of God.

The Biblical account shifts at this point, and the first differentiation of the entity of God and the universe is created. God says "let there be light," and immediately, there is light. The first distinction, indeed, the first principle of distinction, is created here, and there exists the light and the darkness, whereas before there was only an undifferentiated darkness. The light allows for the development of many more things, but it also carries great symbolic significance analogous to language and speech itself.
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Apr 09, 2013
Research Tutorial / Feminism (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Feminism - Part I



There are significant connections between Marxism and Feminism and their roles in contemporary literary scholarship, the most notable and well remarked being that they rise out of movements that were originally only tangentially interested in literature. Marxism, as we have discussed at length, is focused primarily on economic and social factors in a given society, while feminism is, as the name suggests, focused on gender, especially as it appears from a female perspective. Both are also concerned first with action and social reform, and only later with analysis and academic exploration. However, despite their decidedly non-literary origins, both schools of literary theory are now firmly entrenched and highly influential in literary studies programs across the world. Indeed, if one were to remove every Marxist and Feminist literary scholar from every literature department in North America, most departments would simply cease to be viable.

Feminism WritingThere are also more overt connections between Marxism and Feminism, and the term "Marxist Feminist" describes an individual who applies the principles of Marxism to the concerns of Feminism. The overlap is easy to see in outline, since the oppression of one group by another is a strong theme of both. The groups may be different (though in some very interesting ways, they too overlap), but the principles of dominance, alienation, and oppression apply equally well to both. Taking this comparison even further, some Marxist Feminists believe that the best way to ensure the interests of women are upheld is through a revolution, where the dominant male structure is toppled, and women are able to arrange a society where their rights, freedoms, and agency are prioritized. Keeping in mind that women compose more than half of the world's population, yet as a group earn far less money, own far less property, and have far fewer representatives in institutions of government, it is clear that, looked at from this perspective, they are a huge portion of the proletariat; the difference is, of course, that many have come to rely on a husband to make up for such material disadvantage, which makes the group look far smaller and less deprived than it really is.

There has also been a marked and constant resistance to Feminism throughout much of its progress, both in general and specifically in literary studies, just as there has been to Marxist theory. In a way, this is unsurprising, and adheres in the basic aims of both political and philosophical movements. Any time an idea arises that challenges the prevailing system of thought, as well as the individuals and the social institutions of a given society, those who are in positions of power will be none too pleased that this power is first being exposed, and then challenged, especially by a group that is thought to be inferior and powerless. Since both Feminism and Marxism are rooted in political action, rather than simply analysis and discourse, their very presence has made many over the last century and a half or so very uncomfortable, and even in the modern academic establishment, where both theories have such strong followings, resistance continues.

However, although the obvious and interesting links between Marxism and Feminism serve as a good transition between this and the previous focus of this series, there is far more to Feminist thought than Marxism can contain, and so I will now switch the focus to Feminism itself, how it is perceived, its origins, development, and its role in the literary community, both today and through the course of modern literary theory.

Before going any further, I feel the need to assuage some of the fears and objections I can see arising from my treatment of this most diverse and expansive array of ideas. First of all, I am not female, and for some (thought certainly not all, or even most) feminists, this precludes me from being able to justifiably write on the topic. This idea of group exclusivity is not unique to Feminism, of course, and it has often been remarked that only someone who has had the experience of a given group, be it race-based, class-based, sex-based, or what have you, can accurately and justifiably speak for that group. Allow me to state here that I am not presuming to speak on behalf of anyone, or any group, in my writing of any of these articles. My goal here is not to advocate for a particular position, nor to provide an overview of anything that attempts to speak for its membership. I am not speaking for or about all women here, and I am not speaking for or about all feminists. My goal, as it has been throughout these articles, is to provide an overview of a body of academic knowledge that a non-professional can use as a stepping stone into a more solid understanding of the field, specifically as it relates to the study of literature. I further believe that anyone can write about anything they know something about, and so while you might be more inclined to believe a story about a Native American's life from a Native American, and while you might see it as more authentic (perhaps with good reason), this does not preclude a non-native from writing a similar life story which could be very good as well. Of course, the idea of authenticity loses a lot of its value when it comes to academic, rather than creative writing. While true-life experience might do much to inform a novel about a particular kind of life and way of living, it has far less bearing on an essay about the state of studies in a given discipline, regardless of the focus of that discipline.

It must also be noted that, as you might have noticed already, that I have chosen to capitalize the noun Feminism and the adjective Feminist throughout this article, which is certainly not standard practice. My reasons for doing this are not political (I am not trying to advocate a given position through the emphasis afforded by consistent capitalization), but rather practical. Note that I have maintained this practice throughout this theory series, which is standard for some theoretical schools (Marxism, for example, especially since it is named for its founder), and non-standard for others (Deconstruction). I feel that, since my focus is on the exploration of theoretical positions, and since the rules for punctuating such can be sketchy (like Formalism, for example, which is written both with a small and a capital F), I would make this uniform throughout my writing here. In this way, I achieve an easy consistency, and at the same time I help to focus the attention of the reader on the theoretical positions which form the basis of this series. It also serves the purpose of standing all of the theories, graphically at least, at the same level, which is never a negative thing. Some I like more than others, to be sure, but by keeping the visual representation of the theories the same, I am at least not overtly putting one above another.

One of the key difficulties one faces in tackling the subject of Feminism, whether on its own or as applied to the study of literature, is the fact that the term is a highly contested one whose meaning is different for each different group that applies it to themselves. There is the culturally prevalent view of the "militant feminist," the man-hating, male-bashing woman who believes anything male is evil and worthy of destruction. This is perhaps one of the most unfortunate stereotypes associated with the theory, as it makes Feminism easy for its detractors to denounce, and scares away potential adherents. I have spoken to many students who claim that they are absolutely not Feminists, despite their belief in many principles that power Feminism as a whole. The reason for this is that Feminism and Feminist have too often been portrayed as aggressive, almost militaristic, extremes, when this in fact is more a caricature created by its opponents than an accurate description created by its adherents. There are certainly branches of Feminist thought and action that reflect this stereotype more than others, but this "definition" of Feminism is so powerfully oversimplified that it actually says more about the people who use and believe it than Feminists themselves.

Starting at what is most basic and common to all brands of Feminism, we come first to what is most important and obvious. The root of the word Feminism is shared with the root of the word female, feminine, femininity, and so on, all of which indicate the presence of and focus on females persons, especially women. The origins of the word female stretch back millennia, and it was first used in a purely biological sense, especially to differentiate any species on the basis of reproductive abilities. This gradually came to be applied more strictly to human beings, especially in the alternate forms of the word. Thus, one might hear a female gorilla being spoken about, but one is far less likely to hear (unless it be in some sort of comedy), the feminine characteristics of the gorilla being spoken of. However, since the other forms of female have taken on such specific and politically loaded connotations within Feminism, I will for now stick to the primary and original word female and what it indicates. Basically, Feminism is concerned with the female human being and her place, role, experience, and life in human society. The Female is defined first biologically, and while there are social constructivist Feminists who would argue that woman and female are social constructions (more on this later), there are not many who would argue against the fact that one must have the appropriate chromosome configuration and biological traits to be considered female. Current debates about the position of trans-gendered individuals aside, it is clear that, on this most basic of foundational issues, Feminists find their common link.

The focus on the female, however, is a very broad central interest indeed, and it is certain that this is, while necessary, not sufficient to describe even the most rudimentary Feminist position. After all, male pornographers and pimps have for millennia focused on the female, and no one, least of all themselves, would argue that they are Feminists. Many misogynists have made a career of focusing their attentions on women, but to the detriment of women. Obviously, a focus on women, and on the female, as something positive, is a necessary starting point. This too is not sufficient, but it is a useful and necessary starting point.

So far, we have defined biological femaleness and a positive judgment of women as necessary to Feminist thought, and we can confidently add to this a belief that this positive view of women is not shared by most members of a given society, most especially (though not limited to) men. There is a reason, for example, Masculinism (or Masculism) has not risen to prominence in the literary or any academic community. Thinking back to Marxism and capitalism for a useful analogy, we can see that the group which is unhappy with the status quo is the group that is going to band together under the banner of a useful, descriptive "-ism," and define itself as opposing the dominant ideology. So, Marxism arises as a critique of capitalism, and has become an important theoretical approach. Capitalism, on the other hand, because it is the status quo, the dominant against which Marxism pitted itself, does not gain the same theoretical power (in literary studies, at least). The reason for this is whatever is dominant is simply how thing are, and how things are done; the resistance, defined as being against the norm, is against it in a particular way, and so gains and identity that the massive and diffuse status quo cannot hope to achieve.

Thinking back to Masculinism, it would have made little or no sense for this term to emerge much before the present day (where one does occasionally hear it, albeit not often very seriously, barring some notable exceptions). Since men occupied the vast majority of positions of power, and dominated the public sphere, the norm involved an intense focus on men, and the exclusion of women, perhaps unconsciously, but all the more powerfully as a result. This way of being which put the male ahead of the female was so ingrained in culture (and I can say this with a strong amount of confidence in its cross-cultural validity), that it was for the most part invisible and taken for granted. So, it is clear that the interesting, revolutionary, idea and movement would not be Masculinism; males were not being oppressed, and their identity was essentially the touchstone for human identity. Instead, the interesting new idea was the one, is always the one, that looks at the prevailing structure and begins to ask intelligent questions about it. Why are things the way they are? Are the suppositions we take as common sense really true? Are there other ways of living, being, and thinking that are superior to this one, and that would serve to make me and the rest of the society happier and better off? That is why Feminism emerged as a distinct way of looking at the world, and a powerful literary school. It is only in relatively recent years, when Feminism has grown into a strong and durable entity, that the term Masculinism even became a viable idea. At its worst, it is a petty reaction to the negative stereotype of the male-bashing we discussed earlier. At its rare best, it is a way of focusing on the unique needs of men in a thoughtful and intelligent way. In any event, that is all I will say on the matter of Masculinism. It is not an approach to literature that has any currency in the literary academy, and while I think some versions of it contain some useful insights that can help men better understand themselves, most of what I have seen of it is not of a desirable or useful nature.

So, to quickly recap the statements made thus far to describe the core of Feminist thought, Feminism requires a focus on the female human, seeing women as good and positive, especially when the society at large sees women as inferior to men. Let us further add that Feminism is not only the exposing of the oppressive attitudes which act to keep women in an inferior position, but also a call to action, designed to make significant changes in a given society or even in the world as a whole. Feminism's most basic goal is to make society a better place to be for women. It is often far more than this, but this is a core goal that has motivated all Feminist thought from the time of Mary Wollstonecraft to the present day.

It might seem to some that I am taking baby-steps in my definition of what Feminism is, and in a way I admit that I certainly am, but there is an excellent reason to approach this topic with caution, and to build from the ground up. Feminism, as I have mentioned previously, is an incredibly broad field, and there are as many kinds of Feminist theory as there are academic disciplines that Feminism has paired with (like Marxist Feminism we discussed earlier). Like any critical field, and perhaps even more than all non-political theories, there are internal debates and disagreements that often dominate the discourse within the field. Thus, much of the focus in a well developed, historically rich theoretical and practical discipline like Feminism is on the differences within it, rather than the common foundational premises that unite the disparate brands though which it manifests itself in the present day. So, since this is a general introduction, I wanted to be sure that I began by talking about what Feminism, as a whole and upon its inception, was, and on the things that carry forth from the start of the movement to the present day. Now, many critics speak of "Feminisms" to underline the diverse array of viewpoints and approaches Feminism encapsulates, but before we delve into these, I think it important to understand what is central to Feminism and Feminist thought in general.

Like any human movement, it is difficult to trace the precise origins and exact birth date of Feminism. I think a good starting point, and one that is certainly not uncommonly mentioned, is Mary Wollstonecraft's A Vindication of the Rights of Woman. Published in 1792, it is considered by many to be the first detailed treatment of Feminist issues from a Feminist perspective. Although Feminism has since gone in many different directions (some of which disagree with much of what Wollstonecraft had to say), we can see that its origins adhered in a criticism of the society in which it was composed. Wollstonecraft took as her basic premise that the intellect was the most important consideration in the evaluation of a human being, and that women were capable of exercising, developing, and displaying this intellect just as men were. She admitted that this development and display was not nearly common enough, but outlined many reasons for this that powered Feminist thought for many years, and are still in the popular consciousness to this day. Her goal was not to disparage women, accusing them of not living up to their potential. Rather, she was attempting to identify the causes, as she saw them, of women's generally poor intellectual development, so that women (and even men) who read what she was writing could take steps to make sure that the factors that worked against the development of women's minds were, at least in a preliminary way, overcome.

Wollstonecraft's treatise encompassed many aspects of the negative impact existing social norms, attitudes, and structures had on the development of women and their intellects, as well as their ability to contend and stand shoulder-to-shoulder with men in the public sphere. One of her most enduring critiques comes from the system of education that was present during her time, which served to cultivate learning and reason in men, while it fostered more "practical" household, domestic skills for women. Boys would be taught, from an early age, about the arts and sciences, languages, arithmetic, history, and philosophy; in short, they would be given a base of knowledge, and instruction in how to apply and expand that knowledge. It has been claimed that one cannot be taught to think, and while this view has perhaps some merit if interpreted strictly, it cannot be argued that one can be "educated" in a way that makes thinking in certain ways, and about certain things, far more difficult. After all, if I (taking the position of a women for a moment) am told constantly from the time I am old enough to know anything, that philosophical thought and reason are the sole provenance of men, and that I can best lead my life as a capable and loving support of a man, the way I think about the world and my role in it will be very different from a man's. The way I see things, and the things I consider most valuable to know, will be conducive to a life spent in the service and support of another. I may well see my place, and the place of those like me, as important, but my importance arises from the extent to which I am able to be of assistance to the man who is the reason for my doing and knowing anything at all. If I am led to believe that my value arises from my utility to my husband, and the rearing of our (his) children, my ambition to become someone who sees myself as inherently valuable is severely limited.

Wollstonecraft herself, of course, is evidence that the effects of such indoctrinating education can be overcome, and that the role imposed on her by society and education is not completely determinate of her sense of self and value. Any man or woman reading her prose could not ignore the plain fact that she was possessed of a remarkable intellect, a powerful sense of reason, and an eloquence rivaling that of the most erudite and philosophical man. However, as she points out in her treatise, the strong social bias that existed resulted in many men (and even women) dismissing women who were able to overcome imposed limitations as rare exceptions, or even, more vehemently and belligerently, as unwomanly aberrations who were evidence of the perversion of society's values. This, of course, is a poor argument, for the premises which ground it (that women are intellectually inferior to men), are turned into absolutes that invalidate empirical evidence to the contrary (any woman of superior intellect must be a perversion of the social order, since women, everyone knows, are inferior). Wollstonecraft saw and exposed all of this chopped logic, and though she was attacked and berated for her views, her words had a lasting impact that would be most fully realized decades or perhaps even centuries after she had written them. In the beginning, even most women resisted her claims, and while it is easy to lay blame, it must be said that flying in the face of everything you have grown up to believe, everything that you see around you, is no easy or pleasant task.

Wollstonecraft identified what we would now call systemic sexism, the infantilizing of women by men which pervades every aspect of culture, its productions, institutions, and the minds of the people running them and living within them. This is not a conspiracy theory, though many who stand to lose from such a revelation might have referred to it as such, and many continue to do so to this day. It is not and was not the case that men consciously decide amongst themselves that they are going to keep women down, and that they spend their hours plotting ways of ensuring their dominance continues. Rather, people are born into a society which values and practices certain ways of being which are considered good, right, and proper. They internalize these attitudes and beliefs, live their lives with these ideas as unquestionable truths, and then pass these values on to the next generation. Indeed, the very power of these ideas and attitudes comes from the fact that no one living has consciously decided on the state of affairs as they are; if this were the case, the ideas simply would not have the permanence, power, and simple value of "obviousness" that such ideas possess.

Many of you reading this last sentence or two might balk at the idea that the oppression of women is something that you could ever consider normal or ok, and imagine that if you were alive at the time Mary Wollstonecraft, you would have leaped to her defense, seeing the obvious correctness and value of what she was saying. I am certainly not going to claim this is impossible, as Wollstonecraft even in her own time had supporters both male and female, but I will claim that it is highly unlikely that anyone, myself included, would have done much differently than the majority of people did at that time. Certainly, if you were somehow transported there now, having been raised in present culture in the Western world, you would possess the views you do now, and likely agree with Wollstonecraft. However, and this strikes to the heart of Wollstonecraft's point, had you been raised in that society, into a system of thought that took as obvious and basic truths that women were intellectually inferior to men, your resistance to these values would have been largely crippled, if it had ever sprung up at all. This is the pernicious nature of systemic sexism; it becomes the natural mode of thought over all it governs, and breaking free from a paradigm is one of the most difficult things a human mind can do.

A more contemporary example can be found in the dark, ugly history of slavery and racism in the United States. For most of us (and I sincerely believe and hope, the vast majority), it is unfathomable to believe that black people are intellectually inferior to white people as a part of their very nature. These italics are not incidental, as this idea of naturalness is what motivates both racism and sexism. If I believe that blacks are naturally inferior to whites, I will see any accomplishment by a black person as an exception and anomaly, and will see any American ghetto as proof that I am correct. However, as the civil rights movement has pointed out, it is this very belief that serves as the cause of so much racism and black poverty. When the social system is committed to the belief that blacks are inferior, it will ensure, often unconsciously (though sometimes very intentionally) that ample "evidence" for this abounds. However, as both civil rights activists and early Feminists showed, the racist or sexist attitudes and beliefs ingrained in society and its structures cause the very things which are claimed as proof for inferiority.

Wollstonecraft's identification of sexism as not merely an individual, but also a social way of constructing reality, is another cornerstone of Feminist thought, and all branches of Feminism, regardless of their more specific stances on the origins and current status of sexist thought, adhere to this basic principle. After all, if sexism were merely confined to the belief systems of various individuals and not enmeshed in the very fabric of a given society, it would be far easier to identify and route out. If I have come to believe that women are inferior to men on my own, without the strong support of social structures, I would be considered a maverick, a social outcast or dissenter rather than one of the many who are upholding a widely socially accepted and enforced point of view. Without a systemic social basis for sexism, it would not be a social issue one could even organize a group against, and Feminism would have a far different character as a result, if it came into being at all.

Wollstonecraft did an excellent job of exposing the sexist structure of her society, and was a fine advocate for the dismantling of these unjust structures. However, she went further than this, and in a move which showed her rhetorical aptitude and her awareness of her audience, she attempted to address not only women, but also the men who held the positions of political and cultural power in her society. This makes great sense, since most of the readers of her work would have been male, and since, as she recognized, men were in the best position to effect changes which would see her ideas take a greater immediate force. Her strategy here consists of pointing out some female behaviors that she, and many men, regarded as unfortunate or foolish, as well as showing how the improvement of women, though education and the liberty to exercise their faculties of reason to their fullest potential, would improve their own lot not at the expense of men, but rather along with the lives of men, by the betterment of social life taken as a whole.

She points to the ease with which women she has observed are tricked by cunning, unscrupulous men who foretell the future, or perform other feats of "magic" that are both illusions rooted in deception, and an affront to Christian religious belief (which was seen as an unbridled good by most in Wollstonecraft's time). Women were often blamed for being drawn into these unholy deceits, but Wollstonecraft argues that it is because they are not permitted a proper education that their faculties of reason are so easily overcome by these deceptive charlatans. She makes a similar argument about the undue attention and importance women give to novels, which, because women are indoctrinated to be beings of the passions, rather than beings of the mind, have the effect of creating false notions and undue, romantic, irresponsible attitudes in the hearts of women (Madame Bovary is a later, but excellent, example of the consequences which Wollstonecraft saw potentially befalling women who engaged in such reading without the proper, rational, preparation of the mind). Such propensities as visits to the homes of fortunetellers and magicians, as well as the over-indulgence in novels, would have been strong arguments appealing to husbands of the time who did not, in general, approve of such practices. Not content to stop there, however, Wollstonecraft went further, beyond the realm of relative annoyance, and into the very heart of the values of her society.

The most powerful arguments for the improvement of women come after her more trivial ones to end the final section of her treatise. Here, she takes up the issue of childrearing, a practice which, she states, is seen in her society as the task of women, if not solely, then certainly primarily. Wollstonecraft does not dispute the assumption that women are and should be primarily responsible for bringing up and taking care of the children; indeed, she seems to see this as a good and natural state of affairs. Many modern Feminists would fault Wollstonecraft for this view, because, they believe, men and women should be equal partners in all aspects of life, childrearing especially among them. It is hard work to raise a child well, but it is incredibly important work and worth putting as much effort into as possible. If only one parent bears this responsibility, an injustice is being done both to that parent, and to the child.

It is hard to dispute this argument, since, as the saying goes, it actually takes a village to raise a child, and contemporary psychologists have stressed the importance of children being presented with same-gender role models. However, we must not lose sight of the fact that Wollstonecraft knew she had a mountain of prejudice to overcome that was rooted firmly in the bedrock of tradition. Driving right at the base of the edifice of society was not likely to get her very far on its own, and so she knew that she would have to pick her battles and make what gains she could in a measured, gradual manner. Despite this, her ideas were still seen as radical by many who commented on her work, and though she does not seem to go far enough by the standards we might employ today, she was certainly taking some great risks for her time and place.

Instead of attacking the deeply entrenched view that women should raise children (which remains with us to this day to a significant degree), Wollstonecraft takes this as a given, and then points out how great a mother's responsibility is to here children, to the next generation, and thus to society as a whole. Women, she says, are said to be more caring and compassionate, and therefore better mothers as a result. However, she cautions, while caring and compassion are positive things, unless they are set in the context of a strong rational faculty, they may give way to passions that are simply not becoming of a mother. Since the mother is the prime example of human life her children see first and most often, if she is overly sensitive and prone to emotional outbursts directed against others, the children are likely to pick up and mimic this behavior. Further, it is of unquestioned importance that the children be taught to see the world clearly, as accurately and as completely as possible. In order to achieve this, they must be taught well, as Wollstonecraft discusses earlier in her treatise, but teaching begins far before any school is attended or tutor's help is sought. The first teacher is the mother, who is in constant contact with her children, and if she is not permitted to explore the full range and scope of her intelligence, she will be a poorer teacher as a result. This means that the children are being deprived of a strong opportunity to improve, and society as a whole, because its members do not have this early advantage, is constantly going to suffer.

It is possible that there are many Feminists who have been reading this series so far, and criticizing the fact that I have spent so much time with Mary Wollstonecraft, whose views are often seen as being proto-Feminist within the Feminist community. The reason I have begun with her writing is that much of what she believes serves to lay the groundwork for Feminist thought over the next 100 to 150 years. Her general focus, goals, and strategies are also mirrored by many later branches of Feminism, and much of what she writes shows what unites Feminists of many different stripes. Further, I felt it important to recognize the pioneering contribution of a woman who was taking enormous risks for the good of women in her society, and I feel like this is one of the hallmarks of Feminism through the ages, from her time to the present.

However, to stop with the Feminism or proto-Feminism of Wollstonecraft would be to end prematurely indeed, for Feminist thought has developed significantly in the last 200 years, as has the position of women in the Western world. Because of the changing realities of society and culture, and because of the successes of various aspects of Feminism social movements, Feminism has had to adapt itself to the political and cultural landscape in which it exists in each passing generation. After all, if Feminists today were battling for the same specific things in the same ways as their ancestors did, nothing much would be happening at all. Progress has rendered many goals of the earliest Feminists already achieved, and so the history of Feminism is one of change, rooted in essential bedrock (as we discussed at the start of this series introduction) of shared goals, but constantly on the move so that these goals can be best reached to the fullest possible extent.

Feminism has been historically and politically demarcated into many different sub-groups, with different groups gaining dominance at different times, some largely ceasing to exist, others rising and ebbing in importance. The most basic ordering principle uses the idea of waves, each of the three waves of Feminism being historically situated in a given chronological order. The first wave, which covers the longest temporal period, starts from the beginning of the Feminist movement (which some place on the shoulders of Wollstonecraft, and others place somewhat later) and runs throughout the 19th and early 20th centuries. The Feminists of the first wave did not even call themselves Feminists in the beginning, although they did eventually coin the term that would adhere even to the present day. Their concerns, as we can see in Wollstonecraft's writings, are as basic as one can imagine, and form the foundation of Feminism's goals. Women at the time were as far from having anything like equality with men as they have ever been throughout the course of Feminism, and as a result, their goals were both foundational and, by current standards, modest, although at their time they were seen as highly ambitious and controversial. This period of Feminism was dominated by what has come to be known as liberal Feminism, a branch of Feminist thought that is present even today, and which has risen and receded in importance through the course of Feminist history.

As the name suggests, liberal Feminism is rooted in the idea of liberalism, a political position that argues for the maximum amount of liberty in a society, to be restrained only by prohibitions on actions that would be harmful to others. This is similar in many ways to libertarianism, with its stress on individual autonomy and the free reign of individual human will in the pursuit of its own ends, but liberalism defines "harm to others" in a more inclusive way, and sees the legal system, for example, as being harmful to the ability of women engage in the quest for life, liberty, and the pursuit of happiness, the hallmarks of American freedom. Feminism got a powerful kick-start when the controversies surrounding slavery became central political concerns late in the 18th century and throughout the 19th. Many women-run groups opposed slavery and argued for the equal treatment under the law for people of all colors. Part of the problem, of course, was that the definition of "people" or human beings was not agreed upon, and that blacks were not considered fully human under the law. If they had been, slavery would have had to have been illegal, and so the recognition of the humanity of people of different races was a first important obstacle to be overcome.

Of course, this brought many of the women who were protesting for the rights of others to an unexpected conclusion; they were arguing for others to have rights that they themselves didn't even have! Unlike blacks, women were considered people officially, but they were not granted the same rights under the law as their male counterparts, and so, even in the most basic legal sense, were not treated as being fully human. The problems that Feminists of the first wave wanted to see remedied, coming from their liberal perspective, were rooted in the legal, official discrimination leveled against women. These legally enforced double standards resulted in a society where women were considered unequal at every level of society, from the opinion of the random passer-by on the street to the highest courts and political offices of the land.

Feminists thus turned their attentions to the legal and institutionally enshrined sexism that they saw everywhere, and which they saw (quite rightly, of course), as flying in the face of a political system based on the essential freedom of every person (be this in Britain or America, where Feminist movements first took root). The central issue, from both a practical and symbolic standpoint, was the right of women to vote, known as suffrage. In allowing only men to vote, the idea of democracy was a half-hearted illusion at best, for more than half the population of the world, and (almost always) of any given society, is female. As a result, in order to make this kind of intentional exclusion work from the standpoint of logic, either there was no democracy and equal rights, or women were not people. Neither of these prospects was agreeable, of course, for to deny the democratic ideal was to tear down the entire basis of government, and to maintain women were not people flew in the face of logic, biology, morality, and common sense. Practical arguments were made by anti-suffragists which argued that women were not capable of reason to the extent necessary to be effective participants in democracy, and moral arguments were made against women taking in part in public life, since it would apparently destroy the family and society as a whole, since domestic duties would take a back-seat, and children would be poorly raised.

Of course, we know how the story of suffrage ends here in the Western world; Feminist groups were successful in securing the vote for women, and democracy as we understand it is no longer the same kind of contradiction it was in the 19th century. However, the extension of the vote to women, while being an important first step on the road to equality under the law, and the implicit acknowledgement of women as full persons under the law, was not the last legal hurtle to overcome. Although women could vote, they were not permitted to run for or hold many political offices, meaning that while they could participate in democracy, they could not be full participants like men could. Aside from political offices, many other public and private positions were off limits to women, including military service, a slew of jobs, and executive positions in companies. Gaining the vote was therefore an important first step for liberal Feminism, but it was only a preliminary and necessary move which would prepare the way for full legal and political freedom, legally speaking, to be achieved.

Of course, just because Feminism had achieved so many official legal and political victories does not mean that women actually received equal treatment in everyday life, or that they were not, in practice, being subjugated by the rule of the males who ran the societies and set the rules of both the public and private spheres. The first wave of Feminism might have gone a long way toward achieving legal equality between men and women, but there is a marked difference between equality under the law and equality more broadly considered in actual experience. After first wave liberal Feminists had achieved so much and got so far, it became clear that the next step in the progress of Feminism would have to involve something of a change in focus, and this is precisely what happened in the early 1960s, especially in America and Britain.

Whereas the first wave focused on achieving equal rights and on making law applicable equally across the gender divide, the second wave realized that all of the legal progress, while an important and necessary first step, was just the beginning, an opening of possibility. There is a remarkable difference, as all of us are aware, between the laws in place at a given time, and the enforcement and exercise of those laws, and it was in this gap that second wave Feminism found its inception. While the first wave was primarily concerned with the manifest institutional sexism which pervaded their society, second wave Feminism concerned itself with the covert institutional or structural sexism which colored the daily experience of all women, and all men for that matter, in a hue that did not support the spirit of the laws the Feminists of the first wave had worked so hard to change.

Although much of the second wave of Feminism could be described in similar terms to those of the first wave, under the term liberal, it is here that many of the Feminist sub-types came to the fore, including radical Feminism. Perhaps no prefix to the word Feminist has caused more controversy and opposition than the word radical; and consider for a moment that Marxist is one such prefix, which might not seem so controversial now, but which was tantamount to a swear word throughout the Cold War which lasted more than half a century! Indeed, radical Feminists have long been derided by opponents as militant Feminists, a derogatory term intended to present such Feminists as belligerent and dangerous, in some sense even armed and ready for battle versus men.

Theory: The How's and Why's of Literature

Feminism - Part II



Allow me to take some time to discuss what radical Feminism consists of before I delve more generally into the goals and beliefs of second wave Feminism. Since radical Feminism is an important aspect of the second wave, this discussion certainly isn't a digression, and it will go a long way toward outlining what the second wave is all about, and what sorts of conflicts arose within Feminist thought during this wave. When we think of the word radical, many things come to mind, from the benign, innocuous California surf slang (radical dude!) of the late 80s and 90s, to the word's use as an adjective for describing extreme points of view (radical Islam, to use a contemporary and politically charged example). In the laid-back counter culture of the California surf scene, radical was used to denote something that was out of the ordinary in its intensity, with a side of rebellion thrown in to boot; the conformist, materialistic society of America in the 1980s saw the non-ambitious, thrill-seeking, pleasure-loving surfers as radical in that they lived a lifestyle far outside the socially accepted norms, and thumbed their noses at the establishment. The counter-culture embraced its radical-ness, and the word became part of their vernacular. Its spread did not end when the word lost currency, however, as its somewhat altered meaning (intense and outside the norm) survives to this day in the language of "extreme" sports.

The roots of the word radical, however, do not have as much to do with extremity and intensity as the word has come to in more recent years. The word itself comes from the same root as radius, which refers to the center of something, its origin, or its root. The origin or root which is being evoked by the word radical in radical Feminism is not the earliest stages of Feminism, but rather the origin and root of the problems in society that Feminists strive against. It is tempting (and important) to look at the way things are and to criticize the institutions and practices that uphold sexism, which was one of the primary contributions of first wave Feminism. They saw the problems with the laws and with the denial of legal rights to women, and worked to correct them. However, they were looking largely at structures that rested on the surface of underlying and far more invidious and pervasive social systems. Radical Feminists, therefore, do not look at the oppression of women as being located in any given specific structure, but rather as being embedded in the very fabric of human society, both today and back into the earliest human societies. Radical, therefore, in the term radical Feminism, is a reference to the belief that human society, from its very roots, from its base and origins, is predicated on an overarching system of sexism that manifests itself in every aspect of society. What we see on the surface is merely a manifestation of the basic sexist character of human societies that has not changed in any significant way, despite the efforts of Feminists to alter the ways in which it can emerge in society. It might have been forced to be more covert, but it is nonetheless substantial and carries an incredible amount of influence. The word radical Feminists (and later, Feminists of many different specific orientations) use to describe this basic, underlying structure of sexism is patriarchy, and they see this as the proper and most important target of Feminist effort. Until you can dismantle the patriarchy, all changes will be superficial, and society will retain its sexist character.

Patriarchy is a remarkably important term in contemporary Feminist discourse, and it is a term that serves as a touchstone for radical Feminism. Breaking the word down, we can see that it is composed of two words with Latin origins; patri indicates male or father (like in paternal), and archy, which refers to rule or governing (as in oligarchy or anarchy). So, what we have here is a word that describes that male control of society, and male governance of human society broadly conceived. This term is not merely used to describe specific governments which are run entirely or primarily by men (which would be almost every government on earth), but rather to describe the power structures of society as a whole, where male control, in both official and unofficial ways, is pervasive. It is possible, for instance, to escape a particular instance of male control, but to escape it completely is impossible. This is because societies the world over are powered by the undercurrent of patriarchy.

Looking back through human history, we can see that males were the heads of families, the leaders of people (or the leaders of men, more appropriately), the chiefs of tribes, and so on. Positions of public and social importance were occupied by men, and as a result, society was run in a way that underlines and privileges male characteristics while diminishing the value of female ways of thinking and being. Men could impose their rule and authority because they happen, on average, to be larger and stronger than women. This is known as sexual dimorphism, and occurs in many species, usually making the male larger than the female. This simple biological difference led to men becoming the public figures responsible for the protection of their families. After all, when you are under threat from animals, the elements, and other families or tribes, the person who is strongest will best be able to provide this protection. Because of the size differences, men were generally faster as well as stronger, making them better suited to pursuing activities such as hunting, not to mention warfare, which took them far outside the sphere of their daily lives. This served to create the original distinction between the public and domestic division of labor, where men take on public roles, allowing them the freedom to roam as they would, while women were bound far more closely to their responsibilities at home. Needless to say, this is a kind of primitive social system which is predicated on biology.

Proponents of male-dominance (harder to come by today than in the past) or anti-feminists (not so hard to come by) often cite this biological, historical reality either as a reason men should be regarded as superior, or why men at least have no blame for the situation as it has arisen. The arguments go that, since men have historically been, and continue to be, larger and stronger, this puts them in a position of dominance that has continued from the earliest human societies. Therefore, it is natural for men to take on the leadership roles they do, and it is natural for women to take on their domestic roles. At the very least, since men have inherited this situation, and have not created it, they should not be to blame for the system of patriarchy that has arisen, nor the specific sexist structures that have emerged from it. These arguments support human biology and "naturalness" as the basis for moral and rational behavior, but when we consider the "natural" human, or the state of nature as a whole, it is difficult to support an argument for their value as moral examples.

Looking to nature as a guide to living the best life, and having the best society, is highly problematic, and not very effective. Taking the human being as an example, we can see that, naturally, we really, really enjoy the taste of foods that are high in calories, like fat and sugar. This explains the incredible popularity of the donut (which is perhaps the ultimate synthesis of both fat and sugar, which are substances with a remarkable caloric density), but it does absolutely nothing for showing me how I should live my life. Evolutionarily speaking, it makes adaptive sense that we would have developed a taste for the things that contain the most calories. After all, when you are trying to find enough food to survive from day to day, meal to meal, it is most advantageous to consume the foods that have the highest concentrations of calories. So, those who liked the taste of high-calorie foods would tend to seek them out most often, and this would result in their greater success, resulting in the production of more offspring. These offspring would be more likely to inherit the parent's genetic disposition for finding high-calorie foods the most appealing, and would therefore be more likely to pass this onto their children, who would again have more reproductive success as a result, and so on through the course of human (and pre-human) history. I find all of this interesting, and could talk about other examples of adaptive functions in humans and other mammals, but in the end, it says nothing about the best way of running a human society.

Let us consider for a moment the most natural human disposition for enjoying the taste of high calorie foods, and its consequences. For almost all of the course of human history, this taste for calories would have been a great benefit, allowing human beings to survive more easily, and to ensure their genes, as well as the species as a whole, continued on through to the present day. Now, let us consider this firmly entrenched, genetically inherited benefit in the present day, especially in America and the rest of the developed West. Since we have such a taste for high calorie foods, as well as the resources to make such foods in massive quantities, getting a 1200 calorie shot in the belly can be accomplished for about five dollars at any fast-food restaurant. It tastes very, very good, doesn't cost much, and satisfies a very primitive desire. Of course, this taste for high calorie foods is no longer adaptive in a society that (for the most part) has access to all the food it could ever want. As a result, America, and much of the developed and developing world, is facing an epidemic of obesity that is truly daunting for its sheer magnitude (no pun intended). Here, we can see a natural human characteristic, developed over thousands of years, actually becoming maladaptive because of a novel cultural situation. Obesity is known to decrease the span of one's life through a host of factors, diabetes and heart disease among them. Dying before your ability to produce offspring has ended is an obvious indication of reproductive disadvantage. In a less direct but no less real way, obesity indicates against reproductive success in a purely aesthetic way as well. We are not well wired, all other things being equal, to being sexually attracted to obesity in a person. We often hear of people being sexually attracted to someone in spite of their obesity (as there is more than pure genetics and biology behind attraction), but almost never because of such obesity. Obviously, then, even from a purely biological perspective, our completely natural taste for sugar and fat is more harmful than good in our current niche.

Taken from different perspectives, other than the evolutionary gold standard of reproductive success, we can see that our natural taste for calories is not helpful in living our lives. It makes us less healthy, and also makes it harder to be active. Activity often takes place outside the home, and so obesity tends to encourage one to remain inside one's home. This often results in relative isolation, which is terribly stressful for a social species, and more than that, for someone whose happiness and well-being are intimately tied to positive interactions with others. Even when the obese person does go out, he or she is often met with negativity, partly because, as I mentioned before, we are not naturally disposed to appreciating obesity. This helps to encourage the social stigma connected with obesity, and people can be remarkably cruel. There are many, many reasons why people become obese in our society, but the fact remains that if we did not have such a natural taste for high calorie foods wired into us, these reasons would be largely irrelevant. It feels good to eat good tasting foods, and this is totally natural, but this is simply not a good or useful tendency upon which to base good decisions for living.

Through this and countless other examples, it becomes glaringly clear that what is "natural" is not necessarily what is best, either in a purely physical way, nor a moral way. The argument, therefore, that since human males were traditionally and historically the heads of communities and families because of their superior strength and size, it is naturally best for them to continue in these positions in the present day, is simply false. The way things have been, regardless of how long they have been that way, is not an argument for the way things should be, nor does it necessarily show the best way for things to be. Is and ought are not the same, as philosophers are fond of telling us, and although it is both interesting and important to dig into the roots, biological, evolutionary, and otherwise, of why things might be the way they are in human beings and human society, these roots are not determinate of the way things must or should be now.

So, although radical Feminism recognizes and lays out the possible roots for patriarchy's development, they are not resigned to the fact that it is inevitable. In fact, of course, they are determined to oppose it on the grounds that it is unjust and discriminatory. Human society, and especially ethics, is no longer based on the principles of the survival of the fittest and might is right. In the democratic West, government strives to ensure that the rule of law is upheld, meaning that citizens do not have to fear unbridled physical harm as they once did. People who enact violence against others are subject to stiff penalties, and the state maintains a police force and legal system to ensure that such actions are prevented where possible, and punished otherwise. Rule is not for the physically strongest, but for the democratically elected, and is supposed to be conducted to the maximum benefit of the people. The old standard of human conduct and the reasons for the gendered division of labor (separating the public and domestic especially) cease to be in such a society, and to try to maintain them flies in the face of the supposed principles that make the society free, equal, and democratic. We have chosen values that do not correspond with our primitive, natural states in many ways, and the maintenance of the patriarchy runs contrary to these modern values.

Through the identification of the root causes and development of patriarchy, radical Feminists hope to first expose it to the fullest degree possible, and then to dismantle it through positive action and change. Exposing it might seem like an easy matter, but in reality, they would argue, it is so deeply ingrained and pervasive in our society that it is present everywhere, even in the most unexpected places. As such, radical Feminism is perhaps the most well known controversial group within Feminism because they see the patriarchy everywhere, and therefore criticize all institutions, both public and private. As a result, many individuals and groups resent the barbs that get sent their way, and many accuse them of tarring everything, whether justifiably or not, with the same brush. Be that as it may, radical Feminists have raised the world's consciousness of female oppression, and by questioning all structures, make it difficult for sexism to maintain a strong foothold, or at least an invisible (and therefore more dangerous) one.

The routing out of concealed structures of sexism is the provenance of second wave Feminism, and whether radical or not, the wave brought along a sweeping tide of new objectives for Feminists and women. Many of the arguments of the first wave rested on the quest for legal equality for women, whereas the focus turned to actual, realized equality in the second wave. Like the first wave, the second wave was also closely related to the oppression of blacks in America, who had achieved freedom in principle, but not in practice. The women who rallied around this cause had a similar kind of revelation as the first wave Feminists, and added themselves to the list of people whose rights needed to be upheld in more powerful and effective ways.

The Feminism of the first wave is often known as an equality Feminism, which is rooted in the notion that men and women are equal in every aspect of their being, save the obvious biological differences. As a result, first wave Feminists demanded all the same legal rights as men, and women like Wollstonecraft encouraged women to rise to the level of men. The second wave, however, noticed and showed some of the difficulties and limitations of this approach. After all, it was fine to say that women were legally allowed to occupy the same positions as men, but it was quite another to convince the men who ran the world, on both the micro and macro scales, that they should do anything to try to encourage this. Thus, while the legal reform of the first wave paved the way for access to public life for women, it did not unseat the actual brokers of power, most of whom liked the status quo which had them in excellent positions. As a result, it was not enough to have laws which gave the same legal opportunity. Instead, there needed to be laws that made certain kinds of actions, which up till then had been considered individual matters, illegal, and punishable.

Laws providing specific protections again discrimination based on gender were a recognition that such discrimination was widespread, and would no longer continue to be acceptable. It was also a recognition that, even given the same "permission" to enter a given field, women faced significant disadvantages based on pervasive sexism. Thus, the laws which were formulated were a tacit acknowledgement that sexism existed not only in official forms (like refusing women the vote), but also in unofficial forms, in the general opinion of men in position of power. Further, such laws acknowledged that such unofficial sexism would not be tolerated, spreading the anti-sexist objectives of the Feminists into a far wider realm.

Legislation that provided specific provisions for women was an important step in the progress to a successful difference Feminism. The strategy of the first wave was relatively blunt and direct because it had to be. By arguing that women and men were the same in every way save the obviously biological, and that women were as capable of intellectual success as men, they strove to undermine the baseless beliefs that women were intellectually inferior to men, and unsuited to the same public positions. Equality was therefore the catchword, and in many ways this also pointed toward a mental and practical identity between men and women. This strategy, however, failed to account for various additional difficulties that women would encounter in public life. Second wave Feminism focused on these difficulties, and developed their difference Feminism out of them.

One prominent example is the fact that women have babies. The process and control of reproduction was a very controversial issue in the 1960s, and the second wave began to campaign powerfully for such control to be held by the women who were having babies, rather than by any other group or individual. The legality and mass production of the birth control pill put reproductive control in the hands of women in an unprecedented way, and laws recognizing the right of women to control of their own bodies, including the right to abort a pregnancy legally without the consent of the father, focused on the important differences between the potential life experiences of men and women. Further, laws regarding women in the workplace who decided to have children arose, thanks to the pressure and actions of Feminists, to combat the practice of replacing a pregnant woman who took time off work to have her child with another employee on a permanent basis; in other words, firing women for having children and missing work as a result. In all of these cases, women are considered distinct from men in some important ways, and these distinct features and experiences are protected by law. This does not rout out patriarchy per say, but it certainly goes a long way toward forcing it to hide in deeper and more isolated pockets.

Another of the main thrusts of the second wave was the exhortation of women to escape from the domestic bondage that was keeping them from achieving their full potential as free, liberated, women and human beings. Even into the 1960s, despite all the progress women had made in achieving various liberties, most families in the democratic West were nuclear, with the male as the head and breadwinner, and the female as the domestic caretaker and care provider to the children. A woman's place was "in the kitchen" to quote an oft cited slogan, and those who ventured into the public sphere often ran into the "glass ceiling": an artificial, unofficial barrier to promotion which kept women out of the top positions in business and industry. Unequal pay for the same positions was also common, and further made it clear that while some female presence would be tolerated in the workforce, it was never really welcomed, and certainly not embraced. Feminists attacked these double standards and contradictions, exhorting women to venture out of the home and take whatever place they wanted in the world. They challenged the dominant notion, in place beyond memory, that women could only be productive and meaningful in the context of the home, and as we can see today, their efforts produced significant change. Many would argue that more must still be done, but few if any would claim that large strides have not been made against this limiting, stifling notion.

Difference Feminism also manifested itself in more obvious and, well, simply more different ways than I have been discussing so far, in ways that served to divide the Feminist community. On one side, we have Feminists that believe the differences between men and women are largely (if not entirely) socially constructed, and that the usual characteristics which are attributed to each are simply not true. For example, women are generally considered more emotional, and more emotionally expressive, but less rational; men, on the other hand, are considered quite rational, but not very emotional or emotionally expressive. It is this kind of stereotype that many Feminists believed (and still believe) are constructions of the patriarchy designed to show women as mentally inferior to men and less stable, thus making them unfit for public positions.
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Apr 09, 2013
Research Tutorial / Marxism (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Marxism - Part I



Those of you who are in high school or who have recently begin your intrepid voyage into the murky and dangerous waters of literary studies at university might find it exceedingly odd that I am discussing Marxism in a series on literary theory. After all, isn't Marxism a political theory which is more than 100 years old? Wouldn't it be better suited to a series on political philosophy? Also, you might associate Marxism strongly with socialism, or with the systems of communism that developed from it. This can be particularly hard to understand from an American point of view, since the opposite of communism, as it is taught, is capitalism and democracy. So, you might be wondering, is the next set of articles going to be on capitalist literary theory? After all, fair is fair, and if you are going to spend time on the communist side, you should give equal play to the capitalist side. Also, if you are talking about important literary theories, and presenting this series to a largely American audience, why would you bother with Marxism at all? Certainly you don't expect anyone to believe that this approach is practiced widely in American universities! Communism has fallen, capitalism has won, and anyone as bright as a college professor could not possibly miss that fact, and still work with a theory that simply doesn't work in practice.... Sit with me for a while, and I'll explain how all of this works in the big picture of both historical and contemporary literary theory, both in America and in across the world.

Marxism WritingFirst, it is vital to understand something about Marxism as a political theory, and you are right to classify it as such. Whatever information you have gleaned about Marxism as a political and economic theory will be applicable here, including its opposition to capitalism. However, it is important to note that Marxism is not only concerned with economics and politics narrowly considered. Marxism is a way of looking at the world, a worldview if you like, that encompasses all elements of human being, from the largest scale imaginable to the most specific aspects of culture you can name, including artistic and literary production. I hinted earlier that the Russian Formalists were suppressed and then destroyed (in as far as their literary theoretical school existed) by the Marxist government, and the literary critics who followed the orthodox Marxist approach to literature. This shows the great reach and scope of Marxism, making it in many ways incomparable to capitalism. After all, part of the capitalist model is the idea that things should unfold largely without government interference, meaning that capitalism has nothing, or very little, to say about anything literary or academic. Therefore, Marxism and capitalism are not opposing literary theories, and the latter is not even recognized as a way of looking at texts.

It should also be noted that Marxist literary theory has had a profound influence on literary studies in America (and many other non-Marxist, non-socialist, non-communist nations), and that even during times when anything "red" was considered treasonous, Marxism was a popular approach to analyzing literature. However, you do not need to panic about this. A Marxist approach to literature does not commit its practitioner to supporting the erecting of a communist state in America, not does it mean that the person is plotting a revolution. Marxism sets out terms of production and political power in an elaborate system which lends itself well to examining the structures of many literary texts (especially novels). It certainly contains a critique of capitalism, but many literary works present such a critique too, so one can look at Marxism as useful way of coming to understand some literary texts, rather than as a stab in the back of Lady Liberty and the Red White and Blue.

I have already make certain to clarify that Marxist literary theory and Marxism as it has manifested itself in communist states are not always (or even usually) the same thing, and that people who follow Marxist literary theory are not gunning for a revolution, nor supporting North Korea against South Korea. It is highly unwise to paint the literary picture with a contemporary political brush, since doing so can only lead to confusion, intolerance, and wildly incorrect assumptions. However, while all of this is unquestionably true and important to keep in mind, in order to give you some idea of what Marxist literary theory looks like, it will be imperative to go into some detail with Marx's political and economic theories. These provide the basis for both literary and political Marxism, but it is important to note that many different theories and schools of political thought have arisen from Marx's and Engels's original writings. Chinese communism, Russian communism, and Cuban communism, for example, all claim or claimed to be following Marx, but all read him somewhat differently, and as a result, these governments often disliked and opposed each other. If this is true for separate nations, it is even more so for individuals within various Marxist traditions, and political conflict over how to read and apply Marx has been a hallmark of most communist states. It is perhaps best to look at the various manifestations of Marxism as different species that share a common ancestor; humans and chimps both descended from a common ancestor, and share many similar characteristics, but no one would make the mistake of believing that we are the same as a result, even if various people insisted on calling us by the same name.

As you might have guessed, the founder of Marxism is none other than a man named Marx, Karl Marx that is, a German born early in the 19th century. Although he has the honor of having the theory named after him, he was not alone in his creation of this theory; Friedrich Engels, a friend and countryman, co-founded what would become known as Marxism, and played a role in its dissemination and development even after Marx's death. Speculation abounds as to why the theory bears the name of only one of its founders, but my personal intuition is that Marx's last name combines well with the -ism suffix, while Engels simply doesn't. Engelsism is frankly a mouthful, awkward at best, and any combination of the two names is similarly unwieldy. So, because of the motion of historical forces antedating the theory by centuries (the happenstance of one founder inheriting a name that simply sounded better when combined with the correct suffix), we have Marxism. I am obviously not being entirely serious here, but the point about the influence of history is an important one for what is to come, as it is a central concern of Marxist theory.

Marx and Engels began publishing their shared ideas in shared books and essays around the middle of the 19th century, and these became extraordinarily influential over the course of the next century, perhaps reaching a zenith of influence from about 1910-1960, although this can be extended further in either direction, on the latter end perhaps right up to about and around 1990, when such radical changes in communist Europe were taking place (the dissolution of the Soviet Union, the fall of the Berlin Wall, the reunification of Germany, and so on). Both also published separately, and Marxism is the result of later thinkers' and writers' syntheses of the works of both founders.

No theory springs from the mind completely unique and fullly grown, and it is important to note that Marxism has its roots in the European continental philosophy of Kant and Hegel, with elements of British and American empiricism and economic theory. As was the case with Deconstruction, it is difficult to explain any aspect of Marxism without reference to the other key terms, and so on in an ever widening circle. However, unlike Deconstruction, once we have toured through a few revolutions (and I use this term very intentionally) of this kind, a clearly defined basis for a theory will emerge; Marx and Engels had no desire to refute logic or resist systematization.

At the basis of Marxism is a process known as dialectical materialism, which is almost as complex and involving as it sounds, but which can be at least basically understood with some clarification. Beginning with the noun as something that we can anchor ourselves on, we can consider what materialism means in this context. Marxism is a theory/philosophy which supports a materialist view of reality and history. A materialist view essentially comprises a belief that the word as we see it, reality, is entirely constituted by material entities (matter), and that we too are composed of such material, making us capable of interacting with it. This might seem like common sense, in a way, but its implications are far more controversial. First of all, this denies the existence of God and the immortal soul, since these would be considered immaterial or solely spiritual entities. As a result, Marxism does not support religion, viewing it as a false way of seeing reality, and as a way for the ruling group to subject and pacify the people it controls. Further, materialism takes a page from the British empiricists, who believed that the world was available to us only through the senses, and that our very mental structures were dependent on our previous sensory experiences (as we see in John Locke's notion of the human mind as a blank slate upon which experience writes our histories and identities). This also points toward an idea of the individual not as the independent arbiter of his or her own being, but rather another material entity which is subject to the influences of the world in which it exists, and the historic circumstances which led to its creation. Needless to say, this integrates well with many of Darwin's evolutionary ideas, and it is no coincidence that Darwin and Marx were writing and theorizing in the same historical period.

The interaction between individual agents and historical/social reality (as well as between individuals and between various socio-historical factors) is where the dialectical nature of dialectical materialism comes into play. All of the material entities in the world are in a constant dialect (a relationship of mutual influence) with each other and with the social and historical forces that exist and have existed as constituents of reality. According to this view of reality, nothing exists in isolation, and it does one no good to look at an individual entity and attempt to explain it only in terms of itself. Relationships are of paramount important, and each relationship must be cast in terms of mutual causes and effects. Relations are both dynamic (constantly moving and changing their forms) as well as diachronic (developing through time and contingent upon the history of their development). Nothing in the world simply is; everything is always in a process of becoming, through the dynamic dialectic process of negation and synthesis.

The idea of constant becoming and dynamically evolving can be seen (as it is, for example, in biological evolution) as a process with no end or goal; biologists do not believe that nature is somehow guiding its forms of life to particular results. Life forms thrive or die based on their suitability to the environment in which they exist, and those which are best suited to their environment will successfully reproduce, while those that are not will simply die. Some brands of Marxism follow this a-teleological (not concerned with goals or outcomes) outlook, but Marxism is usually associated with the idea of dialectical materialism as a form of progress on the grandest scale. Societies, as they are born, develop, and then rise to greater and greater complexity, moving in a natural way through various stages of development. The first of these is known as feudalism, a state of society especially predominant in the Middle Ages in Europe. As you might remember from a history class or any of a number of great books and movies set in those times, feudal society consisted of strict class divisions based on status and wealth. A very limited number of individuals were granted land by the king of a given area. These large parcels of land were further subdivided by these individuals, and so on, creating a hierarchy with the king as the ultimate owner of all the lands, with a chain of landlords of decreasing rank being in control of decreasing parcels of land. In return for being given this land, the landlords offered their military might to the king, which was a system of mutual benefit that made both the lords and the kingdom more secure from both internal and external threats.

Unfortunately, this left the vast majority of people out of the money, and most of the population toiled without any land of their own. The kingship and the various lordships were passed through and between a highly limited number of families, which constituted these families as the perpetual ruling elite. Once we get past the lowest levels of landowners, we cross a great divide, the huge gulf which separated those who owned the land from those who worked on it. The people at the very bottom of the feudal society were known by many names, but I will refer to them here as peasants (note that none of the terms is at all flattering, and all have taken on negative connotations which adhere even to this day. Try calling someone a peasant and see what sort of reaction you get; I assure you it won't be positive). The peasants most often led miserable lives, because they did all of the work on the land and essentially received nothing for it, while those above them gained all the benefit of their toil.

The peasants were basically uneducated farmers who were allowed to live on a given patch of land on the condition that they paid their lord a large percentage of what they managed to grow. The lord of the land was accountable to the lord above him, and so on, right on up to the king. Each of these lords was a middle-man of sorts, taking a percentage of the peasants' crop and passing the rest on up the line. Peasants could keep what they made beyond their annual and seasonal quotas, but that was all. If they just produced enough, or fell short, the lord got all they produced, and they were left to starve to death. Not meeting a quota was not acceptable, and punishment came from the top down.

As must be evident, feudal society is one of the most unequal and unfair ways of producing and distributing wealth that one can imagine. Wealth and power are concentrated in the hands of a tiny majority, while everyone else has no resources and no rights. The decision of a king could change the course of history. The power of a peasant, however, was so limited that they were politically invisible as individuals. As a group, they were the backbone of the kingdom, without which nothing else would have been possible. However, barring unification and revolution (which we will discuss in more length later) the peasant was at the mercy of those from whom he was given permission to live on his land. Needless to say, Marxist theory sees this as a low point of development in the history of human civilization.

You might be surprised to hear that the next stage in the process of historical and social evolution is capitalism, which is followed by socialism, and finally communism as the final state toward which the historical dialectic is aiming. The goal of the Marxist is thus to help the world (and it was certainly conceived on a global scale) to move through the necessary stages through to the ultimate and desirable end point, the communist state. Here, the inequalities that existed in the previous stages would finally be eliminated, and people would benefit equally, without anyone profiting from the work of another while the person who actually does the work suffers and receives little or nothing. With economic equality would come political and social equality, and, in short, the earth would be a fine place to live for all, united in our common humanity and the pursuit of our mutual good.

If you think this sounds somewhat utopian, you are not alone, and various streams of Marxist thought see the reality of the ideal end-point as a noble goal which society should always strive for but which may be impossible to reach (especially in light of the idea that everything is always in a state of becoming, and is unfixed). Regardless of the varying beliefs within Marxism as to the achievability of their stated goals, there is a definite belief that capitalism (which was the dominant system of production in Europe and North America at the time Marx and Engels were writing) is a temporary and transitory state of affairs that, like feudalism, must give way to a more equitable economic and social system. Basically, for Marxists, capitalism is at least seen as being undesirable, and usually seen as being downright evil.

I can hear many of you objecting that this view of capitalism is entirely unjustifiable, and that capitalism is completely unlike feudalism. After all, in capitalist societies democracy is the dominant form of government, and all people, regardless of their status and wealth, have the opportunity to elect their governments. Furthermore, the rulers are not hereditary monarchs, but regular citizens, and any citizen can achieve any position in society. People who do not rule still own their own land, and people can choose what they want to do and where they want to work; no one is forced into labor, and there is no sinister lord forcing you to produce to make him fat and rich. As if this were not enough to make the differences between feudalism and capitalism perfectly clear, there is the further difference that everyone is treated equally under the law in capitalist societies, and no one, regardless of his or her position, is seen as better or worse than anyone else when it comes to justice. People are judged by what they do, not by who they are.

Of course, all of these statements about capitalist nations are based on contemporary life in Western democracies; they simply were not true at the time Marx and Engels were writing. The comparison of the factory worker in England during the Industrial Revolution, for example, to the peasant of feudal, medieval Europe, is not as far off as you might think. Individuals lived in squalor and slaved all day for, perhaps, enough money to afford them a bare existence, and perhaps enough liquor to make their constant drudgery bearable. Shop and factory owners determined the fates of their workers, and unless you wanted to starve to death, you would do as you were told. Some early capitalist cultures paid lip service to democratic and social equality, but no one was fooled into believing that the poor factory worker would be treated the same as a gentleman in the court of law. The word of the gentleman was enough to trump the word of the worker, and so while the workers were not absolute slaves like feudal peasants, they weren't so far removed from them as one might like to believe.

In fact, even if we look at capitalism as it manifests itself in contemporary society, we can make a Marxist argument comparing it to feudalism in a stronger way than one might expect possible. The concentration of wealth, for example, and the ability of the wealthy and powerful to evade the law are points that we have all heard time and again as critiques of the economic and political system in which we live. I won't go into great detail here as you likely know these arguments well weather you agree with them or not. Suffice it to say, Marxist theory is certainly not at a loss when it comes to justifying their condemnation of capitalism, even in its present form.

In fact, much of Marxist theory, in any of the forms it has taken, emerges as a harsh critique of capitalism, both as capitalism manifests itself in reality, and as it is conceived ideologically (an important term in the Marxist context I will talk more about further along). Marxism is defined, at its very roots, as an economic theory first and foremost. It is not limited to economics, however; it sees the economic structure of a society as the roots from which everything else emerges, and as a result, it is impossible to talk about another aspect of a given society without reference to the economic base which underlies it. All of the more abstract entities which exist within a culture, such as government, rest of the society's economic base, and cannot be considered in isolation from it.

Basically, the content of this and the previous articles in this series has been devoted to setting up a general framework of Marxism broadly conceived. Marxism is an economic and political theory as well as a philosophy and a coherent worldview which see civilizations as progressing from the stage of low development and equality (feudalism) through a series of steps leading to the final and most desirable communist state. It sees capitalism as a stage only just beyond feudalism, and much Marxist thought even up to the present day is based on a critique of capitalism. For Marxists, society is contingent upon both history and materiality, none of which can be considered without reference to the others. Relation and mutual influence is the key to understanding reality, and to consider anything in isolation is to miscomprehend it. With these general ideas firmly in place, it is now time to begin looking at the specific terms and concepts Marxism is best known for.

The base of the Marxist idea of society is composed of what they call the means of production. The means of production consists of all the elements necessary for anyone in a society to be able to produce anything at all. The means of production can be divided into two further categories, those being the means of labor, and the subject of labor. Most simply put, we can start with the most basic stuff at the bottom of any economic system, which is the subject of labor. The subject of labor is the raw materials available within a given social context. Water, for example, is a subject of labor in all societies, and any other natural resources or raw materials fit into this category as well, including timber, coal, wheat, and even the wind in some cases. These are known collectively as the subject of labor because these are the things which are subject to the labor that gets performed. When I mine, for example, the thing I am mining is subject to my action. You might now be thinking that the term object of labor makes more sense in this context, both grammatically speaking and otherwise, and I am inclined to agree with you. However, we didn't create the theory and its terms, so we are going to have to let things stand as they are.

The second constituent of the means of production is known as the means of labor, and this time the term sounds a lot more like it intuitively should. The means of labor includes such things as the technologies that we employ to do the work we do. The means of labor can be viewed both more directly, as in the machine or tool I use to do my work (the printing press for making pamphlets, the shovel I use to dig coal), as well as more abstractly, as in the infrastructure I need in order to get to work in the first place, and to transport what I produce to other places (the roads I travel to work, and the power lines which connect my factory to the grid). Basically, the means of labor are the things, both specific and abstract, which are needed to perform work on the subjects of labor. All of these things taken together form the means of production, and this is at the base of every society, influencing everything else. All of this, of course, is completely useless without a final element, which Marx referred to as labor power. As you might have suspected, labor power is the actual work that people apply to the means of labor to produce something from the subject of labor.

An example here might help to crystallize and relate all of these terms more clearly. Gus is a miner, and he works at the local coalmine. He catches a bus (a means of labor) to work and travels on the highway (a means of labor). Once he arrives on the site, he travels down a long, deep mineshaft on a small railcar (both mineshaft and railcar being means of labor) until he reaches his final destination. He picks up his pick (yet another means of labor) and swings it (providing the necessary labor power) at the coal face (the subject of labor) in front of him. His friend Ted stands nearby with a shovel (a means of labor), and shovels (more labor power) the coal (still the subject of labor) into a railcar (a means a labor) to be taken to the surface (by more labor power) via a system of rails (a means of labor) running to the surface.

Gus, Ted, and everyone and everything else at the mine and connecting the mine to the rest of the world are all intricately related, and the mine simply couldn't function without all of the means of production we have been discussing, and many, many more to boot. Thinking about the Marxist insistence on examining everything in relation to other things, we can see it makes perfect sense with regard to the coal mine. After all, how could we make any kind of an evaluation of the railcar we just discussed if we didn't consider its relation to the mine in which it works? We could perhaps say something of how the railcar might move, and we may notice that it would be useful for transporting people or things from one place to another, but we would be stymied when we saw the thing entering a deep dark pit. The railcar, its tracks, the pick and the shovel do not tell us anything on their own. Taken together, however, they comprise the means of production which is the coal mine.

Notice that Marxism does not refer to people as means of production, either as subjects of labor or as means of labor; this is no accident, and the separation of people from things is a vital Marxist premise. The phrase "human resources" for example, would be completely repugnant to Marx and Engels, for it implies that human beings are being reduced to mere instruments or raw materials, which takes away from them all agency and dignity, making them seem as if they are only as valuable as the coal they mine and the picks they use to mine it. This runs contrary to all that Marxism stands for, and I will be getting into this in far more detail a little later. Suffice it to say for now that human instrumentality is anathema to Marxist thought, and it is one of the strongest and most vehement criticisms they level at capitalist societies.

With the base of society determined to be the means of production, Marxism goes on to relate (but certainly not equate) everything else to this ultimate base. This is where the well known class distinctions within Marxism come to the fore. People certainly should not be reducible to things according to Marxism, but in a capitalist society, this is precisely what happens. People are divided into classes which are determined by their relation to the means of production. One group of people own or control the means of production as well as access to the means of production. Bill Gates, to use a contemporary example, owns his company, Microsoft. He owns the land his buildings are on, the buildings themselves, the machinery used to make his computers, and the rest. Needless to say, Bill Gates stands in a superior relation to the means of production than, for example, the janitor who sweeps the floor in one of his buildings. This is the essential division of capitalist society, and Marxists see this as analogous to the situation evident under a feudal system. The comparison is obviously not fully applicable, and any Marxist will admit this; after all, they differentiate between feudal and capitalist societies for a reason. There is no obvious king at the top of the pyramid of a capitalist society, for while there is a president (in the American context) who holds primary political power, he does not own all the lands and collect the profits from them (and although one could argue that the collection of taxes is analogous, the president can't legally keep all of this money).

The comparison between capitalist and feudal societies may seem somewhat severe, but the parallels are there, depending on how broadly you want to conceive of things. Bill Gates is the capitalist, the person who owns everything and calls the shots. He is a lot like the king in a feudal system, standing at the top of the organization (but not the nation as a whole). Like that king, he says what happens on his land, and he only invites the people he wants to work there for him. These people work for him, according to the standards he has set up, and if they fail to meet his expectations, they are cast off his land, much like the peasants of the feudal system. Further, there is a hierarchy of command, where Gates apportions his lands to lords (we call them managers) of varying ranks all the way down the line. Each acts as a middle-man, and all these manager-lords take a cut of what the peasants (the lowest ranked office workers and programmers) produce, with Gates at the top collecting a portion of every worker's yield. Within this (vast) network, Bill Gates is supreme overlord, and while he is subject to political authorities outside his jurisdiction (as several antitrust suits at least point to), so long as he remains within those bounds, he reaps the rewards of all the work that takes place in his domain.

It is obvious that there are at least two classes in place in the little capitalist scenario I just outlined; the people (or perhaps person) who own and control the means of production as well as access to the means of production, and the people who supply the labor power to the means of production, but who do not own or control it. The class of owners is known as the capitalists, but also by the title bourgeoisie. Bill Gates would certainly fall under this category, since he is indisputably at the top of the hierarchy I just outlined. The managers at the top of the pecking order closest to Gates would fall into this category as well, as would several other levels of managers in this scheme. In fact, if we take the idea of the bourgeoisie most simply, all of the managers who have people working under them would be lumped into that category, although Marxist theory does make some finer distinctions. The people at the top of the pecking order can be seen as the wealthy bourgeoisie, who have amassed a great amount of capital, and who do not need to supply any labor power to make their living. They arrange things, perhaps, and give commands, but they do not need to touch the subject of labor nor any of the means of labor. The petty bourgeoisie, on the other hand, are in a more tenuous position, which might be represented using the Microsoft model if we turn our attention to the lowest level managers. These managers do have people working under them, so they are for the most part separated from the means of production by a wall of individuals. However, it is often the case that such low-level managers have to step in and help their workers from time to time, applying some labor power to a means of labor working on the subject of labor. They occupy a middle position, and thus do not comfortably reside within the bifurcated class system.

At the very bottom of the pyramid, pecking order, or whatever other metaphor of hierarchy you would like to use, are the people who do not own the means of production nor control access to it. These people, epitomized by the office drones in the Microsoft scenario I have been outlining, are known as the proletariat. The proletariat are those like the computer programmer in our most recent example, and the miner in the one before that. These people have direct contact with the means of labor, and through their labor power use these means to add value to the subject of labor, whatever that is in each specific case. Basically, the proletariat do the work, and the bourgeoisie get rich, which reveals the inherent inequality and injustice of the capitalist system, as far as Marxists are concerned.

At this point, you might have several objections in your head that you are dying to see addressed; allow me to take a moment to bring up some of them. First, I can hear you thinking, although there is an apparent inequality here, there is no injustice behind it, and indeed, the inequality we see is only apparent. Bill Gates might sit at the top of the pile now, but he had to work hard in the beginning. He was a savvy businessman with an original idea, and he piloted it to the great success he enjoys now. In short, his hard work paid off, and he is where he is because of his determination; he provided plenty of this "labor power" the Marxists keep talking about in order to be where he is today.

A further objection, I can again here you thinking eloquently, exists when we examine the other side of the equation. Yes, the office drone and the coal miner are not in as good a position as Bill Gates, but there are reasons for that which have nothing to do with injustice. They have the same opportunities to succeed as he did, and if they work just as hard and are just as savvy as Gates was, they have the chance at hitting it as rich as he did. So, while people are undoubtedly in different positions within society, it is based on their willingness to work hard, and the talents and abilities they have, not on a systemic failure to give them the same opportunities. If Bill Gates can do it from such a modest beginning, anyone can do it.

Having taken myself totally out of this debate, I will now allow the Marxist to respond, who has been eagerly awaiting her chance to refute the capitalist justifications of their system. You see, she begins, while your idea of justice and equal opportunity is theoretically fair to all, it ignores a vital aspect of existence that forms the foundation of Marxist thought and theory; history and material reality. You see, while there might not be an active law or physical force directed by someone against another person which is keeping her from various opportunities, there is the simple fact of material and historical contingency which determines a person's options. You capitalists somehow think the individual is floating above material and historical reality, unaffected by its progress and its conditions. However, this is merely an illusion you foster to justify the system of abuse and subjugation which defines your society.

What does it even mean when you say people are "free" to achieve whatever life outcome they choose? What it really means is that there is (in theory, at least) no one actively stopping them from pursuing various courses of action. However, this ignores the reality of the situation, wherein historical and material circumstances make it impossible for a given individual to benefit from her work the same way another might. Bill Gates might not have been a billionaire to begin life, but he was born into a situation that made his becoming a billionaire possible. He was loved and cared for by his parents, got a solid education, and fostered a great idea into something extraordinary. Think, however, about how things would have gone if Bill had been abandoned as a child and raised in an orphanage. He would have been a different person, perhaps even one who would not have had the capacities to do what he is doing now, much less the opportunities.

Further, she continues, besides the historical contingency of being born in a given time and a given place to given parents, over which you obviously have no control, there is a host, a hoard of contingencies that permeate even our adult lives which you insist on imbuing with some kind of magical super self-determination. If Bill Gates had decided to attend a different university, would he have met Steve Jobs? This meeting was entirely fortuitous, but the rest of both of the men's lives was forever altered by it. The agency of each of us is important, but we must be aware of the historical material circumstances within which our agency must operate. In light of the undeniable presence of this historical contingency which cannot be ignored, it is best to create a society wherein the imbalances are limited or eliminated. It is the only moral way of being in the world.

It is undoubtedly true that this back and forth could go on all day, and even all year, probably for the next 50 years, without interruptions and without resolution. For those of you who might find this hard to believe, consider that these same arguments have been present from the beginning of Marxism more than 150 years ago, and in the intervening time, they still separate capitalist from socialist or communist doctrine very tellingly. With the fall of Soviet Russia, and with Western democracies providing more traditionally socialist services and functions to their citizens, there is no doubt that both sides are more willing to consider the viewpoint of the other in many cases. Even China's government, ruling with a white-knuckled grip on its communist powers, has been gradually opening up its markets to non-communist, non-socialist nations.

Moving back to more directly examine our topic, we can see two distinct classes emerging, the proletariat, and the bourgeoisie. Marx, as we mentioned, also made a finer distinction between the petty bourgeoisie and the wealthy bourgeoisie, but he surmised that the petty bourgeoisie would be subsumed by the proletariat (or rather, pushed into that role by the wealthy bourgeoisie), and this is something we can see today with the largest companies driving the smaller ones out of business. The local grocery store owned by Gus and Ted (who in this role would be petty bourgeoisie, since they employ a few people, but also work themselves), making just enough to support them, their families, and pay their bills, is difficult to maintain in the face of competition from supermarkets. So, their business fails, and they go off to work in the mines, now certainly members of the proletariat.

Theory: The How's and Why's of Literature

Marxism - Part II



The divisions between the bourgeoisie and the proletariat are enormous, and they are predicated first and foremost on the basis of financial and economic differences. The bourgeoisie control the means of production, while the proletariat have no control over these means. It should also be noted that, in a capitalist structure, the rich grow richer, and the poor get poorer, as economic forces force this gap even further open. The problem the Marxists see, as we can glean from the supermarket example, is that the individuals who are in control of the means of production can operate in such a way as to make sure they and only they continue to have such access. My goal as a capitalist is to accrue as much capital as I possibly can. The best way to do that is to expand my business or enterprise as broadly as possible. I benefit most from selling my products at the highest prices I can get, and from keeping my expenses to a minimum. One of my primary expenses is often labor power (the work people do), since I have to pay my workers. The less I have to pay them, the more money I am going to make. This is a common complaint even today among various union members. If a company can save money by going to Mexico or China where labor is cheaper than it is in America, that is precisely what the company will do. People are often treated as means instead of ends, and this is a problem the Marxists detest.

When we think about how things get done, and where profit or value even enters the system, we have to look at the workers, or the proletariat. Looking at the coal mine example we used earlier, we can see that the coal itself is not worth anything to anyone sitting there in the ground perhaps even miles under the ocean floor. Sure, there could be value here, or one might say that there is potential value, but this potential will never be realized unless labor power, the work of people, if brought to bear on it. When people start digging holes to get to the coal, breaking it into manageable, portable pieces, and transporting it to the surface, it suddenly becomes very valuable. What has given it this extra, surplus value that it did not possess before? If you said labor power, you are exactly right. Again, although John Locke is often hailed as a thinker who paved the way for capitalist democracies, the idea of things gaining value through human labor that we see here comes from Locke, and he even took this a step further. He claimed that when a person works the land, and makes it yield a bounty, the land and the bounty belong to the person who put the work in to make it so. If you think this sounds a lot like a Marxist ideal, you are completely right, and many Marxists have cited Locke in this context.

The problem Marxists have with the bourgeoisie is that they see them as exploiting the proletariat. Exploitation has a definite meaning with regard to Marxist thought, and it is not simply a matter of judging if someone is being unwillingly taken advantage of. In the capitalist system, the bourgeoisie control the means of production, while the proletariat has to apply their labor power to achieve anything. The injustice here lies in the fact that labor power is the thing that makes the subjects of labor (the raw materials) worth more than they are in their natural state. In the previous example of coal, for instance, the coal is worthless unless people apply their labor power to bringing it to the surface and delivering it to those who want it. Exploitation occurs when these people receive less value from their work than they should.

Many objections might be on your mind here. After all, who is to determine how much a person's work is worth? If the coal miner gets $20 an hour for her labor, isn't this a fair trade for that work? It is a good wage, and is certainly more than many people receive for doing jobs that are equally taxing and difficult. The Marxist equation, however, eliminates the need for one to calculate the value of work precisely. They are not complaining that people aren't receiving some dollar figure above what they are actually making. Their objection comes from that fact that, whatever dollar number they make for their earnings, they are missing out on a lot of the value that their work is generating. No matter what industry or business you are taking about, the workers only receive a fraction of the value that they add to the subject of labor. If this were not the case, the business owners would not be able to make such a fantastic profit from their work.

Say I am a miner, and I create 5 units of value (the measuring stick is completely unimportant). My colleagues, all 99 of them, create 5 units of value each as well. This creates a total of 500 units of value which out labor has made. Each of us will be paid, but none of us is paid for the full five units of value we have created. Our employer, who owns the mine and everything in it, takes the coal we have mined and sells it, collecting the 500 units of value that we have put into it. He turns around and pays us for our work, but does not give us each the five units of value we have contributed. Perhaps he gives us each one unit of this value. The rest he keeps for himself, and in so doing, makes a profit. It is obvious that he performs some function here, and does some work, but it is certainly not equal to the 400 units of value that he makes from our combined efforts in the mine. By paying us less than our work is worth, he makes a profit. This is exploitation. Regardless of whether we do the work willingly or not, this is the injustice that Marxists see in the capitalist system. In fact, this exploitation is a defining feature of capitalism. All businesses in the capitalist system (save for those labeled non-profit, which are actually following a socialist model in the midst of a capitalist world) have profit as the key goal; the very term capitalist is derived from the excess capital that people amass through exploitation. Excess capital can only accrue if I am paying people less than the value they are creating, and so any business which makes a profit is exploiting its workers, according to Marxist thought.

The need for business owners (the bourgeoisie) to create capital on the backs of their workers (the proletariat) creates an oppositional situation, and there is an evident conflict between the two groups. The more work the owner can get from the workers, the more capital he will accrue, because he only gives the workers a small fraction of the value they have created. So, it is in his interest to get as much work from them as he can, and to give them as little of the value they have created as possible. The workers, on the other hand, know they are only going to be paid a set amount for the work they do, measured usually in hours rather than by any objective standard of value created. So, they would always like to be doing less work during the times they are working, since they will see no benefit if they work harder. Of course, the owners know this, and so set up the minimum standards for work output that guide the creation of quotas. The workers want to keep their jobs, so they will work as hard as they need to meet the minimum standards. Because the owners know the workers will work to the minimum, and because they want to make as much profit as possible, they continually set the quotas higher, so that they are sure to be extracting the maximum amount of work possible out of the workers. In this way, the capitalist ensures that profit is maximized, and the workers are powerless. They will do the work they are assigned to the high level required, and if they are unable (not just unwilling) they will be fired. Good intentions do not create labor value. So, the system punishes the unwilling and the unable equally.

You might argue at this point that the workers could simply refuse to work, but this is not such a straightforward solution as you might believe. After all, the owner controls the means of production, and so the workers can either work for him under his conditions, or find another employer who will do exactly the same thing. The choice, then, is between various levels and kinds of exploitation, not between being exploited and not being exploited. Because the capitalists (the owners, the bourgeoisie) have control over the means of production, and can invite whomever they like to come and work for them, the workers (the proletariat) must opt for some version of the capitalist system of exploitation outlined above. The capitalists design the system to benefit themselves, and this design means that the proletariat must either follow along, or starve to death. Needless to say, this creates a great tension between the groups; the proletariat sees the bourgeoisie living a wealthy life, doing little work but being rewarded out of all proportion. The workers feel like they are being controlled by the owners, and feel like they have themselves become no more than part of the means of production. The employer, for example, might have paid $40, 000 for a truck that hauls coal, and might buy a similar truck each year. The worker, who makes this same amount each year, is very much like this truck; he is a tool used to make profit and move coal. The needs of the truck are not a part of the profit equation, and the needs of the worker are similarly not important to the bottom line of the owners.

The divide between the work done by the proletariat and the compensation they receive for it results in an unfortunate effect, something Marxism refers to as alienation. We use this word in everyday English to indicate a feeling of being set apart from others, and from the interactions of people going on around us. The Marxist use of the term is comparable, but is defined more specifically as a predictable and inevitable reaction to capitalist exploitation. When human beings embark on a given project, they feel a connection to it; a large part of our identity revolves around both our occupation, and the energy we put into achieving it. The coal miners from the previous examples, for instance, would likely introduce themselves in a manner similar to that which follows: "Hi, my name is Ted. I am a coal miner from West Virginia. I have a beautiful wife and three adorable kids." Our names, occupations, locations, and personal relations are incredibly powerful forces when it comes to shaping our identity. In the capitalist system, names, locations, and relations are left out of the picture entirely, and only occupation matters. This alone is not conducive to making a person feel whole.

One could argue here that a person can foster these personal aspects of oneself in other ways, outside the place of work, and I think this is a valid point. However, even looking only at the working situation in which an individual operates, there is a strong disconnect between human value and human production that underlies capitalism. If I am living out in the forest in my log cabin with my family, I am compensated directly and appropriately for the work of my hands and mind. It takes an enormous amount of work to chop trees and build a suitable dwelling, but I can be sure that the more work I put in, the better the dwelling will be. Whatever work I put into it, I will receive the benefit; I will be protected better from the elements, I and my family will be safer from wild animals, and I will be less likely to have to build the thing again from scratch. The same applies for the farming I do, and every other aspect of my life.

In this situation, there is a direct connection between my physical and creative activities and my life situation. I reap the value from what I do, to the maximum proportion. Many of you have likely felt a great satisfaction after doing a hard day's work, when you can relax, and witness with pleasure the fruits of your labors. You feel like a part of the thing you have made, and in an important way, you are. By infusing it with your labor, which is a part of your self, you have made the thing yours, and you can be proud of it. You can enjoy it fully, and thus gain the full value you put into it.

Compare this, then, to what happens within a capitalist labor structure. First, almost all tasks are divided into tiny pieces, as this makes the process more efficient. It would be much more time consuming if the same person who broke the coal into portable pieces also shoveled it, transported it, and then sold it to the eventual buyers. It is more effective from the standpoint of profit to train each person to do a particular, very specific task. I pick the coal, you shovel it, he transports it, and so on. This is a highly specialized version of the division of labor, and it sets up the workers involved on a conceptual assembly line.

The assembly line approach to production automatically reduces the people involved to their functions as a part of the larger system. Using the coal example again, imagine you are the person in charge of shoveling the coal. You stand there all day, slightly stooped, and just shovel. That is it. You know what you are supposed to do, how quickly you need to go, and where you have to put the coal you have picked up. You don't need to know anything else about the process. You could be a model employee for the coal company, and have no idea what coal might even be used for. It would even be possible to do your job without even knowing what it is you are shoveling. Even if you do know that what you are shoveling is called coal, and that it burns well, making it an important source of fuel, you might still be totally in the dark about where it goes after you shovel it, how it is sold and transported, and the rest. However, even if you happen to know the entire process, from start to finish, the fact remains that all you need to know how do to, all you need to do, is physically move the coal at your feet into the container a couple of feet away. That is your job, and although you may refer to yourself as a coal miner, you are in reality a human shovel, an extension of the tool you use, and a simple, expendable cog in the machine of which you are a part. Perhaps if you were involved in the process from start to finish, you would have the satisfaction of knowing that the work you do warms homes and provides power to your entire town. However, because you are a tiny piece of a huge system, it is hard to connect the labor you have done (which is considerable, as anyone who has ever shoveled coal will rightly claim) with the good that it is doing for others.

This is one way that alienation emerges in the capitalist system of production. There is a disconnection that rises up between the work done and the value that it provides. People are creatures that want their actions to have meaning, to have good results that they can be proud of. However, when the work I do is reduced to an abstraction, I loose the connection I have to the labor of my own hands and mind. This makes it difficult for me to see my work as valuable, and this makes me feel disconnected and unimportant. At the end of the day, all the hard work I have done, pouring myself into the task at hand, has resulted in nothing more than a pile of coal being moved from one place to another nearby place. This is not something I can easily pin a positive identity on.

Perhaps, however, in the modern world system, it is naïve to think that the extreme division of labor could be avoided. In order to meet the needs of a burgeoning population, it is perhaps necessary to create systems that maximize efficiency to the highest possible level. It is difficult, after all, to heat a city without such models as the mine I have been discussing. And perhaps people could feel less alienated if they were also given a more direct connection to the system of which they are a part. If workers were updated about the results of their labor, rewarded for their contributions, and invited to partake in the decision making process of the system as a whole, perhaps alienation effects could be reduced or eliminated. Unfortunately, even if all of this were true, and took place, alienation arises through another channel, this one endemic to capitalist methods of production.

The problem of the extreme division of labor present on the human assembly line is further compounded by the fact that workers do not receive the full value of the work they do. The most satisfying situation for working is one in which I am intimately connected to the work that I am doing, and am a valuable part of the process from start to finish. Also, ideally I am directly benefited by what I have produced, which is the case in the example of the wilderness-dwelling family I spoke of earlier. I clear the ground, plow the earth, sow the seeds, and collect the harvest, thereby receiving the full value of what I have done in the form of food. This obviously benefits me directly, and I am intimately involved in the process from start to finish. As we have mentioned, however, this is not always possible in contemporary society, and some form of the division of labor is perhaps unavoidable.

However, there is nothing inherent in the division of labor which makes it so that I cannot receive the full benefit, the full value, of what I do. It is obvious that I cannot receive the value of my work directly in most labor situations; after all, what would I do with all of the coal I shoveled, even if I could take it all home with me? Sure, I might burn some of it to heat my home, but I would have to trade the rest for things that I needed (like food). This is where monetary exchange becomes most useful; I can exchange my coal for money, and use this to buy other things. Of course, I am not in the best position to be carrying coal around and selling it (since I have no control over the means of production), so this is simply impractical. As a result, I agree to put my value into the coal in a focused way (shoveling it), and agree to be paid for the work I do. The problem here, as we have discussed already, is that I am only given a small fraction of the value I put in.

When I do a great deal of work, create a lot of value, and then get compensated only for a small fraction of that value, alienation once again rears its ugly head. Not only am I disconnected from the direct value of what I am doing (I would not be able to make good use of the coal itself), but I am even denied the currency equivalent of the work I do. I get paid for part of the value of what I do, and my employer keeps whatever surplus remains in the form of profits. In taking the reward for most of my work, he robs me of the value I deserve, which completely destroys my connection to what I am doing. Even considered from the broadest possible angle - x work = x value - I am denied any sense of connection, because this sense of my work's relation to its value is utterly defied, and is actually expressed in a capitalist system as x work = (1/10) x value, or a similarly unbalanced ratio. It is the divide between the value I create and the value I receive that alienates me from my own labor. Since my work is such an important part of me, I feel unvalued and unvaluable. The value of my labor returns to me in a highly reduced form, and I, as a result, see myself as less valuable.

The result of the multiple forces of alienation is that workers feel severed from the work of their hands and minds, and also from a very important aspect of their own humanity. As a result, their humanity is reduced, and they find themselves dwarfed by the megaliths they have had some abstract hand in creating. Rather than standing in the role of creators over the things created, the creations stand over their creators, in more than one way. First, the creations are often so large, and exist on such a grand scale, that the individuals who have helped to make them come into being seem tiny beside it. Anyone who has worked to construct a huge building or machine knows this feeling intimately.

Further, the work not only stands over the people in a literal, physical way, by virtue of being larger (by several orders of magnitude in some cases), but it also stands over the people in a more abstract way, with regard to importance. The goal of a given company, after all, is not to make its workers happy (though this can be a good and useful side aim, which some companies do take into consideration). The company exists with a single end in mind, which is to make profits. The way this is accomplished is through the creation of something, and this something is the product. The product, since it is the vehicle for profits, and since profits rest on its shoulders, is the most important thing in the company. This kind of mentality is visible everywhere, especially between rival companies who are competing in the same market for the same customers. The idea, being, and image of a bottle of Coke stands at the center of the company which carries the same name, and the product is considered paramount. It would be tantamount to blasphemy to believe that the product was worse than Pepsi, and if a worker had the audacity to bring a can of Pepsi to work, or to suggest that management put a Pepsi machine in the cafeteria, that employee would likely find him or her self looking for work somewhere else, or at least on the wrong end of a warning to the same effect. In this example, it is clear that the product stands above the workers; after all, no one would suggest that the product be changed or inconvenienced to accommodate the worker. Better to fire an individual, or several, or thousands, than to allow the product to suffer an indignity. Clearly, from an ethical, human, standpoint, things have been reversed.

Because of the alienation and reversal of dignity-attribution that takes place under capitalism, Marxist theory does not call the things produced in this system "products," because this conveys a sense of coming into being through human labor that is simply not appropriate to what happens. The things that are made in capitalist systems stand before all else, and they have so much importance that the conditions of their creation (which in reality does rely on human labor) are forgotten, and they seem to stand by themselves, not the result of a historical process involving human labor, but as self-created, self-important entities that defy cause and effect, and eschew all humanity and human involvement. Thus, they refer to the results of capitalist production not as products, but as commodities, a term which represents the things that are made in their final state, without reference to their history and the process by which they are produced. Commodities stand alone, vitally important, and ignore the labor used to create them. This reinforces the alienation of the workers, and strips them of the last vestiges of their human value.

In the system of capitalist production, as the Marxist sees it, there is a hierarchy of being which twists all that is good. The bourgeoisie stand at the top, and this group controls the means of production. Next, the commodity is most valuable, since it is the thing that makes the profits the capitalists place at the center of all value (since these profits benefit the bourgeoisie, of course). Finally, we have the workers, or the proletariat, a group which is marginalized and whose value is minimal. This group is only valuable in as far as it can be used to create profits, whether it is on the side of production (working in a factory) or on the side of consumption (buying the bottle of Coke once it is produced). It is more than evident that this hierarchy of being, this system of values, is created and maintained by the bourgeoisie; all of the values radiate from them, and are seen from their point of view. This is certainly not right, or moral in any way, but the proletariat can do little to keep the view of the capitalists from becoming the dominant views of society as a whole because the bourgeoisie own and control the means of production. When you need to integrate yourself into a larger machine in order to live, there is little you can do to combat the system that will not also destroy you.

The bourgeoisie realizes that it is in the position of power, and it further realizes that it is in the vast minority, as far as numbers and population are considered. Therefore, they must be careful to ensure that the proletariat does not notice this fact in a way that would cause them to work together to defy the capitalists. One way to achieve this would be through the use of force, but this is very costly, and would result in an incredible amount of resistance which would limit profit and tax valuable resources. A superior way of ensuring control is to make the workers believe that the system in which they are operating is a good one, and that their lot is not only bearable, but even desirable, or at least inevitable.

A traditional way of making this kind of mentality stick, according to Marxist thought, is to introduce and uphold a given model of religious worship. The benefits of this institutional structure are enormous from a capitalist point of view, and the rewards are potentially tremendous. First, the idea of a hierarchy is set up not merely in earthy terms, but in divine, universal terms, making such divisions seem completely natural and ordained by the greatest powers imaginable. At the top of the pyramid is God, who is the owner and creator of all, the source of all good. Next come the angels and the other good spiritual beings, who follow his commands and are blessed as a result. Then come the humans, a mixed lot, certainly not divine, but valued in as far as they follow the will of God. Finally, we have the demons, and Satan himself, who were once in a good position but who lost it all when they refused to obey the dictates of the ruler of the universe. Needless to say, this is easily paralleled with the situation of earthly production and obedience, wherein the owner of the company stands in a similar relation to his managers and employees as God does to his angels and humanity respectively. Following the commander, whether God or the owner, will result in good.
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Apr 08, 2013
Research Tutorial / Deconstruction (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Deconstruction - Part I



At this point in our discussion of literary theory throughout the 20th century (and somewhat beyond in both past and future directions), it becomes necessary to justify some of the choices I have made and the order I have employed and plan to employ when dealing with subsequent theories. You see, most disciplines with a historical bent are allowed the luxury of presenting the various significant items they want to consider in the order in which they occurred. This has many benefits. First, the order you choose is determined in advance, so there are no decisions to be made with regard to what large selections to place where. Second, since one section follows from the next in a logical and causal fashion, knowing what to include is relatively straightforward as well: you include it all, and if you have to skip something for space you need at least to summarize it so that no gaps remain. Certainly selection comes into play with regard to the fine details, and the order of some very specific events can be debated, but in the large strokes which determine how one would discuss the events in question, there is no such ambiguity. If I were discussing American history from 1900 to the present, for example, my section on World War I would come before my section on World War II, and my article set on the depression would occur between the two.

Deconstruction WritingIn the case of literary theory, however, things can not be so straightforward as this. Looking first at the order I am employing, it is apparent so far that I have been trying to move chronologically to some degree. The section on the birth of theory obviously begins long, long before the 20th century, and the section on New Criticism begins with an overview of some important 19th century literary theories that led up to New Criticism. Since Russian Formalism began as a near contemporary to New Criticism (though both schools were unaware of each other), and since some of their concerns overlapped (both have been referred to as formalist in their approach), it made sense to include them next. This makes sense especially in light of the fact that both of these formalist groups faded away or were suppressed, and gave way to new approaches. Since Structuralism has direct links to Russian Formalism, becoming the new home of several Russian Formalist scholars, and since Structuralism rang the death knell on New Criticism in the West (thought it was being killed by other forces as well), it made sense to discuss Structuralism next. From here, however, the way onward is not so clear, because many directions make good sense to follow.

Moving chronologically can still work to some degree, but not for long. Already with Structuralism, we have a school that, while no longer dominant, still survives, so that though I often speak of it in the past tense, since its time of dominance was decades ago, it is not a dead theory. The period and theory immediately following Structuralism, what is known, predictably, as Poststructuralism, is a very wide ranging theoretical field that encompasses a large number of theories, including gender studies, Marxism, feminism, cultural studies, and a host of others. Of course, all of these are their own branches of theory, and some of them have histories that predate even New Criticism. Marxism, for example, has been around since the 19th century, and unlike some of the other theories we have discussed, it is still vibrant to this day. Such complex histories and relations do not make for a simple and uncontroversial selection and arrangement, to say the least.

To further complicate the progression of the series, there are several theoretical movements that originated in Structuralism that were vital to its progression. For example, Reader-Response theory and Narratology were both born from Structuralist theorists in a Structuralist setting, and employed Structuralist methods. Both of these sub-theories came to garner their own followers, and so became distinct theoretical schools, although both saw their days of greatest influence at about the same time that Structuralism had risen to its highest point. Of course, unfortunately for the sake of simplicity and fortunately for the sake of literary studies, both theories have remained alive even through the decline of Structuralism. So, do I present these in the context of Structuralism (and therefore next in the series), or do I press on and present something Poststructural?

Or, since I have come to a point somewhere in the mid sixties, is it time to go back and begin to explore the development of Feminism, or Marxism, or Psychoanalysis, since in order to properly understand theory after 1970, all of these are of great importance, and the first two at least become dominant aspects of another powerful movement, the rise of Postcolonial theory and Cultural Studies as juggernauts in not only literary studies, but in the humanities as a whole? Omitting the development of any of these theoretical movements, while in some cases tempting, is not a satisfying solution either, since all the ones I have mentioned are important parts of the literary landscape. Leaving these out would be like skipping the Vietnam War in the American history example I used earlier; it might be easier to leave it out, and perhaps less painful, but it is too obvious and important.

My solution to this dilemma comes in two parts. The first is my plan to divide the largest movements, like Poststructuralism and Cultural Studies, into their component parts. So many theories compose both, and these theories have such different aims, approaches, and beliefs, that this will be a more accurate way of showing the diverse range of opinion within the all-encompassing titles. If you understand all the theories that comprise Cultural Studies on their own, as well as the differences between them, you have a solid understanding of Cultural Studies in all its diversity. Similarly, since there is so much overlap between the monolithic theoretical entities Poststructuralism and Cultural Studies, presenting them one after the other would be an exercise in extreme redundancy, and it is better to let their pieces speak for themselves. So, the first aspect of theory within Poststructuralism I will deal with is Deconstruction; it directly attacks Structuralist, Formalist, and New Critical thought, and forms the backbone of what is to follow after. Next, I will present Marxism, Feminism, and Psychoanalytical theory, all of which are implicated in all that comes after Deconstruction. Next will come Postcolonial theory, which develops later than the previous trio of theories, but combines their premises very powerfully, and becomes the strongest current in contemporary Cultural Studies. Finally, I will explore Reader-Response Criticism and Narratology, as these form links between Structuralism and the Poststructural landscape I will already have explored in Deconstruction, Feminism, Marxism, Psychoanalysis, and Postcolonialism.

The second half of the two part solution I mentioned at the beginning of the last paragraph is a strong disclaimer. With such a myriad of theories which could potentially be discussed, I must omit some, and spend less time on some than others. Any general overview like this one must be somewhat subjective, and I am sure if my expertise was different than it is, the selection of some theories, the order in which I arrange them, and the time I spend on each, would be somewhat different.

Deconstruction holds a special place in my academic heart (if such an organ can even be said to exist), but it is not the kind of place I would reserve for my favorite literary works, my favorite authors, or even my favorite theories and theorists. It is more like the kind of place you might have in your heart for a piece of shrapnel that cut through your ribcage and embedded itself firmly in your left ventricle. It came shockingly quickly, caused a lot of pain, and still hasn't stopped bleeding. Perhaps this is not a glowing recommendation of the theory, but nonetheless I feel it is accurate, and descriptive of the experience many students and even professional academics have with the most difficult and intimidating of literary theories.

At the start of this series on theory I made the claim, which some might consider bold, that literary theory was the most difficult body of knowledge to understand within literary studies. Theory, and even the idea of theory, is enough to scare intelligent students, and to make good writers and academics feel inadequate. If this is true for theory in general, you can imagine what kind of reaction people have to Deconstruction, which is, as I have again boldly stated, the most difficult part of a challenging body of knowledge. Evidence of this is available from many sources, and I have had several experiences which can attest to Deconstruction's terrible difficulty.

The university I was attending at the time offered a course on the subject, which was unusual; theory was usually covered in courses dedicated to covering a range of theories in a survey style. However, the powers that be determined that it would be a good idea, and that it was a challenging and important enough subject that it could fill up a syllabus for an entire course. I had many preconceptions of what the class would be like, based on the bits and pieces of Deconstructive lore I had picked up in my other academic travels. I was under the impression that Deconstruction posited that literary works could not really have meaning, that words don't even mean what you think they do, and that your most cherished ideas about your favorite texts were not only wrong, but they were actually the complete opposite of what you believed they were. Needless to say, as much as I thought I should know more about the subject, I was not looking forward to the class.

There we were, not more than a dozen of us (again, the reputation of the difficulty of the subject had preceded it), sitting nervously around a single large table, hoping against hope that this arcane, esoteric body of knowledge would not be beyond us. Suddenly, the professor entered the room, an armful of photocopies in hand, somewhat flustered, anxious looking, and seeming unsure he was in the right school, let alone the right room. He began speaking, mumbling almost incomprehensibly in a mild French accent, as he passed around some of the readings for the term. Of course, the syllabus would not actually be distributed at all; the readings were all that were important, and since we were only looking at three authors all term (and only two for any length of time), there was not a lot of planning out which needed to be done. The final grade, we eventually determined, would be based on two assignments, neither of which was very long. The muttering continued, still incomprehensible. Needless to say, the first day didn't really clear up what Deconstruction was for any of us.

As useless as that first class in Deconstruction was, it provided me with some excellent reading, the likes of which I had never seen before. The essay we were assigned to read (in as far as we could decipher from the professor's mumbling rambles), was entitled "Structure, Sign, and Play in the Discourse of the Human Sciences," and was written by one Jacques Derrida, a man I had heard much about but read nothing from at the time. I knew he was French, and I also knew he was the father of Deconstruction, but beyond that my knowledge was severely limited. Being keen to unravel the mysteries contained within the paper sitting before me, I wasted no time beginning to read, and I made a very important discovery which would prove invaluable in all my future reading of Deconstructive texts: they take literally twice as long to read as most other theory texts. If you take about 45 seconds to read a page of a novel, you are likely to take a minute and a half to two minutes to read a page of theory. However, as I looked up at the clock at various intervals, I found that I was only making progress at about half the speed I usually did when reading theory texts. At the time, I hoped it was merely because I was looking at a new body of work with which I was unfamiliar, and that my fluency in its terms would improve over time, allowing me to maintain my usual pace. Fortunately, I did become more fluent as the course went on, but to this day my reading speed of such material is still significantly slower than it is for anything else I read.

It is obvious that reading time is indicative of difficulty, but what is most striking about texts in Deconstruction is that they maintain their challenging nature no matter how many times you read them. I asked a colleague who had just completed a dissertation on Derrida to explain a key Deconstructive concept to me, and he talked in such halting circles that I was only more confused by the end of the conversation that I was before I asked the question. When rereading various essays to refresh myself for this series, I found myself delving into works I had only planned to skim over, since I already understood what they contained. That is, I understood what they contained until I began rereading, at which point I immediately became engrossed in the essays, and began reading in a highly reflective manner, frequently pausing to consider what I had read, and rereading the same passages several times, each time seeing something else which complicated my conception of it. Then, I found myself reading back and forth between essays, like one might do on Wikipedia, sitting there for hours just putting pieces of ideas together and endlessly searching for different conclusions which gave rise to more questions, and so on.

Turning back to my experience in the Deconstruction class, it was soon time to attend the second day, and I was excited. I felt like I had uncovered a lot, and I had many metaphors, analogies, and models in my mind which I had devised to make the work I was reading clearer. I also thought they would make things easier for the other members of the class, and I was looking forward to hearing their own ways of making sense of the material. However, as I quickly learned, such modeling and comparison was not what the course was supposed to be about.

The professor, five minutes late (which would become his custom for the entire course), ambled into the class and handed out some more essays, mumbling something about the secretary and photocopying, and we got to work on the essay we were supposed to read for homework. Being keen at this point, I looked forward to a good discussion of the material with the other members of the class. At this level (it was a graduate course, and I was a Masters student), classes were generally run in a fairly open manner. Straight lectures occupied some classes, but most classes were either composed entirely of guided discussion, or featured a mix of lecture and discussion, usually favoring the latter. Also at this level, for those of you who are not familiar with the university system, reading the material in class was simply not even considered an option; we were expected to have read the material at home on our own time, and most of us went much further, making notes about it and underlining key passages. It was highly embarrassing to have absolutely nothing to say about a topic, so most students condensed a couple of questions/points of interest from their notes in case they were called on to start discussion, or in case they wanted to shift the conversation in a different direction. I had my first point ready and waiting, but this class didn't unfold in any of the ways I mentioned above, which was, to say the least, surprising.

The professor asked us to turn to the first page of the essay, and we did so. He gave about 30 seconds of background on the context of the paper, and then started reading it, mumbling quickly through it aloud, but not loudly by any means. Most of us followed along, but when this reading continued for about a minute, some of us began looking at one other. Anyone who has taught a class in literary studies has from time to time thought of something they wanted to point out in a text, but needed a moment to read through to find the right passage. The process often involves a quick, murmuring read through the text in approximately the right place until the key excerpt is found, at which point the professor's voice takes on an "Ah-Ha!" quality, gets louder and slower, and reads the excerpt proper with due emphasis, followed by an explanation of its significance. Most of us expected that this was what the professor was doing here, and while it is odd to need to do that to begin a class (usually the lead points are clear, and the examples from the text have been carefully marked so the class will begin smoothly), the professor did not seem very well organized, so it seemed to make sense that he would be looking for something early on. However, after a minute, and then after about two minutes, we sensed that something was wrong. Usually, if you haven't found what you are looking for in this time, you realize you have turned to the wrong section, and either switch your focus, or give up on finding the excerpt, content to move on to your next point. Out professor kept going, however, and it wasn't until about minute three that he paused, and repeated a passage he had read, looking up at all of us. Thinking that he had finally found what he was looking for, we all read it again carefully, trying to see its grand significance, but once again, that was not what was expected in this most unusual of classes.

As we were reading the passage over, expecting that the professor was giving us time to review and digest it, as is common practice, he began talking about it...in a way. Usually, when the key passage is found, it is read, possibly repeated, and then either the professor asks a question, he launches into an explanation, or he explains a little and then asks a question. In this case, the professor began by repeating the passage, pausing, and then started to rephrase the passage, only changing the words slightly, and keeping the meaning, as far as any of us could tell, exactly the same. After doing this for a minute or so, and punctuating with a comment like "you see?" or "and that is what he is saying" between repetitions, he plunged right back into the text, continuing from where he left off, mumbling his way through the text.

Needless to say, we didn't quite know what to make of this pedagogical style, and many of us believed that it was all leading to something, that it was all being done in preparation for some grander point, that it was preparatory and introductory work for what we would spend most of the class doing. We were all wrong. The process I outlined above was repeated over the course of the class, and we sat there for hours reading along, underlining the things he said were important, and taking scanty notes, for there was nothing to record that wasn't already in the text. The whole experience reminds me of a movie I had recently gone to see with great expectations. I went, and it started slowly, which I thought was its way of building up to something fantastic. About halfway through, when things had not picked up, the person I was there with suggested we leave, but I, convinced that something was bound to happen to make it all worth while, thought it would be best to wait it out. Three hours later, sleep clutching both of us mercilessly, my mistake became apparent. Nothing had happened, and what I thought was the set up was the body of the film. I felt like I had just wasted 3 hours of my life, and this is precisely how I felt after that class. The build-up was the class, and it never led to anything. Needless to say, I went home unhappy, and determined to change the course of the next class however I could. The prospect of spending a whole semester in a class where we slowly read the assigned texts was just too much to bear.

I spoke with several of the other students after class, many of whom I now knew in an extracurricular as much as an academic sense, and we came to the conclusion that we were not merely imagining the absurdity of the class, since we had all independently come to have the same feelings about it. So, we turned that little meeting into a planning and strategy group, and determined how we would actually force the professor to give us more from the class than another reading of the assigned work. None of us wanted to sabotage the professor or the class; we had taken it because we wanted to (or felt like we had to) learn more about Deconstruction. We decided that questions after the pauses he made would be the best way forward, and so we set off to read the new material, and to prepare questions which would work at what we thought would be the key stopping places.

So, we all came to the next class more prepared than usual, and ready to implement out plan for the good of our minds and souls. After the professor arrived and began his mumbled reading in much the same way he had begun last class, we waited anxiously for the first pause. When it happened, after a little looking around, I waited for what seemed like the end of his "commentary" on the text and posed a question to him, asking if one could think of that point as being something like another idea I had thought of. His immediate response was no. That was it. He looked down and began reading again, before any of us had sufficiently recovered from our surprise to make further comment or to challenge the denial. Apparently, things were not going to be so easy to change as we had imagined they might.

When the next pause arose, a different student had another question, this time not putting forward an analogy or comparison, but simply asking what a particular phrase meant, and what the concept it contained really referred to. He seemed to respond somewhat more positively to this (thought it could just have been wishful thinking on our parts), and then began an explanation...sort of. We all snatched up our pens (which we had got into the habit of abandoning early on in the class), ready to take the first meaningful notes of the course. I remember starting to copy down the ideas that came forth, and then as the explanation went on, and on, and on, I realized that he was not saying anything different than he had been saying in his standard repetitions and rephrasing. He used more of the "do you see?" and "that is what he means" comments than usual, but the content was identical. After taking about five minutes to finish answering, he began reading again. Things were only growing more frustrating, and although I did my best to hide it, I must have been visibly annoyed. The professor, of course, did not notice, and kept reading as if he were sitting alone at home in the comfort of his favorite armchair.

We waited for another opportunity to get in, but the next time he paused was actually to stop for the end of class! It was apparent that he was well aware of what we were trying to do, and that he wanted to prevent it entirely if he could. He seemed determined to mutter his way through the course, letting the ideas, which he must have believed were self-evident, speak for themselves. Of course, we would end up learning something from this experience, but it really invalidated the whole purpose of having a class; after all, we could just get the list of texts and read them ourselves, which would save us time, effort, money, and boundless frustration. A couple of students stopped attending after this class (there was no class participation grade), resigned to the fact that they were not going to be taught anything. Not willing to give in so easily, the rest of us met again, and this time the flavor of the meeting changed from that of a think-tank to a council of war. Clearly, we had underestimated our opponent and the intentionality with which he pursued his chosen course, which seemed designed to keep us as ignorant as possible. However, we were counting on the fact that he too had underestimated his opponents; we would not be going down without a fight!

The change in plans this time was even simpler than last time, but it shifted our approach significantly. When we thought we were dealing with someone who was unintentionally uninviting and who was depriving us of knowledge by accident, a soft approach seemed sufficient to lead him away from this; I have had several professors who, despite their desire to enlighten the class, spent most of it looking down and speaking as if to themselves because of various social inabilities. Once these individuals are prompted, however, they can be very helpful. Since this wasn't the case we had in front of us, we decided on a more aggressive approach. We would use the same "in" as we had planned to last time, the pauses, but since he now appeared to be on to us, we were willing, if there were no pauses for more than ten minutes, to jump in at the ends of paragraphs where natural pauses occur, and to pose questions there. This required some diligent planning, as we had to figure out how quickly he read and where in the text we would be when a break-in would become necessary, but we sorted it out over the space between this class and the next and came to class prepared for battle.

Of course, our assumption that the classes would be run in a predictable and uniform manner was somewhat flawed. When he arrived (again, almost exactly 5 minutes late, which led some of us to believe it was not carelessness but rather careful planning), and he had no essays to hand out to us to read for next day, all of us grew concerned. He announced, in as far as he ever "announced" anything in his low, quick speech, that since we had not finished either of the first two papers in class, we would take the time today to do so, and leave the essay we were supposed to have read for this class go for the next class. Of course, none of us was pleased with this, and many of us raised objections, including the fact that few of us had brought the essays from previous classes. However, it became evident that he had no intention of doing anything other than he suggested, and that he likely didn't even have today's essay prepared to teach, in as far as he ever had anything prepared to teach. He encouraged us to follow along with a neighbor, and so there we sat, fuming, in groups of two and three, once again foiled in our plan to make the class meaningful. We tried to insert questions and voice objections, but with texts that we hadn't looked at in a while (the class was held once a week), we were not in a great position to put up any sort of resistance. We got through the essays, which was a painful process, and resolved to enact our vengeance the following class.

When class began that day, there was a sense of excitement in the air. Having had two weeks to mull over the essay, as well as our responses and objections to it, we were more confident in this material than we had been in any other, and we felt collectively like we could finally wrest some knowledge out of the professor who was guarding it so tenaciously. Fueled by our frustration last time, we were more determined than ever to achieve out goals, and the sense of anticipation was palpable. At 3:05, the professor entered on an excited looking bunch, and although most educators would be pleased at this prospect, his mask of indifference was impenetrable.

The class began as predicted, and he began reading through the essay in the usual manner. No pauses seemed to be coming, despite the fact that he had been reading for over ten minutes. Seeing the way things were, we looked around and began implementing the plan. The exchange that followed was one that I will never forget. I asked the planned question, similar to one I had asked before, and suggested a model that would capture the Deconstructive entity under discussion, and he again responded to my complex suggestion with the simplest and briefest of negative responses. Prepared, I parried with a more detailed expression of how my model mapped onto the key terms, making the analogies explicit and, as I believed, incontrovertibly, obviously, evidently linked to the concept to which I wanted to link them. He again responded with a no, and, flummoxed (not a word I use lightly), I began to sputter a rebuttal, but he stopped me there. I thought that once again my methods were going to be completely ineffective, but as it turns out, he was about to reveal a key secret of deconstruction as a result of my pressing.

The class, having now grown silent, stared at him, waiting for a reply, a real answer to a question, or at least a meaningful statement that went beyond reading and paraphrasing the text. I quote him now, and though the words are not exact, they are close, and definitely capture the meaning of his utterance accurately. "You can't do that. You keep trying to force Deconstruction into your own systems, trying to compare it with other things and make it into a system. That defies what deconstruction is. That is one of the things that Deconstruction tries to resist. You think that by mapping one of these ideas onto ideas and models you already have and know you will understand it. But as soon as you do that, you change what it is. At the heart of Deconstruction is its denial of the kind of identity you are trying to create. You can only understand it on its own terms, and even the idea of understanding is not exact here. You have to live the work. Logic, analogy, and comparison are not sufficient."

We all sat there, most of us with that wide-eyed look that accompanies surprise, and some of us with that further twisting of enthusiasm that animates faces after a revelation. In a flash, I understood the professor, the class, its structure, and even something about Deconstruction. Thinking back to the structure of the class, it occurred to me that the professor was not (or at least not merely) stubborn or socially uncomfortable; he was living Deconstructive principles, and teaching them through his methods. If you can't attempt to understand Deconstructive principles in the light of your existing knowledge, this means that you have to conceive of it as a radically different thing. If you can't really use reason or logic to make it make sense, then any system you attempt to work it into will fall apart, because it is deconstructing systems and systematicity themselves. His style of reading the text and then repeating key passages meant that he was actively trying not to alter the texts; he was living with it, immersing in it, rather than trying to put it in different terms. He could not show us its meaning, because in Deconstruction, you never get to the central, present meaning. It is deferred endlessly, just as each class seemed to endlessly defer any understanding. It was brilliant, and if I thought he had been doing it to teach us something, I would applaud. However, I believe he was doing it unconsciously, as someone who had spent so much of his life thinking in Deconstructive terms that his mind now simply worked that way.

Of course, this was not the last of the discussions about the nature of Deconstruction, even thought the professor likely hoped that it would be. As the class progressed, we began to interrupt with more and more questions, and as the weeks went on, the classes threatened to turn into lively and interesting debates. Of course, this is precisely what the professor did not want to happen, and so at one point he decided that enough was enough. When one of the usual rabble-rousers (of whom I am proud to say I was not one) started speaking, he said to him "Be quiet." We all laughed, thinking it was a bit of a joke or a dig, but when the student smiled and then started to continue, the professor repeated "Be quiet. You are not going to learn anything if you keep that up." Of course, there was no possible response to this, and so the student desisted. This did not keep him, nor the rest of us, from speaking up in the future, but it did ensure that that class maintained a balance between focus on the essays and ideas about the general nature of Deconstruction.

Regardless of what I learned about Deconstruction in that class (which ended up being a surprising amount), I learned what could perhaps be the most important lesson of all for working with the theory (if it can be called that) period. Resistance is futile. The Trekkers among you might appreciate the sentiment more than others, but it is completely applicable to this subject. Almost everyone's first instinct when encountering Deconstruction for the first time is to resist it. Of all the literary theories you will ever encounter, Deconstruction brings out the fight in a person the most. Even if you are a staunch capitalist, you can at least understand the arguments Marxists make, based on the principles they employ and the logic they follow. You will likely not agree that their premises are sound, or that their definitions of the good are correct, but you will be able to follow how they get from the inception of their idea to its goals, and how the practice they recommend would lead one along the path between them. This is because the theories we follow are rooted in logic, in reason, in that most human of capacities that has even been called that which makes us really human. Deconstruction resists the imposition of logic, and states that the entire history of Western metaphysics has valued logic as the path to true meaning, whereas it only ever gives an approximation.

Needless to say, if Deconstruction sees the centrality of logic as an imposition, this flies in the face of far more than merely a given set of political or moral beliefs. It flies in the face of out very epistemology, of the way we come to know and understand. It goes against every fiber of our intellectual beings, and as a result, we cannot help doubting it, trying to expose its holes, trying to tear it down. However, the only way we have of doing this is on the basis of reason, which is linked to the very metaphysical structure that Deconstruction denies. So, in order to understand it, you have to forget all you know, or at least put it aside for a time and engage in the play of language that Deconstruction employs as its central force. Only by embracing and enacting it will you have any hope of learning anything about it. Resist later if you like, but for now, go with the flow.

One I had abandoned, or should I say postponed, my resistance, the class went along much more smoothly. The questions I asked were not met with immediate no's, although more often than not they exposed the times when my resistance had risen to the surface more than I had realized. The true test, of course, would be how I performed on the papers we were expected to write, but this turned out to be another lesson in humility, which exposed more about the problem one encounters when practicing and evaluating Deconstruction, a theory that resists both practice and evaluation by its very nature!

Having resigned myself to the play of the theory, I did my best in my papers to make them as free flowing and uninhibited as possible. I flowed from unexpected word origins to relations between key terms to multilayered puns to outright paradox, all of which are staples of Deconstructive writing. Each time I wrote, however, I did not achieve up to my expectations, and the professor warned me that I should not be trying to do deconstruction, but rather, I should be seeking to talk about it. Again, I was completely baffled. I was trying to live it, trying to let Deconstruction possess me, and when I did, I was reprimanded for not casting my work in a logical, non Deconstructive frame. Again, I felt stymied, but such is the contradictory nature of the subject. I had to be evaluated in some way, and of course the standards for evaluating academic papers are largely uniform across the discipline of literary studies. As a result, my Deconstructive essays were evaluated according to the very principles they contested, and, thinking back, it really couldn't have gone any other way.

So, the class ended, and while no one was happy, this was perhaps part of the lesson. Deconstruction is not the happy-maker, and it will never be. Perhaps Jacques Derrida was amused as he pondered the theory he created, but aside from him, Deconstructionists are humorless people in their academic pursuits, and if you have a party in the future where you have invited one, be sure not to turn the conversation to literary or even political theory. Four hours later, tired and dizzy, you will still be listening to a diatribe about meaning that, especially if you have been drinking, will leave you with a splitting headache in the morning. After the term had wrapped up and I had written my final paper, I fully expected a B+ in the course based on what I had received up to that point. My final essay ended up receiving the same grade as my previous efforts, and yet, inexplicably, I achieved an A in the course. I am not sure what happened, or how, but I spoke to many of the other students, in the class, and most had a similar experience. So, was this another Deconstructive principle being enacted either consciously or not? In the end, after all indications and assumptions suggested that the course would climax in a final, ineffable meaning, differentiating all of us from one another and indelibly stamping us with a definition, a distinction, what we ended up with was another deferral of meaning. Of course, since this was the end of the course, the meaning would be deferred indefinitely, infinitely perhaps, which might have been the finest masterstroke of Deconstructive principles in the whole course.

Thus far in the series, I have striven (which is the correct but seldom used form of the word with an auxiliary verb) to give a general idea about Deconstruction and its basic attitude. I have also tried to illustrate how it is approached in classrooms and how students react to it. Finally, I have tried to ease into the subject as gradually and entertainingly as possible, because, like those who practice it, Deconstruction is a humorless, challenging, irritating pursuit. From this point forward, that humorlessness will come through more powerfully as I begin to delve into its principles and key concepts, and while I will try to keep things somewhat interesting, prepare for slower reading and a lot more thinking. Deconstruction is not for the faint of mind, although, contrary to popular belief, it is not incomprehensible.

Starting at the start, or at least at the big start that the world remembers, Deconstruction burst onto the intellectual and academic landscape in 1966 at Johns Hopkins University. A colloquium was being held, running under the title "The Languages of Criticism and the Sciences of Man." Now, this title might seem incredibly broad and grandiose, but looking at the list of invited speakers, the title was just about right; the colloquium was more like a literary theory all-star game than a regular academic conference. One of the presenters was a relatively unknown philosopher named Jacques Derrida, and because of the scheduling of the talk, as well as the stature of the conference and the growing American interest in European theory, notably Structuralism, his talk was very well attended.

He presented an essay that I have mentioned as the first essay I read in my class on Deconstruction, "Structure, Sign, and Play in the Discourse of the Human Sciences." It obviously reflects the title of the conference, and hits upon the key word "Structure" which was of great interest to the largely American audience. What it seemed to promise, however, and what it ended up delivering were completely different things...almost. You see, Derrida did address Structuralism, but he was one of a small school of European scholars who were reacting to Structuralism's limitations. Structuralism had enough history in Europe that it was nothing novel, and so, as expected, its flaws were beginning to rise to the surface at the beginning of what would be a paradigm shift.

Of course, Structuralism had only appeared very recently in the United States, and this conference was conceived in part to usher it in on a wider, more significant scale. It achieved this end, but at the same time Structuralism saw its official American birth, its death was being simultaneously prophesized. As fascinating and interesting as the North American scholars found Structuralism, it simply could not compare with the critique of Structuralism provided by those like Derrida, and his talk signaled the beginning of what would come to be known as Poststructuralism. This is not to say that Structuralism was laid to rest on that fateful day in 1966, but the signs were clear that a new and different order was on the horizon, and daybreak was not far off. Poststructuralism and Deconstruction became the dominant approaches to literary theory for the next 30 years, and even today their influence is profound.

Theory: The How's and Why's of Literature

Deconstruction - Part II



What I am about to do, in a way, flies in the face of all my Deconstruction professor "taught" us; however, since there is really no way to teach Deconstruction according to its own principles (more on this later), I do not feel the least bit bad about it. Keep in mind, however, that what I set out is a guide and an approximation. In order to fully appreciate what Deconstruction is all about, it is absolutely imperative that you track down some texts written by Deconstructionists and read them. Many are available online, and if your university's library doesn't have several texts by figures like Jacques Derrida, Paul de Man, and J. Hillis Miller, you need to withdraw immediately and go elsewhere. I am not kidding. This would be like attending a medical school where the library had no copies of Gray's Anatomy, which is simply absurd.

To begin to embrace Deconstruction, it is important to understand that paradox is a dominant form of "argument," and that word plays are integral to the "logic" of Deconstruction. To start with a great example from the beginning of "Sign, Structure, and Play in the Discourse of the Human Sciences," we can see Derrida talking about the history of Western metaphysics, which is a branch of philosophy regarding being, the nature of reality, and existence in general. Meta come from the Latin, and means beyond, while physics, as we know well from our contemporary use of the word, has to do with physical reality and its properties. So, if metaphysics is the branch of philosophy that goes beyond physics, we can see that it addresses issues on an abstract, fundamental level. Although there are many, many philosophers associated with this tradition, as well as its refutation, Plato's idea of the forms is an excellent example of metaphysical thought.

Plato posited that the things we see and experience in the word around us, as well as the abstract concepts we can never physically see but only think, like justice and beauty, are but specific manifestations that partake in a kind of ideal form of the entity in question. For example, if I look at the table resting beneath the computer I am working on right now, it is evident that this table is not the template for all tables. Therefore, knowing this particular table does not help me to know a table if I see it, for all its diverse characteristics (the number of legs it has, the materials which make it up, the grain of the wood, its height from the floor, its size, and too many other subtle characteristics to mention) combine to make it a very specific entity, not encompassing the essence of table-ness that I have in my mind. Rather, there is an ideal form of the table that allows me to recognize a table when I see one, based on the degree to which the table partakes of the ideal form of the table, which is an abstract entity Plato never explicitly defines as either a real thing that exists in some other plane of existence, or merely a useful idea to represent a general concept. The form of a thing is that thing in its complete perfection, and without the form, the specific instantiation of the thing in question would cease to exist. If this sounds confusing, please brace yourselves, for it is mainly said in preparation for the far more advanced ideas that are to follow.

So, it is apparent that Plato's idea of being, of existence and truth, are all based on the existence of an overwhelming presence that goes beyond mere physical reality and stands somehow above and before it, making it what it is. The forms represent the truth, the true essence of any specific entity, and as a result all outward signs of this truth, this form, are given meaning as a result of their connection to this presence. A specific table is not the essence of table-ness itself, but rather an indication of, or a pointing to, the true form of the table which defines it.

Deconstruction's claim, in Derrida's voice, is that the history of Western philosophy is largely the history of Western metaphysics which begins with Plato and his idea of forms. Although the ideas grow more sophisticated, and the philosophy uses different metaphors for the all-defining, all-important center of reference, like God, or, later, the human subject, they are nonetheless steps along a path that sees the being as defined by presence, presence being defined as the ultimate reality which gives meaning and existence to everything else. Needless to say, Derrida disputed this notion, and argues instead that there is no ultimate presence, no center that structures all and unifies a specific aspect of reality with something above it which acts to make it what it is.

His metaphor regarding structure at the start of the essay we have been returning to time and again is a telling one, and also very useful for instructional purposes, since it uses many of the most common Deconstructive maneuvers. He begins by discussing structure, and the necessity within all structures of a center (thinking of the structure as a circle will help here.) Now, the center of the structure is the thing to which the rest is moored, and which gives it definition, but looking closely, we can see that the center is not even part of the structure. In the case of a circle, the center is the place in the circle that does not even rotate when the rest of the circle rotates, for example. Thus, it is at the center of the structure, defining it, but at the same time it is not really part of the circle. Since it defines the circle, but does not partake in its motions, it is outside and apart from it. So, it is both inside and outside, there and not there, at the same time. It is definitive, but it does not really exist. It is merely a relation, a relation which itself is no presence, but rather an absence. It is the infinitely tiny pin-hole in the middle of the circle, the nothing which both defines and circle and is defined by it, with no existence of its own.

To make things somewhat more clear, let us turn once more to Ferdinand de Saussure, whom Derrida made excellent use of to elaborate some of his Deconstructive ideas. As we read in the series on Structuralism, Saussure was a groundbreaking linguistic theorist in the late 19th and early 20th century who shifted his field (then usually known as philology) from one centered on the historical development of language to one dedicated to the study of language as it exists in the present moment, or at any given time in the past, without regard for historical development. He is a central figure for Structuralism, who based many of their concepts on his work, and who incorporated his linguistic theories into their literary analyses, making the science of signs that Saussure had called for.

In his response to Structuralism, Derrida made explicit reference to the tenets of Structuralist thought, and did a lot of work with Saussure's concepts. Some would accuse him of turning Saussure inside out, while others praised him for showing the outcome of Structuralist thought when taken to its extreme. This, of course, is why Deconstruction is often referred to as the first manifestation of Poststructuralism. Post means after, of course, and so Poststructuralism points to a time after Structuralism most obviously. However, because the term contains the word Structuralism within it, it is evidently still bound up with Structuralism's major ideas, serving as much as a particular way of developing Structuralism as a way of tearing it down.

Saussure made an important distinction between the signifier and the signified; the signifier is the sound or printed word or symbol that points to something outside itself, that gains its meaning from something outside itself. The signified is the thing that it points to, that gives it meaning. This is a neat distinction, and one that allows us to discuss different levels of linguistic meaning. The signifier is the word itself, the sounds, the black marks on the page, which gain their meaning from their connection to the system of language of which they are a part.

Derrida, however, uses Saussure's terminology to a different end, and talks about the absence of the transcendental signified, or that thing which gives all other things meaning, the real thing whose presence is the mooring for all knowledge, truth, and being as we know it. For Derrida, there was nothing standing behind the surface of the language, for if any signifier pointed to anything at all, it was not to a real thing that existed behind language and acted as its essence. Rather, Deconstruction posits that signifiers point to other signifiers, and that the whole process is completely unmotivated in terms of essential truth. We have a strong desire to imagine a being or force which is the ultimate authority, whether we want to make it the ultimate authority over all being (God), or a more limited authority that still governs a given set of human representations or actions. However, Deconstruction denies the existence of the transcendental signified, and, again using Saussure, notes the arbitrary connection between sounds or letters and the things they represent. The word tree, as I have mentioned previously, has nothing tree-like about it. There is no force behind my utterance that somehow links the essence or idea of a tree to my representation of it. It is entirely conventional.

Going even further, Derrida insists that not only is the transcendental signified a metaphysical myth, but that there can ultimately be no signified at all, for this implies a stopping point and insistence on a presence that simply is not there. Let us for example take the word stem. What does this word mean? Taking one meaning, it refers to a part of a tree. Taking a meaning that rises metaphorically from it, it has to do with something moving off from a main direction, as in to stem out from. However, what makes either of these meanings intelligible? Nothing but the fact that they employ sounds or symbols that are set in contrast with the other sounds and symbols of the language. If I add another letter, or change the sound slightly, I can end up with steam. This is a completely different concept, again only defined according to the different sound and symbol used to render it.

This tiny phonetic difference exposes the arbitrariness of sounds and symbols, and their ability to produce meaning only in terms of a system of language. Looking at it from another angle, one can see that each signifier leads us to another signifier or set of signifiers, but never to the ultimate meaning we are searching for, or most often, assume we have found. To define stem, I need to talk about a certain part of a tree or plant. To define tree or plant I have to discuss aspects of those things, which will include growth, leaves, and so on. In searching to nail down a precise meaning, I merely uncover a whole chain of new signifiers, which do not provide me with the stable signified I seek, but rather an infinite chain of signifiers without end. I never get to the center, the core, or the bottom of things because there is no such stable foundation upon which meaning is based. Everything is in relation to everything else, which leaves the center open, and destroys the idea of structure. After all, a structure needs a center or ground of some kind, or at the very least borders which give it definition (which, of course, amounts to the same thing as a center, since any finite, circumscribed structure will have a center). However, because the process of signification is infinite, nothing is there to structure the system.

Looking at this another way, we can say that language, meaning, and even being itself cannot be conceptualized in the way Western metaphysics has done for more than 2000 years. In order to structure a system, to give it grounding or a center, and to make it signify in some way that is not arbitrary, one would need to go outside the system. Only by stepping outside the system in question can one look inside it and make judgments about it in a way that is objective, because otherwise you are deceived into defining the thing using aspects of the thing itself, which can never show anything other than the self-reflexive nature of the system in question. It is impossible to stand outside of being, meaning, and language in order to adopt the appropriate perspective to see them as a complete whole and to envisage their structure. We are trapped within each of these, and as a result, cannot fathom them, much less can we fathom anything outside them, like a transcendental signified, that somehow stands outside them and gives them meaning. Even if we imagine a god, this being can only be known to us in a way circumscribed by the constant mediation of language and meaning we use to understand everything, and so as far as we can ever know, it can only exist within the very systems we have created it to help explain.

The difference between signifier and signified becomes a binary, and as much as Structuralists loved to use binaries to structure and explain the texts and ideas they wanted to explore, the Deconstructionists loved to take these binary oppositions and tear them to pieces, showing that the very tension that motivated their connection was false, and pointing out how their internal logic caused them to cease to exist completely. Signifier and signified begin as opposing concepts in Structuralist terminology, but are quickly reduced to the same thing under Deconstruction.

Signifier and signified can only exist within a system that privileges one element over another in a hierarchical relationship. The signified is supposed to give the signifier meaning, and the signifier is supposed to render the signified in language, to give it presence in verbal utterance. However, because each signified exists only on the same level as its purported signified, and since each signified acts itself as a signifier, the two lose their essential tension. The signified can be seen as the presence that gives meaning to the signifier, and the signifier can be seen as the presence that makes the absent signified appear in language. However, it can equally well be said that the signifier is merely the indication that the signified is not there, and so it underlines an absence rather than making anything present.

Another such binary that has been well explored in Deconstructive circles is that of inside and outside. Taking a relatively simple example this time, let us consider the doorway to a home; now, ask yourself the question of whether this door is outside or inside the house. Ponder this for a moment, and see if either answer makes any more sense to you than the other. On the one hand, the door is a part of the house, and so can be considered inside it. On the other hand, it circumscribes the living area, much like the walls, and so can be considered outside. Taken a third way (or perhaps this counts as both the third and fourth ways), we can see that the door is neither inside nor outside the house. With all of these interesting possibilities vying for our support, I can hear you asking the key question: "What does this have to do with Deconstruction?" The answer is as simple as a refutation of a certain kind of formal logic and reasoning, and a definite refutation of the binary method employed so extensively by the Structuralists.

You see, the binary opposition between outside and inside is a strong one, and these concepts are considered mutually exclusive in formal logic. Because they are opposites, meaning that they have the same value as each other, except that one has not in front of it (inside = not outside: outside = not inside), they are mutually exclusive. Nothing can be something and not be that same something at the same time. Therefore, to be both inside something and outside it simultaneously is a logical contradiction. At the same time, to be neither outside something nor inside it is impossible as well (I am not outside and I am not not outside is logically contradictory). Therefore, this example shows that the binary opposition that the Structuralists tried to form actually does not exist, for the distinction between the outside and the inside is not distinct, not clearly definable, for its absolute value is contradicted by the presence of an entity which confounds all attempts to separate one from the other.

It is obvious that Deconstruction is here working with terms that are not absolute, even though they present them in that way. No philosopher dropped dead from hearing that there could be something that was neither and both inside and outside, but Derrida used it to show the limits of formal logic and especially the limits of the Structural application if it. Deconstruction, and Poststructuralism in general, sought to dismantle the absolutes that had been set up by previous theory and scholarship, and succeeded remarkably well.

There are some terms within different literary, political, and philosophical theories that carry such weight, force, and importance that the theories cannot be approached without knowledge of them. Such a term within a given theory becomes the cornerstone, the idea which dominates all the rest, and to which all the rest bend as needed to accommodate it. Looking at Marxism, jumping ahead to something more of you will find more familiar, we can see that revolution is an absolutely central theme that, while not completely defining of Marxism as a whole, is so important that without it, Marxism could not exist in the way that it does. If we removed the idea of revolution from Marxism, we might have something that could still lead to a socialist or communist worldview, but since its ends would be far different, it would transform into a different theory altogether.

There are a family of terms that define Deconstruction in a similar way, but there is one in particular that, if it were absent, would make Deconstruction a completely different theoretical entity. In fact, I might go so far as to argue that, without it, one could not deconstruct anything at all (or, in their preferred language, we would not be able to point out the inherent instabilities within anything that come out when it deconstructs itself). This term is différance, which will remain in italics (and a foreign language) through the remainder of this series, and indeed, likely wherever you happen to read it. I will usually start by defining a key term when it is presented in a foreign language, and then I will translate it. From there, I will either use the translated version if it is a close match for the translated word, keep the original because there is something about either its sound or meaning that I think conveys the idea better, or I will switch back and forth between the two if it seems appropriate. Then, I will elaborate on the definition, use examples, and generally talk about the term until I am happy I have covered most of its interesting angles.

When it comes to the term différance, however, the options available are limited to a single one right from the outset, and the order I use has to be altered significantly as well. You see, I would normally define the term first, but it is impossible to give a quick, rough definition. Then, I would translate it...but the problem here is, even though it looks French, it is an invented word that actually has no meaning in any home language, technically speaking (although it has obviously come to have a meaning in a great number of languages). Because of all these factors, I will definitely be keeping the term as it is. It has entered our language as such, and, as far as I know, no language that has adopted the term (and there are many) have made any changes to it. It is a unique kind of signifier in literary theory, in a class with such words as catharsis and denouement, only even more obviously literary and difficult. As we have already seen, and will continue to see in our explorations of Deconstruction, you need to leave your usual expectations at the door in order to have any success in grasping concepts that rub against the grain in almost every way you can imagine.

In this discussion of the Deconstructive term différance, it will be necessary to explain a number of other important terms as well, and while I would usually just mention them in passing here in order to cover them in more detail later, in this case that will not suffice. This concept is difficult on its own, and if you only have thumbnail descriptions for its constituent parts, learning anything at all about différance will be next to impossible. So, when my discussion of différance runs into another important Deconstructive term that is needed to describe it, I will immediately launch into a discussion of it, in as much depth as I would if it were being dealt with on its own. In this way, I hope that the highly integrative aspects of Deconstruction will come to the fore; everything is so intimately connected to everything else that talking in loops and circles is often the best way forward.

Looking at the word différance itself for a moment, we can see that it looks a lot like the word difference in English, and this word is spelled the same way in French, and means the same thing (although it is pronounced differ-ANCE, as the French tend to back-load their words, while in English we front-load them). So, the term obviously contains something to do with difference, but what is the a doing there in the middle of the word? It is not there in the English or French, and does not make the mind immediately spring to something else. Is it just a little irritant, making our reading experience more difficult, and frustrating our ease of comprehension? Is it another one of those Deconstructive moves that is designed to unbalance the very language upon which it comments and in which it is based? Or is it some kind of pun, a little word play designed to baffle those who do not understand Deconstruction, to keep those out who have not been initiated?

In a word, the answer to this question is simply yes. Whenever you first see a Deconstructive term, it is vital that you examine it for all of its possibilities, because this kind of close reading is absolutely vital to the Deconstructive project. Close reading is a term that we first encountered in the New Critics, and while Deconstruction is committed to a position that is firmly and sometimes even rabidly opposed to the New Critical one, they do employ this favored technique for going deeper in the text. The difference, of course, is that the New Critic plumbs the depths of literary texts to find out how they are unified in ways that are not obvious, despite their obvious differences on the surface. The Deconstructionist, on the other hand, takes this close reading and keeps it going, presenting a reading that could have been produced by the New Critics, but then extending it until all of the subtle differences and tensions are brought out even more than the previously discovered unity.
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Apr 08, 2013
Research Tutorial / Structuralism (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Structuralism - Part I



Although other literary theories we will be examining (like Marxism and Feminism) predate Structuralism, there are such close connections between it and Formalism that it makes sense to follow the one with the other. It is also the case that, while many schools of literary thought were founded in the late 19th and early 20th centuries, some of them (again, like Feminism and Marxism) continued to grow and develop influence through to the present day, making them their own largely independent tracks of influence, rather than pieces of a larger line of continuity (though influence obviously extends between these approaches and others in a less direct way). New Criticism and Formalism both ceased to be after some time, and both of these approaches gave way to Structuralism, first in the east after the demise of Formalism, then in the west with the introduction of French theory (which spelled the end of New Criticism). Structuralism was an emerging theory of literature and communication that sought to integrate literary studies into a broader social and cultural context without sacrificing the specificity and uniqueness of the literary. It is no coincidence that this is the direction that Russian Formalists were headed in before their dissolution, because key Formalist thinkers, most notably Roman Jakobson, relocated both geographically and theoretically, bringing their earlier work to exciting new places, founding the first Structuralist school of literary theory, and even coining the term Structuralism.

Structuralism LiteraryAlthough Structuralism truly came into being in the late 1920s and early 1930s, one must rewind to an earlier time to discover the scholar and his work that made Structuralism possible, and which served as its foundation. Ferdinand de Saussure was a linguist in the late 19th and early 20th centuries who found himself in a very interesting cultural moment. Linguistics (known then primarily as philology) had made great strides in the 19th century, but the findings made by various scholars were highly specific and their methodology was so diverse as to be almost idiosyncratic, making it difficult for various scholars in the field to benefit from one another's work. Also, when a consistent method is used based on solid theory, it is possible to make useful characterizations and generalizations that simply are not possible if the field in question is a free-for-all. Saussure's ambition, which puts us in mind of the goals of the Formalist project discussed previously, was to create a way of looking at the disparate findings of philology and to work them into a scientific, systematic, coherent discipline.

Of course, such an undertaking was not an easy one, as Saussure's project was actually to give a theoretical foundation to an entire discipline, thereby making it a coherent, intelligible science. So, rather than presenting new findings in the study of a specific language or discussing specific problems of translation across various languages, Saussure worked on finding out all he could about language itself. The approach of his contemporaries was historical, in that it focused on what could be called narratives detailing the birth, life, and development of given languages, as well as their influences on each other, and the effects of migration, invasion, and other cultural flows. Saussure, on the other hand, wanted to look at language as it stood in a given time, and what made it work. He wanted to understand the structures that govern a linguistic system, the structures that make meaning and communication possible.

No one would argue that knowing the history of a word or a language is unimportant, but what fascinated Saussure is how words mean through their interactions with each other now. To take a simple example, the words house and home signify the same basic concept, and can be taken as synonyms in most cases. However, when we put them side-by-side, their subtle contrast stands out. It is this idea of relational meaning that Saussure wanted to apply to language in a broader, more general way: every word in a language only has meaning because of its relation to other words in the language. This conception of meaning generation in language might seem somewhat abstract, but when you consider it more carefully, it makes sense. There is a certain, almost innate and certainly intuitive idea many people have about how language works, and this is based in correspondence to reality. So, I look out the window at a tree, point to it, and say "tree." I repeat this process for everything that exists, and I have my language. Simple.

Of course, the actual process of meaning generation is far more complex, and it relies on the existence of many other systems in order to do anything, to mean anything. After all, what has pointing at the tree accomplished? Certainly I have named it, but then what? I have not described it, defined it, or said anything about the tree. In order to do this, I need to bring in an entire system of far less concrete operators. If I want to say the tree is large, I need a word that tells me I am talking about the being of the tree (is) and another that tells me something about the magnitude of the tree (large). Now, try pointing out your window at an is or a large, and see what you can come up with. Large exists only as a relational concept, which makes no sense unless words like small and medium exist, and is cannot do anything outside of a system of signification which designates it as a being verb in a given tense. Refining this further, we can see that the word large takes on a different meaning when placed beside the very similar word larger, which is an even more specific relational term (and one which renders large smaller!). It is obvious from these basic examples that it is the system or structure of language that makes it work, not any inherent connection between reality and specific words or utterances.

Two vital terms introduced by Saussure regarding the distinction between specific speech acts and the system of language in general are parole and langue. Parole is the term Saussure used to identify specific utterances, which are examples of the language in which they are spoken or written. The wood was too hard to cut is an example of parole, as is hungry hippos. Langue, on the other hand, is the general system of language that makes and given speech act (or parole) make sense and do something we can identify as communicative. All native speakers of a language have a firm foundation in both of these aspects of linguistic meaning, though they have often completely internalized langue to such an extent that, although they unconsciously follow its rules, they could not explain them to you or tell you why they exist. Parole depends on langue for its meaning, and this is no more evident than in the case of people who learn a phrase in a foreign language without knowing what it means. It is possible for anyone who can speak to utter a phrase in a given language, and although the accent and intonation might not be perfect, the phrase will be comprehensible to anyone who knows the language. A favorite trick of cruel people is to give someone who does not speak the language a phrase with an embarrassing meaning, and then ask them to repeat it. The person is perfectly capable of uttering the parole, but since he or she is ignorant as to the langue, comedy is created; the person says far more than he or she knows.

The difference between langue and parole is one of the key sets of terms that powers Structuralist theory, and indeed which is later subsumed by Poststructural and Deconstructive theorists much later in the 20th century. Another key set of terms for Saussure which became a lynchpin of Structuralist theory is the difference between diachronic ways of conceptualizing language, and synchronic ways. Both of these terms sound highly academic and intimidating, but by breaking them down into their constituent parts, we can see that their meanings are clearer than they first appear, and far easier to remember than we might have originally imagined.

The first of these terms, diachronic, can be broken down into two separate Greek roots, the first being dia, which means throughout, or during, and the second is chronic, coming from the Greek word for time, and appearing in contemporary English with the meaning of continual and repeated. Putting these two Greek halves together, we can see that throughout time, is the transliteration, and this is quite close to the meaning of the term. Saussure uses diachronic to refer to the way linguists of his generation and those previous to it looked at language. As we discussed in an earlier article in this series, the way linguists and philologists approached the study of language was to look at its historical development and its transformation over time. Since Saussure coined this term, originally in his native French as diachronique, it has been used to describe not just a way of looking at language and linguistics, but a way of looking at any discipline, especially when contrasted with its sister term, synchronic.

As I mentioned previously, Saussure was interested in coming up with a new way of considering language, and practicing linguistics, and the term he used to describe this was synchronic. Again, the Greek roots of the word tell us a lot about it. The first piece, syn, comes from a Latin version of a Greek word meaning together, and can be found in many English words like synchronize or lip-sync. Combining this with the chronic, which we have just discussed, we are left with a word that means something like at the same time. Taken alone, this doesn't mean much, but taken in conjunction with its opposing term, it creates an excellent conceptual apparatus. Rather than looking at language in terms of its historical development, diachronically, Saussure wanted to look at it as it occurred in the present, or at any given state in time, without reference to what came before and after it. So, instead of looking at how a word developed as it did through the years based on various influences, synchronic analysis indicates an investigation that focuses on the relation of the elements of a given language which exist at the same time, and which allow words to take on the specific meanings they do.

Aside from becoming indispensable in the field of linguistics, these terms have broadened into regular academic use, and are applicable to a whole host of situations. For example, it is possible for me to study the literature of a nation or a language group either diachronically or synchronically. The former way would require me to look historically at the development of a given nation's literature, and to trace its progress across time. Looking at it synchronically, I would take the present state of the nation's literature, or some past state discreetly conceived, and look at its internal relations. It should be noted that it is also possible to combine both approaches to varying degrees, which will give a more complete picture of the phenomenon in question in many cases.

As is already plainly visible, the goals of Saussure overlapped significantly with those of the Russian Formalists, and, to a lesser extent, the New Critics, in that he was striving to make the study of language a science, and that he was attempting to create an autonomous new discipline that did not rely on any other fields of inquiry (like, in the case of linguistics, history) for its value and foundational premises. In order to achieve his goal, Saussure laid out four vital premises that became the foundation of the modern study of linguistics, and which turned into the basis for a large number of important literary theories, Structuralism foremost among them.

The first of these assumptions is that language, by its nature, is systematic. This is in contrast to the approach forwarded by the Formalists in their early stage, when they suggested that the examination of specific devices in isolation was the best way to ensure an accurate, scientific analysis. However, in the second period of Formalism, we can see a turn to the investigation of interacting systems. Essentially, the difference is illustrated in the opposition between the mathematical concepts of the simple operator and the function. With a simple operator, like the addition sign, for instance, the terms being related by it can be compared very directly, and a predictable outcome will be achieved based on the individual magnitudes and properties of the numbers involved. In the case of a function, however, the relation of the terms in question is determined by all of the others with which it is being considered. The outcome is far more complex and is never a simple matter of addition or subtraction. Based on its context and proximity to the other terms, each term's nature is affected.

This is an accurate, if basic, way of conceiving of any system. Once you assume that you are dealing with a system, the way you approach it is far different than if you assume you are dealing with a number of discrete entities. Part of the scientific investigation of any phenomenon is to make sure to disentangle it from other complicating factors so that the results obtained will be as accurate as possible. For example, if I am studying the properties of a compound, I have to make sure that I am dealing with that compound in its purest form, or else my results will be tainted. Looking at it another way, I have to make sure that the number of independent variables in an experiment is limited as much as possible. If I have too many, I can not decide which one(s) had the desired effect on the dependent variable, and my experiment will prove far less accurate.

If my object of study is a system, however, I must conduct my studies differently. Since I know that any given relation will be influenced by other relations, I must be careful to get a feel for all of the variables that are at work in anything I decide to investigate. Then, if I remove one, or change another, I can begin to get a feel for how the system as a whole is affected. Once I have determined some general rules of the system, I can begin to make more refined experiments which tell me something about the more specific relationships between some of the variables under consideration. This will always been done with an awareness of context, and without recourse to absolute claims (since I am never able to observe one variable out of the presence of at least most of the others without causing the system to fail, and therefore ceasing to be the thing I have set out to examine in the first place). However, work on understanding a system can build as one discovery aids in the next, and this was the principle under which Structuralism operated throughout its prime, and even into the present day.

A popular way of conceiving of a system versus an accumulation is by recourse to an old but effective expression: the whole is greater than the sum of its parts. Any aspect of a system, taken on its own, will have a certain power, a certain value, but this value will be far less than the value it possesses within the context of its system. Within a given system, the parts which make it up have synergies which affect their values, increasing them and changing their characteristics. In fact, because of this, the parts in a given system are often difficult or impossible to consider on their own, because they are so closely integrated with the others that it is impossible to usefully look at them when the others are absent. Sometimes, a part is so seamlessly connected to another that even placing a dividing line between them is a difficult undertaking, and the parts therefore receive their names as a matter of academic convenience, rather than because they are obviously two discreet entities. Because the individual characteristics of a part of a given system are not the primary concern, parts of systems are most often described not on the basis of their inherent natures, but rather on their functions within a system.

For an excellent example of this principle of relational identity of parts within a system, consider for a moment the old television show MacGyver. The title character was known for his ingenuity, and his trademark talent was the ability to create relatively complex machines out of normal household objects and substances. With no more than a piece of bubblegum, a paper clip, a bottle of bleach, and a drop of his own blood, MacGyver was able to build a bomb that could destroy the enemy base without harming himself or the person he was supposed to rescue. This might seem like a tangent, but Richard Dean Anderson's character illustrated perfectly how the parts of a system gain their value for being a part of the system, and how the value of something changes not only quantitatively (with regard to its magnitude) but also qualitatively (with regard to its character and function) when it is included in a system.

Looking at the piece of bubble gum on its own, I would describe its value as relatively low, since it is incapable of doing very much on its own. Its purpose is to taste good and to provide a substrate for making bubbles, which it does well, for a short time at least. However, when incorporated into MacGyver's system, the gum gains in value immeasurably. No matter what its function there is, it is participating in something far more powerful than tasting good and making bubbles, which means it has gained value quantitatively. Also, since its function is no longer to merely be chewy goodness, but rather to blow something to bits (by holding a key piece of the bomb in place, for instance, or combining with the bleach to create a flammable material), it has changed value qualitatively as well. This is precisely why systems must be studied and considered differently than discreet entities. If I decide that I want to know more about the system, studying bubble gum on its own will do me no good at all. I have to study it according to the role it plays in the grander scheme, and if I do remove it in order to look at it, I have to remember that what is valuable about it is determined by characteristics that are usually unimportant to the evaluation of gum (like its flammability).

The second premise that Saussure saw as essential to his study of language was the relational nature of language. This has been well covered in previous essays in this series, so a brief recap will serve here. To use an illustrative example, I will compare the value of the number 1 with the value of the word small. When I see the number 1, it always means the same thing, and stands for the same quantity. I can put it beside something, stand it near large numbers, place words or phrases around it, but it will always still have the same meaning and value. The word small, on the other hand, will mean different things in different contexts. We certainly have an idea of it, and we generally consider things like mice and lice to be small things. However, small simply cannot mean anything outside of the system of language, and is an inherently relational term. A small dog and a small house are certainly not the same size. A small person is obviously small, but when placed beside a smaller person, that person might seem large. As we can see, the relational nature of language renders is parts very fluid, far more so than entities that are non-relational. Keep in mind that numbers can also be considered relational (the digit one in the number 100 means something different, after all) since they are part of a system. However, relatively speaking (and I use the word intentionally), the 1 is less relationally determined than small, or any word for that matter.

Saussure's third foundational assumption is that the parts of language, its words and the elements which are chosen to matter within it, are arbitrary. Yes, you have heard me right, and you have correctly defined the word arbitrary as being based on something that is chosen at will, according to whim, or at random. Most people have at least a small part of themselves that balks at the idea that the constituents of language are arbitrary, and it is very natural for us to consider a given word somehow inherently connected to the thing it describes, especially in the case of concrete nouns. This is likely a result of the way we learn language, especially the language that we learn first and speak the best. People do not learn to speak from being trained in the art - far from it. Think about how difficult it would be to sit down with a 2 year old and begin teaching them the grammar of any given language! As most of us have seen, children learn a given language by hearing it from others, not through any kind of instruction. We can speak from an early age, and there is a great debate about what effect language acquisition has on self-consciousness (or vice versa, depending on the order in which they arise), as well as on memory. Can you remember what it was like to be alive without knowing how to speak? The answer is likely no, and so almost all of us grow up speaking and just knowing that a word means what it means and is connected to that thing as a matter of course.

However, when a person decides to learn another language somewhat later in life, the arbitrariness of linguistic constituents becomes far more clear. I remember taking French when I was about 8 years old, and thinking how very odd it was that they had all of the same things and ideas we did but chose (stubbornly, I thought) to use different words for them. And in some cases, the words weren't even all that different (like bleu for blue), which increased my suspicion that the French were merely being stubborn in refusing the usual words.

Even earlier, a Vietnamese family which had recently come to the country had come over to our house to visit. The young child, about my age, whom I was entertaining, did not speak a lot of English (though he learned very quickly, as young children do when it comes to language), so I thought I would be a gracious host and turn to the French channel to give him something he would be able to understand. I still remember The Smurfs was playing, and he was absolutely delighted, laughing and clapping. I left it on that channel, assuming he understood what was being said (unlike me). I was under the impression, at the ripe age of 4 or 5, that there were a couple of languages, and that if you didn't know one, you knew the other. After all, it just didn't make sense that people would have invented, and been able to invent, hundreds or thousands of languages, all mutually incomprehensible and unique. I mean, what would the purpose have been?

Of course, I have since learned that languages weren't all invented at the dawn of humanity through either divine inspiration or the combined minds of all the people living at that time, and that as a result there are thousands of them. I also realize that the boy I was playing with was likely just delighted by the images he saw (he and his family did not have a TV), and had even less idea than I did about what was being said. However, I do feel somewhat vindicated based on something I learned much later on. You see, the Vietnamese have a history of being colonized by several groups, including the French. So, although I didn't know it at the time, offering my guest the French channel, considering the options available, was an astute move.

Returning to the point at hand, we have established that we feel like certain words are inherently connected to the concepts and things they describe because we cannot remember a time when the concept and word were not connected. We have all grown up knowing that some word, depending on your language, stands for a given entity. The word tree, as a result, seems to contain an inherent tree-ness for me, and I cannot see the object without thinking of this word. Even the word arbre (which means tree in French) has a certain tree-ness about it for me, and both words seem linked to the things they describe intimately and completely.

However, this is simply not the case, and this could not be more obvious when other languages come into consideration. After all, the Chinese word for tree is a character containing 16 strokes and sounding nothing like either the English or the French words. Obviously, then, there is no central authority which caused words to be connected inherently with what they represent, nor is there something in the thing itself that makes one combination of letters or strokes more representative of it than any other. The only real limitations on what words can exist is the range of human sound and motion. For example, a word that required me to sound like a dental drill cutting through hard pudding would be impossible, since human beings cannot make those sounds (although we could communicate through dental drills if we wanted...). Several languages have been invented where combinations of sounds and letters have been arbitrarily chosen based on the whim of the inventor(s), and even children sometimes create secret languages which reveal the principle of arbitrariness at the core of all language.

According to Saussure, and the school of Structuralism which later followed his ideas, the arbitrariness of the words and sounds of language, as well as their lack of relation to the entities and concepts that they represent, meant that language could be infinitely flexible, and new words and ideas could arise into the future ad infinitum with no fear of somehow running out. Language is infinite and inexhaustible, and even when it it is bound by the rules of a specific language group, there is still an infinite amount of possibility available to it.

Attached to his idea of the arbitrariness of language is Saussure's claim that linguistic components can only be usefully defined and examined in terms of their ends (what they are designed to achieve) and their functions. As we discussed in the MacGyver example previously, parts of a system have more and different value when they are embedded in their system, as opposed to when they are considered in isolation from it. However, unlike the parts of the machine MacGyver created, Saussure argued that the constituents of language have no purpose or meaning outside the system in which they exist. The bubble gum we spoke about, when considered outside the mechanism of the bomb which MacGyver used it to create, at least had a purpose and function of its own. Words and sounds, on the other hand, are without any redeeming value outside the system of language. After all, what purpose or function am I fulfilling when I utter the syllable p? I have not achieved anything, have not made meaning, and unless I have some kind of idiosyncratic propensity for that sound, I have not even given myself or others pleasure. So, the constituents of language are completely dependent on it for meaning and purpose, which makes the study of language the study of systems in coordination, and never the study of its individual constituents.

All of the talk of arbitrariness, as true as it is, can also serve to be somewhat misleading if a key distinction is not kept firmly in mind. Note that I have been saying, to keep true to Saussure's meaning, that the constituents of language are arbitrary. I have made sure never to say that language itself is arbitrary. It might sound like I am being picky about semantics here, but there have been many who did not notice that Saussure was making this distinction, and criticized him unfairly and inaccurately as a result. Any given element of a language is not rooted in any kind of essential or natural way to the thing or idea it represents. However, this is not to say that the system of language itself, or any given language, is arbitrary. The word tree, as we have discussed, has no relation to the actual living thing with leaves that we can point to. However, in English, that is the right word to use, and it can be used correctly or incorrectly in different contexts, depending on the rules of the language. For example, in the sentence The trees are swaying madly the word tree would simply not be correct because the verb are indicates that there is more than a single tree. It should also be noted that, considered diachronically, the words we have today are not accidental. At one point, in an ancient language no longer spoken (known as Indo-European), all of the current Romantic and Germanic languages (among others) got their beginning. Related concepts were described in related terms, and the language I speak today owes a good deal to how things were in the ancient cultures in which Indo-European arose. However, while this does give a historical motivation to the words I use, it does not take away from the fact that even those ancient words were arbitrarily associated to the things and ideas they represented.

Theory: The How's and Why's of Literature

Structuralism - Part II



These first three principles of Saussure form the basis for early Structuralism, as well as linguistics as a whole, but they are not complete without his fourth premise, the insistence that language is social in nature, and that without looking at the social contexts in which language arises, language itself can have no meaning. This sounds like a very bold claim, and it is, but it is no less true for being so boldly stated. You see, at its base, language is a system of communication, and communication is always a transaction between two individuals, either present and live (as in a phone conversation or face-to-face exchange), or mediate and distant (as in a letter or even an email). Its purpose is to facilitate communication, while at the same time being the communication itself. This sounds confusing, but that is only because language is such a pervasive and overarching system. Any system which cannot exist outside a social system, and which can not come into being, change, or develop without a society to surround it, is inherently social. Language is such a system, and it would fail to be if there were no one left to take part in it in order to keep it going.

Although, as we have been discussing, language is a system, it is not a self-sufficient one, at least in part because it relies on extra-linguistic factors in order to achieve meaning, especially some subtle shades of meaning that are conveyed through means that are not solely linguistic. When someone speaks to me in a very animated tone, using their hands and speaking quickly, they convey their excitement not through the words they use, but through the way they use those words. Certainly the speed of utterance and the use of one's hands has no bearing on English grammar, but both certainly do have an effect on the meaning of the language. If I utter the sentence Yeah, I loved going to see the dentist, what would this mean? If I look at it purely grammatically, it states unambiguously that I enjoyed going to see the dentist. However, when we read a statement like this, we often fill in the intonation that is missing, which in this case would be a strong stress on the word loved, which would also be drawn out. This would indicate that I was being sarcastic, and that I really didn't like going to see the dentist at all.

We take phrases like this for granted because we use them all the time, but think about how much difference intonation makes; you can change the meaning of a straightforward utterance into its complete opposite without changing a single word! This is obviously a space where the human, interactive, social elements of language can come to the fore, and show the insufficiency of language as a system of words and sounds only. Another important social aspect of language is apparent when we examine the same dentist sentence without recourse to imagining the intonation on the appropriate word. Even if someone delivered the sentence in a complete monotone, or in the most natural way possible, we would still think it likely that the person was actually being sarcastic. This is where language's dependence on its social context becomes most evident, because, in this case, the meaning of the sentence can be changed to its opposite without recourse to any alteration whatsoever! It is obvious that something beyond language, even if language is as broadly conceived as to include intonation and gestures, is the cause of the difference, and this cause is social context.

It is evident to most of us that our previous example sentence Yeah, I loved going to see the dentist is likely sarcastic, but are there any linguistic clues evident here that make it obviously sarcastic? Perhaps one could argue that the lead word yeah is an indicator of sarcasm; it is a perfectly appropriate, although informal, affirmative response to a question, but it does often appear in front of sarcastic responses. So, what if we dropped the yeah from the sentence? Would we still have a sarcastic sentence? It might be harder to tell, but it would still usually be interpreted as meaning the opposite of what it is saying! Again, in the absence of any linguistic indicators, we have to turn to social factors to make sense of this.

There is no linguistic rule about dentist visits, and nothing in the rules of grammar to say that a dentist visit can't be enjoyable. However, almost anyone reading this sentence has been to see the dentist, and knows that it is not an enjoyable experience. Even more significantly, in contemporary society, dentist visits have gained a certain reputation that is pervasive in our culture. If you watch television, you have heard more than one character compare an experience they did not enjoy to a having a root canal, or to going to see the dentist in general. Since all of the activities associated with a dental visit are, at the very least, not enjoyable, and since so many of us experience such visits at least once or twice in our lives, it has become a standard way within our society to describe experiences we would have preferred not to have experienced at all. So, turning back to our example sentence, it is no part of the sentence itself that turns it to its opposite meaning, but rather a pervasive social idea embedded in the minds of readers and speakers that makes it so. No one enjoys the trip to the dentist, and so because of this social fact, the sentence automatically seems ironic.

A fantastic and telling example of the power of social convention in the formation of the meaning of a sentence can be found in Jonathan Swift's "A Modest Proposal," which I highly recommend you read before you go any further if you have not done so already. Set in a time when the Irish were particularly badly off, "A Modest Proposal" is Swift's suggestion of a solution to the problem of Irish poverty. Presented as an essay, but also as a kind of open letter to English lawmakers (who controlled policy and government in Ireland at this time), Swift suggests that the best way to solve the problem of poverty and starvation rests in using part of the problem as its own solution. You see, there were simply too many mouths to feed with the available resources, and too many children were being born to support. So, a very practical solution would be to continue having the children, but then to eat them, and to set up a kind of child-meat delicacy market. In this way, the Irish would have fewer mouths to feed, more food, and a thriving export industry, all of which could significantly increase their outlook, financially and otherwise. I have had students read this essay and react with outrage because they believed Swift was being sincere and serious, and this can be attributed to Swift's refusal to give himself away by using any linguistic means of showing that his proposal is intended to be ironic and satirical. The only way we can know his proposal is not sincere is that no one would think it ok to eat babies, no matter how well the plan works to achieve other ends.

Swift's A Modest Proposal is a lengthy and extended example of the power social systems have on language, but it causes one to wonder why one might decide to make their words say the opposite of what they mean. Wouldn't it be far more effective and efficient to actually state what you want to say in the plainest terms so that your message is clearly conveyed, and so no one mistakes your meaning for its opposite? In terms of what we usually think of as the purpose of language, this kind of thinking makes sense. After all, the purpose of language is to effectively convey meaning to others through the rules of its system, isn't it? As it turns out, this is merely the way language achieves the goals it does, and not the purpose toward which it is directed.

Not only is linguistic meaning determined largely by social convention, but the very purpose of language is inherently social. In the most obvious way of looking at it, whenever we want to convey information, there must be a receiver and a sender, and so a social interaction is presupposed by every utterance. However, language's purpose is social in an even more profound way. Whenever we speak to someone, we are not interested in sending them a properly phrased packet of information for its own sake. Instead, we want to have some effect on the person to whom we are sending the information. We don't place our interest on the message itself, but rather on what it is intended to do to its intended recipient. All language, therefore, is a means to the end of social influence, making language social to its very core.

One might argue that this is not the case in all utterance, but this is a difficult argument to uphold. In the most obvious example of a command, I expect my utterance to have an effect on the speaker which will cause them to do what I want. If I tell you Stop there and don't move, I obviously want you to stop, and I am attempting to use my words to achieve this end. I don't care at all for the utterance I made, but I do care deeply about its effects in the actual, social world in which it exists. A request is designed in the same way, but phrased in a way that is designed to get me what I want in a more polite way. A question is evidently concerned with eliciting a response, and there are a host of other utterances that are equally obviously geared toward having effects in the social world.

This leaves us with the simple declarative sentence, which is perhaps the least obviously social of the sentence types. It rained yesterday is such a sentence, and it seems to be aimed at nothing but conveying itself as clearly as possible to someone else. However, once we ask why someone would say this, we can quickly see that it is striving at the social in the same way all of the other types do. If this statement occurs is a phone conversation with someone distant, I am likely trying to make them feel closer to me by giving them some idea of what conditions are like where I am. If I say this to a stranger at the bus stop, it is likely an attempt to make polite conversation and start a simple conversation about a topic that is not likely to be too involving or controversial. If I tell this to the weatherman at my local television station, it could be a reproach for not having correctly forecasted the weather on that day. In every case, my utterance has a purpose that uses, but far surpasses, the linguistic.

With Saussure's four assumptions firmly in mind, Structuralism developed as a way of studying literature that took its cues from linguistics, and rooted itself in these linguistic assumptions. Literary texts could therefore be studied on a series of synchronic levels, moving from the sound, to the word, to the phrase, to the sentence, to the paragraph, to the entire literary work in question. Contrasts could exist at each of these levels to create meaning in the literary work, and the contrasts and comparisons at each level could act to reflect those at other levels, resulting in the production of a highly ordered meaning which was an important property of literary texts. For poetic texts especially, ordered oppositions and similarities exist on many levels, and all work in concert to make the most tightly arranged and compact way to convey powerful meaning the poem. Not all poems are created equal, but order on multiple levels is what, for the Structuralists, made a poem what it was.

The idea of ordered oppositions was a powerful force throughout the span of Structuralism, and this resulted in a strong concern for binary opposition, a term Claude Levi-Strauss coined to describe the kinds of oppositions he found at the core of a broad range of myths from various cultures. After analyzing the work of other anthropologists working on myth, and doing his own work, he came to the conclusion that beneath the level of the specific events in a mythic story, there rested a mythic structure that remained consistent through a large number of myths. His analysis focused on the presence of oppositions he consistently found in story after story, oppositions which include the raw versus the cooked, the beautiful versus the ugly, the human versus the divine, the dead versus the living, and many, many more. Being a thoroughgoing Structuralist, his goal was not to provide a convincing reading of a single text, or to point out individual features he found in a given myth. He was trying to find the structural rules which governed the composition of myths as a whole, the system of oppositions and symbols that underlay the production of myth in a universal way. When he looked at individual myths, it was through the lens of these broader structural concerns, and what he found and focused on with in them was not their individual differences, but how their unique surface features were actually concealing a hidden unity, based on rules which all myth followed.

The leap from the analysis of myth in the realm of anthropology to the analysis of poetry and prose in literary studies was not long in coming, and the analogues were so apparent that binary opposition was seen as an excellent way of analyzing literary works. After all, myth is a kind of fictional literature, and so it is clear that something that works for it is likely to work well for other kinds of literary production. Indeed, some of the same categories of opposition apply to both, and so the application of Levi-Strauss's ideas to literary studies was quick and pervasive. Other schools around at the same time as Levi-Strauss's work, including New Criticism, were predisposed to this kind of method, as it involved the close reading of a text to reveal hidden unities which might be overlooked. Its systematic approach was also appealing to the Formalists, and the early Structuralists, who both wanted to see the study of literature adopt a scientific mode of investigation.

The term binary opposition seems quite difficult and intimidating when one is first presented with it, and this is not surprising; the term almost seems to contradict itself. The first word, binary, has to do with a pair of objects in close relation to one another, while the second term places these linked terms against one another in what looks like a complete reversal. However, this tension is what makes the term, and the binaries it opposes, so interesting, and so useful for literary analysis. A primary component of literature, as most of us learn in high school or even before, is conflict. When this conflict occurs at the level of ideas, around terms that are closely related, this is particularly interesting, and sets up a dialogue that reaches beyond the surface of the text, and reaches the level of theme. Again, as we learn in high school or before, the thematic aspects of a literary work are what is most important, and when we look at more minute details, our task is to fit them into a thematic reading that relates the disparate elements of the text as convincingly as possible. You may disagree with this privileging of the thematic, but for the Structuralists, this kind of higher order consideration was at the top of their analytical totem pole.

Performing a structural analysis of a story using binary opposition is an interesting exercise that reveals a lot about this method. For our example, let's take Joseph Conrad's short novel (or novella) Heart of Darkness, which is rife with interesting oppositions begging to be brought out. This story (chosen in pat because so many people read it in high school and university) takes place primarily in the Congo, in the jungle and on the river itself. The land is inhabited by natives, and the Europeans are making inroads in order to plunder the land of its resources and to establish colonial control of the territory. The first opposition we see is between the tame and the wild; the land the Europeans come from is not inhabited by wild beasts, but only domesticated animals, unless you happen to be in a zoo. Africa, on the other hand, is a land that had not been tamed, and wild plants and animals are the norm. Africa is presented as a force of nature, a wild entity that the Europeans are striving to tame with little success.

This brings us to a closely related binary, the opposition between the civilized and the uncivilized. The word civilization has at its root the idea of the city, and brings with it all of the connotations of urbanity and sophistication that word carries. The Europeans, city dwellers for the most part, are civilized, mannered, and highly self-aware. They are attempting to civilize the natives, by setting up cities, and their own form of government, which they hope will eventually allow them to set up the social control needed to civilize the people as well, teaching them European manners and culture. One European, Marlow, manages to become the leader of a tribe of natives, and the tension between the civilized and the uncivilized is foregrounded vividly. He has used his civilized skills in manipulation to become their leader, and to make them into something of a city over which he is the ruler. However, he becomes uncivilized as a result, and it looks as thought this tension has finally driven him completely mad by the end of the tale.

As we have seen from the analysis of the wild versus the tame and the civilized versus the uncivilized, one set of binaries tends to reveal another, and all of the binaries in a given work are related to the others in a complex system. Looking at the attributes of each binary, we can see lists of oppositions developing, and these lists map on to the lists of oppositions that can be generated by looking more closely at each set of binary terms. The word wild, for instance, has a host of associations, including dangerous, natural, animal, and free. The word uncivilized from the other binary pair is analogous to it, and could include all of the terms just listed, including the lead term wild. On the other side of the binary match, we have civilized and tame, which could also be terms on each other's lists of analogous terms, and which would contain a significant overlap of these lists. A favorite Structuralist method is to take as many sets of binaries as they can find and to set them into a relation like I did above, only in a far more complete way. This allows the Structuralist to go from the relatively specific to a conceptualization of the work that is far more strongly unified and general.

One we have taken all of the binaries we have found in a given work and placed them on the appropriate side of the divide, we can often see that there is a larger binary which subsumes the others we have been discussing. In the limited example that we have been exploring so far, a category of binaries that goes above the two we have listed is subject versus object. On the side of the subject, we would place the tame and the civilized, while on the side of the object we would place the wild and the uncivilized. The tame and civilized are associated with the agents of the novel, the people who have power and authority and who control what happens. Also, the narrative perspective adds to this conception of the work, because it is presented from a European point of view. The Europeans are the ones with voices, the only ones who really speak, and they dominate the foreground of the work. The natives and their land, on the other hand, are relegated to the role of wild, uncivilized objects. The Africans are as often as not seen as part of the land or the landscape, constantly in the background of the action and having no effect or influence on it. The Congo and its people are constantly receiving the action of the European subjects; the Europeans have invaded the land, set up trade, and used the natives as slaves to do their bidding in some cases. Even Marlow has set himself up in the role of decision maker over the tribe he rules, and they become objects which he can manipulate in order to carry out his will.

This motion from one set of relatively specific binaries to another, and then the combination of these under an overarching set of binaries is at the heart of this kind of Structuralism. No aspect of the text is considered important for its individual difference from everything else, but rather for its structured unity and opposition which ties it into the larger framework of the work as a whole. Of course, the analysis I have done and the overarching binary I have chosen is not the only possible way to perform this kind of analysis on the text, but any good Structuralist analysis will have to take the binaries I discussed into account, because they are evident and essential to the text.

While the importance of binary opposition can not be overstated in Structuralism, it was not the only method of textual structuration the Structuralists had available to them, though many of their other methods involved it to one degree or another. Another of the dominant methods of literary analysis involved the comparison of two or more texts (though usually far more than two), and while it could also include an element of binary exploration, it relied more on features of the story and a general plot trajectory to achieve its ends. If this definition seems somewhat vague, that is because its lead terms are interpretable in a number of ways, and Structuralists took advantage of all the variety possible herein in order to do their analyses as thoroughly and completely as possible, as well as to add some element of novelty to investigations that likely would have turned monotonous relatively quickly.

One way to structure a story is to look at the key events that take place in it, and then to abstract them to a level that will allow for comparison to other texts. Taking the Odyssey as an example, one not versed in the method of appropriate abstraction might get completely lost, as Odysseus goes on such a great number of smaller adventures during his journey home that it is difficult to know which are most important and which are not. However, if we look at the story very broadly, we can see that a hero, having set out from his home, encounters many monsters and gets in many adventures, visits the underworld, and returns home successfully with newfound wisdom and knowledge. This is the typical trajectory of the hero's journey, and we can see it played out in many other literary works, especially those which have the designation of epic.

For the purposes of comparison, we can compare the primary story of Beowulf, in which a mighty warrior leaves home, encounters strange monsters and gets in many adventures, visits the deep underwater cavern of a monster (a kind of underworld), and returns home successfully with newfound wisdom and knowledge. I can hear some of you complaining now that this kind of analysis and comparison does not do justice to the rich textures of either work, and that by abstracting them to their barest constituents, you are no longer dealing with literary works, but a selective list of information, chosen to line up with a predetermined set of criteria. In truth, I agree completely with this criticism when it is leveled at a comparison of a small number of texts. However, when this method of structuration through abstraction is applied to many, many works, and they are all found to have even this much in common, I think this method can tell us something important about literature in general. To be certain, you are sacrificing the literary essence of the texts you analyze in this way, but you are mapping out an interesting continuity which shows a general trend in one kind of literary composition. Since the Structuralists are most concerned with this kind of general finding, this kind of analysis fits their scientific objectives quite well. By looking at the works in this way, the Structuralists were able to create general criteria which can help in the definition of an entire genre, and while not all works labeled as such will follow this structure perfectly (we even had to fudge Beowulf's trip to the underworld), we can read the variations as logical, metaphorical transformations.

Whereas the analysis of individual texts in Structuralist terms usually involved binary opposition, and the analysis of many texts involved a high level of abstraction, the analysis of small numbers of texts, especially pairs of texts, was done in a way that preserved the literary specificity of each text while still making interesting structural opposition apparent between the texts. The way this was achieved was through the abstraction of story events and plot trajectories, but to a far more limited degree than in the analysis of many texts together.

Let us suppose, for example, that we want to carry out a structural analysis of two texts, which we will label A and X (and such functional designations were highly favored by the Structuralists, who wanted to make their analyses as mathematical and scientific and possible in most cases). In text A, we see a man and a boy (labeled M and B), who escape from the law and run into the wilderness. The boy ends up murdering the man, and the man's ghost haunts the boy until he is driven mad and kills himself. In story B, on the other hand, we see an elderly woman and a young woman (labeled E and Y) who are shipwrecked on a deserted island. The young woman dies by accident, and her ghost helps the elderly woman to survive till she dies of natural causes.

Now, while one can again make the argument that this kind of analysis strips the texts of their literary value, keep in mind that my example must be truncated in the interests of space and time, and that Structuralist analyses of texts can be less abstract than both my previous example and this one. Here, we have two stories that are quite different, but which possess structures that are highly comparable, and overlapping. In both, we have the opposing binary of young versus old. In both texts, the duo leaves everyday society, and find themselves having to take care of themselves in hostile situations. Next, we are presented with an inversion, which is another kind of structural relation which can take place within a context of parallels. In one story, the old person dies and returns to haunt the younger. In the other, the younger dies, and returns to haunt the older. From here, the ghosts have a great influence on their living counterparts, and maintain this influence until the living join the dead. The outcomes and motivations are very different, as are the surface details, but the general trajectory of each story is very structurally similar.

Although some of the examples I have given have been not much more than caricatures of actual Structuralist analyses, they capture the general outlines of the principles the Structuralists used to study literary (and many other kinds of cultural) works. As time progressed, Structuralist analysis became increasingly refined, and even up to the present day, there are those who consider themselves Structuralists, although they would be quick to mention that Structuralism now and Structuralism 40 years ago are not the same thing. Several other schools of literary theory have arisen in that time, and provided a critique of Structuralism that has proven highly informative to contemporary Structuralists, but which has also made Structuralism appear to be a largely outdated and limited approach. However, I believe that we can learn a lot from the approaches and overall philosophy the Structuralists, and that it is a strong enough approach that it should not be quickly and easily forgotten.
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Apr 08, 2013
Research Tutorial / New Criticism (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

New Criticism - Part I



For those of you who already know something of literary theory and its history allow me to make apologies for some blatant omissions between 300 B.C. and 1900 A.D. This 2200 year period was certainly not devoid of important literary theorists and important developments, and there are notable figures in every century form Aristotle to the 20th. However, since I do not have the time nor the space to be exhaustive here, I feel it is my task to present the most important information, "most important" being defined, for the purposes of this series, as that information which will be the most useful in helping students understand what theory is and what its manifestations are as they apply to contemporary studies. Aristotle was absolutely necessary, and omitting him would have been a glaring oversight indeed. Some might argue that leaving out Quintilian is a problem, leaving out Sidney is a mortal sin, and leaving out Coleridge is nothing short of a tragedy. However, I know with the way literary studies is run in the academy at present, it is far more useful for students to be aware of Derrida than Dryden, and so while I encourage all those interested to investigate the great names I have just listed, and while I hope to be able to return to give them their due in a future series, I must sadly abandon them in favor of their more contemporary counterparts.

New Criticism WritingThere are several ways to begin a tour through 20th century literary theory, especially considering that the continental tradition and the Anglo-American tradition were so utterly independent of each other at the beginning of the 20th century. However, I think it makes the most sense to begin with the North Americans and the British; their influence, practically speaking, is still very present in most instances of university English classes. Their counterparts in Europe and Russia have such close connections to subsequent theories (like Marxism and structuralism), that it makes sense to cover those in succession, which also allows for a more chronological and geographical approach than beginning overseas, coming to America, then returning to Europe. So, this gives the New Critics the distinction of coming first, although, chronologically speaking, they were largely contemporaneous with the Russian Formalists we will be discussing next.

My first reaction when I heard the term "New Critics" or "New Criticism" was immediate interest. I felt like I would be getting something fresh and new, an approach that was on the cutting edge of literary theoretical knowledge. My second reaction, when I learned something about the subject, was disappointment. You see, there are several titles from literary periods, theories, and movements whose descriptive power gets severely dimmed over time. It is as if those who created the term didn't really expect it, or perhaps the thing it describes, to last any more than a few years. This seems to have been the case in the early 1900s, where we have the rise of literary modernism, and the advent of the New Critical school of thought. It goes without saying that academics at this time saw their culture, and their explorations of it, as a definite departure from what had come before, and they desired greatly to express this in their labels, slogans, and methods. Being accused of "mere impressionism" was a high insult, as it put you in league with scholars from the previous century who were certainly not on the cutting edge of the literary world.

It is difficult to say too much by way of introduction to the New Critics without giving some basic idea of the context in which this school of thought arose. In the first paper of this mini-series, I mentioned impressionism, which was a dominant and well respected method of literary study itself in the 19th century, and even into the start of the 20th. To properly understand impressionism, however, it is necessary to briefly discuss two of its forebears, realism and naturalism. I promise this is as far back along the path as I will travel by way of introducing and contextualizing the New Critics, but this constant reading back and behind each theoretical moment is a process that you will find yourself engaging in often in the pursuit of knowledge of literary theory. Most people come to theory from the present day, and are first exposed to the theories that are most widely employed and therefore most useful to know right now. However, they find themselves reading articles within the present theoretical paradigm which make extensive use of ideas from other periods of theoretical history. So, the student goes back and discovers an older school of thought, which fills in some of what they had been missing, but of course the theorists they read from this period make frequent reference to previous theory which the student does not know or understand. This process repeats itself until the student decides to arbitrarily terminate this near infinite regress, or it never stops, leading the student back and forth both diachronically (back and forth through time) and synchronically (within a given temporal period but across the breadth of theories which existed at that time).

Realism was a 19th century theory of literature that demanded certain standards from a literary text, especially the novel, in order for it to be considered of any value, or possessing any merit. As you can guess from the title of this particular theoretical branch, portraying life in a realistic manner was of the utmost importance. This might seem like an obvious thing for an author to do today, but at the time, many heroes of fictional works were very, very heroic, almost idealized versions of people who were almost beyond human in their virtues, which, if you think back to an earlier item in this series, defied many Aristotelian directives. Realism demanded a more balanced central character, one who had vices like real people did. This would allow that character to stand not only for him or her self, but also for the class of people that that person represented. If I am reading about someone who is from my social class and who has the same kinds of strengths, struggles, and weakness as I do, I am going to be very likely to identify with that character, and it is also quite likely that I will experience an emotional, empathetic attachment to that character. In a time when the industrial revolution was in its late stages, and class consciousness was so pervasive you could simply not escape it (especially in light of the French Revolution, the Napoleonic Wars, and the not-so-distant Russian Revolutions bolstered by Marxist political philosophy), the purpose of the novel was to prompt change in the reader, to call them to arms in a way, but also to exploit these present interests in order to give the people what they wanted, and what they expected.

In realism, the characters were not heroic, the settings were not exotic, and the plot, while somewhat extraordinary, of course, did not involve events that were outside the range of possibility. Fantasy, therefore, was not to be taken seriously, and the function of literature was to enlighten and ennoble while it entertained. Without its potential didactic influence, the entertainment was meaningless. Because the protagonist was not a particularly noble, notable, or powerful individual, it was possible to cast him or her in the role of the universal human, or "everyman," who could be a strong symbol for entire classes of people.

The concepts of realism certainly did not die out completely in the 19th century, and the tenets outlined above survived well into the 20th century, directly in the writings and theory of orthodox Marxism, and indirectly in the modernist movement, where the idea of the ordinary "hero" was taken to a new extreme. However, later in the 19th century a movement arose which gained prominence and later dominance, which we have already mentioned was known as naturalism. Naturalism took the general character of the realistic protagonist and turned it in another direction. In realism, the protagonist was a representative of a given social class; in naturalism, however, there was a turn away from the specifically social (and urban), and a turn toward the human being as a natural creature, an animal in many ways, subject to forces of external and internal natures beyond his or her control. The focus was at once more specific and broader: the workings of an individual's character's mind were put on display, and we watched, much like a scientific observer, his or her behavior and actions as we saw the character develop, and, usually, unravel. The context for this theory of literature (and personality, it should be noted) was the explosion of scientific and sociological theory regarding the natural world and the place of humanity within it. Darwin's theory of evolution helped to move the human back into the natural world in the academic imagination, but at the same time, the growing power of science led to a feeling of increasing technological progress, creating the key tension of naturalism; humanity is described in terms of its inescapable nature, as prey to the forces of the body and its basic instincts, but this is done with a Spenserian motivation, to show how we are and to enable us to rise above this, to evolve through social means.

The limitations of both realism and naturalism came to frustrate theoreticians and authors alike, giving rise to a new way of conceptualizing human life and its exploration through literature, that being impressionism. Impressionism is, like naturalism, concerned more with human nature naturally conceived than with realism's focus on general class character, but it does not endorse the scientific, evolutionary project in the same way. The aim of literature, according to the theory of impressionism, is to cause the reader to have a reaction, to show them a situation and have them experience it, feel it on the most visceral level. Of course, this can only be accomplished through an exacting, very methodical, one might even say scientific manipulation of language and emotion by the author/narrator. This deeper paradox between reason and nature emerges in literary theory at this time, a paradox that would not easily be resolved.

As we move into the 20th century, the dominant literary attitudes were still in a process of flux, and the world was primed, though perhaps unready, for what would come to be known as literary modernism. Like realism, naturalism, and impressionism, modernism is a direction taken by the producers of literature even more than a theory about literature. The modern period was one focused on as radical a disjuncture from previous forms and ideas about literature as possible. Beginning anywhere from, approximately, 1905-1915, this movement would come to define the progress of literary endeavor for the better part of the next 50 years. There were several focal points, most notably a rejection of Victorian morality and propriety, and with it, a rejection of the poetic and other literary forms that were associated with it.

Much of the reason for this literary shift had to do with a definite shift in the climate of world politics and societies across much of the world. In this age of unprecedented technological advancement and enormous human promise, the edifice of uninterrupted human progress that had been established in the 19th century thanks to the industrial age and its consequences, as well as the rise of modern science, came crashing down as a result of the most brutal and bloody human conflict in history, the First World War. Whereas the course of humanity seemed set on a forward course to continued advancement, the potential for the perceived advances to result in unmitigated catastrophe on a global scale was a sobering reminder that rose-colored glasses would still sometimes need to be put aside for the murky view from behind the panes of a gas mask. Boundless hope, faith in progress, technology, and even God, was replaced in artistic circles by extremes of disillusionment, despair, and fragmentation. Freud's work in psychology rose to prominence, and its ideas of the dark reaches of the human psyche rose to fill the popular artistic imagination, showing a mind divided against itself, and throwing the whole question of subjectivity and the representation of minds under a disturbing, though revealing, new light.

Two of the greatest watershed moments in this literary movement occurred in the year 1922, when both T.S. Eliot's long poem The Waste Land, and James Joyce's novel Ulysses were published, challenging the very forms that they were nominally considered to be employing. Eliot's fragmentary verse structure, liberal use of free verse, and most of all his dark, startling images juxtaposed in nightmare fashion proved a quandary for contemporary theory and criticism. After all, what is one to do with a work that calls itself a poem, but seems to define itself by defying the usual, expected poetic conventions? Similarly, Ulysses was no novel in the traditional sense, and after the first, (relatively) standard section dealing with the current situation of the protagonist, the work goes on a tour of experimental literary styles and perspectives which can be baffling, and demand full engagement of any reader who wants to gain anything from the work at all. A new, very serious and very different current was now running through the world of literature, and in order to make sense of it, or to talk about it at all, a new critical and theoretical vocabulary would have to be developed. Indeed, the very definition of literature needed to expand, to grow, in order to account for this writing that was intended to be relevant to the new reality in which the world found itself, but for which the world did not seem adequately prepared.

As we saw in the three 19th century movements we examined earlier, realism, naturalism, and impressionism, the authors of given works of literature were the ones who were forwarding the movements, displaying the tenets of particular movements in their works, and then commenting on them only after in critical works. As far as theory was concerned, this was at a relatively low level, and was not the providence so much of the institution of literary studies, which really did not exist officially in the 19th century, as it was the makers of literary works. Note too that these "theories" about the various movements were not at all useful for examining and coming to better understand the works in question; they were useful as basic guidelines for composing literature, and perhaps somewhat useful for evaluating it, but not at all useful for describing it, showing how it works, and what forces of language are operating under the surface to create the effects that do get created. All this would start to change, however, with the rise of literary modernism, and the concomitant rise of the literary academy and of a critical consciousness that evolved to deal with the growing complexities literature was beginning to display.

It is difficult for us to imagine here in the 21st century, with every university campus boasting an English department as one of the largest, both in terms of faculty and students, and with freshman English a required course in almost as many, but before the 1920s and 30s, and even later for many schools, university departments where the study of contemporary literature took place simply did not exist. One could pursue the humanities, and the arts and letters, but one found the classical model to be present in great force; learning Latin and Greek were of the utmost importance, so that you could read the classics of ancient Greece and Rome in their original languages. Rhetoric was also very important, and was taught in conjunction with such courses, unlike today where all of these subjects are marginalized in literary studies and now covered in classics along with archeology, or, in the case of rhetoric, in conjunction with studies of more contemporary, vernacular literature courses.

With the rise of a new artistic, literary consciousness, however, came the need for a new way of dealing with unexpected and unconventional literary works. It was no longer such an easy matter to come to be an expert on works of literature, and one had to be more than a hobbyist to come to some understanding of the kinds of literature that were being created. Indeed, with the wealth of allusions, the abundance of irony and paradox, and the layering of meaning on multiple levels, with form subtly reflecting content at every turn, one had to be well trained and educated to be an authority on modern literature. Indeed, with traditional narrative being pushed to the background, it became necessary to have some literary training in order to come to have any chance at gaining a grasp of modern literature; with the focus no longer on plot, and what happens in a given work, but rather more on the language itself, and the consciousness of characters and narrators/poetic speakers, the whole idea of what it meant to "understand" a literary work changed, and this is where the focus on interpretation comes to the fore. After all, a realist novel is comprehensible to almost anyone, and while training in literature might make some structuring and symbolism more clear, anyone can "get" it, and its message. With modern literature, this was no longer the case.

In order to deal with the unique problems posed with the understanding of modern literature, scholars began to respond with essays dedicated not merely to the evaluation of a work's quality, as in a review, but rather dealing, in depth, with what a work was really about, and how it achieved its goals through the various structures and devices it employed. This is where our current conception of textual criticism comes from, and is why a literary critic is so different from many others kinds of critics we see in popular culture. The literary critic does not give a "thumbs up" to good work and a "thumbs down" to poor literature. Rather, he or she strives to elucidate the work in question, pointing out various aspects of it, and showing how they intersect, both with each other, and with other texts. The idea of the unity of the literary work was a paramount importance to critics of this time, which was simply not possible in previous ages. When a literary work is obviously coherent and cohesive, following a plot one can immediately understand and appreciate, unity is understood, and the places where things do not line up, the moments of disjunction (perhaps caused by poor writing or authorial oversight) are more interesting points to consider and debate. However, when a text looks fragmentary from the outset, stating that there are points where the text is not connected is simply not interesting; it is too obvious to be worth writing about. So, it becomes a more difficult, and therefore more popular critical endeavor, to show how the broken text actually fits together into an organic, though surprising whole.

Like the previous literary movements we have discussed, modernism began with authors who practiced it, and was discussed most, at first, by those same practitioners. T.S. Eliot is one of the main bridges here, as he wrote some of the most important works of modern literature, while at the same time publishing the most influential early essays of criticism, and what can now be considered the first works of New Critical theory. New Criticism is so named, as you can imagine, because it became the novel way of evaluating the modern literary texts that would not submit easily to older methods of textual evaluation. As such, many later scholars have commented that New Criticism was not so much an aspect of literary theory as an ad hoc mode of criticism that (hence the name) happened to work well with the texts of its time. New Criticism was a practice, it is argued, and as such, it was not conscious of its own place, its own operations, to the extent it would need to be to be considered theory.

This criticism is valid to some extent, as the New Critics were concerned first and foremost with dealing with their chosen texts, and less concerned about formulating ideas about the practices they were developing. However, this was certainly not uniformly the case, and authors like I.A. Richards, with his work Principles of Literary Criticism, set out a definite program for applying critical practice to literary works. In this work, and other to follow, including most notably and famously Practical Criticism, Richards reflects on the operations of literary criticism, and both interrogates and provides a unified, coherent framework for the study of literary works. Looking back to our earlier definitions and distinctions of and between criticism and theory, it becomes quite clear that this kind of higher level reflection on practice, rather than the application of principles to given texts, is precisely what defines theory, and Richards stands as the foremost New Critical theorist as a result.

Although it would certainly be possible to write books merely on the historical context in which New Criticism arose (which a quick search on "literary modernism" will reveal to be the case hundreds of times over), the basic background already provided here will serve as a sufficient framework for understanding the ground out of which New Criticism sprouted. What is perhaps the most important thing to remember is that, with the new forms of literature that were arising, with their intentional difficulty and obscure references, it became possible to make specific works of literature the subject of academic investigation. After all, a straightforward piece of prose can only really be analyzed on its surface, for its ideas, and the artistic proficiency and quality with which they are presented. Once a literary work is no longer obviously telling of something that can be easily understood, its surface is no longer available, and so one must work hard merely in order to figure out what is happening at even the most basic of levels. At this point, interpretation takes on an unparalleled significance in literary studies, and literature moves from the pursuit of talented amateurs to its current status as a professional academic discipline. Interpretation now required a certain level of training and sophistication, which meant that literary studies could now be considered, in some very important ways, a literary science with its own taxonomies, jargon, and systems of authority.

One of the principles that was foundational to the New Critical project was the importance of studying texts on their own terms, without reference to the life of the author who produced them, the social or historical conditions they explored, or any other matter that was somehow not imbedded in the text - and the world of the text - itself. Part of the reason for this was undoubtedly institutional, or academically political; literary studies wanted to be seen as a discipline worthy of consideration on its own terms, in and for itself, not as some aspect of another discipline like history, sociology, or psychology. Northrop Frye, somewhat late in the period of New Critical dominance, remarked that literary studies did not need to be carted around in a Marxist or Freudian wheelbarrow, but could make its own way without such assistance. The New Critics took this to heart, and devised fascinating practical and theoretical systems for analyzing literature that kept the focus firmly on the text itself.

One of the most memorable of these devices was (and still is) known as the intentional fallacy. This sounds like it is describing someone who is making an error on purpose, but it actually has to do with the role the intention of an author plays in literary analysis. As you might expect, with the New Critical aversion to evaluating extra-textual factors, the intentional fallacy is the error of believing that that author of a text has any privileged position from which to offer a superior evaluation of it. According to the New Critics, if you are discussing what an author meant to say or do in a text, you are fishing in the wrong pond. It is impossible for us to reconstruct authorial intent, because all we have access to is the text itself, not the author who completed the work. The literary work of art should be able to stand on its own, and the author cannot follow it around and explain what he or she meant by a given passage. A strong reader will be able to develop the meaning of the text independently of any factors but the text itself.

Of course, when it comes to the study of ancient texts, or even texts of a previous generation, it is not possible to glean what the author intended, because in all likelihood, he or she is dead. However, what about current works whose authors are very much still alive, and perhaps even commenting on their own works? According to the New Critics, this did not matter at all. If you and a friend are having a dispute about some aspect of a given poem or story, over a point which seems quite ambiguous, you would most likely be tempted to ask the author what the correct answer is. According to the New Critics, however, even if you got a signed note from the author which explicitly states how he intended the issue to be resolved, and how the passage in question should be interpreted, this would not be a definitive end to the argument. The literary work must be considered independently of its creator; it is an open text, free for all to examine in its own terms. Once the author releases the work into the world, it takes on a life of its own, and it says whatever its words happen to say, regardless of what the authors think they say, or want them to say. So, the voice of the author is just one voice among many who make pronouncements about the literary text, and his or her opinion is judged on the basis of its ability to use evidence from the text to create a compelling interpretation, just like the opinion of any other critic.

Another fallacy which the New Critics invented to support their insistence on reading the text in and for itself is called the affective fallacy, and deals with, in a manner of speaking, the opposite side of the production/consumption dichotomy than the intentional fallacy. Whereas the intentional fallacy forbids the critic from looking at how a text is produced in determining its meaning, the affective fallacy forbids the critic from looking at how the text is received, especially with regard to its emotional effect. In order to be an effective critic, one must first of all distance him or her self from the potential emotional impact of the work; this emotion would bias judgment, and remove the scientific objectivity needed to study the entity in question. Interpretation should not be based on how a work makes you feel, because this is an impossible to quantify, highly subjective experience that makes critical consensus impossible, and really tells us very little about the work itself. After all, my noticing that the structure of a poem is reflective of its content has nothing to do with how all of this affects me, or any other reader for that matter.

Note that this is very different from examining the emotional experiences and responses of characters within literary texts. While it is true that the New Critics did not want to focus on the psychology of given characters, preferring to look at elements of form and specifically textual features as opposed to human ones, it was nonetheless sometimes vital, especially in prose, to account for the actions of given characters in terms of their emotional states of being. Thus, for example, T.S. Eliot writes in good detail of Hamlet's emotional state, or states, in all their confusion, as a failure of Shakespeare's. Since his reactions and emotions form part of the text world, they are open to evaluation. Since neither the reader's experience nor the author's is situated in the text world, neither is considered valid in interpretation.

The term "affect" from the "affective fallacy" has to do with the feeling a reader gets from reading a literary work, and many people feel that this is a prime part of what literature is, from Aristotle up to the present day. One of the primary reasons we read, after all, is to engage in an emotional experience; if we just read for facts and information, novels would never be looked at and newspapers would be completely dominant. By the same token, movies would take a back seat to news programs, and we might get television stations full of news programs, with perhaps the 11:00 sitcom thrown in for some variety. Indeed, the New Critics recognized that emotion and feeling were very important to motivating reading experiences, and Eliot even talks about something he called the "objective correlative," which basically describes the creation of a mood or feeling not through directly stating these emotions in the text, but by combining images in such a way that their interaction produces the effect. This sounds like it defies the dictates of the affective fallacy, but carefully considered, it is worded in such a way that it objectifies a particular emotional experience in terms of the text which very carefully creates it. Subjective emotional experiences are not valid in interpretation, but objective ones are. If the patterning of textual features in a given configuration results in the creation of a specific feeling which arises from the poem itself, this too becomes a feature of the text, rather than merely the experience of someone outside the text. This argument is obviously highly debatable (after all, how can a text contain its emotion, if the emotion only comes into being in the people who read it?), but it formed a way of working feeling into a theory of literary evaluation that would otherwise ignore it completely.

Needless to say, in the light of the New Critics' general approach and their creation of specific fallacies, their general approach to literary texts is one that involves a kind of reading that goes far beyond the casual or everyday experience of most readers. If the only object of your concern and examination can be the words on the page and the internal tensions created by the ideas and themes created by them, reading quickly or lightly would reveal very little. What was required, instead, was something the New Critics called "close reading," which, as you can imagine, required a dedication to the subtle nuances of a literary text and its language that went far beyond the ordinary.

Theory: The How's and Why's of Literature

New Criticism - Part II



Most of the students I interact with on a daily basis read stories and poems and immediately jump to its grander significance to their lives, or to the world as a whole. They read Dickens, for instance, and immediately comment on how sensitive he was to social issues, and how his social concerns are the driving force behind the popularity of his works. For the New Critics, this approach is in part totally irrelevant, and in other aspects entirely backward. The process of examining a text, for the New Critic, had to begin from the ground and work up. A critic should begin with the words of the text, what is happening on the surface, between the various literary devices and text-world events that are taking place, and only later move on to anything of grander significance. So, if you wanted to say anything about Dickens' social consciousness, you had better focus on this as it manifests itself in the text, and provide plenty of solid examples and explore its manifestation in various literary devices before attempting to say anything overarching or grand.

The new critics were especially fond of the examination of poetic works, which makes perfect sense if you consider their preferences and the context in which their school arose. After all, most prose texts possess a large measure of narrative, which means that a definite, relatively easily definable story exists which can be interpreted without professional credentials. Poetry, on the other hand, especially modern poetry, was not usually structured according to narrative patterns, and so coming to understand it, or to find some thread of narrative in it, required some very specialized forms of close reading. Take, for example, the following poem from Ezra Pound entitled "In a Station of the Metro": "The apparition of these faces in the crowd;/ Petals on a wet, black bough." These two lines comprise the entirety of the poem, and serve as an excellent example of where New Critical close reading could best be employed.

First of all, it is important to establish the time, place, and circumstances of the work, in as far as this information is presented to us. In this case, the extreme condensation of the work means that even the title has to do a lot of work, and it does, telling us that we are in a subway (or metro) station. Now, from the fact that it is called a metro rather than a subway, it is a safe assumption that we are located somewhere in Europe rather than America, and that fact that we are in such a station at all lets us know we are likely in the 20th century, possibly the late 19th. Since the title indicates that the poem takes place in a station, we can reliably infer that the speaker is located there, presenting the poem from a point of view inside the station.

From here, we start to make other connections and significant observations, including the mood or tone set by this specific location. The metro is underground, making it cool and dark, as well as enclosed and compressed. All of these descriptors are associated with feelings on the neutral or negative side of human emotion, and someone in this situation, as the speaker is, would likely be feeling somewhat melancholy, or at least coolly contemplative and detached, as opposed to warm and comfortable. This is also a highly artificial situation, where nature does not have a significance presence; the concrete walls, steel tracks, and dim artificial lighting serve to separate the people inside from the natural world, and we have no idea whether it is night or day, summer or winter. We are in the artificial depths, isolated, and coolly detached. All of these factors support and reinforce one another, which leads us to seeing a thematic unity developing where before we only, on the surface, saw juxtaposing, fragmented images. And, of course, we get all of this from looking merely at the title of the poem, before we even start to consider the two lines of the body of the poem that come after! It is obvious, from this example, what close reading entails; the critic investigates each line, each word in the literary work of art, very carefully, examining the significance of each in relation to the others, and looking for links that tie various aspects of the work to each other, even if these aspects are not evident during a first reading. Each word we use in a poem can tell us something more than it seems to, and in a work where there are so few words, we must extract all the meaning we can from every one if we are to come to some conclusion about what the work means and how all of its elements form part of a coherent whole. If you miss an important aspect of a single word, you might well be dooming yourself to misunderstanding the entire text.

Although close reading, in a way, attempted to investigate and examine a literary text as if it were an object that existed in the natural world, objectively for all to see, it had a definite direction that is seen today as a bias by most literary scholars. In the case of a scientific observation and investigation of some phenomenon, we see that there is something there to investigate, and then proceed to determine how it functions, what forces are at work within it, and how they interact. The range of what can be found in this kind of investigation is almost limitless, as there are countless ways different natural phenomena can exist, and innumerable ways they be internally organized; the scientific method is merely a consistent and reliable approach to discovering this diverse range of potential information, not a prediction of what the examination will find.

Close reading, on the other hand, as many of the New Critics practiced and conceived it, was a consistent and reliable approach like the scientific method, but one that often led to the same set of conclusions regardless of what literary phenomenon was subject to its application. The New Critic would read a text, apply the methods of close reading, and almost inevitably discover that what seemed like a series of disconnected fragments was in fact an organized, organic whole, linked by pervasive irony and paradox that allowed for contradiction on one level, while forging consistency and unity of another. For example, returning to Pound's poem presented earlier, we can see a definite discrepancy between the first and second lines of the poem. Line one, "The apparition of these faces in the crowd," most obviously connects back to the title "In a Station of the Metro": the crowd that is appearing is appearing in the subway station. However, the second line of the poem, "Petals on a wet, black bough" stands in complete contradiction to the setting and tone that have already been established. Here, we have a paradox, a contradiction that seems to have no reconciliation. After all, how can the people in the subway, already described as very artificial and mechanical, be boughs and leaves?

This is where the New Critical gesture of greatest potency is brought into the investigation to reconcile the apparent opposites in a way that makes the poem as a whole cohere tremendously well. If we lay what we know about the subway and what we are told about the branch side-by-side, we only see the contradictions at first, but if we look more closely, we can see how they are remarkably, unexpectedly parallel. We have a subway station as the main setting, which tends to be tube-shaped and long, as well as being quite narrow, often just wide enough to accommodate a narrow platform on either side of the tracks, which themselves are only wide enough to accommodate the train. Subway trains are never colorful (which was even more true in the early 1900s than it is today), and tend to be very dark or neutral colors. The people who pile into them have to crowd on, and are grouped together quite closely, making it hard to distinguish one face from another, especially once the train is in motion. Compared to the dull, uniform colors of the train, however, these people are relatively colorful, and stand in high contrast to the dead, dull steel and concrete that enclose them in darkness. They are living, vibrant beings and lives attached to dead, dark, inert matter.

Now, moving to the final line of the poem, we can see how the characterization we made of the first line ties in, and is unified with what comes after. The wet, black bough stands in close relation, metaphorically speaking, to the subway station (also commonly known as "the tube"). Both of them are long, narrow, and cylindrically shaped. Also, both have a similar color, at least as they are described in this poem; the bough, which could be a number of vibrant colors normally, is in this case as dark as possible, which matches the dark muted colors of the subway station and the train itself. Note as well that the bough is wet, and while the underground train is not usually exposed to the elements, the tracks and the ground around them are often, because of their depth, repositories for very dirty, stagnant, water, which makes them excellent places for rats and other vermin to assemble. Finally, the bough described in the poem is most likely dead, or close to it, as not many plants feature boughs that are normally such a dark color. When a gardener is poor at his or her craft we call him or her a "black thumb," as black is the color associated with dead vegetation of all kinds. This parallels the subway station, track, and train, which all have the muted colors of things that are not alive. There is no vibrancy either in the bough itself, or in the station.

This links the bough and the station, but what about the faces? And the petals? As you might expect from what has come before, these very different things are actually more similar that we might suppose as well. First, we can see the people on the subway, and in the subway station, in a crowd. Their faces look similar to each other, and bunch closely together. The petals on the bough stand in a similar relation to each other, tightly bunched and stuck on the same dead object. Note that if the poet had used flowers instead of petals the comparison would have been weaker; flowers are more identifiably individual, and separated, whereas the petals all form almost identical, tightly-packed clusters of living vegetation, which is far more like the closely packed passengers on the trains and platforms. Both the people and the petals stand in contrast to their perches, as they are living things, still vibrant. They occupy dead spaces, but are not themselves dead, which means they offer some hope of life in a dreary situation. Things may be dark and dim in both settings, but there is some reason to be hopeful as long as life is present.

This has tied the lines of the poem together, but has left us unsatisfied. After all, what is the value of linking these images, unless that is the explicit point of the poem? If, for example, the poem had read "The apparition of these faces in the crowd/ like petals on a wet, black bough" we could be satisfied with stopping where we are, since we have established the relation, promised by "like," between the opposing elements of the poem. However, there is no like, and part of the poem is still unaccounted for. The poem does not simply say "this crowd" or "these faces in the crowd" but "the apparition of these faces in the crowd," which causes us to need to consider things more carefully. We are not focused merely on the crowd, or its faces, but the apparition of these faces, their act of appearing before us. Perhaps you have experienced the phenomenon of standing still while a crowd of people passed by continually; most of the time you are aware of a large, undifferentiated mass, but here and there, individual faces pop out at you, making you take some notice, and causing the mass of people to fade into the background. This is what seems to be happening here.

As these faces that we notice come out at us, we are forced to consider something individually that we had just been automatically considering in a communal, collective way, and this can be somewhat disconcerting. The petals on their wet bough, in a similar way, are striking when they differentiate themselves, and come toward us in a way that we can clearly see. But how does this happen? The petals bloom and blossom out of the bough, which is something that we especially associate with springtime. So, this dead, black bough, which we were considering as if it were dead for all time, may only be discolored from its winter stasis, and while it still wears the evidence of its slumber, it is actually coming back to life. This means that the petals can blossom from its dark surface, popping out at us the same way the faces of the people in the subway pop out at us in the crowd scene. Further, we can apply this motion, both literal and metaphorical, to the people coming out of the subway trains when the doors open. Inside, they are a mass of faces unmoving and stagnant, but once the doors open, they emerge, flood out toward us, and have the appearance of blooming out.

Although the New Critics would go (and have gone) into far more detail here, for our purposes we have laid the groundwork that illustrates how the process of close reading, built from the ground up, proceeding line-by-line, has enabled us to solve the paradoxical nature apparent at the surface of the poem. This has underlined another key dichotomy in New Critical investigation, which is the difference between appearance and reality. In most New Critical analyses, the surface of the literary work in question is described, and usually likened to the opinions or interpretations of some anonymous, undefined group of common, untrained readers. However, as you might have already guessed, this is only done in order to enable the inevitable contrast that is going to be established. Although the work appears to be a simple description of a human experience, in reality it is about the struggle of humankind to overcome its darkest psychological deformities. The contrast between appearance and reality is central to New Critical practice, and although it is not officially the end which close reading must attain, it most often is its result.

There are, of course, times when paradox in a literary work cannot be resolved so quickly and efficiently with reference to a common metaphorical connection. As a result, irony is often brought in to offer an alternative explanation. Irony, like paradox, only exists in the presence of opposing ideas and tensions, which is something the New Critics saw as central to literature. Whereas paradox presents seemingly irresolvable tensions in logic and reality, irony most often presents apparent contradiction on the level of discourse. For example, Eliot's poem The Waste Land ends in the same word, repeated three times: Shantih Shantih Shantih. This word is a Hebrew blessing meaning something like "the peace that passes understanding." Of course, the poem, as you might have inferred from the title, even up to the end is about the fragmentation of human life and experience in a world torn apart by external and internal upheaval. The three words stand in sharp distinction to most of what comes before, and it seems highly unlikely that the speaker is now just saying that everything is going to be ok. More likely, especially if you are a New Critic, is that these lines present an ironic counterpoint to what has come before, and quote the blessing only to mock its empty powerlessness in the face of so much despair.

Of course, part of the problem with irony is that it is often hard to know, especially in a difficult poetic text, what is ironic and what is sincerely stated. If you also take the intentionality of the personal author out of the equation, as the New Critics did, you are sometimes faced with a dilemma that can lead to an impasse amongst equally respected and well trained critics. For example, to this day critics cannot agree over whether The Waste Land is an essentially hopeful poem set in a dark world, or whether it is a despairing piece of work with glimpses of something better offered only in order to show their futility. This is a weakness emblematic of the New Critical project; no matter how closely you examine what is happening in a given text, or how strong your close reading is, sometimes you will reach a point when a leap of faith (which usually foregrounds your own biases) must take place to pick one alternative or another.

The goal of a New Critical encounter with a text was finding unity where it did not seem to exist, and to provide as thorough and complete a reading of the text as possible. In this case, a reading meant a sustained argument that tied together each aspect of the whole according to a thesis of unity that the critic would develop from an investigation of each part, line, and word of the poem in their minutest and most general interactions. The more of the work in question that the reading accounted for and supported, and better it was considered to be. As you might expect, as we have seen with a lot of the readings we have looked at so far, this approach encouraged critics to come up with a definite position with regard to the text as a whole. Although they worked from the smallest textual units possible, their goal was to work up to a reading of the entire text in the grandest way possible. So, after all the close reading was done, the paradoxes resolved, and the irony identified and justified, the last step was to talk about how the work in question had a grander significance, a message about the world or literature as a whole. Pound's poem, for instance, was considered a compact discourse on the power of the natural human spirit to shine through even in the midst of artificial, alienating darkness. This pithy description tied all of the critical work together, and served as a starting point for future critics, who could agree with the point while taking issue with the process by which it was arrived at, who could disagree with the point but agree with the method followed (just not the interpretation of its results), or who could disagree with both the conclusion and the means used to reach it. Thus, New Critical practice built upon itself and referenced itself endlessly, creating the edifice of the literary academic community as we know it today.

This building upon prior critical knowledge was reflected in another vital New Critical tenet, that being their reevaluation of the literary canon. As anyone who knows theology is well aware, the word canon (never, ever to be confused with cannon), comes from the almost identical Greek word meaning rule, standard, or boundary. In Biblical terminology, it has to do with both the declaration of saints, and, more importantly, the selection of texts to include in the Bible. It was of vital importance for early Christian leaders to separate the books which would be considered most holy, and inspired by God, from those that, while potentially useful, were not divinely inspired, and thus potentially flawed.

Like so many other aspects of Biblical interpretation, also known as exegesis, the idea of the canon made its way into literary studies, at no time more prominently and obviously than with the New Critics. Of course, the term has to be understood somewhat differently to have meaning in literary studies; after all, no one really believes that all authors need to be divinely inspired to be considered effective and powerful artists, and very, very few of them would ever be regarded, or even attempt to be regarded, as saints. In this case, the earlier Greek meanings are more obviously applicable, and the canon as conceived in literary studies represents the works, spanning though the ages, that are considered the best. These works are of the highest quality, and are universal in their appeal; they have stood the test of time, meaning that they are considered as strong and powerful today was they were in their own time, and in all times in between. These canonical texts are the ones that deserve most to be studied, both by the critics and by students, and they will form the base not only for the literary curriculum, but also for the literary community as a whole. These great works form the object of study, and are the common glue which holds the discipline together. After all, if there were no common body of texts to investigate, and critics and students examined whatever texts struck their fancies, what you would have would be a random assortment of voices crying in the wind, rather than a community with any kind of focus.

In the late 19th century, Matthew Arnold presented the idea of the canon, and indeed the purpose of education, as to forward the best of what is thought and known in the world. His problem, like that of the New Critics in their valuation of the canon, was the assumption that objective standards, applied without bias, could be applied to all of the literary works in the world, across times and cultures. What is considered the art of one age may be disparaged in the next, only to be revived again later. Also, because of various social conditions that exist in different times and places, things we may now consider to be the greatest literature might well have been banned and burned in their own times, kept from the greater public view and destroyed because of the progressive ideas they contained. Arnold and the New Critics both assumed a simple meritocracy, where all texts have equal access to evaluation, and which are all judged fairly according to standards that would apply to all works equally. What they failed to account for was the historical and social, and the power of tradition. After all, if a text in its own age was unpopular, how would we come to know about it now, even if copies were available? The most popular works at any given time get reproduced most and tend to survive long enough to get adopted by subsequent generations, but this gives us a limited view of previous eras. If Shakespeare were known to be a woman in her day, would she still have become the most influential voice of English literature? It is almost impossible to say for certain, but this is the kind of question that severely complicates the straightforward idea of the canon in literary studies. The New Critical program strove to be objective and scientific in many regards, but sometime forgot that much of what they were saying way rooted in subjective human processes rather than natural, apparent scientific fact.

Aside from a rather narrow view of the canon criteria and its evaluation, however, the New Critics had some interesting and influential opinions about how the canon made itself felt in the present day, and how, highly counter-intuitively, the present day made itself felt in the canon. It is obvious that works of the past have a definite effect on what we see today as valuable, and that the contemporary works will be judged worthy of inclusion in the canon only if they can compare with the works which already have membership. According to this view, the canon grows by accumulation, as the old works rest comfortably, while more and more new works are added to the pile. Also according to this view, admission to the canon becomes more and more difficult as times goes on. The early great works have the most evident impact on what comes later, and shape the course of literary history, which is a large part of the reason they are included. However, as time goes on, this originary power becomes diluted, as newer and newer texts are seen as owing more and more influence to many, many others that came before. There is only so much possible innovation, only so many ways of arranging a text, and so the newest artists are always in the most difficult position; everything seems to have been done, and doing it better than a great master, who is the very source for the criteria used for evaluation, is no easy matter.

The New Critics, however, did not subscribe to this accumulative view of literary history, and believed that the present age could have an impact on works of the past. T.S. Eliot succinctly outlines this position in his essay "Tradition and the Individual Talent." He discusses the importance of tradition in the creation of all modern art, and notes that the very standards by which art can be judged derive, although not without modification, from the great works of the past. However, he asserts that when new literature is created, it also modifies the way we look at previous literary works. Modern poetry obviously couldn't directly influence the production and contemporary reception of ancient tragedy, but it could certainly have an influence on how we, today, read it, and how we evaluate its place amongst the greatest works of all time.

Let us take, for example, Eliot's own poetry as an example of work that spread its influence not only forward in time, but also back. His poetry self-consciously makes reference to, and use of, the work of the 17th century metaphysical poets. These poets were not very highly regarded previous to Eliot's (and other modernist's) poetry, but after his work became influential, the status of these poets rose dramatically. As a result, their place in the canon was significantly improved, as was that of the romantics, whom Eliot used both in his art and his criticism. The Victorians, on the other hand, had the misfortune of writing in the age just prior to the time of modernism and the New Critics, and as is so often the case, one age defines itself in opposition to the one that immediately precedes it. As a result, although the Victorians were certainly not removed from the canon, their work no longer had the same relative status it did before New Criticism. As the years have come and gone, the influence of modern poetry itself has waxed and waned depending on the contemporary literary movement, and while it makes for a bumpy ride for their poetry, it only shows that their idea of the canon was a strong and resilient one.

One of the primary critiques of New Criticism by later schools of literary theory is that the New Critics seemed to be largely blind to the theoretical positions they followed. For this reason, some academics refuse to call New Criticism a theory at all, referring to it instead as a series of common practices without any theoretical awareness undergirding them. To some extent, this criticism is valid; the New Critics were far more concerned with doing practical criticism that worked to explain the new kind of literary works that modernism offered, and less with more abstract and self-reflective work in laying out their premises and examining them critically. This makes sense considering the time in which all of this was taking place, however, since literary scholars were attempting to make their craft into a recognized discipline with a firm place in universities. When a discipline is being crafted and promoted as it was in this time, enthusiastic practice is the norm, and critical self-reflection usually comes only later, when the discipline is firmly enough established that it can bear the attacks not only from without, but from within as well.

The relationship between criticism and art is also unusually blurred in this period, at least unusually for the 20th century, because the division that later periods saw between poets and critics was only just beginning to form here, and many of the most prominent figures in literary modernism were also the foremost figures of literary criticism. The exemplar for this situation once again is the oft-quoted T.S. Eliot, who was considered the foremost critic and poet of New Criticism and modernism respectively, especially in the 1920s and 30s, some of the earliest years of the movements. More than one detractor has pointed out that New Critics were in the early years people who were writing purportedly objective standards of criticism that just happened (wink wink) to be an explication and justification for the kinds of poems they themselves were writing. There is certainly some truth to these claims, which explains why critical and artistic practice rose to the fore, and theory took a back seat.

The theory of a given academic discipline puts that discipline on display, exposing its most sensitive areas, and pointing out all its strengths and flaws. In the early years of a discipline's development, this is difficult to do, for there is not even a recognized, unified body of knowledge to lay bare, meaning that theory has no real target to aim its analysis at. So, aside from a few exceptions mentioned earlier (including I.A. Richards), New Criticism becomes a coherent theoretical position only later on, when it is relatively well established, and when the idea of the discipline of literary studies is itself somewhat more defined. For a time, New Criticism and literary scholarship were virtually synonymous in North America, and it is only when each matures that alternative ways of conceptualizing criticism and literary studies become possible in a significant and important way. With an influx of European influence and critical literary thought in the 50s and 60s, it became apparent that literature stretched far beyond the bounds of the New Critical imagination, and that it was merely one theoretical approach, amongst many, to the study of literature. Only when the tried and expected method is confronted with a viable alternative will it be seen as an option, one theory among many, rather than simply the common-sense way of doing things. Thus New Criticism, while being a foundational theory for literary studies in North America and Britain, does not know itself as such till long after its prime has passed.
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Apr 08, 2013
Research Tutorial / Russian Formalism (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Russian Formalism - Part I



Today the world is such an obviously interconnected place that it is hard to imagine a time or place where communication, even across great distances and between diverse languages, was not possible. Anyone who has grown up even with the airplane and the television has to imagine a remote island indeed that is not accessible to the rest of the world in some way, and for the generation for whom email is second nature, the internet a necessity, and instant messaging a first language, being somehow out of contact with others is not even in the realm of possibility. If I have an interest in any subject, no matter how esoteric, mundane, or even illegal, I will be able to find hundreds if not thousands, perhaps even millions of like-minded individuals who share my passion. This is an incredibly valuable gift that many of us have learned to take for granted, but it makes it easy to forget that in previous generations, even professionals working in the same fields were often completely ignorant of each other's existence.

Russia Formalism WritingImagine, if you will, the early 20th century. The world is a much larger place than it is today, and although the major socio-political divisions familiar to us on modern maps were very similar, the relationships between these diverse nations were not. The United Nations was not even a distant dream, and Marxism was a relatively novel political theory that was beginning to gain widespread acceptance in many parts of the world, including Europe. Threats from other nations and political systems were very real, but so too were the threats of revolution coming from within many nations, Russia foremost among them. Monarchies still reigned in more than a figurehead status in many nations, and ideas of equality and the equal distribution of a nation's resources was a potent one, which looked as if it could be realized, if the will of the governments, or their people, was in place.

The United States and Britain, having (mostly) healed the rift created more than a century ago by the Declaration of Independence, were allies and in relatively close contact, with academics and professionals corresponding and traveling back and forth, sharing ideas and research in many disciplines. A common ancestry and a common tongue, as well as an ocean that, while immense, could be traversed without inordinate danger, made these connections very natural, and very amenable to both sides. However, this was definitely not the case when it came to either of these nations in their dealings with Russia. If you imagine the opposite scenario of communication and cooperation, you will begin to get some idea of how things were across this cultural and linguistic divide.

What is perhaps most astounding, however, is that in spite of the division between these different nations, some highly comparable literary work was being conducted at almost exactly the same time. Since the New Critical project, which was arising in Britain and North America in the early 1900s, was devoted to the study of the text itself, and to its internal forms and structures, it became known in some circles as American (or British, or Anglo-American) Formalism. Because the Russian literary scholars who are the topic of this series had similar concerns for the formal properties of texts, and the devices that made them what they were, they were given the same designation. Remarkably, however, neither group had contact with or knowledge of the other, making this a fine modern example of parallel evolution. Two groups in two different places managed to arrive at similar conclusions without consulting each other, proof that, in some important ways, diverse groups of human beings are far more similar than we might believe.

Russian Formalism was born, as one should suspect, in Russia, specifically in Moscow, in the early twentieth century, between 1910 and 1915. It arose in opposition to earlier and competing schools of criticism, which the Formalists believed were focusing too much on extra-literary concerns, like history, sociology, and psychology, and not enough on the literary object itself. If this sounds highly familiar to you, you have been reading the previous series on the New Critics, who were also very concerned to see literature set apart as a discipline of its own. In a statement with the same rhetorical thrust as Northrop Frye's famous wheelbarrow statement, Roman Jakobson, considered by many the father of Russian Formalism (and other notable related theoretical schools as well), commented that the usual method of literary investigation was akin to a police raid, where in order to find the culprit, the detectives would arrest anyone in the vicinity, be they legitimate suspects or people passing by on the street. In other words, there was a definite lack of focus, and very little was discovered about the literary work. If you want to learn about a specific phenomenon or entity, the way to do it is through specific, focused research on the thing itself. You will learn something by looking all around it, but this is secondary and irrelevant until the primary, focused work has been completed.

It is worth nothing at this point that, although the Formalists and the New Critics shared the view that literature was a worthy object of study on its own, without recourse to other methods of investigation, their specific focal points overlapped in only limited ways. First of all, both were certainly concerned about poetic sound, and how the aural aspects of poetic works impacted their literary meanings. The literary work of art, for both groups, was a combination of sound and verbal meaning, though the Russian Formalists placed far more emphasis on sound than even the New Critics did, originally conceiving that the artistic qualities of poetry as entirely attributable to sound, with the semantic values of the actual words contributing little or nothing. In time, of course, they came to revise these views, but still put even more emphasis on linguistics than the New Critics ever would.

Both groups also pushed for an investigation of literature that strove to be objective, and the best path for both groups to objectivity was to adopt methods akin to those used in the sciences. The problem with this, however, is that it can lead in two different, highly negative directions. The first, which is the path the New Critics followed unwittingly at times, was to use a more scientific vocabulary, and to state their beliefs as scientific facts, when in fact they were still highly subjective. This results in highly convincing rhetoric, but an overblown sense of the weight, accuracy, and validity of your critical claims. The other direction, which was sometimes a tempting trap for the Formalists, was to push the scientific method, and scientific principles of investigation, to the forefront to such a degree that the very quality of the phenomenon you are investigating gets warped into an unrecognizable form. For example, as we have mentioned, the Formalists placed a great deal of emphasis on the scientific study of phonetics and linguistics in poetry, with little regard, in the early years, for thematic aspects of literary artworks. As a result, they were able to adhere to quantifiable data and thoroughly objective material, but in so doing they misconceived a huge aspect of the entity they had set out to explore.

Because of their focus on the formal, definable, quantifiable aspects of literary texts, and their focus on the structures these created, the Formalists, who had never known themselves by this designation, were given the label of Formalism by members of competing literary camps, such as the orthodox Marxists who enjoyed an official monopoly on sanctioned literary practice in post-revolution Russia. Having a concern only for form and device was seen by the Marxist school as absurd, since social conditions and the political implications (and uses) of literature and art were the main reasons they should be considered at all. The Formalists, however, embraced rather than eschewed this title, and while it is somewhat too narrow to capture the movement though its various transformations, it does the job of setting them apart from their contemporaries and describing their core interests quite nicely. Like so many other groups, they were able to successfully take a word that was intended to be slanderous, and turn it to their advantage.

Though undoubtedly related to their early interest in phonetics, the Formalists were most interested in the differences between poetic and non-poetic language, or between literary and everyday modes and figures of speech. They contended that there was a definite distinction between them, and that this was a distinction that made literature what it was. Everyday language was seen by them as a vehicle for the communication of thoughts and ideas, in a clear and straightforward manner as possible. In this conception, sound had no value in and of itself, but only in as far as it allowed meaning to be transmitted from one person to another. In poetic language, the opposite was the case, as the specific phonetic sounds and patterns themselves had a meaning independent of the semantic meanings of the words they represented. A simple example of this is the presence of rhyme, alliteration, assonance, and consonance, where sounds combine to form patters of expression that create an effect without recourse to the words that contain them.

Following the differences between practical and poetic language further, the Formalists saw the latter as being extensive, with the former being intensive. Put another way, the language we use from day to day makes reference to things, ideas, and minds that are outside itself, that exist objectively in the world or in the mind of someone in the world. In short, everyday language always points away from itself, always drawing attention to something else; it should be a lens through which we can see and conceptualize the world, and communicate what we see and know to others. When we do not use language well, clearly, and efficiently in everyday language, the lens gets smudged, and we find ourselves staring blankly at the dirty pane, unable to penetrate to that which we want to see through it.

Poetic language, on the other hand, takes what is considered a flaw in practical language and turns it into its dominant mode. Poetic language does not point out to something in the real word, and it does not attempt to fade into the background to facilitate smooth communications. Returning to the lens analogy, poetic language should be like stained glass, or like a complex pattern in many colors etched into the surface of the lens; this transforms it from something used to look at something else, to something which demands to be looked at. Poetic language draws attention to itself as language, and demands that the reader or listener pause at the surface, arrested by what presents itself, rather than what it is apparently trying to present.

At this point it is important to note a terminological discrepancy between our common notion of a term and its more technical uses in literary studies. You might have noticed that, throughout this series, I have been using the term "poetic language" frequently, and many of you likely assumed that this made explicit reference to poetry proper, to verse, and excluded prose from consideration. While it is the case that the Russian Formalists focused most of their attention, especially in the early going, on poetry, poems, and verse in general, they spoke of prose as well, as we shall see later in this series, and they used the term "poetic language" to refer to prose, poetry, and drama alike. Poetic language was not an antonym for prose language, but rather for everyday or practical language. Today, we would be more likely to use the term literary language to avoid this confusion, but in the early 20th century, their meaning was understood very clearly, and it would not have done, scientifically and logically speaking, to try to define the major principles of literature by recourse to a term that contains the word literary in it.

Like the New Critics, the Russian Formalists were influenced significantly by the new forms of poetry that were coming to life around them in the early 1900s, and some of their theoretical positions were tailor-made to deal with the poetry of the Russian Futurists, who composed verse that made, literally, no sense, but rather put words together in a kind of poetic musical arrangement that was described as being "trans-rational." Their theory of the self-valuable word was highly influential on the Formalists, and it is possible to see much of their early research as an elaboration of this poetic principle in theoretical terms. Something known as "zaum" poetry became the dominant poetic form of favor among the futurists, which presented language stripped of its meaning in as far as this was possible. This new language was supposed to be as close to pure experience as possible, cutting through cultural and social associations and penetrating to a primal, natural aspect of the human that ordinary language covered over. This is obviously highly analogous to the views the Formalists held on the nature of poetic language, and made the same kind of distinction between everyday practical language and the language of poetry, though never couched in the same natural/unnatural, pure/diminished terms the poets used.

Of course, the preoccupation with sound for its own sake eventually proved insufficient, and the Formalists turned to a more highly integrative examination of literature, combining their study of sound and phonetics to rhythm and syntax, as well as diction and vocabulary. This made for a much clearer, more complete picture of what poetic language was all about, and what a poetic experience consisted of. The focus at this point, in the late 1910s and the early 1920s, was still firmly on verse, which makes sense considering that verse is as different from everyday language as possible. After all, if I show a group of people a poem and a newspaper article side-by-side, they will easily identify one as poetic, the other as ordinary, and be able to comment on what characteristics make the one distinct from the other. However, if I hold up an excerpt from a short-story next to a news article, differentiating between the two will prove more difficult. The phonetics, which the Formalists saw as so important, were no so clearly different between two prose texts, and while there were notable distinctions, these were not so evident.

Because the difference between poetry proper and daily language is so pronounced, it made an excellent starting point for determining what made the two sorts of language different from each other. Scientifically and logically speaking, it makes more sense to determine the most distinctive and general differences between two opposing entities first. This allows you to establish the key differences, which then permits the investigation of the more subtle distinctions that flesh out the ambiguous points of departure between the two things. In Plato's Republic, he (always as Socrates) discusses how it will be useful to present a large and simple model of the formation and structure of the Republic first, which because of its large size, will allow him and his listeners to see more easily the structure of the whole, and which will prove as a useful guide to the later, more detailed examination of the smaller aspects of the edifice.

One of the major distinctions the Formalists noticed between poetic and ordinary language is the unusually concentrated patterning which occurs on many levels of poetic language, which is simply not present in everyday language. On the level of sound, meaning, and device, words and ideas fall into noticeable, distinctive patterns in poetic works, whereas this kind of patterning is far less common, and less concentrated, in practical language. Looking at poems specifically, we can see that such rhythm and rhyme both create patterns that do not usually occur in regular language. Looking as well at different methods of conceptualizing ideas, poems tend to make very liberal use of figurative language, which is language that speaks about things in a non-literal way. Simile, metaphor, and personification are three specific example of figurative language, and while they do occur in practical language, they are relatively quite rare, and almost never as fresh or live. In this reckoning, a live metaphor is one that has not been used so often that is has become a part of everyday conversation. For instance, if I say that I am off the races now that I have overcome the last obstacle to my success, the meaning of this phrase is so evident that one would not think it at all strange, and would not need to consider it for any length of time to determine what I am saying by it. If I tell you I am down, you know I mean I am feeling sad or depressed, not because down has any inherent connection to sadness, but because that direction has been associated so closely, for so long, with sadness in my language (and many others). Both of these are dead metaphors, completely transparent and now a part of everyday speech.

Live metaphors, on the other hand, have not been subsumed by regular language, and cause those hearing them, especially for the first time, to stop and take notice, perhaps even to stop and figure out what meaning they contain. For instance, if I claim that my book is a flying saucer, you will be immediately arrested in the progress of reading, forced to consider what this strange comparison might mean. When the text goes on to say that it was a book about aliens, and that the story took me (metaphorically) to a different land where I could escape the bounds of my present existence, the metaphor begins to make some sense, but it is the original impact of the strange comparison, rather than the explanation which may or may not be provided, which makes the metaphor live. Because of its unexpected novelty, the live metaphor has the ability to have an effect on the reader, while the dead metaphor does not.

Figurative language is one of the prime examples of the Formalist conception of how poetic language draws attention to itself, points inward to itself rather than outward to external reality. If I am using literal language, I must be careful that I obey the laws of language, the laws of nature, and more broadly, the laws of reality. For example, if I want to tell you about a fight I witnessed last night in a literal way, I will describe the combatants in a way that ensures no misunderstanding is possible, and that does not stray into impossibility. A possible passage from this literal telling might go something like this: "Last night I saw a large man with already-bruised knuckles take hold of young, thin man in an aggressive manner. Surprisingly, the young man immediately struck the larger one, rendering him unconscious."

This gets the point across, but it does not emblazon the details in memory or imagination like it would if figurative elements were present. Since figurative language is not bound to the constraints of reality, one is permitted to say or write impossible things which none-the-less still register their meaning on the reader, perhaps even more effectively than the literal way. The same events told figuratively might run as follows: "A great ogre of a man, swollen ape-knuckles dragging on the ground, embraced a mousy youngster as if he wanted to kill him and take him back to his cave for dinner. Faster than lightning, the whelp's shocking blow toppled the giant like an oak in a thunderstorm." Looking at the preceding passage literally, one would have to conclude that the author was delusional, as very little of this is possible. A man cannot be an ogre, and "an ogre of a man" suggests a hybrid that simply cannot exist, since ogres are fictional beings. No man has the knuckles of an ape, nor would an ogre, nor an ogre-man, if either existed. No person can move faster than lightning, and the man who was present in the last sentence has somehow turned into a whelp, which is a young dog, or puppy, which is also impossible. I could go on, but this should provide a good idea of what the power of figurative language can be, and how it finds a home in poetic, rather than regular, language. After all, it takes some effort to speak or write in such a figurative way, and to make so many metaphors, similes, and personifications work together to create a coherent narrative. If people tried to speak like this in everyday situations, confusion would reign, and communications would slow to a trickle.

Figurative language, especially when it is used in clusters as it was above, attracts the notice and attention of the reader, and thus puts itself on display. It is certain that I will remember the details of the story if it is told to me in the second, figurative way, but the actual events recede into the background somewhat, and the figurative description comes to the fore. I will remember the ogre-ape, the mouse-puppy, and the toppling ogre-ape-oak within the thunderstorm, and while the actual events will adhere to these images, the images are at the center of my consciousness. It is obvious in this example that the purpose of telling the story in both cases is very different. In my literal retelling, the purpose is to convey facts as clearly as possible. In my figurative rendering, the purpose is to delight the senses and to entertain, even if that means the actual events are not as accurately conveyed. This is a core distinction, which leads to one of the central tenets of Russian Formalism.

Of course, there are many more literary devices than figurative language, and just about any form of language which rests outside the norm, or any aspect of unconventional patterning on a phonetic, semantic, or thematic level takes us from practical language to at least the suggestion of poetic language. Although the Formalists took great pains to explain all of the devices and patterns that could mark out this vital distinction, they used a single term to describe the basic effect that these created. In Russian, the term is ostranenie, which translates roughly into English as "estrangement," (you can hear the common root if you say both of them out loud), but more accurately, and now commonly, as "defamiliarization."

Any literary device, which has not been normalized by being subsumed into practical language, acts to foreground itself, to place itself in front of whatever the words would usually point out to, and to cause attention to be paid to the device, and to the words, themselves. Foregrounding is especially common in literary texts, and foregrounding is a key feature of literature for the Formalists; take away foregrounding, and you are left with practical, not poetic, language. This foregrounding, since it is distinct from regular language, causes us to stop and take notice. It interrupts our usual simple method of gleaning information from a text, and as a result, changes our focus significantly.

Viktor Shklovskii outlined his theory of the process and effect of defamiliarization in a landmark of Russian Formalist theory entitled Art as Device, which became the accepted guide for Formalist thought on the subject. He begins by explaining that, as we go through life on a daily basis, we encounter the same things over and over. We see the same objects, hear the same words, engage the same people in the same conversations, and visit the same places. As a result, the world we experience from day-to-day is dry and dull, which means that our perception becomes automated; when things become entirely commonplace, we cease to notice them at all. They no longer rise to any place of prominence in our consciousness, and while we may be able to, for example, avoid the table which stands next to the coat rack on the way out of the house, we do so without thought, and may not even realize how close we come each morning to ramming into that particular piece of furniture. Just as fish are not aware of the water they swim in, and we are seldom aware of the air we breathe, and our process of breathing, so too do other features of our lives become completely automated.

Of course, this automation serves some important functions, and practically speaking, it is indispensable. After all, imagine if we arose each morning and everything we saw and experienced seemed fresh and new to us. This might be fine if we had no obligations or responsibilities, but it would be enormously taxing is we had places to go and things to do. It is important to stop and smell the roses from time to time, but if everything in our natural environment becomes, in a manner of speaking, roses, it would be difficult to tear ourselves away from them for long enough to get anything done. Also, and far more negatively, it would take a tremendous amount of memory and caution to navigate the everyday dangers we have automated responses to deal with. As nice as it might be to see the neighbor's dog fresh and anew each morning, it would be terrible to be bitten by it each day because I failed to automatically leave my house from the other door.

The automation of everyday life is an important human trait, but it can tend to make experience less than vivid, to say the least. People go on vacations and jump out of planes to give themselves experiences that are not automated, and that register themselves vividly on their consciousnesses, but we are certainly limited in the number and frequency of these events based on their expense, the time they take, and the danger they can sometimes present. I am certain going on a safari without a guide in the deepest reaches of the Brazilian rainforest would be an exciting experience that would definitely not fall under the category of automation, but I am also willing to bet that it might be my last such experience; even if I lived, I doubt I would ever be sufficiently calm ever again to leave my home, much less re-enter the jungle.

In art, however, and specifically for Shklovskii, literary art, we can take shortcuts to these experiences that disrupt automation and lead to defamiliarization, which can be considered the opposite to automation. In a literary text, which employs poetic language, we are shown objects, events, people, and ideas in a way that we are not accustomed to experiencing them. If the author tells me a rock is standing at the base of a statue, I will perhaps briefly picture it, and then quickly forget it. I will fall into my usual perceptual habits, and it will recede into the background of my consciousness. However, if poetic language is employed, the rock at the foot of the statue will be foregrounded just as the language that describes it becomes foregrounded. By doing something different with language, I have to consider it more, and this lengthens and makes more difficult the act of perception. For Shklovskii, this disruption of perception is what is necessary to breaking our automatic, habitual response to everyday events; as a result of this disruption, we are able to see things, even very common things, in a different light, and they feel fresh, new, strange, and unfamiliar to us. Throughout our lives, we build up associations and assumptions about the world, and so rather than actually seeing, or perceiving things, we tend to merely know them, without really experiencing them at all. All the associations and ideas that we have about them take the place of the experience of the things themselves, and so we cannot experience them. Defamiliarization allows us to perceive things that we have only known, to experience them more directly, rather than through the automatic mediation of our ideas about these things. For the Formalists, this is a primary characteristic of poetic language, and its most vital function.

Defamiliarization and foregrounding are such important Formalist principles that they lead directly into Formalist definitions of literature itself. Roman Jakobson, mentioned earlier as, arguably, the most important figure of Russian Formalism, took the lead amongst the Formalist scholars in defining the object of their analysis. He was very aware, however, that the term literature (in Russian as much as in English, and in most other languages) is a very old one and is full of so many connotations and associations that it is a difficult term to define in anything like a scientific way. Consider the range of its meanings just in English for example: it can refer to any written work, technical manuals, scientific research publications, publications in any discipline, any creative writing, creative writing of a given quality, and many, many others. The Formalists had a few options here, the two most obvious of which were to define the term in a discipline-specific way, or to use another term altogether. Jakobson took a middle route, and in so doing defined a central premise of formalist theory.

Whenever one wishes to employ or define an already existing term in a specific sense in a given discipline, there are a host of complicating factors that accompany it. In the case of literature, it is obvious that the Formalists, who wanted to make literature the object of their scientific investigations, needed to propose a definition of it, for how can one study something if one does not know what the object of study even is? All of the different definitions of literature mentioned earlier were in wide use, which meant that the Formalists would have to be very specific to ensure what they meant by literature was clear.

Of course, although one can, in theory, name any given word and apply whatever definition one wants to it, this does not make for positive, effective communication between members of various groups. It is highly inadvisable to ignore the history a given term brings with it, and to be unaware to the various connotations it has taken on both in popular parlance, and in specific disciplines. A term as old as literature was, even 100 years ago, obviously saturated with meaning and history, meaning that any attempt to define or redefine it with a more scientific, precise meaning, would be met with significant resistance from many different groups. If you find it difficult to believe that different groups of academics could have such a vested interest in the mere definition of a term, keep in mind that even a word like "meaning" makes contemporary scholars take positions on any one of a number of different issues. Is meaning uniquely human? Is it cognitive, affective, or both? It is extensive or intensive, or both? Can you find the meaning of a literary work, or are there several, or none at all? All of these positions are endorsed by academics in different disciplines, and thus all attempts to define meaning are already politicized from the beginning. The same is the case for literature, and so the Formalists decided to name the object of their studies somewhat differently.

However, they were also not free to merely identify a number of characteristics and then give this any label they wanted. Technically, just as you can give an existing term whatever definition you want, you can take an existing definition and apply to it any word you like. In the case of literature, the Formalists were obviously thinking of it as writing and speech that is notably different from regular discourse, consisting of strong patterning and a high attention to its own sounds and structure. They also undoubtedly thought of it as something one would usually find in a book, or on the stage, and which would be evident to most who saw it. However, because many would dispute that literature needs to have all of these properties, and other would argue that it has many more (while still others would argue that it does not even exist), using the term literature to describe this more specific phenomenon they were interested in was not going to be easy. An alternative would be to give this idea they have another name, something completely different from the usual terms with all of their vexing controversies and political complications. A name like Verbal Art had its own complications and history, and an invented name like Wordcraft, or even Rngthy, would have seemed beside the point. After all, all academic endeavor, no matter how seemingly obscure and lofty, has to say something about the world we live in and the ideas we use as human beings. People care about literature, and have for generations. People have no interest in Rngthy; part of the value of the Formalist project was to investigate this phenomenon of literature, which, while not well defined, seemed to be a sufficiently unified concept that one could begin to study it vigorously. By shifting the focus from the thing itself - literature - to its causes, the Formalists were able to create a relational definition that proved highly flexible and still very effective in capturing the flavor of the phenomenon they wanted to examine, without needing to define it out of all recognizable shape.

Roman Jakobson made it clear as early as 1919 that the object of Formalist study was not literature itself, taken somehow in its entirety, but rather what he referred to as "literariness." Literariness in turn was defined as "that which makes a given work a literary work," which marks a radical departure from traditional literary criticism, and even from traditional notions of what literary scholars were supposed to be doing. Thinking about the potential problems associated with definitions, we can see how this careful phrasing and carefully engineered focus managed to escape the potential pitfalls the Formalists could easily have fallen into.

First of all, it is vital to note that the Formalists managed to avoid directly employing the term literature in their defining formulation. This permitted them to stay away from the debates and politics of definition. They were able to achieve this side-stepping by making their key term applicable to the constituent parts of literature, not literature itself. By moving down a level to the parts which compose the entity in question, rather than focusing on the entity itself, the Formalists could deflect some arguments by stating that their object of study was sufficiently narrowly defined that they could make reliable claims about it without fear of stepping on the toes of other aspects of literary works, or literature as a whole.

Next, notice that the term literariness is not some arbitrary string of characters like Rngthy was in an earlier article, but rather contains the root of the very term that they were so careful to avoid! As we have been discussing, it is interesting to study significant, widely known and experienced phenomena, so labeling your object of study some imaginary title will detract from its potential appeal and the perception of its importance. By taking a key term like literature and molding their key term around it, the Formalists managed to convey the obvious connection between their subject and the common area of interest it explored. Literariness is not the same as literature, of course, but it sounds an awful lot like it, and it has so much to say about it that for all intents and purposes, it became Formalism's concept of what literature really was, although they never said this in so many words.

Looking even more closely at Jakobson's formulation, we see that there is at least a strong flavor of circularity in it. Literary science, he tells us, does not take literature as its object, but rather literariness. And what is literariness? It is the thing, the property, that makes a work literary. What makes a given work literary? Literariness of course! There is no definition of what literature is here, but it can be safely inferred that it will have much to do with the specific properties and devices a given work employs. So, I suppose it only becomes possible to know a work of literature as such after one has identified it as possessing a certain amount of literariness, a certain critical mass of features that are associated with literature. This stands in stark contrast to the approach taken by the New Critics, who did not place nearly so much emphasis on defining what a literary work was. They took for granted the object of their investigation, and understood it as self-evident, obvious to anyone who knew anything about the topic. Therefore, they spent a lot less time considering what it was about literature that made it so, and a lot more making grander pronouncements about literature as a whole (for example, ideas regarding the canon), and about specific works taken as a whole. They believed in the importance of the text itself; the Formalists, on the contrary, were interested in the common devices and patterns which existed below the level of the text itself, but which made literature itself possible.

The more open and flexible (and admittedly circular) definition of literariness that the Formalists employed to lead their investigations meant that, unlike the New Critics, their theories were amenable to adoption outside the field of literary studies, and that even the idea of literature could be significantly altered. The New Critics looked at texts that were considered literary, especially poetry, the short-story and novel, and drama. These large genres are safe places to go, since generally speaking, anything appearing in any of these forms is an example of literary art, and will display expected characteristics because of the expectations of its genre. The Formalists, even though they most often limited themselves to examples from these recognized literary genres in practice (with a special concentration on poetry and the novel), their focus on language meant that literariness was not bound to works that were considered traditionally literary, but potentially to any utterance. This means that literature, being a verbal expression with a given concentration of literariness, could exist in any media that employed words. This applies to all kinds of texts that are not normally considered literary works, and of course to productions on the radio and in film, or even today on the computer. The Formalists are sometimes criticized for delineating literature too sharply, and not considering the vast range of historical and cultural diversity that creates literary diversity. However, although some of their ideas were limiting in this way, they also set up a framework that made few assumptions from the outside, and allowed the phenomenon itself to define what they would say about it. What makes a given work seem literary, the devices that are used to achieve this effect, and the subjective judgments needed to make these evaluations, mean that in whatever culture you care to discuss, Jakobson's formulation can be effectively applied with no loss of sensitivity to the people of a particular time or place. This is part of the reason why, as we shall see in later chapters of this large series on literary theory, the ideas of the Formalists became very influential to later schools of theory, while the New Critics, while exerting an influence in literature classrooms to this very day, were not adopted so widely.

Theory: The How's and Why's of Literature

Russian Formalism - Part II



Another New Critical notion (that had precedent in far older criticism, of course) which the Formalists did not adhere to was the division between form and content. It is common practice even today in schools ranging from Britain to America to speak of literary works as having these two distinct attributes, and to discuss them separately. For example, if I read a poem and want to impress the teacher, I will likely start by describing the rhyme scheme, the meter, and the type of poem it is (whether it be a sonnet, ballad, limerick, or what have you). After this discussion of form, I will then discuss what the content of the work is. This will involve listing the setting, the character of the speaker, the dramatic situation, the important themes, and so on. Many discussion end here, as this seems to cover the form and content of the work sufficiently, but the brightest sparks will talk about how the form reflects the content of the work; to use the most direct example, I would comment on how the shape of a concrete poem, how it is arranged on the page, reflects on what the poem is talking about. All of this can lead to a good elucidation of the work, but for the Formalists, this was largely missing the point of what literature was, and what it did with language.

For the Formalists, this division of a literary work into such categories as form and content was misleading, for it implied that there were separable levels which could be taken apart. In itself this would not be a problem, but the fact of the matter is that literature can only manifest itself as such in the interaction of what would traditionally be considered form and content. If this division were applied to practical language, it might be somewhat more tenable, since the content is the focus, and the only thing that really matters, while the form is simply the structure that contains it, and allows it to be communicated to others. In literature, however, the form a work takes is generative of meaning that goes beyond the meaning of the bare content, the semantic thrust of each word on the page. As a result, form becomes content. By the same token, if a novel uses the various stages of a character's life to make divisions in the text, content becomes form. Literature, then, seems to be created in the interface between what can be called form and content, and as a result, these things cannot be talked about separately in literary science; if we chop them up, we can use them to discuss history and linguistics, but the art is lost.

Instead of form and content, then, the Formalists focused on a different relation, that which occurs between material and device, terms that were especially applicable to the studies of the novel the Formalists began to pay more attention to as their theories of literature developed. The distinction is another one that separates poetic from practical language, but in this case, it is even more specifically applied to the matter of narrative literature. Material is described by the Formalists as the raw matter of literary creation, as the thoughts, ideas, places, characters, and the rest that go into the construction of a literary work. Device is the specific, artful, literary arrangement of this matter into meaningful, active structures that arrange the raw material into art, transforming it from random and mundane to ordered, patterned, and evocative. Keep in mind that, while this sounds somewhat like the dichotomy between form and content, it is applied to a different aspect of literary construction. Material exists not in the text itself, but in the world at large, and is what the author uses to create his or her tale. Think of this as something like the scenery available to a landscape painter. There is the wide world, full of exciting views, all of which comprise the material which he or she will use in the creation of a work of art. Device is analogous to the different techniques the painter uses to bring that material to a different medium, and to an interested viewer.

Taking this interesting set of terms - material and device - to the analysis of the novel, we discover another related set of Formalist terms that aid in the understanding of how a work of creative narrative is composed. The Russian names for these terms will be familiar to you if you have done work in film theory, and they are fabula and siuzhet. We usually render these terms in English as story and plot respectively, although many times the Russian terms are kept in order to avoid the confusion that these terms can cause.

In contemporary English, the words plot and story have taken on so many meanings in everyday parlance that attempting to employ them in the investigation of literary works is a risky proposition. Whenever we hear story, it is most often used to refer to the entire work we are looking at, and the events, characters, and places it contains. This seems straightforward, but if this is the case, what room does this leave for plot? No one has ever asked me for the story of a novel, but many people have asked me for the plot. However, if story is often used to refer to the contents of a work as well as the work taken in its entirety, wouldn't this significantly overlap with plot? When used in this way, plot means the actions and events as they unfold in the literary work, which also requires one to explain the characters and settings that participate in and contain the events and actions.... As you can see, these terms are not well differentiated in everyday conversation, and for this reason, they remain problematic for scholars as well. Scholarly terms should strive to be unambiguous, and these two are anything but.

For this reason, it is often preferable to use the terms the Formalists used, which are fabula and siuzhet. These words roughly translate into story and plot in English, and so in Russian they likely run into similar problems as we do with our own English terms, but the benefit of taking terms from other languages is that they come into the new language with a definite set of associations and precise meanings. Similarly, they are not likely to change and bend over time, because they are part of a professional dialogue only, and do not really have much of a role in everyday conversation. For some of the same reasons, biologists have a detailed system of taxonomy that employs Latin extensively: people in different regions, even regions with the same language, have different common names for different things, and sometimes the same name is applied to two different things in two different areas. By employing Latin names, the scientists ensure they are speaking of the same things consistently over time, and more to the point here, since Latin is not used in conversation anywhere, the descriptive terms do not get altered.

Recognizing the need for some distinction between the terms if they were to be academically and scientifically useful and descriptive, the Formalists described fabula (story) as the series of events occurring in their chronological order, and according to the causes and effects which motivate them. Think of fabula as the most basic formulation of narrative, which follows the same rules as everyday life. In reality, things happen in a given order, and as the result of things that happened before them. If a camera followed my point of view for an entire day, this would be a pretty good representation of fabula; this would show the plain events of my day, in order, where causes and effects are apparent, with the latter always following the former. If one were to try to write a book in this way, any readers who managed to read any portion of it all would likely want to kill themselves after a short time. The unfolding of events at the pace and in the order of real life is fine for real life, but it makes terribly boring fiction. One could argue that it would not even be possible to write down fabula, as it is something that can only really be constructed imaginatively or theoretically from a narrative literary work, but in any event, an important building block of literary narrative.

Siuzhet (plot) on the other hand, is the artistic presentation, or re-presentation of fabula (story) events. This relationship might seem confusing, but thinking of it in terms of a movie like Pulp Fiction might be quite helpful. Of course, Pulp Fiction is not a straightforward, simple movie, but this is precisely why it is so valuable for differentiating between the fabula and siuzhet; it makes the difference between them glaringly obvious. Looking at the start of the movie, we have people sitting in a coffee shop, and there is a couple who is discussing robbing places, and who decide, seemingly on a whim, to rob the restaurant they are eating in. The female half of the duo gets up on the table with her gun drawn and orders everyone not to move. From here, we next meet up with a couple of gangsters in an interesting conversation, a boxer who gets on the wrong side of a gangster, and their complex interrelations. Finally, in one of the last scenes of the film, we see the restaurant from the start of the film, albeit from a different character's perspective, and we see the start of the hold-up repeated, and then played through its conclusion.

Throughout the film, all of the various storylines are presented in a way that makes it difficult to connect them to each other, and even to connect various parts of them to themselves. The reason for this is that the film is not worried about presenting the fabula in its natural order whatsoever. In most films and books, we can figure out the fabula without too much difficulty, and although we can never recreate it completely, we can get a good idea about the most important things which happen, and can deduce when they happen in relation to each other. The reason we can never recreate the fabula completely has a lot to do with the nature of art and its relation to reality, as well as the limits of human perception. After all, whenever something happens, there are untold, uncountable tiny details that escape the attention of even the most observant onlooker. Even if we were able to put all of the observations of an assembled crowd together, we would still have an incomplete picture of the events that ate taking place, or the fabula. The very nature of art demands that the artist select some aspects of the fabula and presents them to us in an interesting way. The selection that takes place will many times appear very obvious, but it must not be forgotten that selection is going on regardless, and that this is what constitutes the siuzhet, the ordered plot of the work. An old but effective example of the difference between the unfolding of a story and its ordered selection revolves around using the bathroom. Take any of your favorite characters from literature or film and ask yourself how many times you see them going to the bathroom. We know that everyone must do this on a daily basis (at least) which makes it part of the fabula, but since it is usually uninteresting (and unappetizing) it does not get included in the siuzhet.

Pulp Fiction has taken the fabula/siuzhet division and made it a central theme. Rather than just allowing us to delude ourselves into believing we are seeing the whole story unfold in a natural way (as much literature and film attempts to do), it points out its own constructed nature, and makes us focus on the work itself, as art, as much as it does the story we are trying to follow. This achieves the effect of defamiliarization, and thus shows how many Formalist principles work together to explain the diverse features and effects of artistic narrative works.

The interaction between levels of art and reality were very important to the Formalists, and it is no surprise that they expended a lot of effort in examining this relationship. The construction of plot and its relation to story was an important principle of literary investigation for the Formalists, but since this did not account for certain narrative structures, it was not complete, and other aspects of the work and its creation needed to become the focus. For example, while many literary works are primarily concerned with the relation of a narrative and the unfolding events of the fabula as presented in the siuzhet, some have a different focus all together, and draw attention to other features of the text, most notably, the authorial or narrative voice which tells the story. In these kinds of narrative works, while there may be a story which is being offered to us, we get the distinct feeling that we are learning more about the person who is telling the story than the story that they apparently want to share with us. This is precisely the opposite of what many realists would have considered good literature; for them, the goal of the literary work was to present a tale in such a way that the reader is immersed to such an extent that the necessary artifice of the work's construction fades into the background, and the reader feels as much as possible that he or she is living in the world created by their reading. In this realist mode, the author or narrator of the story should be as unobtrusive as possible, since the story should appear to be telling itself, to be happening spontaneously without the artifice or creation of any outside force. However, since the Formalists were more interested in studying what made literature effective in all its different manifestations than making declarations about what literature should and should not do, they were free to examine literary works that did not fit the traditional patterns.

The Russian Formalist term for the kind of literary work that put the author or narrator on display as the focal point of the work, on a par with or above the unfolding events of the plot, was skaz, or skaz narrative. In these kinds of literary works, the ordering principle was not primarily the selection and ordering of narrative events, but rather the narrative voice itself. In skaz, the narrator does his or her best to rise to the foreground of the literary work they are a part of, through any means necessary. The most simple and obvious of these is through self-reference, when the narrator of a story refers to themselves; an especially strong instance of this occurs when the narrator refers to themselves as the narrator of the story, and discusses the present process of constructing the story that we readers are currently reading. Other methods used in skaz include frequent authorial interruption of the narrated events; in these instances, the narrator brings the unfolding plot to a halt, and takes some time to either describe something about themselves or an event in their own story-level. This can include discussing how the events they are describing make them feel, or even the fact that a small bird had perched itself on the typewriter they are using to create the story we are reading! Traditional narratives attempt to hide or minimize the difference (where one exists) between the world of the narrator (including both time and place) and the world of the story the narrator tells. Skaz narrative, on the other hand, intentionally blurs or confuses this distinction, so that the act of creation and/or the act of telling become part of the story, rather than merely a supposedly invisible vehicle for it.

As we have seen so vividly displayed in the previous articles in this series, one of the greatest strengths of the Formalist project was its ability to identify and isolate the various features of literature in a way that made these factors easily identifiable and examinable. Since their approach was a scientific one, this disentangling of the various elements of literature was of the utmost importance, and it allowed them to more easily grasp both the object of their inquiry and some of its most important defining features. It also gave them a strong, well developed vocabulary of terms to use, without which scholarly and scientific discussion becomes both incredibly longwinded and prone to frequent misunderstanding. By naming and defining key concepts, the Formalists made it possible to discuss literature in an efficient and more objective way, which simply was not possible under impressionistic criticism.

However, as we can see in the history of all early sciences, and even in the history of science itself, the original enthusiasm that the creation of a new method brings is soon tempered by more complex understandings of the phenomena under investigation, and what at the beginning seems like a relatively straightforward investigation is found to be highly complex. This is precisely the realization that the Formalists arrived at after their initial publications prior to 1921. The work they had been doing was absolutely necessary to what would come after, but through it they learned that they had been attempting to carve out a theoretical, scientific, and philosophical masterpiece with a blunt axe, rather than a fine-tipped chisel. As a result, they spent much of their efforts in the 1920s refining their earlier investigations, rather than moving in radically different directions. They, like so many others before them, discovered that early explorations raise far more questions than they answer; fortunately, their work had also given them the improved tools and increased understanding needed to examine these new issues effectively.

One of the most important realizations the Formalists made in this transitional period (in the very early 1920s) is that, while it is most convenient, and even necessary, to have ready terms for literary devices, and to have a basic understanding of how each generally affects the literary work in which it appears, there was a problem with treating the devices they discovered in such isolation. After all, while it may be true in a very general way that rhyme is a pleasing feature, and that two rhymed words tend to become more closely associated in our minds than unrhymed words with the same meanings would, this says nothing about how rhyme works in different literary genres, like prose versus poetry, or even epic versus elegy. Different devices that occur in a literary work do not work in isolation, but rather interact with one another, and change both how the other devices are perceived, and the effect of the work as a whole. This is a significantly different way of conceiving of a literary work than the model the Formalists used in their earlier period, which was one where the whole of a literary work was equal to the sum of its well defined parts. This model is not completely inaccurate, but it does not take into consideration the interaction that is so important to the success of any work of literature, and since this interplay is at the heart of literary production and enjoyment, it was an oversight the Formalists knew they needed to correct. As a result, the concept of literary dynamics was created, and this more refined concept powered much Formalist thought through the 1920s.

The idea of the dynamic structure of literary works is one that gave the Formalists the unity of a strong system perhaps for the first time, allowing them more theoretical coherence than the loosely structured series of related investigations they had been undertaking previously. Each formal device in a literary work has predictable individual effects, but these effects can be altered dramatically when placed in varying relations with others. Throughout the course of a literary work, the various devices and elements of the work rise to prominence at different times, and recede into the background at others, but each has an effect on how we perceive what has come before, and colors what will come after.

Because all of these various devices are working together in the same work at about the same time, the Formalists posited that they were in a constant state of struggle, each working to place itself above the others. Then winner of this struggle, the element that most successfully placed itself at the foreground of the work, was the constructive principle of the work, and all of the other elements were subordinated to it. While each element acted to change the others, the constructive principle warped all of the others to a high extent, forcing them into their various relations with each other on the basis of the effect of the constructive principle.

The word dynamic from the term "dynamic structure" obviously refers to the fluid, flexible nature of given literary devices which come into contact with one another. Motion arises from the give and take between different factors, and eventually begins to flow in the direction dictated by the constructive principle, the most powerful device in the work. However, the dynamic nature of a given literary work is often intensified by another kind of motion, which can include a significant shift in the relative positions of various devices, resulting in a new constructive principle for different sections of a given literary work. This keeps the work fresh and vibrant, and prevents it from becoming too predictable and automated over the course of several chapters, or cantos in the case of poetry.

All of this talk of constructive principles and literary dynamics has been highly abstract so far, so perhaps it is time to provide some more concrete examples to make the concepts presented here clearer. An excellent work to show how literary dynamics can be applied to literature is William Faulkner's novel The Sound and the Fury. For those of you who have read it, good job; it is not easy going to start with, and it is not popular in high school and university courses, so you likely had to make it through on your own. For those of you who haven't read it, I can highly recommend it, although you must be prepared for something that will challenge and at times frustrate you in the beginning especially. Take my word for it when I tell you that figuring out what is happening early on and why is worth the trouble.

This text is particularly pertinent to a discussion of literary dynamics for many reasons, the most obvious of which is the fact that it is divided into several sections, each centered on a given character, and told from his or her perspective. Even more interestingly, and especially appropriate for an application of Formalist ideas, the form of the narration changes to reflect the personality and mental state of the focus character.

In the first section of Faulkner's The Sound and the Fury, the narrating consciousness is that of Benjy, who is significantly mentally handicapped. Fittingly, this section is the most difficult one to read in the work, as Benjy's narration does not operate in anything like a straightforward and linear manner. The style is stream-of-consciousness narration, where the narration is designed to look like the pouring out of thought from the mind of the character. Many, many literary devices are employed to achieve this effect, one of the most important of which is the interruption of chronological narration. Benjy's narration presents events in the present and the past without discrimination, meaning that time is always in the foreground as we try to piece together what happened and when. So, in this section of the novel, all of the devices that are presented are bent toward the constructive principle of the a-temporal stream-of-consciousness narration. This feature dominates all of the others, and warps their interactions in its direction.

In the second section, the narrative voice becomes that of Benjy's brother Quentin, who is not mentally handicapped, and who is actually attending Harvard University. The narration is still in the stream of consciousness style, but comparatively speaking, it is quite straightforward. There are time shifts like there are in Benjy's narration, but these are far less frequent, and it is far easier to separate one time from another. Thus, the focus shifts here, and stream-of-consciousness narration with its temporal leaping and disorientation moves out of the dominant position, and gets subordinated by other literary devices more appropriate to Quentin's character. His romantic, learned, poetic character comes to the fore, and the use of elaborate metaphors, allusions, and more figurative language in general rise to the level of constructive principle.

In the next section, the last I will discuss here, the narration shifts again, this time to the eldest of the brothers, Jason, who would be considered far more level-headed, serious, and practical than his brothers. It is doubtful he is as intelligent as Quentin, but he is highly logical and rational, which is reflected in his narration. The narrative is presented in a conventional way, in language that sounds more like Hemingway for its brevity and curtness than anything Faulkner ever wrote. Here, the dominant device or organizing principle is neither aspects of the stream-of-consciousness nor figurative language, but rather the virtual absence of these structural feat
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Apr 08, 2013
Research Tutorial / The Birth of Theory (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

The Birth of Theory



When most academics speak about literary theory, they are referring specifically to the various theoretical schools and approaches that have been developed throughout the 20th and 21st centuries. This is certainly a sound approach, since this period has seen a true explosion of theory, the professionalization of the discipline of literary studies, and the introduction of literary forms that, more than any other time, have required the creation of new theoretical approaches to deal with them. However, although I too will be focusing on this fairly recent period of literary history, something must be said about the prime ancestor of theory, without whom the current manifestations would not be possible, certainly not in their present forms and advanced levels of development.

Birth Literature TheoryThe acknowledged father of literary theory is none other than Aristotle, who, aside from writing works on many other non-literary topics that resound in philosophy to this day, took some time to write his landmark Poetics, which serves as the seminal, original text of literary theory. Because he lived more then 2000 years ago (384-322 B.C.), his works have come down to us in a rather fragmentary fashion, and much of the bulk of what he wrote has been lost. However, even with only a handful of extant texts, he has defined the shape of theory up till the present day, and much of the course of literary theory is generated by responses to his work.

One of the most important and lasting theoretical positions Aristotle defines is the role of mimesis in literature. Mimesis, most basically defined, is comparable to the term verisimilitude, which refers to how 'realistic' a given literary text is. It has to do with presenting literature, or art in general, in a way that people will find believable, and reflective of actual human experience. One need only go to a movie theatre and listen to the comments of those exiting an action movie to see how important this idea still is. Many will be well pleased and still excited, but some will comment on how far-fetched and unrealistic it was. But, of course, we all know that movies, like literature, are not real life, so why do we complain about it? Where do our demands for realistic representation come from?

Aristotle believed that mimesis, in the sense of imitation, is central to human thought and action, and he refers to humans as the most mimetic of animals. After all, most of our ways of knowing, especially from our earliest childhood, have to do with imitation and copying, reproducing and reenacting what we observe so that we can learn this action or behavior and later perform it independently. Aristotle also notes that we derive pleasure from this activity, and that this pleasure comes from the enjoyment of learning something new, and undergoing a satisfying intellectual experience. Here, he differs from his teacher, the great Plato, who believed that artistic mimesis, since it portrayed a false reality, encouraged the spectator or reader to entertain a false reality rather than the actual one. This misdirected engagement was equivalent to endorsing lies for people to believe in, and so it was a corrupting influence which should be avoided. Needless to say, Plato was no fan of literature in any of its creative forms.

Aristotle saw the role of mimesis in literature as central, and he had definite ideas for how it could best be displayed. Stories should have a definite beginning, middle and end (which sounds quite obvious and basic to us now, but which at the time was an important statement of the progress a work should take), which are all motivated by identifiable causes. Actions which have no apparent cause within the frame of the story, or which do not follow as the consequence of some other action in the story, are unmotivated and seem to go against our natural sense of causation. There is a definite amount of satisfaction that is lost if actions seem to be happening at random, or if the story is highly episodic, which each scene or act being independent of what had come before. Ties that bind them tightly are needed. There should be a reversal of fortune as well, where a character goes from an unfortunate to a fortunate state, or vice versa, and this should be accompanied, at some point, by a recognition of something which was previously not visible or obvious to the protagonist or those closest to him (but which the audience may be fully aware of, which allows for the creation of dramatic irony - the tension created when the readers or spectators know something a character does not).

All of this needs to be in place in order for the work to achieve its dramatic trajectory, taking the audience on a journey through pity and fear to an eventual catharsis, a key term which can be translated as an emotional purge or release, or as a dawning awareness or a coming to know and understand. Aristotle defines pity as the emotion we feel when we come across a character who suffers some great misfortune undeservedly. Fear, acting as a related counterpart to pity in this formula, is the emotion we experience when we realize that the character who is suffering this fate is very much like ourselves. In order for this kind of identification or empathy to take place, the character should be virtuous, but not completely or perfectly. If the character were a terrible, immoral, pig of a human being, we would experience neither pity nor fear, for we would feel he deserved what he got, and we would fail to identify with him. If the character were morally perfect, we would fail to see our faults in him, and thus would once again fail to identify.

This character, whom we see as much like ourselves, falls victim to hamartia, which can be defined as either a tragic character flaw, or a mistake in judgment. This can be a major or minor error, and is usually not made obvious to the character till near the end, when he has his sudden realization, by which time the reversal of fortune has occurred, and it is too late to do anything about it. We become involved in the unfolding events, and go through the emotional experience, but, thankfully, we are able to emerge from the experience unscathed, perhaps emotionally drained, but buoyed up by the cathartic experience we have undergone. It is almost as if we have seen a fate that could be our own (like in a nightmare, for instance) and have awoken to find that it was just a dream. We are a little wiser, as well, for the experience, as we have learned something about human nature, and have, knowingly or not, put ourselves in the trying position of the protagonist and discovered something about ourselves in the process.
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Apr 08, 2013
Research Tutorial / Criticism vs. Theory (Literary Theory) [NEW]

Theory: The How's and Why's of Literature

Criticism vs. Theory



Before we dive into the various divisions of literary studies that comprise much of what we tend to think of as theory, it will be most useful, perhaps even necessary, to clear up a very common confusion that many students who are new to theory have about the difference between literary theory and literary criticism. I will admit that this distinction was lost on me until I gained a sharper idea of what theory really was, and that the way literary studies positions both of them does not help. In your average literature class, especially one beyond the first and second year, the professor will be delivering content based most directly on the literary works you will all be reading. Along with their own original insights, the professor will bring appropriate literary criticism to bear on the work, as well as introducing a theoretical approach, or several, or setting the criticism in its theoretical context. As a result, the student gets the full treatment, which is excellent, but the ideas of criticism and theory are presented at the same time, and as a result, are easily confused. Further, but less seriously, it does not help matters that major bookstores and libraries label entire sections "literary theory and criticism." Yes, it is nice that the sign at least refers to both individually, but their constant combination leads one to believe that they are interchangeable, or synonymous. I have a similar beef with the "sci-fi and fantasy" sections in such places as well, but that is another matter for another time.

Theory and Criticism in WritingThe problem is also understandable in that students often get introduced to both ideas together when they are first expected to make use of secondary materials in their essays. Works of criticism and works of theory are both good targets for secondary texts, and this means that the student often begins to associate the two from the beginning. There are also many similarities between the two, especially as they manifest themselves in the student's imagination. After all, both kinds of texts are devoted to talking about literature, rather than being literature itself, which is an important division to make, though it does not do justice to the different concepts.

The distinction between the two rests on the conceptual level at which each operates. Literary criticism is material written by scholars about specific literary works, either individually, or taken in some common group (like the works of an author, of a given time period, or works centered on a given theme). Criticism looks closely at the texts it has chosen to consider, and explores them in great depth, explaining difficulties and perhaps outlining a position about an aspect of the text or texts that would not normally be obvious, but which is nonetheless supported by the text. Note that literary criticism, unlike the way we use the term every day, indicates an in-depth exploration of a work, not (necessarily) an evaluation of its quality, nor an opinion giving it a given number of stars. Theory, on the other hand, is not concerned with the exploration of individual texts, but rather with outlining broad concepts about the study of literature itself. Some works, which examine specific texts according to a given theoretical approach, and which use the texts to highlight and explain the theory as much as the reverse, perform both critical and theoretical functions. Indeed, all critical works come from a given theoretical position, but the difference between them is one of concentration; if the focus is on the text, and the theory is largely unstated and understood, this is criticism. If the texts are merely used as examples of the theory that is being illustrated, we have theory.
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Apr 08, 2013
Research Tutorial / Introduction (Literary Theory) [NEW]

About Introduction



Having already journeyed through a vast network of interlocking terms, ideas, and concepts that will help you immeasurably in your own writing and your ability to comment on the writing of others, it is finally time to pitch forward into the most advanced field of knowledge that exists in the area of literary studies: literary theory, or just theory for short. Some students feel somewhat uncomfortable with grammar, while a few find memorizing lists of literary terms quite difficult, while still others balk at the idea of learning Greek and Latin words to describe things that they are doing in English class, but literary theory, far more than any other system of ideas or body of knowledge in literary studies, makes students cry out in fear and terror. I remember in my own undergraduate days, feeling confident that I had the basics of the literary world well in hand. I could write an essay effectively, confident that it was well written both mechanically and stylistically, and I had achieved a level where rhetorical terms were, almost, as easy for me to use as everyday expressions. Then, suddenly, I was expected to know something else, something completely different. It was not enough that I had good ideas about literary works, or that I knew which critics said what about a given novel or poem; now, I had to think about which theoretical perspective I brought to my examination of the text, what assumptions I carried with me from essay to essay, book to book, and how these assumptions differed from the assumptions made by various different groups of scholars I had never heard of, or had only heard mentioned in silent whispers of awe and foreboding. In short, once I thought I had things down, I was presented with an entire, complex field of ideas that made all of what I knew seem simple and feeble in comparison. I had to learn theory.

Introduction in WritingSadly, I, like most students who advance to a given level in their literary investigations, got what theory I did incidentally, through essays we read and through professors' mentioning certain ideas in class. This on-the-fly education in theory usually gives students some understanding of various political and identity theories, like Marxism and feminism, as well as some psychological theory from Freud, and possibly Jung. However, as far as the strictly artistic, literary schools of theory were concerned, we were left to fend for ourselves, without much to go on. After all, anyone attending university today surely knows, to some degree, what feminism stands for. From here, it is not too much of a stretch to figure out how a feminist approach to a literary work, or to literature itself, might go. However, what could a "new critical" approach possibly involve, and what did "structuralism" have to do with anything? These words were like talismans of power for those who could wield them, and some classes seemed like dark magic indeed when a particularly bright, ambitious, and well trained student engaged the professor in a discussion about theory. The rest of us watched with awe, trying to make some sense of what was going on, but to little avail.

Most of us just gave up, while some of us, who liked school enough to want to keep going, learned all we needed to the hard way, teaching ourselves, and picking up what we could from introductory texts that were often not clear, and almost just as often politically positioned in such a way that certain theories were obviously being praised over others. In this series, I want to help you enter the world of theory in a much easier, more direct and basic way. Starting from the basics of what theory even is, and moving on through various approaches, this series will provide you with the foundation you will need to tackle more advanced, specialized work in theory, and literary studies in general.

Theory: The How's and Why's of Literature

What is Theory?



Part of the difficulty so many have with theory is not simply the groups of concepts that the term is usually used to describe, but rather the term itself, taken on its own. People have a general idea of what a theory is, and we use the term almost every day. "My theory is that television is designed to addict you to it, and then to all the products that it advertises" is an example of how the term can be used in everyday life to mean something like "the idea I have about what is really behind something." Taken in this way, a theory can be almost anything, ranging from a mild suspicion cast in the vaguest terms to a well thought-out explanation for something that goes a long way toward showing how and why it operates. Literary theory, properly conceived, is on the latter half of this continuum, rather than the former, but this common definition does not really do it justice.

Another popular and common way of looking at theory is in opposition to practice, or in opposition to reality. Most people have heard the familiar phrase which is used to subtly mock communism: "Oh sure, communism works in theory, but look what happens every time a country tries it!" When used in this way, theory takes on definite negative connotations, and begins to resemble something highly abstract and inapplicable to the real world. The pervasive opposition between "street-smarts" and "book-smarts" positions theory as the unfortunate consequence of spending too much time with thoughts and ideas, and not enough time actually doing anything and interacting with people in day-to-day situations. If you call someone street-smart, for example, they will most likely take it as a compliment. If, however, you are referring to someone as book-smart, you will most of the time be insulting them; by referring to someone in this manner, you are implying that, while they may have knowledge, it is not practical and applicable knowledge, and therefore is useless. In short, the person has no common sense.

This feeds into the definition of theory as being something abstract and difficult. For example, take any novel and begin to read it. Now, so long as you are literate, you will be able to read the book and figure out what is going on (unless you are reading one of the very rare works of fiction that consciously tries to resist your making sense of it, which is another topic for another day). This seems like a useful thing to be able to do, and there is an obvious action that is taking place here. After, you could discuss the work with someone, and the two of you could have an excellent conversation about what you read, what happened in the story, and what you both liked about it. Now, say your reading buddy is an English professor, and starts talking about the Marxist implications of the work, and begins to describe it in terms of Marxist theory. At this point, the person has taken the conversation from the concrete (the work and its events) to the abstract (ideas and systems that go far beyond the work itself), and in so doing, makes extra demands of you. You are now expected to know something else, in addition to the work you just read, and this leads to the perception that this other thing, this theory you don't know, is advanced and beyond your scope. It sounds so intelligent and uses so many foreign terms that you feel intimidated, and either remain silent in incomprehension, or dismiss it as abstract, useless theorizing, philosophizing, or speculation.

Another reason the term theory can be so scary for students of literature is that there is yet another association we make with the word theory, and this is the idea of the scientific theory, bolstered by the scientific method, which is exacting, specific, and demanding. The theory of relativity, for instance, is one of the foundational principles of modern science, especially physics. Developed by Einstein, known to be one of the greatest minds ever to have lived, it is therefore not surprising that most consider the theory of relativity to be a remarkably mathematical, difficult, concept, even though they have no idea what it might be about. They mark it off, and put it in the little subfolder of their minds labeled "abstract conceptions I will never need, nor understand," and think of it only in these terms, assuming it is both unattainable by the average person, and completely irrelevant at the same time. In reality, conceptually speaking, the idea of relativity, while somewhat counter intuitive, is not very difficult to comprehend at all; it is the belief that it will be that causes people to treat it as they do.

Early students of literature, therefore, see theory as something more applicable to the sciences. After all, book are books, literature is literature, and the way we go about dealing with them is standard and intuitive; you don't need to have abstract theories to enjoy a good book or poem, since it happens automatically. And while it may be useful to receive some literary training so that you can quickly and more thoroughly identify important themes, character traits, and stylistic features that can help you to come to a deeper, richer experience of the work, this has nothing whatsoever to do with theory, and certainly nothing to do with science, the scientific method, or anything of the sort.

Of course, while I disagree with this position, I would never argue that there is anything wrong with this approach to literature. There are hundreds of different ways people can derive enjoyment, satisfaction, and intellectual pleasure from reading and studying literature, and I am certain that much of what motivates even academics who sleep and breathe theory is the same as what motivates the child who loves to read a mystery novel or comic book before going to bed - the sheer enjoyment of the work. Literature, after all, is a complex phenomenon whose primary function is to make us want to read it. Literature exists only to be read, and what better way to tempt us into reading it than to make it an enjoyable experience? The love of the story, and the magic of the words is what weaves literature's spell over the reader, and the reader willingly enters the trance, intent on experiencing something which is not to be found elsewhere.

Following the magic analogy, while some are interested in seeing magic tricks performed, while others are interested in performing them themselves, there is another group, whose members may or may not overlap with either of the first two, who want to know how the magic happens, how it works, and why it has the effect on the audience that it does. If we liken the first group to readers, and the second to authors, the third group are the critics and theorists, those who want to know the how's and why's of the performance, who are in love with the inner workings which take place out of common sight but which, when positioned correctly in conjunction with one another, spell out the answers to the mysteries we witness.

In the case of literary theory, a little piece of each of the common definitions of the term applies, though many of the misapprehensions about it misconceive what it is all about. The opposition between theory and practice, first of all, is a notion that must be dispensed with when coming to an understanding of this term as it is used in academic circles. Most of the time we can simply go about doing whatever we do in life without thinking too broadly about why we are doing it. The relationship between cause and effect is often so evident that it needs no elaboration, and our motivations are equally transparent. I wake up in the morning. Why? Because I have to go to work. I brush my teeth and shower. Why? Because I don't want to smell bad around others to discomfort them and make them judge me negatively. Why am I even going to work? Because I need money, without which I cannot buy food, clothing, and shelter, which are all necessary for life. Thankfully, none of us (unless you suffer from certain diagnosable psychiatric illnesses) needs to remind ourselves of our motivations for doing things like this, nor of the connection between one action and another. Everyday life does not need theory in order to move forward.

However, in academic endeavors, we are immediately dealing with disciplines that go further than the practice of everyday life, or that, in a way, go above these practices. For example, you might go to buy the new, wildly popular, Elmo doll for your child, younger sibling, or even for yourself during this holiday season. For you, this purchase requires little or no thought, and comes almost as naturally as anything else you might do today. Why are you buying the doll? Because you need to get your child a Christmas present, and he specifically asked for it. This is a true no-brainer, and there is certainly nothing wrong with this kind of unconscious reasoning. However, if we want to examine this behavior in more detail, we can begin taking the questioning into the realm of the generally un-asked, or always assumed. Why, for instance, do you need to buy your child a Christmas present? Well, because he expects it, I like to give it, and it is a Christmas tradition. Why is it a Christmas tradition, and is it a good one that will make life better? Well, I think it is nice to give, and I know a story about how the wise men gave Jesus gifts.... Why are so many children interested in this particular doll? Because, I think, maybe because it is funny, furry, colorful...I really don't know.

Thankfully, we don't have an annoying questioner asking us these kinds of things constantly (we would likely want to strangle them in a very short period of time). However, there are people who want to understand what lies behind our day-to-day behavior, and who want answers to the questions posed above. These people make such things, in this case, social habits, long established traditions, consumer behavior, and sociology, their object of study. Their goal is to find the reasons why things that happen without any real consideration happen at all, what prompts them in such large numbers, and so on; in short, they seek to come up with explanations that give the underlying reasons why things happen the way they do. Another way to say this, is that they observe the situations, gather data, and look for patterns of cause and effect. These patterns become the theory of a given behavior, situation, action, and so on.

The connection between practice and theory is an intimate one, because theory can not exist unless it has some explanatory power with regard to the phenomenon it takes as its object of study. To pick up our previous example, it is evident that there can be no marketing theory, or social theory, unless there is a market and a society to theorize about. Theory that has no connection to its chosen body of examination, or which fails to explain (or does not even attempt to explain) some aspect of that body, is not even properly called theory. A theory can be right or wrong, weaker or stronger, but in order to be worthy of the name at all, it must say something about the entity or phenomenon it is about. Theory is always about something, and even when, in literary studies, we use the term theory on its own, what we really mean is literary theory. The thing upon which the theory is based is what makes it meaningful and possible; theory is a dependent entity, and must always be in service to something else.

If academic disciplines strive to provide theories of the things they set as the objects of their study, this makes them collections of interrelated theories; any collection of theories that are interrelated can be subsumed into a larger theory, and so it is possible to conceive of academic disciplines themselves as elaborate theories. This is where the idea of theory vs. practice comes in, especially with regard to academics. A behavior or action is seen as being real and legitimate, while the study of that discipline, the theory of it, is seen as being unreal and illegitimate. The people at the "top" (producing and working in the theory), it is believed, do not really understand what is going on at the "bottom" (in the actual existence of the phenomenon in question or the people who have daily interactions with it), and so the theory is considered inapplicable or inaccurate, and therefore useless. Of course, I would argue that any theory that did not take account of the phenomenon at its most basic level is no good theory at all, but this is beside the point, and the usual division will continue to exist in the popular imagination, though hopefully not in reality.

Now, this is where the real difficulty with understanding literary theory comes in. If any academic discipline is a theory of something, this means that literary studies (usually known simply as English in the English-speaking west) is the theory of literature. This makes sense, it seems, until we consider the term literary theory. If literary studies is a theory of literature, or a complex interwoven collection of theories about literature, seeking to explain how literature works and what it is, then what could the term literary theory possible add to that? This is a key question, and one that gets to the root of what this series will be striving to explain.

All academic disciplines take for their objects some area of interest, and make these the targets of their investigations. These targets range from the living and highly concrete (plants for botanists), to the non-living and highly abstract (imaginary numbers, or even regular numbers, for mathematicians). Finding underlying assumptions and interrelations is the goal of the discipline, but it is also evident that the discipline itself will function according to certain underlying assumptions, and will posses unexpected and novel unities that go largely unexamined in the day-to-day practice of the discipline. The uncovering and examination of these assumptions and relations is the theory of a discipline.

When considering the theory of a given discipline, things become somewhat more abstract, because you are now looking not at the things that move, breathe, and exist at the level of common observation or nature, but that exist themselves as tools used to study these more basic things. You have essentially moved "up" a level in your considerations, and while I hesitate to use the word "up" as it implies somehow a superior or better level, I think it does give a good idea of how the perspective of your analysis changes. You see something best from a vantage point somewhere above it, and if you are looking at something as broad and diverse as literary studies, you need to perch on the highest vantage point possible to see it in its entirety.

According to the model I am outlining here, literary theory can be described as theory whose object of examination is literary studies. At the base, we have literature and reading, which are common throughout most of the world, and which many people find interesting, even necessary, in their daily lives. Literary studies, or English, is the academic field dedicated to the study of literature, focused on finding out how it works and what it is as fully as possible. Literary theory is the discipline concerned with how the discipline of literary studies works. It examines its assumptions, its reason for being, its aims, and its effectiveness.

However, note that, at this level of abstraction, the relationship between the theory of a given discipline and the practice that the discipline engages in is not merely one-way, as it might be between the discipline and the "real-world" phenomenon it studies. For example, the algae studied by a biologist is not going to be affected by the theory that botanists create about it. The algae is a passive object, amenable to and available for intense study, but unable to respond to the findings that result from this study. The biologist, on the other hand, is aware of what theoretical information is available about the discipline in which she works, and so, rather than merely being descriptive, the theory dedicated to biology can also be prescriptive, making not only observations about how things are, but how they could be with improvements, or should be if things were done optimally. In this way, we can see that theory and practice are even more tightly intertwined at the level of academic disciplines. Each has an influence on the other.

In the particular case of literary theory, then, we have an organized approach to literary studies that both describes and guides the discipline. It arose as an offshoot to literary studies, as people in that discipline began to ask some important questions about their own practice. Why, for example, are we even studying literature? What do we want to know about it? Why do we care about interpretation and meaning so much? What vantage points of analysis are vying for dominance in the field? How can we merge the multiple perspectives, and should we? Rather than talking about specific works of literature, then, literary theory talks about literary studies and how it has, does, and will conduct itself. It helps to determine what is valid and what is not, what approaches are central and which are peripheral, and how the study of literature can best interact with the literature it examines. As a result, a large part of the study of literary theory is the study of the different critical perspectives that can be taken when examining literature, and so much of the rest of this series will be dedicated to the exploration of various literary theories that, when combined, comprise literary theory.
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Apr 08, 2013
Research Tutorial / The Epic (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

The Epic



The are few words that evoke such a powerful image in our minds as the word epic, whether you be an early teen reading a thrilling fantasy novel, or an ancient professor of literature. In our current use, the term is used to describe anything that is very large in scale, important, historically significant, and awe-inspiring. An "epic" goal, to use an example from informal hockey sports commentary, is one that involves a player in an important game, usually unassisted, going "coast-to-coast" or from one end of the ice to the other with the puck, skillfully avoiding several opposing players, and eventually finishing by scoring a goal that leaves the tender wondering what happened. In a way, this does capture something about the term in its literary use that is highly significant; epic work involve a character traveling great distances and overcoming tremendous odds to achieve a goal of the utmost importance. The scale of the hockey example does not compare (after all, how important is any hockey game compared to the defeat of an entire civilization or the protection of another from an invading force?), but there is an interesting metaphorical connection that adheres and keep the term current thousands of years after the first epics were recorded.

The Epic PoetryIt occurs to me that you might find it odd that a sub-series on the epic would appear in a section devoted to the exploration of poetry; after all, you might be saying to yourself, I know that an epic is a long, extended story of adventure and heroism, which looks nothing like a poem at all. In response to this, I would answer that you are right in defining some of the characteristics of the epic, but wrong in your evaluation of the limits of poetry. Today, the poems we know and love most are usually relatively short, and it is a sign of this century and the last that T.S. Eliot's poem The Waste Land is considered a long poem, even though it only comprises about 433 lines. We tend to contrast the poem with the novel, and in comparison, poetry is considered to be short and musical, full of images and descriptions, while the novel is lengthy, less descriptive and imagistic, and focused on character development, psychology, and the telling of an extended tale.

Of course, while these distinctions apply pretty well to contemporary literature, there was a time, believe it or not, when no long literary story would have been written in prose. When a piece of literature tells a story, it is known as a work of narrative literature, or simply a narrative, and although poetry does not usually perform this function or possess this characteristic today, for most of the history of literate humanity it was the primary vehicle for telling tales. An epic, therefore, is defined as a long narrative poem, detailing the legendary adventures of heroes, involving elements of the supernatural, and embracing countless myths and stories that circulate in the society in which it is produced. The epic is one of the cornerstones of Western literature, and you would be hard pressed to find a person over the age of 14 who had never heard of Homer or the Odyssey. Some of the foundational characters of the Western literary imagination can be found in the earliest epics we have, and to leave this ancient and influential form out of a discussion of poetry and poetic forms would be like leaving a discussion of silent pictures out of a discussion of film history.

Aside from the epic characteristics discussed in the previous article, epics must also be about vitally important subject matter, and written in a high or grand style. Appropriate topics include large scale wars; the exploits of a hero and their impact on a region, as well as his kingdom; the foundation of a city, or even a nation; the capturing of a great city; and the defense of a city, nation, and even an entire culture and its way of life. Needless to say, only the most important people and events have ever been captured by epics, and that the day-to-day workings of ordinary people are simply not appropriate.

Since the subject matter is so highly elevated, the tone in which the epic is recited or written needs to be comparably formal, and lofty. Epics, therefore, are composed in the highest form of poetic language, and no interferences from common use and slang are permissible. In fact, even prose is considered too ordinary, common, and unadorned for the production of an epic, and so poetry is the only vehicle considered sufficiently equipped to carry an epic to its proper conclusion. This high level of formality is maintained in the character of the speaker, as well as his point of view or narrative perspective on the events that are taking place. The ultimate goal is objectivity; the speaker tries to be no more than an empty vessel that takes the poem from his mind and pours it onto the audience in either oral or written form. He should be invisible in it, not himself becoming a character, and not making comment on the events nor intruding in the narrative chain of events he is relating to us. Therefore, the word "I," unless it appears in dialogue, has no home in the epic. The focus needs to be firmly on the incredibly important events and characters that are the subjects of the work, rather than on the insignificant teller of the tale.

Again, some of you who have read some epic poetry, especially that of the Greeks and Romans, are probably saying to yourself, "wait a minute! This guy is trying to pull a fast-one on us! I know for a fact that the beginning of the Aeneid starts off something like 'I sing of arms and the man.' There isn't a more obvious or blatant use of the word 'I' that you can think of!" Again, I would say that, while this is a valid observation, the objectivity of the Aeneid, and many other epics poems, is enhanced by this use of "I," not diminished in any way. It seems odd that I would claim that the subjective first-person pronoun would somehow make something more objective in its tone, but the argument rests on a literary convention that goes beyond the effect that the "I" on its own would create.

You see, most epics begin with what is known as an invocation to the muse. This is a mouthful, but once you know the terms, it becomes easy to understand and remember. The most problematic term here is probably "muse," which you might know as a verb which basically means "to think," as in "I mused over the question for days before coming up with the answer." Better instead, in this case, to think of it in relation to another English word, this time, "museum." After all, what is kept in a museum? In the commonest sense of the word (I know there are other kinds of museums, but by default we tend to think of one particular thing unless someone puts "of natural history" or something similar after the word), we tend to think of a museum as housing art; keep this in mind, as it will help you to remember what the word "muse" means in the context of the epic.

The connection between the "muse" and art goes back to the ancient Greeks, whose pantheon (their collection of gods, goddesses, and assorted divinities) included nine goddesses led by Apollo, god of reason and the arts. These goddesses were known as the muses, and these divinities were needed in order to recount stories involving the gods, as well as important historical events (as many ancients believed their myths were). The poet had to be careful when constructing an epic, for purely fantastic literature was seen as frivolous, and even deception; think, after all, of the distinction still made between fact and fiction. However, it was an acknowledged impossibility that no man could write about detailed events in the heavens and in the distant past with complete (or even approximate) accuracy. This is where the invocation to the muse comes in.

At the beginning of an epic poem, it became traditional for the speakers to admit to their own shortcomings and limited vision, and to give the credit for what was to follow to the muses, from whom the speaker would allegedly receive the tale he was about to tell, or later, write. In this way, the believability of the specific details included in the epic was restored, and people could read, hear, and perform them without fear of spreading lies. It would have been impossible, for example, for Homer to write accurately about what Achilles said to Agamemnon, or certainly what the gods talked about to each other in the heavens; there were no written records of any of these events, and even if there had been, listening in on the immortals is not something a historian could have made notes about.

Today, the word muse has another meaning in English that is very closely related to the original Greek. An artist may have someone he calls his muse, which does not mean that he is literally considering her divine and asking for her help, but rather that she is his inspiration, giving him the energy and motivation to start and complete his work, which is very often explicitly about her. The original Greek muses also performed the functions of motivating and energizing, though they were themselves seldom the subjects of literary works. They did, however, feature prominently in painting and sculpture, even far beyond the ages when they were literally believed in, and I encourage anyone who is interested to go a quick Google search; some of the art featuring them is both ancient and inspiring.

This brings us back to the original reason we began talking the muses in the first place, and their invocation. When the poet begins an epic, he usually undertakes the invocation to the muse, and this act is like a frame or border before the beginning of the action proper. It is an important action, and one that must certainly be completed before the tale can begin. However, it is not a part of the narrative that is about to unfold, and so does not need to adhere to the same rules. It is a short passage (or several) of introductory material, which places the rest in context. Here, the speaker may refer to himself, but this is not to make him the focus of attention, or a subject in the work. He is placing himself firmly outside the work through his admission that he needs help to tell his story, a story that he could not possibly know nor tell by himself. He uses this framing device to distance himself from the characters and action, and so proves his perspective even more objective than if he had merely never referred to himself in the first person at all.

After the invocation to the muse, the voice of the speaker or narrator of an epic poem fades into the background, and he thrusts the events and personalities within the story world to the foreground. There are many ways of doing this, of course, and each epic author in each epic he writes uses different techniques of storytelling to achieve the various effects he wants to produce. One of the most common devices we see in almost all epics, however, is beginning in medias res. Fittingly, this is an ancient Latin term, and as we have explored in great detail in another series, it means "in the middle of things." This is opposed to beginning ab ovo, which means "from the egg," or "from the beginning." Take, for example, Homer's great epic poem The Odyssey. The story begins not at the end of the Trojan War, which is where Odysseus' (the protagonist after whom the epic is named) journey home would most naturally begin, but rather on the island of a goddess who is holding him captive, more than halfway through the journey home. We get to hear of the rest of his journey in an extended "flashback" of sorts, when he eventually (after his captivity with the goddess) tells a king who is hosting him how he came to wash up on his shores.

There is certainly nothing wrong with starting a story at the beginning, providing some exposition, and slowly introducing an audience to its characters and setting. However, we must remember that epics tell tales of legendary adventurers and events, meaning that everyone in the audience was familiar with the characters and already knew what happened. This puts a great burden on the poets creating their epics, because they cannot rely on the story itself, and the suspense of not knowing what happens next, which can hold an audience's interest, is not available to them. So, the focus is on the manner of telling, in the artful arrangement of events, rather than just on the events themselves. By starting halfway through the action, the poet cuts to the interesting things immediately, avoiding the unnecessary exposition and introduction which would only be useful if the audience did not already know the characters and events in question. Starting in the midst of the action gets the readers and listeners excited from the beginning, ensuring they would stay to hear the poet's take on what came before and after these events.

The fact, mentioned above, that epic poems are constructed from the commonly known folktales, myths, and legends of a given people and culture is significant in many other respects as well. How did Homer, for example, come to know about the fall of Troy, about the wrath of Achilles, and the cunning of Odysseus? He certainly did not read a story about them, or look them up in a historical document or encyclopedia. These characters pervaded the collective consciousness of the Greeks, and were passed on through successive generations by parents to their children. Relating this to modern culture here in the West, a full hundred out of one hundred people I ask on the street about Goldilocks or Cinderella will immediately know whom I am talking about. There are important differences between these characters and those of Greek myth, however, for we don't believe that either of these two famous female characters ever existed, and they are not important ancestral, cultural heroes to us. However, we still know them, and think how much better the Greeks would have known and remembered their characters whom they did believe were real, and who took part in events that shaped and defined their culture and identity.

Aside from parents passing on the folktales and legends to their children, which was certainly an important and pervasive form of transmission, there was also a parallel system of cultural preservation and passing on, which relied on the actions of professional performers. As we have seen earlier in this series, these performers (though they had different names in different cultures, including scops, minstrels, and jongleurs) were widely known as bards, and theirs was a fascinating craft that combined poetry with music, singing, and performance. An early instrument of choice for the ancient Greeks and Romans, as well as many later performing poets, was the lyre, a small harp-like instrument they used to accompany their sung poetic performances. The connection between poetry and song, still evident today though not to the same degree, was indisputable in the past; think about the modern term "lyric," which refers to both a type of poetry, as well as a line or lines from a song. This word comes from that early little harp-like instrument, the lyre, which the earliest poet-performers used in their songs.

As I mentioned at the beginning of this series, however, epic poetry is very, very long, and no epic you can name would have lent itself well to being performed in its entirety by any performer, especially not all in one sitting. Some research has suggested that the Iliad was performed in this manner once a year in conjunction with a religious festival, but that it took more than 24 hours, and even then was likely shortened. The traveling bards who made their money by entertaining the wealthy and powerful after meals and at special events could not afford to take a day to tell their tales, and so they told small, focused pieces about well known characters and specific adventures they had. In fact, many of these bards, not to mention the people for whom they performed, did not have an exact order and chronology set in their minds about the tales they told. There would be a tale, for example, about how Odysseus tricked and slew the Cyclops, and another about how he outwitted the witch Circe. People would know the general frame of the story, that Odysseus was coming home, but would not have his itinerary concretized at all. One of the characteristics of Greek myth was that it was flexible, and so it was possible for stories that contradicted each other in some way to exist in the imagination at the same time, and to be told at the same sitting. For those familiar with the Bible, we can see something similar happening with the two stories of creation in Genesis. In one, God creates the world in six days, and rests. Immediately after, we get a different account of the creation of humanity and various elements of the natural world. Scholars and theologians continue to debate whether these accounts can be seen as complimentary, but the point is that these two very different tales of origin are not reliant upon, nor obviously connected to, each other.

However, you might be saying to yourself, the epics that I know about are coordinated and consistent, and the events are definitely presented in a definite chronological order. I would answer, if I could somehow hear what you were thinking and speak to you across the distance that separates us, that epics are composed as a collection of the various specific stories that were in wide circulation among the bards and the people for whom they performed. Homer's Iliad, for example, is a collection and selection of smaller stories and events that he would have told and heard.

It is tempting, from a modern perspective, to judge the epic poets we know as being plagiarists, unable to find their own material and resorting to stealing from well known songs and stories they heard from others. It must be remembered, however, that the idea of originality of content as the highest form of creativity, as well as the idea of the individual author, are values that have come to dominate art and performance only relatively recently. When the most ancient epics were written, there were only so many acceptable ways one could tell a serious story, and only so many topics which would have been considered appropriate. Today, poets and authors of all kinds are free to write on just about anything they like; in the past, however, this was not the case. Only legendary and heroic characters and events were considered proper subject matter, and further, a poet had to be careful how much license he took with the telling of a given story. After all, even though there was flexibility in the stories surrounding a character and their relation, there were certain key "historical" points that could not be ignored. Troy, for example, could not have won the Trojan War; Hector could not have defeated Achilles; Odysseus could not have been killed at sea; and Aeneas could not have married Dido and lived happily ever after with her.

It was therefore important for the authors of epic works to know the broad outlines of given stories, and to remain faithful to the basic known (or perhaps, accepted) outlines of specific important instances of given stories. Within this framework, however, was where the creative magic happened, and this is where a great bard was separated from a fair or poor one. If you had a beautiful voice, a gift for playing the lyre, and the ability to turn an excellent poetic phrase, you would be well off. If, however, any of these aspects of the performance were missing, you would find yourself on the move, never welcomed for long in any given place.

Because there were countless stories circulating about any given hero and event, part of the task and invention of the epic poet was the selection of which stories to include, and how they should be united. It is tempting to think of the epic poet as merely the person who collected all of the stories regarding his subject, but he was in fact a highly selective and creative editor of this massive body of work in circulation at the time. Some stories would have gone against others, and some would have painted the protagonist in a different way than the author intended. In order to keep thematic threads tied, and characters relatively consistent, the epic poet had to select, arrange, blend, and focus the available raw story materials into a unified whole. No one would argue that the earliest epics are seamless, but it is difficult to disagree with the thematic power these works hold, which is a testament to the skill of their authors.

At this point, an important distinction between two different epic traditions must be pointed out; that of the primary epic, and that of the secondary epic. To put it most simply, the primary epic arises from a strong oral tradition, and is often performed and transmitted for many, many generations before someone actually writes it down. The secondary epic, on the other hand, is written down from the start. This would seem to create a significant division between the two types, and may lead some of you to believe that what I was speaking about above applies only to one kind or the other. However, as we will discuss in the next segment, the same basic characteristics of epic creation apply to both.

The primary epic is the older of the two epic forms, and is in contention for the oldest surviving literary form, certainly taking the title of oldest surviving narrative literary form. As its title indicates, the primary epic is the least planned and contrived of the epic forms, and has its roots in literary traditions that far outdate its being transcribed. The primary epic arises from the vast ocean of stories available in a given culture, all centered on a certain series of events, usually set somewhere in "the mists of time" and based on the adventures of key heroic characters and their interactions with each other and the gods.

Primary epics are oral compositions, and as a result exist in a living, breathing way that seems alien to the literate cultures of the present. We tend to think in terms of unified stories and final or official texts, but this simply was not the case before writing took hold of the literary world. Each individual teller was free, within a given range, to alter or amend the epic story, to tell as much or as little as fit the occasion, and to pick episodes that were most appropriate to a given context. Here, the line between performer and author are blurred into obscurity, and the primary epic becomes not the work of a single individual, but of an entire community of storytellers through time and across great distances. Primary epics eventually become standardized and concretized when they are transcribed, which ensures their propagation and allows for their translation into even more wide-ranging cultures and languages, but which largely ends their continued development.

Secondary epics, on the other hand, are not created in the same way, though some characteristics of their creation are held in common with their primary counterparts. Obviously, no story arises in a vacuum, and just about any topic that is worthy of the epic treatment is going to be something that has a huge cultural resonance. As a result, the common literary culture of a people, whether that be oral, written, or both, is going to influence the authors of a secondary epic. Notice, though, that in this case, unlike the case of the primary epic, I used the word author, and this usage was quite intentional. Secondary epics are defined by their being written down at the point of their invention, by what is usually an identifiable author. If the primary epic is a large community effort, the secondary epic is far more in line with our current notions of individual authorship.

Because of the different origins of primary and secondary epics, they display different formal characteristics. Since we are most familiar with works which are written from the time of their inception, it will be most useful to display the differences between the two forms by looking first at the features of the primary epic that look foreign to us, or that seem most striking in their novelty. It should be noted that various secondary epics do contain some features that are typical of primary epics, but that they occur to a lesser degree, and have been very intentionally included. Authors of secondary epics, wanting to follow in the primary epic tradition, copy various devices, as well as thematic and stylistic elements to recapture the power of primary epics so well known and admired.

As we have mentioned in previous installments of this series, primary epic poetry is rooted in the oral tradition, but beyond being simply oral, primary epic poetry was originally designed to be sung, or at the very least recited with strong musical accompaniment. If you are fortunate enough to be able to comprehend any primary epic in its original language, take the opportunity to listen to its undeniable music; the poetic stress patterns and syllabic arrangements lend themselves well to song, and it is no coincidence that a musical instrument was a key piece of equipment for any early bard.

Considering the task of the epic poet, it is hardly surprising that music plays such a strong role in primary oral epic composition and performance. After all, think about the last time you tried to remember the contents of a story the length of a novel...not such an easy task. There are certain features of narrative that make it easier to remember than, for instance, text-book information or random lists of facts, but in prose form, this would be a daunting proposition. Regular poetry, because of its metrical consistency, makes memorization easier by limiting the number of options available for any given line, but even thus, anything epic length is going to be a challenge to keep together in the mind. By further amplifying the metrical regularity with music, however, it becomes possible to keep a far more complex story in mind, and to present it with consistency that would otherwise be unfathomable.

Because of the primary epic's song-based roots, it contains a good amount of repetition, which courses through every aspect of the work. On the broadest level, different episodes possess structures which mirror others, and unfold in very similar ways, despite being in very different narrative contexts. Moving to a more basic level, characters often address others in very repetitive, conventional ways, but also tell then their stories with great regularity. New episodes and new encounters most often begin with some retelling of previous events, which gives the primary epic a cascading feeling, and gives the impression of an evolving chorus behind the major melody of the verse.

An even more specific example of a repeated element, which adheres between epics as well as within them, is the use of character-specific descriptive epithets. Examples include, in translation of course, "swift-footed Achilles" or "clever Odysseus." Phrases like this make clear to the audience which attributes of the character are important, but they have another effect that is directly related to song and rhythm. In the Greek versions of primary epic poetry, lines tended to be a standard length, adhering to a given stress pattern. The repeated epithets formed phonetic units that allowed them to be placed more easily into different parts of a given metrical line, making their use as much musically as practically motivated. These are sometimes used in secondary epic, but do not serve the same function, because a secondary epic author could work the names into the work much more easily, since he would have had as much time as he needed, and had no need to try to compose his written work on the fly for an anxious and demanding audience who would be paying his fee.

Because of the explicitly oral roots of the primary epic, it has a definite "on-the-fly" character that firmly roots it in the realm of semi-memorized, semi-improvised performance. The story in its broad outlines was obviously well known to both the bard and the audience, so there would be a strong framework within which the poet could create as he composed and performed. Critics have noticed a similar but somewhat less broad general structuring occurs at the level of the episode, and primary epics definitely have a highly episodic character. In his Poetics, Aristotle, speaking of much later Greek drama rather than ancient Greek epic poetry, encouraged an organic plot structure, where each event flowed seamlessly into the next with no obvious breaks or divisions, where each event is dependent on the next. This is a noble literary goal, to be sure, but it was one that the performers of primary epics would have found highly inconvenient, if not completely impossible. After all, remembering the events and their order over the course of such a long work as en epic would have been a Herculean task if there were no strong grouping and ordering apparent in the structure of the whole. It is much more manageable if the epic is broken up into smaller chunks, with each serving also as a conveniently timed piece to fit into a social occasion in the span of an hour or thereabouts. Thinking about how the epic was constructed in the first place, with diverse tales and songs being combined into a larger whole, we can see that the episodic nature of the epic comes very naturally to it.

Another device that made spontaneous performances of such very long stories possible was the epic simile, a device first seen in Homer and used throughout primary (and copied in secondary) epics. A simile, most basically, is an explicit comparison using "like" or "as," and usually compares two dissimilar entities on the basis of a single, shared, characteristic that is highly pronounced in one entity and applied in an exaggerated fashion to the second (in the simile "he was as white as a ghost," the ghost carries the characteristic of whiteness to a very high degree, whereas it applies to the person in an exaggerated fashion). An epic simile takes this basic idea, and stretches it out over a long period of time and text, going into the comparison in explicit detail, exploring may facets of the comparison until, almost, a miniature version of an allegory is achieved. An excellent example comes from the Odyssey, where Homer compares Odysseus driving a heated sharpened stake into the eye of the Cyclops to a blacksmith thrusting a newly forged blade into water to cool it. He expounds upon the hissing sound, the shuddering of the steel/wood, and compares the rising steam and smell. This all serves the literary purpose of making what is already a gruesome scene even more horrifically graphic, but it also serves a more practical purpose. This event is a little "set-piece" the poet would have memorized by heart, and would have been an opportunity to show great virtuosity with grand gestures, and extremely fluid recitation. It also could have been used as a very brief stand-alone piece when the occasion demanded, but even more than this, it is so powerful and graphic that it would have been very easy to remember, making the episode as a whole more easily memorizable. Similes like this would have further divided the episodes into even shorter, more manageable units, aiding the poet in his recitation and memorization, anchoring him to the events of the scene immediately in front of him.

Another well known ordering device of the primary epic is the extensive catalogue, also appropriately known as the epic catalogue, which takes the form of a long list of people, places, events, or any other noteworthy entities that demand to be considered in a fuller or more complete fashion. People who are coming to epic literature for the first time are often put off by these lists, and wonder what on earth they have to do with moving the plot of the story forward. The short answer to this question is very simple: the epic catalogue does nothing to move the plot forward, as that is not its point at all. Rather, it is a device intended to add to the atmosphere of the work, to take its readers back in time into a long-forgotten realm where the heroes and giants of the past can be believed to have lived. In the Iliad, for instance, one of the first catalogues we see is the massing of the armies of the Greeks. The contribution each city-state makes to the Greek forces is discussed in explicit detail. Their heroic leader is described, usually in terms that reflect the national characteristics that are supposed to apply to those people as a whole. Their great numbers are given, as is the number and type (as well as the quality) of vessels that they pilot. After going through each city-state, the reader gets an overwhelming sense of the sheer size of the invading force, as well as the incredible organizational and tactical powers which would have been necessary to conduct such a huge operation. We are reminded that, rather than some minor tale about a single family or local group, we are being treated to a story of epic proportions, which will dwarf all other stories in both its magnitude and its scope.

Aside from the important tasks the epic simile serves in story, it also serves several functions that work at other levels. The most obvious of these is the creation of suspense in situations where there would not really be any otherwise. Looking at another example from the Iliad, we see that there are often extended descriptions and lists of the arms used in particular battles, which are inserted just before the battles actually take place, but after it is clear that there is about to be a battle. At this point, the reader is primed for the excitement of the fisticuffs that are about to unfold. However, rather than simply give the reader the expected battle immediately, the poet instead begins the catalogue of the weapons that are about to be featured, describing who is wielding them, what qualities they possess, and in some cases where they came from and what other battles they have taken part in. At first, this is mildly irritating for many readers, who want to get on to the actual battle at hand, but in time the list takes on a life of its own, weaving an almost magical spell on the reader and causing them, almost, to forget about the battle about to commence and to focus on the wonder of the weapons they are being presented with. After the atmosphere has been set, and the suspense for the fight built to the maximum, the list ends and the battle goes on, made all the more interesting by the catalogue that came before it. Obviously, while plot and action are key aspects of epic poetry, what makes it truly epic are the grand flourishes that elevate and decorate every aspect of it, taking the expected and regular and turning it into something awesome to behold.

At a meta-level, the catalogue performs a function that has as much to do with the composition and performance of primary epics as it does with the effect it creates on the readers or audience. Like other devices we have discussed so far, it acts as a breaking point in a given episode, which allows the poet to more easily remember what events come in what order; when you have several landmarks standing in a given, necessary relation to one another in an episode, remembering what comes next becomes far easier. Going beyond this, the epic catalogue allows the performer several moments to think about what is coming next, and to plan out how he is going to sing the events that will follow the catalogue. Think about it in these terms: you are telling a story to a friend, an amusing anecdote, and while you obviously know what happens, you don't know exactly what will need to be included and in what order. So, partway through the story, you pause for a moment to think about how you will proceed so that the story makes sense and retains its amusing elements. The epic catalogue fulfilled the same function. It was not considered proficient for a bard or minstrel to stop partway through a performance, so he could use these catalogues as a way of collecting his thoughts. One could make the catalogue as long as one wanted, and nothing about them was necessary to the plot, so the poet could go on auto-pilot for a while, and use the time to consider how the next events would best be sung. The placement of these catalogues before major events, aside from creating suspense as was discussed earlier, was significant in that it allowed the poet to mentally prepare for the important recitation that was to follow shortly. The catalogue gave him a chance to marshal his own forces and to make the telling as powerful as possible.

Further delving into the structure of the primary epic, we can see another telling feature that shows the intimate and inextricable link between the mass of stories and folktales of a given people, and the content of their epics. As we have been discussing, primary epics are oral compositions that have only later been written down. They have their origins in the traditional tales which are pivotal to the culture in which the epic grew up, and likely began as a series of diverse tales around a certain subject that gradually became linked into a single monolithic mythic tale. This accounts for the episodic nature of primary epics, and it also shines light on why digressions, both large and small, permeate primary epics to the degree they do.

We are used to reading stories in which every action, every element, is necessary to the moving forward of the plot or at the very least the major themes of the work, but most often both together. However, if we look even quickly at any primary epic, we can see that there are many "side-stories" that take up a fair part of the text but which seem largely unconnected to it. Many times, critics claim that these digressions are designed to further the thematic thrust of the main action, and while this is possible in some cases, very often this argument looks forced; after all, if this were the case, wouldn't the poet, composer, or eventual writer of the epic have made the links between these digressions and the main stories somewhat more evident? In many cases, we have digressions inserted without any apparent connection to the surrounding story.

The seemingly out of place digressions put the apologetic scholar in a difficult position, one not unlike the exegete (Biblical scholar and interpreter) who has to make some sense of the two stories of creation found in the book of Genesis. There, we first see that there is a God who makes the world in six days, everything coming in its order, and the specific details sacrificed so that the larger picture can be the main focus. Then, on its heels and with no narrative connection, we are presented with a story that is far more focused, and talks specifically of humankind and the Garden of Eden, where the order of some of the events talked about in the broader creation story just mentioned are reversed (for example, the order in which humans and animals are created). Scholars have been trying to bridge this gap for centuries, talking about nested stories and thematic reflection and reinforcement or complete refocusing, but in the end we are left with a text that obviously does not mesh, whose pieces, while standing side-by-side, do not form a cohesive whole with regard to narrative structuring.

Nowhere is this more evident in a primary epic that with Beowulf, where some of the digressions, while forming interesting and captivating stories by themselves, cannot be linked up to the main action of the story in any way that even suggests narrative unity. In fact, the epic tale begins not with the main action of the Beowulf story, but with a much older period of time, the period when Scyld Scefing, legendary leader of the Danes, had been born and come to power. It talks of his prowess, his kingly virtues, and it gets into his offspring, their accomplishments, and finally ends up telling us how this line led to Hrothgar, the current king of the Danes, the man that Beowulf has been commissioned to help. While it is interesting, perhaps, from a historical point of view, to hear about the exploits of the ancestors of one of the characters who will be featured in the story we are about to hear, as far as narrative motivation is concerned, there can be no real justification for its inclusion, especially at the beginning of the epic poem. It is obvious that it has some relation to the characters who will become the focus, but the narrative motivation for this genealogical lesson is missing.

As with other characteristics of the primary epic, it is useful to look not only at how some device would have affected the listeners and early readers, but also at how those who had been performing the epic would have seen it, and what their motivations would have been. It is obvious that bards, or in the case of the Anglo Saxon performers of Beowulf, scops, wanted to delight and amuse their listeners. However, the epic served another function in society, one that was, arguably, even more important. After all, since primary epics were not written down till well after they had been well established, the poets had no real way of recording all of the stories that they knew other than memory and cultural inheritance, passing the stories and songs down through the generations. The epic structure provided a way for poets to string many various tales and songs together around a common core, and to more easily remember the songs as a result. The Iliad and Odyssey, as well as Beowulf, are excellent examples of these epic collections, and there were likely many more in either society, dealing with different subject matter, that have been lost to us today.

The motivations for collecting and arranging various tales around a given node are many, for it is much easier to remember the various events of a single story than it is to memorize a collection of loosely related or unrelated different stories. So, various epics were born as collection points for groups of stories and songs. Undoubtedly, there were some tales that didn't really have enough supporting lore surrounding them to warrant their own epic, so often these would be presented in the context of another epic series of events, with no more than a tenuous link to the surrounding story. The Scyld episode at the beginning of Beowulf, as well as several others throughout that epic, seem to have made it in primarily for that reason. Moving further along in Beowulf, we come across the more closely connected, but still divergent episode where Unferth mocks Beowulf for losing a swimming race to Beowulf's friend and rival, Breca, in their youth. Beowulf recreates the incident that Unferth has mentioned in great detail, showing him up, and proving himself to be a far more heroic, powerful, and amiable character than Unferth. Of course, this is a great opportunity for the poet to insert a story that, while featuring Beowulf as a main character, has no bearing on the plot, since it took place long before Beowulf was a great leader and fearsome warrior. However, such a great story could not merely be left out of the epic collection surrounding the great Beowulf, so it is included here.

Because of the extemporaneous composition of each epic performance, it is possible that no listener would have heard precisely the same tale twice. This makes things lively and interesting, since it means that even if you are listening to a familiar story, it will still contain an element of unpredictability and novelty. However, it also means that modern scholars have a very difficult task trying to pin down origins and the state of the epic as it was performed at any given time, and what changes were made as the society developed. The value of such ventures can be great: after all, the changes that get made over time to a communal work like an epic are often reflective of changes that the culture is going through in much broader terms. One of the greatest motivators for the creation of primary epic is cultural upheaval, an event or series of connected events so powerfully and obviously transformative that they leave a mark on all those who live through it, and on generations which come thereafter. An excellent example is the Trojan War, which spawned not only one epic about its progress and outcome (the Iliad), but another about its aftermath (the Odyssey), and likely countless more that have since been lost to us. Note that although both of these were likely composed, collected, and then written down long after the events they describe, they are based on such a profoundly life-altering event that they still seem relevant centuries later.

Such grand events, featuring upheavals and mass migrations or murders, also gain a new resonance in later ages when similar events, while perhaps not happing on the same scale, are being played out again for the next generation. While the origin of a primary epic can often be seen as nesting in a pivotal event, its continued popularity has to do with its resonance in contemporary events, which is why, even today, the epics of previous millennia are still studied, and still strike a chord with readers who no longer believe in the same gods or use the same technologies.

The myriad of features of the primary epic that has to do with its oral conception and transmission are almost too numerous to count, and although we have discussed many of them already in the series, one further, primary point about the effects of oral transmission needs to be addressed. As we know, there is no single author for any particular primary epic, since it encapsulates the stories and performances of an entire culture, a people, a place, and a time. It is both art and history, sometimes believed as literal history, but always as a strong account of the literary history and tradition of a given culture. It is obvious that the many poets and performers who worked daily with a given epic and its constituent stories deserve credit, but there are many, working even further behind the scenes, that have molded the character and form of the primary epics we have as they appear to us today. These people are the transcribers, known as scribes in some cultures (note that the word "transcribe" contains the word "scribe" within it, which is appropriate considering the root means to copy or write down), who were in charge of making copies of original manuscripts, which themselves, since writing was done only by hand for the ancients and early medievals. Homer, perhaps, was the first, or most notable, figure to write down the Iliad, and it is certain that the specific shape he gave it is a creative reflection of his literary and artistic vision. The same, it can be argued, is true for the early transcribers of that famous work, who would have added their own content in places, and changed details as they saw fit.

Perhaps the best example of the power a scribe could have on an epic work is Beowulf, an Anglo-Saxon epic of the first order, which shows definite signs of influence from those who wrote and copied it. In the case of the medieval Anglo-Saxons, we have, in the early centuries A.D., an illiterate culture, but one which possessed a remarkably rich oral tradition of verse, both narrative and lyric, and its own distinctive poetic forms. When Christian missionaries, most notably Bede, came to convert the Anglo-Saxons, those who were not killed had a tremendous influence, and the people became Christian in a very short period of time. With this influx of religion came the Latin language, and thus the Anglo-Saxons got an alphabet with which they could write down their stories and songs. Of course, this recording process was not unbiased, since monasteries were the centers of such early publication, and Christian monks were in change of doing the transcribing and further copying. Beowulf holds a remarkably pagan worldview, since this was the traditional culture in which it is set, but this wasn't quite acceptable to the Christians, by this time native Anglo-Saxon monks, who wanted their heroes to resemble them in the present, and to embody virtues thought especially important. So, the epic presents two worldviews living with one another, sometimes lining up very well, and sometimes proving difficult and contradictory. It is possible to read the work as a Christian one, if one is willing to ignore some key aspects of the pagan culture, like the quest for fame while here on earth, and the incessant violence. It also possible to read it as a pagan work if one ignores the reference to a single God, and the blatantly (perhaps appended) Christian ideas of Jesus. An interesting tension is created here, a tension made possible by not the author, nor the performers, but rather by those who copied and amended the work they were given, transcribers who became editors and authors in their own right.
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Apr 08, 2013
Research Tutorial / The Sonnet (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

The Sonnet



For many, the term sonnet remains synonymous with poetry itself, and while there are countless forms poetry can take, this compact and expressive form dominates the imagination of many. Few, if any, poetic forms have remained so intimately associated with the expression of a single emotion and passion, but the sonnet has not lost its vigor and beauty despite its being put to work in the almost exclusive service of one goal; the sonnet, of course, is the very form of the romantic reflection, desire, and promise. This was the purpose for which it was originally created more than seven-hundred years ago, and it serves this purpose just as well today as it did then.

The Sonnet WritingThe word sonnet comes from the Italian sonetto, which means "little sound" or "little song," which is not surprising considering its melodic tones. The founder of the famous form is considered to be Giacomo da Lentino, who was an important member of a group of poets known as the Sicilian School in the early thirteenth century, and the earliest sonnets we have come from his pen. The most famous early practitioner of the form was another Italian, the renowned Francesco Petrarca, or Petrarch, who lived and wrote about one hundred years after Lentino.

It is our usual understanding that when an individual invents something, it is named after him or her, if it is named after anyone at all. However, in the realm of poetry, it is not usually the inventor of a form who gets the credit of its name, but rather the most popular and successful practitioners of the form. While the sonnet, as we discussed above, is not named for an individual, its three distinct forms are. The original Italian model consisting of 14 lines divided into stanzas of eight and six lines (an octave and a sestet), with the rhyme scheme abbaabba cdecde (or cdcdcd) is known as the Petrarchan. This form is what Sir Thomas Wyatt and the Earl of Surry imported into the English language in the early 1500s, bur probably because of the complexity and frequency of the rhymes (far more difficult to achieve in English than Italian), it did not become popular or well known in English till almost one hundred years later, long after Surry's important innovation which changed the form to three quartets and a couplet, rhyming abab cdcd efef gg. As was the case with Lentino, Surry did not have this form named after him, and another legendary figure, this time William Shakespeare himself, has the distinction of having that form named for him. The final form, which looks like a hybrid of the other two in its rhyme and structure, is named for another famous and popular practitioner, Edmund Spenser. This version is also divided into three four-line stanzas and a two-line end, rhyming abab bcbc cdcd ee. The interlocking structure gives the poem more rhymes on each word, like the Petrarchan, but divides the stanzas like the Shakespearian. The Shakespearian, likely because of the skill and popularity of its namesake, as well as the relative simplicity of its rhyme-scheme in English, became the dominant form, and when English speakers use the term sonnet without any qualifying adjectives, they are referring to this form.

Like most enduring forms, the sonnet did have a period through the 17th and 18th centuries where its popularity diminished, but the 19th century saw a remarkable resurgence, and some of the most memorable and enjoyable poetry from the Romantic and Victorian periods, penned by the likes of Wordsworth, Keats, and Browning, is in sonnet form.
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Apr 08, 2013
Research Tutorial / The Ballad (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

The Ballad



As we have seen, and will continue to see in this series, there are a myriad of poetic forms which have defined literature in the English language over the centuries, some possessing great influence, others passing quickly, leaving almost no trace. With its lengthy history and lasting power, there is no doubt that the ballad falls into the former, rather than the latter, category.

The Ballad Poem TermsWhile even such enduring forms as blank verse have diminished in popularity in more recent times, the ballad is one of the only traditional forms to maintain its importance even in this cynical era where poetry is not valued nearly so highly as it once was. For proof of the present position of the ballad, one does not need to look at the works of any major or minor poet at the library, nor does one need to do a Google search for web publications of aspiring literary balladeers.

In fact, one does not even need to be literate in order to appreciate the presence of the ballad form in contemporary culture, and this is very appropriate, considering the ballad form first arose completely independently of any written language. Today, the ballad has once again been freed from the page and the written word, and can be heard on just about any radio station in any area. The love ballad and the power ballad pervade music and popular culture, and the form is surpassed, perhaps, only by the lyric as the most popular way of composing music.

Although critics debate finer points of the definition, it is generally agreed that a ballad is a poetic composition, containing a regular meter (with rhyme as a very common feature), which has a definite narrative structure, and is designed to be accompanied by music of some kind. One of the key aspects of the ballad that sets it apart from other forms of verse is the need for narrative, or for the telling of some tale, ranging from the very local and minute to the highly international and grand. Unlike other verse forms, the ballad does not hold the sounds of words most highly, nor does it focus itself on the introspection of an individual and an exploration of his or her mind, thoughts, and feelings; the focus is on the action, on the plot as it unfolds, and as a result, the setting is almost irrelevant and the character development is either completely lacking or very superficial.

Moving into more specific critical classification criteria, more traditional scholars see the ballad as a form of oral folk poetry popular in the later middle ages, and employing a narrative perspective that is as objective as possible. The character of the speaker is never mentioned, and the speaker never mentions his or her emotions and feelings about the situation as it is being described.

The third person is used exclusively, adding another layer of impersonality to the text. The stories told were drawn from a common tradition, and as the tradition developed, a common meter now known, appropriately enough, as ballad meter began to dominate the composition of ballads. Ballad meter, which indicates far more than metrical terms usually do, is defined as a closed four-line set rhyming ABCB. The first and third lines have four stresses (usually eight syllables), while the second and fourth lines have three stresses (usually six syllables). The stress pattern is usually iambic, meaning there are alternating lines of iambic tetrameter and iambic trimeter, but the syllable strictures are not nearly so important as the number of stresses per line, which allows for significant variation in a form that might, at first glace, seem quite limiting.
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Apr 08, 2013
Research Tutorial / The Scop (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

The Scop



The office or vocation of "poet" dates back thousands of years, and this office carried special social significance and varying duties which often had as much to do with the culture in which the poet worked as it did the verses that he or she (though it was most often he, for reasons related to the long human history of patriarchal rule) was expected to create. In our age of remarkable political, social, religious, and creative liberty, poets are free to compose virtually whatever they like, and to comment on any aspect of modern society, without fearing the consequences of their words and actions. In previous ages and cultures, however, this liberty was not established, and the poet had to be very careful indeed; saying the wrong thing to the wrong person at the wrong time could result in being removed from your position in the royal court, exiled from your city or country, locked in a prison indefinitely, or even executed on the grounds of indecency or treason!

The Scop PoetryThe earliest English poets, who spoke a dialect of Anglo-Saxon (also known as Old English) which is impossible to read for modern English speakers without training (if you don't believe me, find a copy of Beowulf in the original language and try reading any given line), were known as scops (pronounced "shops" or "shopes"), and made their living primarily on the road, traveling between wealthy and powerful patrons who would pay them for their original poetic compositions. Poetic transmission during this period of the English language was primarily oral, as English only gained an alphabet after contact with the Romans, from whom the Latin alphabet was taken and implemented with very little change. These oral compositions were accompanied on lyres, small stringed instruments resembling tiny harps; we can see then that the poet at this time was a musical entertainer, and successful scops, like successful musical entertainers today, were in high demand and were paid well for their services. If a scop was lucky, a particular patron would take such a liking to him that he would employ him on a full-time, permanent basis, which would dramatically cut down on dangerous wandering time and provide him with a stable income and a consistent roof over his head.

Unfortunately, once a scop had achieved this enviable accommodation, he had to be even more careful in his composition and performance of verse. First, it was obvious that nothing could be said against the patron who supported him, nor against his family, his allies, or even the region he ruled and its people. Religion, which was largely Christian thanks to the efforts of the Roman missionaries like The Venerable Bede, was not something a scop could question, and was best embraced or ignored depending on the particular poem being recited and the patron in question. Traveling scops composed their poems based on a common store of popular stories and tales, meaning that while their particular recitations were unique, the subject matter almost never was. A scop at court, however, was expected not only to constantly make old material (which was most often requested) fresh with each new recitation, but he was also expected to compose new verses for various occasions important to his patron and patron's family; success in this area was of the utmost importance, for failing to rise to an important occasion could result in termination, in either the figurative or literal sense. Because their patrons held so much power over them, the scops seldom bit the hand that fed them, and as a result much of the verse of the time is entirely uncontroversial; satire, as one might expect, was not a common mode.
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Apr 08, 2013
Research Tutorial / Blank Verse (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Blank Verse



Many people who first read Shakespeare believe, for one reason or another, that his plays are written in prose. There could be many reasons for this, including the fact that almost all modern drama, in all the forms it takes (theatre, television, film, etc.) is composed in prose forms, usually highly reflective of contemporary speech. Another might be the fact that Shakespeare's characters speak in a type of English unfamiliar to modern audiences, and so they assume that people of the time talked like Shakespeare says they do in his plays; and while Shakespeare did well to capture many of the cadences of common speech in his day, people did not speak as he has them speaking. Believe it or not, almost every line of Shakespearian verse is written in a poetic form known as blank verse, which is poetry composed without rhyme but with a regular metrical arrangement.

Blank Verse WritingThe most common type of blank verse, and indeed what is understood by default when the term blank verse is used, is iambic pentameter, which describes a line containing five feet, with stresses on every second syllable beginning with the second. The following lines are composed in blank verse:

The dreams of lonely vagrants drift beyond
Abnormal bounds, without committing sin;
Perversion warms the limbs and frozen hearts.


Analyzing these lines more closely, we can see that each one contains ten syllables, and that each follows a regular stress pattern; try reading each line aloud, and you will find yourself falling into a lilting rhythm. Taking the first line, we can see it scans as follows, with stressed syllables in bold: "The dreams of lonely vagrants drift beyond." This divides neatly into five perfectly regular two-syllable feet, arranged in a - / (unstressed, stressed) pattern, which is the very definition of iambic pentameter. Looking at the lines taken together, we can see that the rhythm is not supported by any kind of consistent rhyming pattern (known as a rhyme scheme), and so these lines are a fine example of blank verse,

Although Shakespeare is the greatest practitioner of this form, he did not invent it, and he is not even the first to have used it in drama. Blank verse in English letters originates with Henry Howard, Earl of Surrey, who used it in his translation of the Aeneid, Virgil's famous epic poem, composed originally in Latin. The first people to bring this new form to the stage was Thomas Norton and Thomas Sackville in their play Gorboduc written in 1561, and soon after this blank verse became the standard poetic form for both dramatic and purely poetic works. Blank verse enjoyed a long, successful life in the spotlight of English literature, remaining popular through the Victorian Period, and even into the early-mid 20th Century, with influential figures like T.S. Eliot and W.H. Auden continuing to employ the form with interesting divergences. The form's popularity has dwindled since the 1960's with free verse rising greatly in prominence and importance, greatly diminishing the influence of all metrical forms. However, even contemporary poets sometimes turn to this well established and highly efficient verse form, proving that while literary tastes may change, some aspects of verse will always retain a place in the poetic consciousness of a given language.
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Apr 08, 2013
Research Tutorial / Free Verse (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Free Verse



Although the term is relatively straightforward and reflective of the phenomenon it describes, there are very few ideas in the realm of poetry that have so wildly complicated what the word poetry itself means. When we think of poems in general, or poetry as a whole, there are certain characteristics that immediately spring to mind: rhyme at regular intervals, which forms a rhyme scheme; a regular metrical arrangement which gives the work a consistent rhythm; end-stopped lines which contain a single idea or thought; and perhaps most importantly, a division into even, short, usually centered lines which do not always use the same rules of capitalization and punctuation as grammatical prose. Free verse, depending on the degree to which it is in operation, subverts all of these prototypical features of poetry, leaving poetry itself open to a wide array of definitions and interpretations.

Free Verse PoetryFree verse, or vers libre as it was known first in French before it made its way into the English translation we have today, is poetry written without the same restrictions with which most traditional poetry is bound. In free verse, a regular rhyme scheme is not necessary, nor is a regular metrical pattern. Lines need not be centered, they can be of varying lengths, and no dominant line length needs to obtain throughout a given poem, or even a given stanza. Punctuation can resemble that of regular prose instead of conventional poetry, or poems can use punctuation in highly irregular ways, like the liberal use of dashes (as is the case for much of Emily Dickinson's poetry), or the complete refusal to use punctuation whatsoever. In short, free verse is a term used to describe poetry that eschews the usual forms of poetic composition.

The practice of free (or relatively free) verse is an old one, but the term was coined in English in 1915. At this time, the modernist movement in literature was in its infancy, and poets and literary thinkers were interested in experimentation, in leaving the traditional forms of composition and creating a new form for a world freshly minted by rapid technological advances and unparalleled warfare. T.S. Eliot, perhaps the most successful and influential figure of modernism, talked about free verse as a way of escaping the restraints of the past, and a route to creating new forms. Note, however, that this early use of the term did not imply the complete removal of traditional conventions from poetic practice; on the contrary, Eliot maintained a core of regularity in his verse, sticking relatively close to iambic pentameter in much of his work and occasionally employing rhyme to create various effects. He even cautioned that if by "free verse" people meant a complete lack of patterning, then the term didn't even apply to poetry, since by definition, poetry is the patterned arrangement of words and sounds. I would agree with this point, though I would point out as well that there are many different levels of pattern that go far beyond rhyming couplets and iambic pentameter.

In the following example, we can see a poem written in free verse broadly conceived:

ending on the night without
moonlight - solitary
under beckoning heartbeats pounding gossamer lungs
revived above unconsciousness
breathe
shivering memory
sand-stopped asphyxia blends into morning
and dawn inhales


A quick glance at the poem shows it is not conventional; even the most basic regularity of line length is not maintained, and a host of other poetic conventions are completely absent. Capitalization is not present at all, the sole punctuation is a dash, no end rhyme appears, and rules of grammatical presentation are ignored. All of this means that the poem will rely on evocative imagery and synergistic relations between different words and concepts to achieve its effects; making a "translation" or "interpretation" of the poem becomes very difficult as a result, and definitive readings give way to a penumbra of more-and-less sufficient readings.
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Apr 06, 2013

Poetic Terms You Have to Learn

End-Stopped Line, Enjambment



There are certain common characteristics that help us to define a poem as a poem. One of these is obviously rhyme, another is the use of relatively short lines centered on a page. A third is the use of a regular meter, and the fourth is the use of end-stopped lines, complete with capital letters to start each line, and a comma or other punctuation mark to end them. Looking at the short stanza below, you can see all of these at work, and the product's status as a poem would never be questioned:

Beneath the surly bonds of time we groan.
Upon the rack of wasted youth we die.
Within a moment of our mother's moan,
We see the darkness streaming from the sky.


Enjambment in WritingThe problem with embodying so many of the typical characteristics of a poem, of course, is that it risks looking like a parody of a poem, or at the very least an uninspired and uninspiring work which has an unimaginative form to contain its unimaginative content. Though it takes some basic skill to create a poem which has an identifiable meter and a consistent rhyme scheme that still makes some sense, poets view this as only the first step to achieving poetic prowess.

Part of the problem here comes from the ease with which one can string together a series of end-stopped lines. Once you begin thinking in a given rhythm, it is not very difficult to make complete thoughts in appropriate lengths, and as is the case for the example above, every line is a completely self-contained syntactic unit. You feel the natural tendency to pause at the end of each line for this reason, not to mention the presence of punctuation which leads you in the same direction. All of this serves to limit the range of possible expression, and it creates a solemn, stolid feeling that is appropriate for the most serious, ceremonial verse, and nothing else.

This is where the idea of enjambment comes in to relieve the monotony, and to open new vistas of poetic possibility. The word comes from French, and means to straddle, which is an excellent metaphor for what the device does in its poetic setting in both French and English. Read the following lines, and note the difference enjambment makes to the flow of the words and your reading of them:

To own a man these days can tax the best
Of minds beyond their normal mortal bounds.


There is a temptation with poetry that uses end-stopped lines almost exclusively to read in a sing-song pattern, accenting the meter, stopping and starting in the appropriate note to begin and end each line. In both examples, I have used iambic pentameter, but note how dominant and obvious it is in the first, while in the second it appears much more subtly. This is a result of the enjambment used in the second, which takes a complete syntactic unit and divides it over more than one line. The sense of the first line in the enjambed example relies on the completion of the second line, and vice versa, so you continue reading without pause to make the lines make sense. However, read each line on its own, stopping at the end, and starting again at the beginning of the next line. Notice that the meter is indeed regular, and is the same as that of the poem above. The enjambment has created the perception of a variation that produces an interesting aural effect, and this is what enjambment is capable of. There is certainly nothing wrong with end-stopped lines, but keep in mind that when used alone, they can result in a simple and monotonous verse.
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Apr 06, 2013
Research Tutorial / Rhymes that Don't (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Rhymes that Don't



Although many of you may be puzzling over the title of this article, rest assured that I have not made it in error, though I do not advise using this sort of shorthanded construction on your next essay. The more I work with and research poetry and its various manifestations (like popular music), the more I realize that our usual definition of rhyme isn't really sufficient. We have what is known by scholars as perfect rhyme (some professional terminology isn't very complicated at all, it seems) when an identical sound exists between two words on their stressed syllables, as in slap and pap, remind and behind, and moxy and Roxy. However, there are many other kinds of rhyme that exist which, while they seem to follow the regular rules as they should, or almost capture the identical sounds needed for perfect rhyme, actually end up slightly missing the mark.

Rhymes in WritingThe most obvious case of the abuse of the traditional definition of rhyme occurs when a poet or singer attempts to use a word as a rhyme for itself, as we can see in the following lines:

I love you more than all the world
I want to show you my whole world


This is known as identity rhyme, and although it can be used effectively at times, it most often simply comes off as being a kind of aural cheat; part of the allure of rhyme is the similarity it presents within a context of subtle difference, and identity rhyme removes the necessary contrast. A subspecies of identity rhyme occurs when one or both rhymes in the rhyming pair begin on a consonant, as in the pair ran and Iran. Again, little more than repetition is taking place here, and though this usage is relatively common, it does not please me at all.

Next we have what is technically known as an imperfect rhyme, and this is where a rhyme occurs between a stressed and an unstressed syllable. The following lines are a good example of this often unfortunate use of sound:

My dream in life was only to see her,
But all I got was pastry from the baker.


The rhyme here is obviously supposed to be between the unstressed final syllable in baker, and the word her, and taken out of context, these form a good rhyme. However, because the er of baker is an unstressed syllable, while her is stressed, you find yourself either missing the rhyme altogether, or warping the usual emphasis the word baker warrants, causing you to mispronounce it. Again, this device has its place, but when it is used in a place where we would expect a perfect rhyme, it sounds flat and desperate.

Another rhyme that has made its way into popular culture is the dreaded semi-rhyme. As the name indicates, a rhyming sound certainly occurs, but it is only really a half-rhyme, and does not obtain between the words completely. An example will make this painfully obvious:

I know my beauty truly loves to prance,
When under the umbrella top she dances.


The rhyme here is between prance and dances, of course, and while the rhyme is on the stressed syllables, the extra syllable on the end of dances, the es, is an irritating thorn in the side of perfect rhyme. This is precisely what defines semi-rhyme, an extra unstressed final syllable on the end of one of the words in a rhyming pair that has nothing to do with the rhyme, and appears completely superfluous. It is often added for the sake of grammatical correctness, but in my opinion, it would be far batter to try to rearrange the whole sentence, even the entire preceding stanza, than to leave this loose end hanging on.

When I realized that there was more than enough material for a two-part article on this topic, I had to get up and walk around, searching for some quality poetry with excellent and subtle uses of rhyme to keep me sane. Unfortunately for me, and unfortunately in general, even the greatest poets of all time are prone to using rhymes that don't (rhyme), and a favorite device of the old masters rakes across the eardrums like chalk on fingernails (and yes I said that on purpose; imagine how that would sound and feel?). That device is known as eye-rhyme, and although this might seem like an oxymoron (after all, what has rhyme got to do with one's eyes?), once you see it in use, the term will make perfect sense.

Take the following lines from the immortal Robert Burns as a prime example of eye-rhyme:

The chanting linnet, or the mellow thrush,
Hailing the setting sun, sweet, in the green thorn bush;


Read these lines several times, both to yourself and aloud, and ask yourself whether these lines rhyme or not. I did, and after a short time, the answer became clear: they rhyme visually, but not aurally. The key words in question here are thrush and bush, and if you repeat them over and over, you will come no closer to discovering their rhyming unity. However, looking at them, one can see that they probably should rhyme, and if a non-native English speaker were to see them together without ever having heard them, that person would say that the words certainly rhymed. Their argument would be that each is one syllable, and that the vowel sound in each, preceded by a consonant or consonant combination, and followed by the identical consonant combination in each word, should be the same, and therefore rhyming. However, because of irregularities and eccentricities with English pronunciation, these words do not, nor did they even for Burns, constitute an aural rhyming pair. However, because they look like they should certainly rhyme, based on their spelling, we call this an eye-rhyme; you can see it, but you can't hear it.

From the lofty heights of Burns we descend to the reaches of the everyday once more, and end this discussion with the closest-of-close, the almost-but-not-quite champion of the rhyming world, the slant rhyme. Read the following lines, and see if you can figure out what this term refers to from the example alone:

Yesterday I had a frightful dream
I transformed from an adult to a teen!


The words here that are desperately trying to rhyme are dream and teen, and while they are very close, they don't quite match. Teen rhymes with bean, lean, and mean, while dream rhymes with team, cream, and scream. The powerful vowel sound which occupies the center of each of these words makes them sound remarkably similar, and I have seen almost every word on this list used interchangeably with all of the others in the place of true rhymes. However, strictly speaking, this just doesn't work. Throwing one such slant rhyme into an otherwise solid rhyme scheme is a forgivable offence, and might even add variety. Done too often, however, such rhymes will poison your rhyme scheme all together.

By the same token, beware of terribly mean poets that you might encounter in your next English course who construct a rhyme scheme that uses slant rhyme in place of perfect rhyme in some places, and as a completely different rhyming sequence in others. This makes for a marbles-in-the-mouth effect that can be poetically desirable in some cases, but which makes for massive headaches when it comes to determining what is supposed to rhyme with what.
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Apr 06, 2013

Poetic Terms You Have to Learn

Masculine and Feminine Rhyme



Most people don't remember having to learn what rhyme is, since, for native English speakers at least, our faculty for rhyme seems very natural. If I hear a song on the radio, for instance, I will immediately notice whether it rhymes or not, and more often than not, I will notice a song that doesn't rhyme first, because that is the exception rather then the common case today. Most greeting cards strive for some sort of rhyming verse, and the world of advertising is replete with so much rhyme that it is impossible to escape it for more than a few moments at a time unless you turn off the power and sit in bed with your eyes closed. Try to think of random words as quickly as possible, or play the association game, and you will often find yourself slipping into rhyming sets of words. Our earliest stories contain rhyme, as do the first songs we hear and, it goes without saying, the nursery rhymes we all seem to have known for the duration of our conscious lives. However, the concept of rhyme is certainly one that has to be learned and applied to certain verbal situations which are governed by rules that are not always straightforward. I can actually remember taking home an assignment on rhyme and needing a little while to get the hang of it, and most of my classmates were in the same boat. And although rhyme seems completely intuitive to most adults, there are still certain kinds of similar sounding words that are on the borderline between rhyming and not rhyming, and exceptions to the usual rules that we have practiced for so long they have become almost automatic.

RhymeThe type of rhyme we have become most familiar with is called masculine rhyme, and this occurs either between stressed mono-syllabic words, like fly and pie, or between words in which the rhyme falls on the stressed final syllable, like believe and conceive. Note that the first syllables in the last rhyming pair, be and con, have no sounds in common whatsoever, and are about as far from rhyming as two words could be. However, this does nothing to affect the fact that we still consider the two words of which they are a part to rhyme. This is because both of these leading syllables are unstressed, and we tend to skip over this mentally to get to the stressed aspect of the word.

Feminine rhyme, on the other hand, is somewhat less intuitive, and often produces comic effects, especially when used frequently in a given poem. Feminine rhyme occurs when the rhyme falls earlier in a word than the final syllable, and the final syllable is not stressed. Happy, crappy, and snappy form a trio of words that share a feminine rhyme. Note that in order for this to work, the unstressed syllables must also rhyme, or be identical to their counterparts in other words. Happen and crappy, for instance, do technically rhyme on their first syllables, happ and crapp, and these are the stressed syllables in the words, with en and y being unstressed. However, because the unstressed syllables do not rhyme with or mirror each other, these words are not considered rhyming words at all. Interestingly, feminine rhyme can build on large numbers of syllables, even those stretching across several words, making rhymes such as pandemonium and random-showy-bum potentially comical possibilities. Note that, as in the preceding case, the more syllables that rhyme, the less strict the rhyme needs to be on each syllable, and such "stretches" only add to the comic effect.
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Apr 06, 2013
Research Tutorial / Catalexis (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Catalexis



After having just completed an extensive sub-series on meter, defining the regularities one might find in English poetry and explaining the formal ways of labeling what you will see through close observation and scansion, it is the ideal time to introduce a way of dealing with otherwise regular verse that takes some liberties with its final (or first) feet, and its syllable count in general. Although you might not believe this, if you can think of some way a regular metrical pattern can be modified in a consistent manner, there is almost certainly a name for it, and we have been and will be discussing the most important of these throughout this series.

Catalexis in WritingLooking at the following lines, it becomes clear that there is a regular metrical arrangement:

Take the bride and take the groom out,
Slap the child and clear the room out.

The bolded syllables (all complete words in this case) are the stressed syllables, while the regular text is unstressed. Each line has eight syllables, and every second syllable, beginning with the first, is stressed. The smallest repeated pattern in each line is / - (stressed/unstressed), and we know this to be called a trochee. Each line contains four of these (four feet), meaning these lines are written in trochaic tetrameter. This is not an uncommon verse form in English, but there is something about it which doesn't seem quite right. By modifying each line, we arrive instead at something which is slightly less jaunty, and more powerful sounding, more decisive:

Take the bride and take the groom,
Slap the child and clear the room.

Everything remains the same as it does in the first example lines, except that the final unstressed syllable in each line is dropped. This is a very common metrical variation in English trochaic tetrameter, because, as we have discussed previously, we like a stress to fall on the final (and in this case, also rhymed) syllable of each line. Unfortunately, if you are new to scanning verse, this will prove awkward, for it leaves you with a line that goes / - / - / - /, leaving you with a half foot at the end and no easily discernable regular metrical arrangement.

Fortunately, this kind of variation is covered aptly by the term catalexis, which has to with the dumping of an unstressed syllable either in the first foot of a line, or in the last (as is the case in our example). Seeing the example verses in front of you, and knowing this term, you could say that you are looking at trochaic tetrameter catalectic, and your teacher or professor will be at least impressed, but more likely completely blown away; many instructors are not up on their scansion terminology, and if you are, this will give you a level of respect which is difficult to achieve otherwise.

For the sake of completeness, it is useful to know the opposite term to catalexis, which is acatalexis, but the occasions on which this term will prove useful are highly limited. In the first example above, with nothing chopped off, you could state that the verse is trochaic tetrameter acatalectic, but those who know what you are talking about will be puzzled by your inclusion of the third term. After all, the first two by themselves express the same idea more efficiently, since they represent the descriptors of the conventional, unmodified case. Only in comparative instances would the second term be of use, and then only in relatively advanced papers on metrical construction.
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Apr 06, 2013
Research Tutorial / The Meter (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Meter



As you can tell from the very title of this article, we are dealing here with a significant and substantial aspect of poetic discourse; after all, if meter were something we could move over quickly, the article would simply be titled "Meter" rather than "Meter I," which of course suggests that there will be sequels to this original article. I remember the first time I looked to the front of a classroom and saw the words "poetic meter" written at the top of the chalkboard; all of us had some idea as to what it was, but all of us were at least somewhat afraid. Meter, we all knew, was that magical aspect of poetics that made poetry the domain of the educated and intellectual, whereas we were scarcely more than children. Some of us were silent and some of us made jokes as people will when we are feeling uncomfortable and out of our element, but none of us beamed with that obvious confidence which shines forth from students who know what is coming and eagerly await it.

Meter PoetryAs the lesson proceeded, the fears we shared were confirmed with every passing moment, and as the teacher continued, we were drawn further and further into the dull incomprehension observers, rather than active members, of a class fall into without fail. Finding yourself merely watching an instructor rather than actively engaging the material he or she is presenting is the first sign that the material is going over your head, either through lack of attention or a failure to integrate it into your current knowledge base. There were some of us in either camp, although the former group certainly dominated, and the class went on seemingly forever, ended, and let us loose with very little to say about what had just happened. Certainly, what we had just been exposed to was important enough to justify having spent 50 minutes on, but for the life of us none of us could recall much more than a handful of specific details. There was mention of feet, stress, rhythm, patterns, and syllables, but the relation between the key terms was arcane, esoteric, not something which could be easily digested and comprehended so casually as they would have to have been in under an hour. Something was missing, and as a result, the whole structure fell to pieces, or more properly, was never bound together in the first place. Aside perhaps from iambic pentameter, even the brightest of us walked away from that class knowing little, if anything, more than we had when we began.

It is tempting, as it always is, to blame the teacher, and failing that, society as a whole for robbing us of our attention spans and not preparing us for intellectual rigors. I have heard free verse blamed, as well as television, popular music, movies, role-playing games, and more recently, video games, cell phones, and I-pods. However, none of these scapegoats are truly accountable, at least not primarily. The teacher did well to try to expose us to these concepts which are not easy to teach and never popular among students, even after Robin Williams' remarkable English studies boosting Dead Poets' Society. All of the other distractions named certainly gave us many options aside from poetry for entertainment, but it has to be noted that if the teacher had been lecturing on the conventional components of contemporary rap or the functional apparatus of Sony's new PSP, the crowd would not have been more intrigued. The flaw was not with the methodology or the audience and its having been poorly prepared and programmed. Rather, it rests in the essential nature of meter; it allows the magic to take place, but an explanation of sorcery and its performance are remarkably different things.

To look for analogous instances of our ill-fated poetry class, look at what happens in classes that dissect any aspect of a phenomenon that people generally find quite enjoyable. In junior high, I remember gym class very well, as I am sure many of my friends do. I always looked forward to it, and it was an excellent way to break up a day spent in the restlessness of a classroom. Almost uniformly, we enjoyed playing sports and engaging in the various physical activities with which we were presented (even the square dancing, though few of us would admit it). However, almost to a person, we detested the days that were spent describing the rules and the mechanics of the sport or activity in question. We loved floor-hockey passionately, but we did not want to hear about the physics behind a good slap-shot, how by striking the floor just behind the ball we could use the natural flexion of the stuck to create a whipping effect which would propel the ball faster. We didn't want to spend time learning break-out formations and offensive zone strategies; we simply wanted to play, because it was the combined effect of the sport as a whole, rather than the elements that composed it, that we loved. If you had asked any of us if we thought the tedious details were important to the game as a whole, we would have responded in the affirmative. However, if you had asked us if we wanted to sit through an hour hearing about them instead of playing, we would have responded with an even more emphatic no.

And so, this is the unenviable position in which teachers and professors find themselves. Actually, their position is slightly worse than the once described above, since fewer students are in love with poetry in general than with a given athletic endeavor. So, instructors first have to teach their wards how to love and appreciate poetry, or at least provide them with an environment which leads them to it. Then, since reading and loving poetry is not synonymous with studying it, teachers must take apart the entities which have been so carefully constructed to hide their technical workings in a powerful integrated whole. There is seldom time to do this in a gradual enough manner, introducing the poetics slowly so that enjoyment comes first, and a more fine-grained technical ability later, and so students get a crash course in appreciation and examination which seldom captures the imagination.

The solution, of course, is time, a resource that there is precious little of in either university classrooms or the public schools. With the requisite curricular demands largely focused on the novel, composition, media studies, and presentation skills, poetry is given short shrift, and as anyone who loves poetry knows, it must be tasted gently and savored slowly, like fine wine or chocolate, not powered down the throat like flat Coke and cheeseburgers.

So, what is the right approach, if any, to teaching the technical aspects of poetry? Fortunately, I do not have to come up with an answer to that question for the purposes of this series. Covering fewer poems in more detail rather than many in an attempt to give students a broader range is a start, since one poem slowly savored is superior to five suddenly swallowed. The second is to engage students with contemporary materials, ranging from the poets of today writing on edgy themes to some popular music which is the descendent of a long poetic tradition. Finally, it is of the utmost importance that students be allowed to experience poetics in their own time, at a reasonable pace, and this is one of the key advantages to writing an article series on the subject. This writing on meter will be here whenever a given individual cares to give it a look, and it can serve as a useful addition to any course on poetry a student takes.

So, to be somewhat consistent with my own recommendations, I will begin the more technical discussion of meter not with a definition and a series of interlocking terms which will surely prove somewhat daunting, but rather with a line that is particularly memorable and metrical: "To strive, to seek, to find, and not to yield." This final line from Tennyson's poem "Ulysses" is an often cited example of a regular metrical line, and thus serves as a good place to begin our discussion of meter. Read the line over several times, and see if you find yourself slipping into a certain rhythm, a certain pattern. If you had to add a line to this one, think about how it would go, how it would sound, and how you could make it sound the way this one does. All of these considerations are what meter is about, and you will not find many poets, if any at all, who do not take this into consideration at various points in their poems, even those that sound highly irregular.

The primary use of meter, of course, is not to establish patterns within a single line, but rather to provide a general pattern which adheres throughout a poem, or at least through a significant portion of it. If poetry possesses a certain music, meter is the underlying beat around which the tune is arranged. There must be variation around this dominant arrangement, to be sure, but it is the baseline which makes variation significant. Read the following lines, and listen for a regular beat; reading them more than once and reading them aloud will give you an even better feel for what is happening:

In times of loss the healer must be time
For speed and soothing share no common ground
The wounds inflicted shun a rapid close
The poison needs to drain before the cure


Now, although we find no end rhyme in these lines, and therefore no significant rhyme scheme (though technically you could label it ABCD), there are regular patterns which are as much, or even more, a part of poetry's heritage. One of the first things to do when evaluating the meter of a given poem or section of a poem, after reading it aloud and allowing it to bounce around in your mouth and mind for a time, is to count the syllables in a number of consecutive lines. In the lines above, we can see that all of them, not coincidentally either I might add, have ten syllables. This immediately points to the likelihood that there is a regular meter present here, and although this is not always the case, it is highly probable. Ten syllable lines especially point to the likelihood of a regular meter, as that line length enjoys a long and storied history in English poetry, which will be explored in future articles on such topics as blank verse, and the sonnet.

It is important to remember at this point that complete uniformity is not necessary for there to be a significant, notable regularity. I have chosen the example above because it is completely regular, in order to make things as straightforward as possible, and to eliminate any confusion that might arise from irregularities. However, in practice poets often vary even a very predictably regular pattern with exceptions, and so over the course of a poem which runs predominantly on 10 syllable lines, there will likely be some examples of lines that run only 9 syllables, and some which run to 11 or even 12. Most often, the variation will be limited, and will not stray more than 2 syllables from the baseline pattern. This variation can create interesting effects if used sparingly; if used too often, it destroys the overlying pattern and begins to look random.

Once you have established a regular syllabic pattern, it is time to look for smaller, more telling patterns of organized sound. The smallest of these is known as the foot, and it is the literary equivalent of the molecule in chemistry; it is the structure beneath which you cannot go without destroying the poem's essential aural properties. A foot consists of a given number of syllables, depending on the pattern established in the poem as it manifests itself in a given line. However, unlike syllable divisions which have to do with vowels and the opening and closing of the mouth (and which come very naturally to us from an early age), feet are not such a natural phenomenon, and require some degree of measurement in order to appear obviously, especially for those who are not accustomed to listening to and labeling them.

The trick to finding feet (the plural of foot, of course!), is to recognize the pattern of stressed and unstressed syllables in a given line of verse. Stress in poetry, to use a pun which is already so overused as to be completely hackneyed, is a major cause for stress in students attempting to learn it. However, it is the absolute foundation of meter, and without knowing how stress works, your ambitions of poetic scholarship will be severely limited.

In English, as well as in many, many other languages, some syllables receive more time and attention than others, both in general and in specific configurations. For example, take almost any two-syllable ing word you can imagine, and think about which part of the word receives the most emphasis, time, and volume. Working, timing, slapping, smacking, playing and the rest are all stressed on the first syllable, while the ing ending receives relatively little attention, as we pass through it to get to the next important word. This follows a strong tendency in English to "front-load" many of its words, placing the emphasis on the lead syllable. On the contrary, French tends to back-load its words, which accounts in part for the humorous differences in accent when a speaker of one tongue attempts the other. There are many instances of constructions which reverse this tendency in English, of course, but the tendency is general enough to be significant, and useful.

What I refer to as the small words of English, which include the one-syllable prepositions, articles, and conjunctions, are generally not stressed, and it is usually a safe bet that the, on, and, in, their, of, a, and words like them will not be stressed in most circumstances. In order to remember this general rule, it is helpful to consider not only the grammatical type of these words (preposition, article, and conjunction), but also the importance each has in the conveying a given message. Of course these words are necessary, but they are almost never the focal points of a given line, or even a regular sentence for that matter. Consider the line "Fathers drop their shoulders down in shame." Now, if I had to choose the most important words here, I would pick fathers, drop, shoulders, and shame. Note that their and in seem far less important, and drop, while above them significantly, still doesn't rank as highly. Placement is also an important factor for these words; if one occurs at the start of a line, it is far more likely to be unstressed than stressed. If, however, it appears at the end of a line, where a lot of stress is usually placed in English poetry, it is more likely to receive (uncharacteristically) a stress.

Just as there are several classes of words in various positions which are usually unstressed, so too are there categories of words and syllables that are most often stressed, in regular language just as in poetry. It is important to note that the notion of stress is not a feature unique to poetry, but is actually a feature of language itself. Any given sentence I utter, including all of those that appear in this article, can be parsed not only for grammar and syntax, but for meter as well. Of course, while this might be an interesting exercise in some cases, and for those who study rhetoric at the most advanced levels, since prose is not defined by its metrical arrangements, such analysis will most often result in the production of uninteresting results.

Whenever a word has two syllables, as we discussed in part IV of this sub-series on meter, one is very, very likely to be stressed, while the other is likely to be unstressed. As noted, English tends to privilege the first syllable as far as stress is concerned, although this is no hard and fast rule. In multi-syllabic words, the stress cam come anywhere in the word, but is once again likely to be at the start or in the middle. In any event, the number of unstressed syllables in a multi-syllabic word is likely to be fewer than the number of stressed syllables, though again this is a statistical tendency rather than any kind of set rule.

Whenever a word consists of a prefix and/or suffix, these parts are likely to be unstressed, and the root of the word is very likely to hold the stress. Note that prefixes need not be obvious, like sub, pre, an, in or im. Word beginnings like be and de featured in such words as beware and destroy can also be considered prefixes, and, as in the cases just mentioned, the root of the word rather than the prefix is stressed. Say aloud to yourself the following words, and try to hear where the stress rests: demented, rejected, beginning, unwritten, bespoken, unworthy. It should come as no surprise that, in each case here, the middle of the word, which contains the root, is stressed, while the prefixes and suffixes are unstressed, supporting syllables.

Another useful rule of thumb to consider when determining stress is that monosyllabic nouns, verbs, and adjectives are usually stressed. This makes sense, as they are the most important and memorable words in any given speech act. It is easy to keep this in mind if you learn and remember the general rules for capitalization in English titles. Important words like those just mentioned are always capitalized, whereas the "little words" are not. In the title "Guns Fire in the Harsh Times of War," we can see that the nouns Guns, Times, and War are all capitalized, as is the verb Fire, and the adjective Harsh, while the little words in and of (both prepositions) as well the (a definite article) are not. If this were a poetic line, the stress would line up directly with the capitalization we see here; read the line over several times, in your mind and aloud, and you will see that this is the case. The line contains an unusual preponderance of stressed syllables (not for a title, but certainly for a poetic line) making it seem weighty, not to mention solemn. The number of stresses produces slow reading and (relatively) frequent pauses, which is appropriate for its subject matter, dealing with serious and important matters. This is but one of the many, many effects which meter manipulation can produce, and as we continue this extensive sub-series, we will have opportunity to enjoy many of them first hand.

For the purposes of this introduction to poetic meter, we can consider all syllables either stressed or unstressed, in a relatively straightforward binary on/off system. It should be noted that there are degrees of stress, and that there are complex systems for dealing with such variation; however, such fine points go beyond the goals of this series, which are introductory rather than specialized. It also needs mentioning that certain syllables that are more or less neutral can be stressed in some contexts and not others, and a powerfully established metrical pattern can pull these words into either direction, depending on their position in a line. Again, for the purposes of this outline, I will keep things as basic as possible, with obvious stressed and unstressed syllables, so that the basic principles stand out as clearly as possible.

Now that we have discussed a number of strategies for picking out stressed and unstressed syllables, let's look at a previous example and try to apply what we have been discussing:

In times of loss the healer must be time
For speed and soothing share no common ground
The wounds inflicted shun a rapid close
The poison needs to drain before the cure

If you guessed that the bolding in the example above was indicative of some metrical property, you guessed right. Now, read through the lines and consider whether the bolded syllables are stressed or unstressed. In specific instances, this may be harder to determine than others, but taken as a whole, it becomes clear that the bolded syllables indicate stressed syllables. Thinking back to the guidelines we have been discussing, as well as the natural flow with which you find yourself reading the line, it becomes evident that every second syllable, beginning on the second, is stressed. Taking the first line as exemplary, we can see that the nouns, the important verbs, and roots of words are all stressed, whereas the little words like the prepositions, articles, and the verb be are all unstressed.

It is obvious that a regular metrical pattern is established in the first line and maintained with unfailing regularity throughout the stanza, and noticing this is a vital step towards labeling the verse according to its metrical properties. Now that we have identified the stressed and unstressed syllables, and found a regularity, it is time to determine how many feet each line has. As we discussed previously, a foot is the smallest indivisible measure of meter, and its size and composition are determined by the pattern of stresses in a line. As a general rule, a foot is the smallest repeated pattern of stressed and unstressed syllables across a single line of poetry. Keep this well in mind, because it is a statement that many students find difficult to remember and apply. In the example provided, the smallest repeated pattern is unstressed/stressed. This layout repeats itself four more times across each line, and so we have a total of five feet in each line. This is a very common arrangement in English poetry, and you will likely encounter it many times, regardless of what kinds of English classes you find yourself in.

It is tempting to try to divide the lines into other patterns, and there is no doubt that other configurations are possible. However, when you remember that you are looking for the smallest repeated pattern, unstressed/stressed is the only foot that fits. From here on, all stressed syllables will be bolded, as in the above example, and all feet will be described using the symbols / for stressed, and - for unstressed. So, the foot which we see in the example above will be described simply as - /.

Now that we have determined how many feet the line has, and what type of foot we are dealing with throughout, we have what we need in order to name the line according to its metrical properties, and if you have studied meter at all in the past, you will already have determined that our example stanza is a classic example of iambic pentameter. This is the most common regular metrical arrangement in English poetry, and has been used from before Shakespeare through the present day. This is all well and good, you might be saying, but how on earth did you come up with a name like that to describe a series of five - / (unstressed/stressed) feet? This is where the nomenclature of meter comes in, and while it may seem random or arbitrary at times, there is a definite logic to its application.

The names of all regular metrical configurations contain two terms. The first of these terms indicates the kind of feet, and is reported in adjective form; we will cover this somewhat later, as it is the more complex, least intuitively systematic of the two parts of the metrical descriptor. The second term, which we will delve into first, indicates the number of feet contained in the regular metrical line in question. This second term is easiest to identify because it follows a predictable pattern of naming, based on its prefix. Many of us, through common use or through various science courses, are familiar with a host of Greek prefixes which designate number. It is these prefixes which are used to label the number of feet in a line of poetry, making this second term of the set very easy to remember. Monometer indicates a one-foot line, dimeter a two-foot line, trimeter a three-foot line, tetrameter a four-foot line, pentameter (as in our example) a five-foot line, hexameter a six-foot line, heptameter a seven-foot line, and octameter an eight foot line. This could obviously continue on almost into infinity, but anything beyond eight feet is hardly useful, for very few indeed are the poems which employ lines of such length. In fact, there seems to be a natural tendency among poets and readers of poetry to "naturally" want a line to end before it hits seven feet, and although no rules govern this, even lines of seven and eight feet are relatively rare in English poetry.

By the same token, certain regular metrical line lengths on the short side of the spectrum are also remarkably rare. Think, for example, of the last time you read a poem in monometer. These do exist, but they tend to be brief, and feel somewhat experimental. It is difficult, after all, to establish a rhythmic flow over the course of such a short line, and while monometer may be used at times over the course of a poem for emphasis, it is seldom the regular governing meter of an entire poetic work, and certainly not a long poem. Dimeter, especially when composed of feet with only two syllables, is similarly rare, primarily for the same reasons. It is not until we get to trimeter that we see significant, extended use in regular metrical arrangements, as even six syllables is enough to establish a sense of rhythm within and across lines.

Having said all this, it is important to note that within a given governing regular metrical structure, poets will sometimes use odd-sized lines to produce given effects. For example, if iambic pentameter is the overarching meter, a poet may include some lines that stretch into hexameter, or even heptameter. The effect here is often to conclude a section of verse with a more substantial, fuller feeling line. It also slows down a given section of the poem, and this can be effective for providing a reflection on what has come before, or for emulating a slowing sense within the content or events of the poem.

Similarly, poets will sometimes introduce surprisingly small lines into an otherwise "normal" metrical flow, again for the express purpose of creating some effect. We mentioned earlier that this device can be used for emphasis, and you can imagine that including a monometric line in a predominantly pentametric structure would cause the reader to take definite notice of the anomaly. As opposed to the introduction of a noticeably longer line, the introduction of monometric or dimetric lines serves not to sum up or reflect, but rather to end or begin a line of thought abruptly. The effect is brief but powerful, causing you to screech to a halt unexpectedly in the middle of a regular flow. The individual words in these small lines all gain a greatly increased significance, and unless they are pivotal to the poem in question, they will really have no place in such an emphasized line.

So, the systematic labeling of lines according to the number of feet they contain is now child's play to you, and you will soon find it as easy as counting syllables, that most basic of poetic exercises. Now, however, comes the tricky part, which is naming all of those pesky little feet of which there are many, many possible variations. Unfortunately, there is no simple Greek system for labeling the kind of foot a line possesses; it has Greek roots all right, but the terms are far more colorful, terribly unsystematic, and often seemingly arbitrary. You will need to memorize these, but fortunately the number you will commonly come across in English represents only a fraction of the possible total.

To get you off and running, you already know one type of foot, which is the iamb of our most recent example stanza. An iamb is a two-syllable foot structured - / (unstressed/stressed), and is the most common foot in English meter. Its partner, also quite common though not as popular as his famous cousin, is the trochee, which is another two-syllable foot, but arranged in the opposite stress pattern, / -. Knowing these two foot types alone will take you a long way, and if you decide to read nothing further in this series, please make sure to at least be able to identify these. Each of these is most commonly employed in serious poetry, with the iamb being considered the most serious, solemn, and somber, while the trochee tends to create a more insistent, hammering, aggressive sounding line.

Since we are traveling in the order of highest utility, we move next into the realm of the most common three-syllable feet, the first of which is called the anapest. The anapest is structured --/, and while it looks like it might be a near relative to the iamb, a reading of any line in this meter will quickly show that its impression on the ear is far different. Its antithesis is known as the dactyl, and as we would expect, it is structured /--. These meters are far less common in English than their two-syllable rivals, but when they are used they create effects that are even more distinctive. The anapest is a favorite of all kinds of comics, and every poetic form from the nursery rhyme to parody to the lewd song gains something from the use of this form. The dactyl, on the other hand, creates a thundering, galloping momentum, which tends to move the reader rapidly from one line to the next in a nearly breathless fashion.

If you are a fan of combinations and permutations, you will no doubt be aware that there are several other possible three-syllable feet, and I will describe them here not because they are common regular governing meters in English (they are not), but because they come up often enough as variations that they are worth being able to identify. The first of these is the amphibrach, structured - / -. This foot type is most commonly employed in lighter verse, and sees significant use in the short, humorous limerick, though it is seldom employed in a regular, strictly structured manner.

The amphimacer is the mirror image of the amphibrach, structured / - /, and is so infrequently employed in English verse that its effects are unremarkable. The bacchius, named for the Greek god of wine and revelry, runs - / /, while its opposite is appropriately titled the antibacchius, quite a mouthful to say and a mindful to remember, running / / -. I am well aware that by now, if you have been following closely, your head might well be spinning (I know mine is, and I deal with meter most days of the week). However, if you identify any of the metrical arrangements mentioned on this page, your professor will likely credit you in front of the class for being an exceptionally bright spark, and if you identify these feet for your teacher, she will immediately send you to the next grade, or interrogate you for hours about where you copied your paper.

As you can imagine, the combinations grow larger and larger for every additional syllable that is added to a metrical foot, and for this reason we will not proceed into the realm of four-syllable feet or any number beyond that. English poetry employs such meter only on very, very rare occasions, and if you are studying and labeling such complex metrical arrangements, chances are that you know where to go to get the appropriate terminology for the task at hand.

Those among you who are keeping track will have noticed that I have conveniently decided to skip over various possibilities at both the two- and three-syllable levels, and I admit that this is the case. I did not do so through oversight, laziness, or because of some difficulty inherent in those possibilities, but rather because they simply cannot serve as the dominant ordering meter of a given line. They are all employed from time to time in English poetry, and certainly deserve mention, but only as accentual feet which contribute to an overall effect, not as ordering feet in regular metrical arrangements.

The first and most common of these is known as the spondee, and this handy little foot is structured / /. As you can see, a line arranged in this manner would be very difficult to compose indeed, and would likely have to be made up of a series of monosyllabic nouns, verbs, and adjectives, in what would likely be an ungrammatical sequence. The opposing two-syllable possibility, the dibrach, faces similar difficulties in becoming the regular meter of a poetic line. Its - - form means that no words in the line would have a stress, and anyone who has attempted to create a poem like this is aware of how difficult that is to do. Both of these foot types can be employed to shift a regular meter into a variation, or to add or remove emphasis from given words, but cannot stand alone as regular metrical structures.

For the same reason the spondee and dibrach are untenable feet in a regular metric pattern, so too are their longer three-syllable cousins. The molossus, (yes, that is its name; I am not making any of this up) is a spondee that does strength training, weighing in at / / / (three consecutive stressed syllables). On the opposite end of the spectrum, we have a foot that eats even less than the dibrach, predictably called the tribrach. This unassuming foot is structured - - - (three unstressed syllables), and does not appear in English very often at all, even as an accent to a regular metrical pattern. In the presence of any stressed syllables, the shy, modest tribrach tends to break off into different metrical configurations, making it difficult to locate at any time.

So, now that you have memorized all of the foot types, having already memorized the terms to describe the number of feet in a given line, you are ready to tackle almost every line of verse the English language can throw your way. Once you have identified the foot type, whether that be an iamb, an anapest, or an amphibrach, simply add an adjectival ending to it (usually just ic, though you may have to alter the ending of the stem slightly to accommodate this), hit the space bar, record the correct term for the number of feet per line without any modification, and you have successfully identified the meter of the line (and perhaps even the poem) in question. It is as easy as that! This skill you have learned, by the way, is known as scansion, (the verb is simply to scan), and it is one of the cornerstones of any advanced type of poetic analysis.

To test your newfound skills, try scanning the following stanza and determining the correct metrical terms:

At the end of the night,
On the train to delight,
With your soul you can see,
Why this love has to be.


Read this over several times, to yourself and aloud, and see what rhythm naturally emerges; is there a certain way you find yourself reading the lines that is regular and musical? Hopefully there is, and what follows next will merely help you to formally confirm your intuition.

Beginning with a syllable count, we see that each line contains six of them, which from the outset creates a quick, choppy effect. Next, we move into the identification of stressed and unstressed syllables, and we notice right away that the number of unstressed syllables is far greater than the number of stressed. In the first line we have four little words, including at, the, of, and the, two propositions and the same article twice. End and night are both nouns, and both significant to the line. The stress then falls on the middle and end of the line, giving us the arrangement - - / - - /. Looking at the rest of the lines, we can see this pattern holds true in a very regular way, and so it is safe to say this is the dominant, regular metrical pattern of the stanza.

Next, we need to find the shortest repeating pattern, and the only possibility here is - - /, which occurs twice in each line. So, we now know we have two feet in each line, making the lines dimetric, and thinking back to our foot types, we remember the name for such a foot is an anapest. Although we have been presented with a relatively rare verse form in English, we can confidently state that this stanza is written in completely regular anapestic dimeter. I encourage you to seek out and scan as much poetry as you can, putting into practice all we have been discussing, and developing an ear for meter, both in its regularities and in its exceptions.
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Apr 06, 2013
Research Tutorial / Interpretation (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Interpretation



Although we have not progressed nearly as far as we will need to in this series in order to begin making great interpretations of poems, the issue of interpretation itself is so important, and so often confused, that it needs to be discussed sooner rather than later. Most people assume that interpretation is the sole activity involved in reading a poem, and that interpretation is the key to becoming a proficient reader of verse. However, allow me to state unequivocally that this is not that case, and that such an approach will only cause you to suffer through any poems you do happen to make it through.

Interpretation in WritingThe word interpretation is an interesting one to use in the case of a work of literature, because it has such a strong meaning already in the fields of linguistics and especially cryptography. If I refer to someone as an interpreter, this means that person is adept at at least two languages, and that they are able to translate what someone says in one language into another. Similarly, if I am a master interpreter of codes, this means I am able to take a message which has been hidden in some kind of series of symbols and reveal it. In both cases, there is a correct interpretation, and an incorrect interpretation; if the translator gets the interpretation wrong, confusion will result, and people will quickly clue in to the fact that an error has been made. Likewise, if the code-breaker gets the interpretation wrong, the message discovered will be wrong, or complete nonsense, and the consequences could be dire.

However, in the realm of poetic interpretation, the term can hardly be said to apply in the same way. First of all, what is presented to the reader is not a foreign language or a secret code, but first and foremost a series of statements made in a familiar tongue. No matter how poor you are at understanding poetry, you will find familiar territory in a poem, and you will achieve an understanding of many individual aspects of it, as well as how many of them relate. If you see trees and flowers in a poem, and snails with wigs and canes, you might have no idea what this has to do with anything (although the rule of significance will help), but at least you can appreciate the snails for themselves. Exploring the surface of a poem is the most important part of coming to understand it, and this takes place before anything like interpretation goes on.

Note too that the emotive and subjective aspects of the poetic experience are as important, if not more so, than any other consideration. Remember that we read poems for the emotional experience first; the intellectual puzzle comes only later. Think of the interpretation and analysis you do of a poem not as ends in themselves, but as ways to increase your understanding and therefore your enjoyment of poetry. The more you know, and the deeper you go, the more complete your experience will feel.

Finally, unlike the examples of interpretation mentioned above, there is not one correct interpretation for poetic works. The act of reading poetry is an interactive process between the text and the individual reader, and as a result, individuals will have unique experiences. However, do not confuse this with the all-too-popular "there are no wrong answers." Believe me, there are, and if you don't believe me, try writing an essay about how all of Shakespeare's sonnets are really about the stock market crash of 1929. Because the text of the poem is consistent even thought its readers may be different, there is a broad but not limitless range of interpretation. If you have read well, and thoroughly immersed yourself in a poem, chances are yours is going to fall into this range.
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Apr 06, 2013
Research Tutorial / Agency (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Agency



Although many of the terms we have been discussing so far are unique to poetry and the analysis of poetic texts, there are several vital concepts which have common meanings important outside the realm of poetry as well. Agency is just such a term, and unless you are very young or very, very sheltered, you have heard this word used at some point in your life, and it likely had nothing to do with poetry, or literature at all for that matter. If you have some idea of what it meant then, you are well on your way to understanding what it means in the context of poetic analysis.

Agency WritingThe term agency comes from the word agent, which indicates an entity (usually a person) which takes, or has the ability to take, action. An agent is something that has autonomy, and is something (again, usually someone) that can take initiative on its own when it so desires. This term is very interestingly applied in The Matrix series of films to the character of Agent Smith, who is at once an agent in the common Hollywood sense of a special or secret government agent, and a computer program which is itself capable of taking action and making decisions on its own, an agent in the truest sense of the word.

Agency, therefore, is the ability of an entity to act as an agent, and the state of being in possession of a given action. Looking at the following sentence, we can see that Billy is the agent, meaning that he has the agency in this situation: "Billy was so angry that he slapped his horse." As we can see, Billy is the one doing something here, while the horse is having something done to it. In this situation, Billy is active, and the horse is passive. This series of related terms is absolutely necessary is determining poetic meaning, and agency is one of the first things you should try to determine whenever you are analyzing a poem.

In the following (very short) poem, note who has the agency, and who the active and passive figures are:

Undermined by sympathy 1
I was beaten to the punch 2
By my whole family. I didn't 3
Ask for much, and they gave me just that. 4
My dog peed on my shoe, 5
And my baby sister did too. 6


In order to determine agency, it is helpful to identify the various nouns and pronouns in the work, since only they can be agents at all. So, we have sympathy, I, family, I, punch, much, hey, that, dog, shoe, and sister. Going in order, we can see that sympathy undermines the I of the poem, so it has the agency, and the I is passive. I is also passive in relation to the family, since they beat her to the punch. Next, we see that the I is officially the agent, in "I didn't ask," but we can see that this is a negative statement where nothing is actually happening. We see next the family is giving me very little, and so again the family is the agent while the speaker is passive. The dog and baby are both active, while the poor shoe (again, attached to the speaker), is passive.

It becomes clear then that the agency of the poem is clearly in the hands of the family, and is clearly not in the hands of the speaker (the I or me figure). She has a central role in the poem, but it is one of receiving actions, not doing them herself. This echoes the content of the poem, which shows her as subservient to her family, and is a clear case of how understanding agency can enhance your experience and analysis of a poem.
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Apr 06, 2013
Research Tutorial / Rhyme Scheme (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Rhyme Scheme



One of the most basic features people use to identify poetry is rhyme, and although poetry does not need to rhyme to be poetry, if you see a series of ordered lines with a regular rhyme in your class text or on an exam, you can rest assured that it is a poem. There are dozens, perhaps even hundreds of ways that poets can employ rhyme in order to create various effects, and all of them are worthy of looking at; whenever you see rhyme in a poem, no matter where it occurs, examine it closely, because it has some significance to the overall meaning of the poem.

Rhyme Scheme Poetry WritingOf course, as most of you will already be aware, the most common use of rhyme in poetry, and certainly the most recognizable, is the use of end-rhymes, arranged in a regular pattern. End-rhymes are rhyming words that occur at the ends of a number of (at least two) poetic lines. In the following example, we see end-rhymes at work in a short space:

The louse destroyed the tree, 1
The frog destroyed the bee. 2


The word tree, ending the first line, rhymes with bee, ending the second line, creating an example of end-rhyme which is difficult to miss. These end-rhymes, found in such close proximity, are very common, but end rhymes can occur over a much greater number of lines. It is possible, for instance, for a word ending line 1 of a stanza to rhyme with line 5, or even lines 6, 8, or 10, although such a long space between rhymes is rare, because the original word is no longer fresh in memory, and its aural effect would be largely lost.

In order to keep track of, and to write about, the pattern which emerges when a series of end-rhymed lines occurs in a predictable pattern throughout a given stanza, the most effective tool to use is known as a rhyme scheme. The rhyme scheme uses a simple kind of algebra to denote rhyming words, and is highly effective in determining whether a given poem uses a regular rhyming pattern or not. Read the following example, and see if you can spot the pattern of rhyme (also known as the rhyme scheme):

Alas, the space between us grows 1
Again, the distance multiplies 2
So quickly, no connection slows 3
The way such parting stultifies. 4


Ignoring what any of this might mean for the time being (as it has no bearing on the rhyme scheme, though we may find later that the rhyme scheme does have some bearing on the meaning), we can begin to discover the rhyme scheme of the poem by marking an A beside the word that ends the first line, grows. Looking now to the word that ends the second line, multiplies, we can see that is does not rhyme with grows, and so we can mark it with a B. The third line ends in slows, and comparing this to the other end words we have already seen, we can see that it rhymes with one of them, grows from line one. So, we mark an A beside the third line as well. Finally, the fourth-line end-word, stultifies, rhymes with multiplies from line two, and so we can label it B as well. So, since this is a complete stanza, we have our rhyme scheme: ABAB. This is a very common arrangement, and is perhaps only less common than AABB.

If you follow this procedure through an entire stanza, putting an A by the first end-word, and a new letter (proceeding in alphabetical order, of course) beside each end-word that does not rhyme with it, making sure to use the same letter for all words that rhyme with one other, you will have no problem finding the rhyme scheme for any poem you encounter.
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Apr 06, 2013
Research Tutorial / Verse, Line, Stanza (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Verse, Line, Stanza



As we discussed briefly in the previous article, knowing the constituent parts of a poem is of the utmost importance to being able to speak and write about it successfully. One of the greatest temptations, especially when a poem is arranged in free verse (without common discernable patterning), is to speak of its parts and sections as if they were actually pieces of prose writing. By reading what follows, and remembering that there is a whole other language devoted to the study of poetry, you will not fall into the all-too-common traps students find it very hard to avoid.

Verse, Line, Stanza in WritingFirst of all, some confusion has arisen over the use of the term verse, and it has become fairly widely used as a synonym for line, when the two are actually not synonymous at all. Properly used, verse is used to describe language that is structured by meter and rhythm. It is similar in this sense to poetry, although a single line found on a birthday card which is composed in a rhythmical fashion counts as verse, whereas poetry is used to describe such arrangements that are more substantial and evocative. The sing-song slogan you hear on the radio in the morning is verse, but it is not poetry. Alternatively, the term can also be used to describe the smallest divisions of the Bible and other holy texts, regardless of their meter and rhythm.

Moving onto more acceptable terminology, then, we come to the most basic unit of poetic production, the line. Most of us have an excellent idea what this is, but for the sake of complete clarity I have included two numbered lines below:

The end of all our summers came so fast 1
It's sad that nothing golden ever lasts 2


As you can see, a line need be nothing more than a series of words that begins on one side of the page and ends sometime before it reaches the other side. Of course, it is common in poetry for a line to have extra features that set it apart, and the lines above are no exception. First, each line contains ten syllables, which is a common length for regular poetic lines in English. Next, each line has a dominant stress pattern you can hear when you read it; read the lines one after the other and try to hear the pattern. This is an important aspect of poetry, and it will be covered in depth in a later article. Finally, we can see that there is a rhyme word that marks the end of each line, another common poetic device. Each line in a poem is often capitalized, regardless of where a sentence would normally (grammatically) begin. Again, none of these considerations is necessary, but they are very common and important to be aware of.

The next division is the stanza, which is an ordered group of lines separated from other groups of lines in the same poem. In order to show you what this means, I have included two three-line stanzas below:

The end of all our summers came so fast,
I can't believe our time has run so short.
It's sad that nothing golden ever lasts.

Whenever I have thought about the end,
About the troubles time will steer out way,
I'm only glad I've had you as my friend.


As you can see, the most obvious demarcation between stanzas in a poem is the clear white space between them. This is all that is really needed, but as was the case for lines above, there are often other factors that serve to denote one stanza from the next. For example, stanzas are often of a regular length, and a common pattern of rhyme exists between each stanza. In this example, we can see that lines 1 and 3 in each stanza rhyme, while line two does not. This is known as a poem's rhyme scheme, but again that is something we will be exploring in a future article.
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Apr 06, 2013
Research Tutorial / The Speaker (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

The Speaker



In order to begin any poetic analysis, it is important that you know what the major pieces and players are called. You would not believe how much harm it does to your grade when you refer to a collection of related lines in a poem as a paragraph, the person who is making the poetic utterance as the narrator or the writer, and a single line as a sentence. None of these terms is bad on its own, and all have valid uses in other areas of literary studies. However, in the case of poetry, they will do nothing but show others that you are not familiar with the terminology you need.

The Speaker in PoetryOne of the first distinctions that needs to be made, and one that fails to be made again and again in classrooms from high school to the final years of university, is between the author (or writer, or poet), and the speaker of the poem. This is a similar distinction to the one that needs to be made in literary prose between the author and the narrator; at no time should you refer to the person who is uttering a piece of creative writing as the author or writer. There may be times when you are tempted to do this, and there may seem to be compelling reasons: the speaker may use the first person I, she might say things that you know the real author to believe, and she may even state that this is me, the author, who says these things to you now. However, you must resist all of these temptations, and refer to the person saying the poem as the speaker. It will always be right, and others will always understand your meaning.

This might seem like a very fine, minor, even unimportant point, but it is a foundational principle of literary criticism. When an author writes a work, he or she constructs a persona, who may be very much like the author, or almost nothing like that person at all. It is as if the writer is slipping into a role, becoming an actor for a time, and so just as you would not confuse a character with the person playing him or her in a film, so too should you avoid confusing the speaker of a poem with the person who has created that persona. This is also important when it comes to issues of freedom of speech and legality; an author cannot be held liable for what the speaker of a poem says, no matter how objectionable.

The next point is one we have already touched on briefly above; the speaker of a poem seems to fill essentially the same role as the narrator of a novel, but under no circumstances should you attempt to use the terms interchangeably. Again, this might seem like an insignificant distinction, but it rests in the very definition of the terms, and contradicts these when used improperly. Remember, the word narrator comes from the word narrative. A narrative is a story, a series of interconnected events which (usually) progresses through a beginning, middle, and end, in a way that builds excitement to a climactic point. A poem, on the other hand, is not a narrative at all. It usually tells no story, contains no plot, and focuses on the creation of diverse and powerful emotions, rather than the creation of tension, conflict, and excitement. So, the term narrator simply doesn't apply. The only appropriate substitute is speaker, which underlines the aural aspects of poetry, even when it appears in written form. The concern for voice and sound is expressed by the term, taking it away from any focus on narrative or story.
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Apr 06, 2013
Research Tutorial / The Rule of Significance (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

The Rule of Significance



All too often, instructors teach poetry by delving into and explaining individual poems, without regard for the specific process through which this exploration is conducted. Even worse, students are often never told why they are doing what they are doing, and this leaves all but the brightest and luckiest scratching their heads and wondering how they are going to get through the final exam. This series will go a long way toward explaining the nuts and bolts of poetic terminology, but if you read nothing else about poetic analysis and remember nothing else from this series, please, please, make sure that the foundational premise underlying all poetic production, the rule of significance, remains embedded in your brain like a traumatic event or a hot bullet. It is that important.

Significance PoetryDespite its importance, however, this foundational term and justification for all poetic texts is known by very few teachers, and almost no students, which is nothing short of terrible. What makes it all the more reprehensible is that it is so elementary, so simple, so obvious (once it is stated), that even an average sixth grader would have no problem understanding and applying it. I discovered this phenomenon without knowing what it was called, along with some of my classmates, early in junior high, and we thought of it as a trick to use to answer questions about and to write essays on poems. This likely happens in every generation, but never gets passed on because it is not taught, and those who possess the secret only pass it on to those they feel they can trust. Basically, the rule of significance states that every poem, no matter what it seems to be about, is also somehow related to human activities, concerns, experiences, relationships, and emotions. Every poem is about the human condition, about you as an individual, and about life in general. It's that simple.

Many of you are saying "What? You built us up for two paragraphs to tell us that? But that is obvious!" I will respond with what I said in the beginning: the rule is not difficult, and it seems obvious once you hear it, but it is by no means actually obvious or well known, and it is devastatingly effective. I have seen countless students get mired down in a poem about trees, flowers, landscapes, various material objects, and so on, unable to get past the surface to penetrate into the core of the poem. None of these students applied the rule of significance, and all paid the price. Even more usefully, the rule applies to individual pieces of poems just as well as it does to poems as a whole. Just as a poem about flowers is also a poem about human life, so too is a line about a flower also a line about some aspect of human experience. Perhaps an example is in order.

In the following poem, the rule of significance is of paramount importance to achieving any level of comprehension:

At a Station of the Metro
The apparition of these faces in the crowd;
petals on a wet, black bough.


Now on first glance this poem, written by Ezra Pound, seems to say very little, if anything at all. The title tells us it takes place in a subway station, but it looks like nothing really takes place. The first line talks about faces appearing in a crowd. The second mentions petals on a bough, and there is nothing before, after, or between them to suggest any connections. However, if we keep the rule of significance in mind, we can make some sense of the poem. The subway station and the faces obviously pertain to human activity already; the petals and bough are therefore the rule's primary targets in this case. The petals must be symbolic of the faces, and the bough symbolic of the crowd. So, this poem is making an observation, which happens to take place in a subway station, about the beauty of human individuality. The crowd is large and bleak, undifferentiated, like a wet, black bough. However, as we look, certain faces jump out at us, and catch our attention; these are compared to petals, the beautiful emergent aspects of the tree in contrast to the bleak branch. So, it seems that the beauty of human individuality can emerge from even the bleakest of places, just as the beautiful petals can blossom from even the bleakest of branches. The rule of significance has showed how the non-human aspects of the poem relate to the human aspects, and we go from complete befuddlement to a level of comprehension in no time at all.
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Apr 06, 2013
Research Tutorial / Introduction (Poetic Terms) [NEW]

Poetic Terms You Have to Learn

Introduction in Poetry



Whenever I ask students what part of English courses they find most difficult, the answer is almost always understanding and writing about poetry, and this makes sense to a certain degree. After all, dramatic works and novels both share a narrative structure which, especially in the latter case, makes understanding far less complex, and both plays and novels are so long that it is possible to grasp and remember the larger course of the action, even if some of the details are difficult to understand. Poetry, on the other hand, is far more condensed than either of the aforementioned forms, and often the failure to understand a single line or word can sabotage the understanding of the whole. Also, poetry usually eschews narrative structure, so if you are looking for a plot in a poem, you are looking for the wrong thing in the wrong place. Add to this the fact that poetry employs far more figurative language, symbolism, and formal constructions that are significant to its meaning, and you can easily see why so many find it so very daunting.

Introduction PoetryAll of that having been said, however, there is still hope for even the least poetically literate among you. Many people look at the process professors and teachers lead them through when explaining poems, and think of it as some kind of linguistic magic, a power inherent in the individual that makes connections obvious and symbols clear. Certainly, there is a definite sense of magic that accompanies the feeling of success you encounter when you have devised a reading for a poem that makes sense, and which fits the evidence as it is presented to you. However, there is no inherent faculty for poetic wizardry you need to possess in order to achieve this success. Like most things, the successful analysis of poetic texts requires study and practice. An ear for meter and an eye for symbolism are important, but these too are developed as a result of study and practice, not inherited from birth.

Much of the problem students have with poetry is that they have no idea what to look for, or how to find it. I have heard many students who have noticed something interesting and important in a poem struggle to find the words to describe it, only to be cut off by a more terminologically adept classmate or impatient professor. Contrary to popular belief, there are certain aspects of poems that will strike everyone regardless of their training and poetic skill. The best poetry is so effective not only because it handles the technical considerations well, and lends itself to complex and rewarding analysis, but also because almost anyone reading it will experience a feeling, or a range of feelings, that will captivate interest and encourage deeper reflection, both of yourself and of the poem in question. Knowing how poets create these emotive responses, and how to relate specific aspects of poetic texts to your personal experience of a poem, is what this series is all about.

Although many teachers and professors forget this, the primary purpose of poetry is not to provide intellectual puzzles against which our wits can be tested. Poets do not write to provide secret codes for transmitting important government information, but rather to provide their readers with an enjoyable emotional experience on as many levels of understanding as possible. The difficult language and grammatical labyrinths many poems employ are not designed to trap the reader in a quagmire of frustration, but rather to tease the mind into producing experiences and engaging memories that regular prose cannot elicit. Learning the terms that follow will assist you immeasurably in that experience, and impress your instructors to boot.
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Apr 06, 2013
Research Tutorial / Antihero (Writing a Novel) [NEW]

Terms You Need for Writing about the Novel

Antihero



If you ask 100 people on the street what a hero is, unless you happen to come across an individual or two who speak and understand no English, you will receive 100 responses, most of them very similar. After all, the idea of heroism is enshrined in our culture, and all of us have heroes we have venerated and respected throughout our lives. Children will often cite superheroes when questioned in this manner, and why wouldn't they?

Antihero WritingSuperman, Spiderman and the like are all larger-than-life figures who use their powers and risk their lives to save others from certain death. Others, older and more experienced, would cite political leaders like President Kennedy, or Martin Luther King, for their courage in the face of opposition, and their bravery and determination to create positive change for all. Still others would focus on the men and women of the police force, fire department, and the military who on a daily basis risk their lives in the line of duty. Ask these same 100 people what an antihero is, however, and you are likely to get far fewer answers, and those you do receive are very likely to be so different from one another that they do not even seem to be connected to the same term.

The reason for this is relatively simple; hero is a term popular is daily life, while antihero is restricted almost exclusively to literary usage. Hero also has literary value, and it is often interchangeable with the term protagonist, but its literary use is so similar to its popular use that the transfer from one area to the other is seamless. Antihero, on the other hand, is not even translatable based on its etymology. Anti usually means against, or opposed to, which would make the term antihero a synonym with villain or antagonist. Fortunately, since these words cover this meaning well already, antihero does not actually mean this at all. Many scholars have complained about the vexed nature of the term, some going as far as to call it a complete misnomer, and while this is valid criticism, we are nonetheless left with this term as the only one which fills the necessary slot.

An antihero is a character who, while being the protagonist of a novel (or other narrative work), does not exhibit the full range of what we would consider to be stereotypically heroic characteristics. We normally think of a hero as someone who uses his or her abilities to perform great deeds that serve others, or the greater good in general. These heroes are brave, persistent, powerful, and self-sacrificing. Most of all, heroes are moral, and their actions should be unambiguously good: superman is a prime (if exaggerated) example. Antiheroes, on the contrary, lack some (or even most) of these important qualities, and depending upon which they are lacking, turn out to be unremarkable, dull people, or individuals who use their substantial faculties in immoral ways to achieve outcomes which are often only incidentally of benefit to others, and not necessarily "good."

An example of this first type would be Leopold Bloom from James Joyce's novel Ulysses, who is a generally good but largely unremarkable character with no special powers and no penchant for adventure nor for saving others. He is an antihero in the sense that he occupies the place a hero would in a traditional narrative, but possesses no heroic qualities. An example of the second type of antihero would be The Punisher of comic book (or, if you prefer, graphic novel) fame. He is a man who possesses great strength, ingenuity, and a shrewd intelligence, but it is focused in a moral direction which could not properly be called good, at least not in the same sense as Superman. His life's work is not to sacrifice himself to prevent harm being done to others, but rather to get revenge on those who have done wrong through any means necessary. Vigilante justice is his MO, which flies in the face of conventional morality, and so The Punisher, while certainly not an unremarkable character like Bloom, is an antihero because of his immoral behaviors, even if they are directed toward (arguably) moral ends.
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Apr 06, 2013
Research Tutorial / Intertextuality (Writing a Novel) [NEW]

Terms You Need for Writing about the Novel

Intertextuality



Intertextuality is on that short but frustrating list of terms that appears far too frequently in advanced discourse, and hardly (if at all) in popular discourse and introductory courses. In literary studies, intertextuality has been a buzzword since at least the 1970s, and has remained in high use through the length of its life. However, it has not enjoyed the same fate in regular discourse, and even my spellchecker, which recognizes much newer words like Internet (reminding me to capitalize) and modem, has no idea what it is and cannot even offer me alternatives. So, though I will be rehashing a stale argument in literary circles, by briefly exploring what intertextuality is, I will be doing most audiences a valuable service.

Intertextuality WritingIntertextuality is a concept in literary studies which expresses the relations between texts, conceived in the broadest possible manner. The term was coined in association with such theoretical designations as deconstruction, post-structuralism, and post-modernism, as a way of describing how discourse, or the sum total of utterances active in the social consciousness at any given time, informs and is simultaneously informed by all of its individual productions.

Of course, although I believe this definition captures what intertextuality is fairly well considering its brevity, I will admit that it is complicated and a touch too abstract to be of practical significance to many. In order to bring the analysis of intertextuality to your own work, it might be most useful to see an example of how this can be achieved with reference to a modern work, namely, one of my personal favorites, The Simpsons. In this particular episode, a cartoon-within-the-cartoon opens the show, and Itchy and Scratchy, a mouse and cat respectively, attempt to violently subdue each other for the better part of 30 seconds. Even before this, however, the Simpson family, Homer in the lead, make their way back home from their respective daily obligations, all converging on the couch of the family home. The family is dysfunctional to say the least, and the father Homer is an unintelligent oaf (though his heart is in the right place), married to the long-suffering Marge who is a genuinely good homemaker, and father to the mischievous Bart, the surprisingly intelligent social-activist Lisa, and the pre-verbal baby Maggie.

And that is where I will stop, because the individual episode is not even necessary to see where several intertextual convergences have already taken place. The opening return montage reminds us of previous cartoons like The Flintstones, and The Itchy and Scratchy Show shares many similar elements with Tom and Jerry, as well as the Roadrunner and Coyote of Loony Toons fame. The father, Homer, is a type created by characters such as All in the Family's Archie Bunker, and his son Bart, slingshot and mischief in hand, finds a forerunner in Dennis the Menace who stars in his own cartoon and comic strip. The Simpsons has been heralded as an innovative and unique show since its inception, and I would not contest this for a moment; however, we can see even from the evidence provided above that the fingerprints of both previous and current popular culture are all over every aspect of the show. This strikes to the core of intertextuality; texts are created not as distinct products of an individual creative mind, but rather as compilations gathered from the ocean of available material that circulates in the general consciousness.

Finally, it is important to remember that intertextuality is not parody, nor is it allusion, reference, or satire, though it may reflect each of these at times. It is a more general tendency of literature and literary works (like TV and film) to be interpenetrated by, and in turn to interpenetrate, the total system of culture that surrounds them.
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Apr 06, 2013
Research Tutorial / Ideology (Writing a Novel) [NEW]

Terms You Need for Writing about the Novel

Ideology



Ideology is a term that has been used and abused frequently in the popular media, and as a result its meaning has been somewhat confused. Too often I see students using ideology as a synonym for idealistic worldview, who attribute it to dreamers who are not sufficiently realistic about the potential course of human events. Also, there has been a tendency to use ideology to refer to the worldview of a single person, and while a given individual may be described as having or following a given ideology, the ideology itself reaches far beyond the idiosyncrasies of any one person.

Ideology NovelIdeology refers to a unified collection of ideas, an organized set of principles upon which a given group or even society can base their existence. An ideology can be larger, shared by an entire nation or political hemisphere, as in the ideology of the West, or it may be smaller, as in Republican ideology, or Liberal ideology. Ideologies can exist on several planes, and there is great overlap in some areas between religious, political, ethical, and legal ideologies. Those who share the same ideology tend to agree from the outset, and their disagreements will be about specific details within a given system. Those who possess opposing ideologies, however, will find it difficult even to agree on starting premises, and will be highly unlikely ever to agree at all.

The level of disagreement will also depend on whether the specific ideology in question is nested in a larger common ideology. For example, Republicans and Democrats hold differing ideologies, but they share a larger ideology that serves as the basis for American culture as a whole. For example, Republicans may argue that abortion should be banned, while Democrats argue it should be permitted, but both would agree that government should serve the people, and that freedom is a paramount value. Contrast this with the ideology of Muslim extremist groups, which believe that adhering to the precepts of their religion is paramount, and freedom as the Americans perceive it is nothing but damnable sin. Obviously, these values contradict general American ones so completely that the differences between Democratic and Republican ideologies seem insignificant in comparison.

None of this may seem relevant to you insofar as the study of the novel of concerned, but nothing could be further from the truth. Because of its open form and ability to stir powerful emotions, the novel has throughout its history been a vehicle for various ideologies, and a weapon for fighting against them as well. One of the best and most storied examples of this is seen in the case of Salman Rushdie's The Satanic Verses, which, because it was written from a non-Muslim ideology about (in part) Muslim topics, was banned in many countries, and caused an uproar in the Muslim community. To this day, Rushdie lives in constant danger of assassination, and many of his colleagues who helped to produce and disseminate the book have already been killed or seriously injured in related attacks.

Ideologies are often so ingrained in the social consciousness that they become nearly invisible, and serve as the common sense of a given people. Although some novels make the erection or destruction of given ideologies their primary goal, all novels are written within a given ideological framework, and it is important to recognize what this framework is. Charles Dickens, for instance, wrote many novels with a Liberal-Socialist ideology, and the heroes of his works and the values they express reflect this well. Ayn Rand, on the other hand, wrote from a Libertarian-Objectivist ideology, and the same actions and characters that might be praised in Dickens are often lamented in Rand. Only by knowing what positions are being taken can you evaluate them critically, and come to your own conclusions.
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Apr 06, 2013
Research Tutorial / Motif (Writing a Novel) [NEW]

Terms You Need for Writing about the Novel

Motif



Another term that has fallen out of popular usage, motif is a useful and valid concept that does not often receive its proper due in the classroom. Students are encouraged to search for the themes of a work, but often symbolic elements like motifs are overlooked in an attempt to grasp a work's larger significance. This is most unfortunate, since motif and theme should go hand-in-hand; both gain depth and richness from their connection to the other, and both are integral aspects of novelistic construction.

Motif WritingAs we have discussed in a previous article in this series, a theme is a general idea, a powerful thought aimed in a specific direction, that shapes the content and course of a novel (or any literary work). War is an example of a general theme, while the futility of war, the loss of innocent life, and the camaraderie of soldiers, are more specific themes. Motif is similar to theme, in that it deals with an idea that occurs several times over the course of a novel. However, the motif is usually far more specific, and most often involves a single phrase, object, or other discrete entity, rather than a large representative concept.

To make this clearer through a concrete example, let's look for a moment at John Steinbeck's masterful novel The Grapes of Wrath. This novel tells the story of a family forced off its traditional farming land, and forced to go west in search of employment and brighter fortunes. Of course, this family is not alone, and the novel is just as much about the larger phenomenon of social injustice and American poverty as it is about the family which serves as the primary focus. So, one might say that the themes in the work include social injustice, the poor plight of the migrant worker, governmental and cooperate corruption and trickery, and so on.

Most interestingly, through much of the novel we are presented with very brief sections which seem to be tracking the progress of a turtle. This does nothing to forward the main thrust of the plot, and we never see how, or if, this turtle ever crosses paths with the main characters of the work. Many students ignore or dismiss this little fellow, excluding it from consideration since it does not seem at all relevant. However, what they fail to realize is that this turtle is a powerful motif which serves to highlight the main themes of the work and to symbolize the migrant workers about which the novel has been written.

This seemingly insignificant turtle is described as heading west in an indirect fashion; we are told he is moving toward the setting sun. We are also told that he is traveling along the very same stretch of road that so many of the workers had to take toward California. He is determined and persistent, but so low and small that he is difficult to see, and takes more than one plunge into a ditch after being nicked by a speeding car. Each time, however, he climbs back out and keeps going in the same direction. We are never told why he keeps going, or what drives him on, but he continues on nonetheless. Thinking back to the themes discussed above, we can see that this turtle is actually a recurring symbol of the displaced workers. He is traveling their path, and is so low and insignificant that he is hardly noticed, just like the migrant workers seem so insignificant to business and government concerns. The turtle also carries his home on his back, just as the workers must do when they pack up and head cross country, taking all they own with them. Thus, the turtle becomes a motif, a repeated symbol and reflection of the major themes of the novel.
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Apr 05, 2013
Research Tutorial / Textual World Theory (Writing a Novel) [NEW]

Terms You Need for Writing about the Novel

Textual World Theory



Because the novel is such an open form, it is home to many literary possibilities, experiments, and flights of fancy. Its subject matter is nearly infinite, and because there is no formal limit on its length, a single novel can explore multiple generations, families, locations, and even worlds. This allows novelists an enormous amount of creative freedom, which means that readers benefit from a potential for diversity which keeps expectations changing, allowing surprise to remain no matter how old the novelistic form grows. The flip side of this expansive freedom however, is that writers can create such multilayered and complex works that it becomes difficult for the reader to keep track of the multitude of events that are taking place simultaneously, not to mention the range of characters and even shifting settings which are all novelistic possibilities, even commonplaces. In order to deal with such exponential possibilities, literary theorists have developed something known as textual (or fictional) world theory, which provides a framework of guidelines and a broad terminology for dissecting the tangled web the novel often weaves.

Textual World Writing TheoryWhile the theory of textual worlds is a subfield of narratology and novel studies, it is nonetheless very detailed and remarkably large, so attempting to provide a survey here would be impossible. Instead, I will focus on two concepts which I have found most important, and most applicable to the study of the novel regardless of your level of literary competence. The first of these is known as the rule of minimal departure, which, besides sounding about as cool as a literary term can, explains a great deal about the basis of shared assumptions that makes novelistic understanding possible. The second is a hierarchy known as textual (or fictional) world levels, which is an invaluable tool for understanding and talking about texts which would be difficult to explain in more traditional, mono-dimensional terms.

Whenever we open up even the simplest of stories, there is an immediate impasse we must overcome. No matter how elementary it may seem to us, the fact remains that there is a major ontological gap between the world in which we live, and the world that the story creates. However, because the novel is a written, as opposed to an oral, form, there is no one there to ease the transition, to explain to us what is about to happen, nor to tell us about the world we are going to be entering in advance. As a result, we begin reading each novel with a leap of faith, a voluntary cliff-dive into unknown waters. As with all such jumps, the level of terror depends on the height of the cliff, and different novels can raise or lower this distance depending on the way they begin. For example, a novel can begin with the introduction of a historical setting with which we are familiar, followed by the introduction of a character and an explanation about who she is and what she is doing there. In this way, we can orient ourselves relatively quickly, and what follows will be more easily comprehensible.

On the other hand, many novelists prefer to launch us from a great height, and the vertigo we experience in these instances may last for much, much longer. An example of this would be a story that begins in medias res, or in the middle of the action, where we see a character in the midst of doing something (usually something exciting) without the benefit of any introductory explanations. We don't know where this person is, nor why, nor even who it may be, and so getting our bearings takes much longer. Many novels clear this up relatively quickly, using in medias res as a hooking device to gain our attention from the outset, but some make this kind of disorientation the ordering principle of the work, and it becomes our task to figure out what is going on.

However, no matter how complex the situation into which are initially plunged, we are able to figure out (in all but the most experimental novels) what is happening, despite the fact that there are so many possibilities. For example, take the following opening lines:

Having never attempted a deed so daring, Ray found himself more excited and nervous than he had ever been in his long career of pilfering the farmer's chickens. He most often came at night when all was quiet and the watchers slept, but he had grown so confident in his stealth, as well as the farmer's incompetence, that he was about to launch a lightning raid in broad daylight.

Despite the lack of introductory text, it is possible to become captivated by what is going on, and to develop a mental picture of the events as they are unfolding. We imagine a male thief who is no longer young, based on his name and the fact that he has been doing this for a long time; we can see in our minds a chicken coup and perhaps a basic farm; we visualize a farmer who is also not young, and who is perhaps not very intelligent; and we even get a sense for the interpersonal relations between the adversaries. All of this we can deduce from what is presented, but it might surprise you to note what other assumptions have to be in place for any of what was presented above to be possible.

For example, readers assume almost without exception that this passage takes place on earth, despite the fact that novels can occur in any place in the universe, or in an entirely imagined place outside this world. Another assumption readers make nearly unanimously is that Ray is a human being, despite the fact that a character in a novel can be any type of being whatsoever, ranging from what we usually take to be inanimate objects to beings which exist only in the imagination. Now, neither of the two assumptions mentioned are unreasonable, but consider an alternative to them for a moment: suppose I suggested that Ray is not a human being at all, but rather a fox, and that he is not an inhabitant of earth but rather of a mythical realm that existed prior to the world we know today? Again, there is nothing in the text that disproves these suggestions, and thinking of Ray as a fox might even be the more satisfying course to take, given what we are told. However, we do not make these assumptions immediately. Why is this? It all has to do with the rule of minimal departure.

The rule of minimal departure has achieved the level of an unspoken agreement between authors and readers, and is the default position which both assume from the outset. Put most basically, the rule states that we will assume everything in the textual world is just as it is in the real world, unless the text indicates otherwise. So, in the above example, we assume the action takes place on earth since that is the only place we know of that could possibly have farms, thieves, and animals. We also assume the character Ray is a human being, since animals are not known to have conscious thoughts, feelings, and emotions. We assume everything in this world, from the physical laws to the dimensions, technologies, constituent populations and species, and moral values, are the same as the ones we know in our own. Only when the text gives us reason to believe otherwise will we entertain other alternatives.

Without the rule of minimal departure, orienting ourselves in the world of a novel with which we are unfamiliar would be difficult indeed, as the author would have to spell out everything in advance. Instead, the author need only describe elements that are relevant to the story itself, unless there are certain fundamental differences between the textual world and our own. In the above example, if Ray is indeed a fox, that will have to be made apparent in some way, or at least so strongly hinted at that it becomes the more satisfying option. Likewise, if the world is different, it must be shown as such through direct explanation or the existence of elements (like non-existent places and different laws of reality) which mark it off from our own world.

So, in the world of almost infinite possibilities, the rule of minimal departure is one of the few reliable constants. This makes it an ideal target for authors who like to defy our expectations to create novel twists and surprises. Usually, authors have to labor to set up our expectations in order to later defy them, but if they work with expectations we already bring to the novel, they have far less work to do, and can create early surprises very efficiently. Imagine for example a novel that begins with a battle between two knights over a contested horse. After being drawn in to the fray, we are stunned when a booming voice calls the combatants to report to their stations, which causes the holographic simulation to end, and the combatants to return to their normal starship-officer attire. There are far more subtle ways for authors to manipulate us through defying our expectations, but the principle is the same for all.

In the spaceship case above, it becomes obvious from an early point that there are two worlds being presented side-by-side; that of the medieval simulation, and the real world of the futuristic space travelers. It seems odd to refer to such an obviously fantastic situation as the "real world," but for the purposes of that novel, it is the appropriate term to use, since that world is the one in which the other is nested. It is simple to distinguish the two in this case, but there are other situations where the distinctions are far more subtle, and the number of nested worlds much higher. In order to deal with these difficult constructions, knowing the notation of textual world levels is essential.

Imagine for a moment a novel where a woman is telling a story to her children. This story features a young man who is basically a slave to his cruel siblings, who longs for a life outside his subjugation. One day while walking through the forest to get water from a spring, he falls into an unseen hole, and is knocked unconscious. When he awakes, he is no longer in a dark hole, but instead in a very bright sunny field, surrounded by animals who are conversing about him. They befriend him, and he agrees to help them with a problem they have been having with a dark spirit who comes at night from another realm and takes their children. They lead him to a portal in the trunk of a tree which he passes through, into an enchanted world where he is the only substantial, physical being. He confronts the dark spirit, captures him, and takes him back to the world of the animals, along with all of the animal children he had previously captured.

Upon seeing the boy return with their offspring and the spirit rendered harmless, the animals rejoice, but tell him to take the being back to his own world, where it can do no harm. He tells them he does not know how to return, and they assure him that he can merely go to sleep to get back. He does so, and is transported back, still possessed of the spirit, which actually helps him to overcome the poor treatment his siblings give him. At this point, the mother reading this story closes the book, noticing her children are asleep, and goes to bed herself, ending the novel.

Now, this was relatively easy to keep track of because it was presented in such a condensed manner, and because we get a clear progression from one world, into a world nested in that one, into a world contained by the previous, and so on, until we reach the final world, at which point we reverse our steps till we return to the first world. Textual world theorists call this arrangement of worlds stacking, and use the LIFO (last in, first out) principle popular in computer programming to handle the various levels. This is an effective way to deal with such complex world-within-world scenarios, and can be modified to deal with even more difficult situations, like that presented by a novel which moves between events in the various levels with are presented.

Obviously, this shifting between levels would make the whole novel far more tangled, and it would be difficult to discuss efficiently. This is where the terminology for textual levels comes in. Scholars have various effective naming systems, but I prefer using one which refers to the base world, the world upon which the rest of the worlds are stacked, as textual world 0, or T0. In the above example, the world of the mother telling the story would be T0. The next level, T1, would be the world of the boy with his domineering siblings. T2 would be used to indicate the animal kingdom, and T3 would denote the world of the dark spirit. Using this kind of logical shorthand makes the novel as a whole much easier to comprehend, and allows us to more easily see how the various levels are related. Further, it also permits us to discuss happenings at various levels far more efficiently, without having to resort constantly to awkward circumlocutions like "the world of the mother and her children," which could becomes highly confusing, especially since different levels could contain the same descriptive elements.

It is important to note that defining the world levels of a given novel is difficult, and sometimes impossible to do, until you have read it in its entirety. After all, how can you know how many levels there will be, since another level can be introduced at any time? Also, what might seem like a single level at one point may actually be several, and what looks like two levels might end up being one. Remember, a textual world level must be separate from those existing at all other levels. These worlds must not be traversable in normal circumstances, and must possess different properties of existence, or at least different constituent elements, in order to be considered separate. So, if a story features a sailor who gets drunk in an American bar and awakens in China after having been abducted, this is only one textual world level, since the two locations are traversable by anyone, and are related as part of a single world. If he awakened in the distant past, in an alternate present, or the distant future, however, we would consider this another textual world level.


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