Russian Formalism

1945-1965

Jerry Everard's Introduction to Russian Formalism

This summary draws heavily on the work of Prof L.M. O'Toole and Raman Sheldon.

   Russian Formalists considered literature to be a special use of language. As such it was amenable to analysis in and of itself. Peter Steiner considers Russian Formalism to fall into three periods:
1.-the machanical view of language;
2.-the organic view - literature as organism of inter-related parts; and
3.-the the systemic view - literature as a system, or organising principle.

   Formalism began near the turn of the Century, emerging in the OPOYAZ group (Society for Poetic Language) as a break with the late romantic tradition of symbolism in literature and Futurism and a number of related movements in the visual arts.

   The movement sought a non-prescriptive criticism that was part of a more general move towards making literature more accessable to the masses. Victor Shklovsky introduced the idea of 'making strange' in order to derail passive and uncritical reception of texts.
   Shklovsky considered the work of art to be the sum of the formal devices of which it is comprised, thus abolishing the firm distinction between form and content. Later moves to orient criticism towards structure as opposed to form avoided the suggestion of form being something exterior to content.
   Under this rubric, form becomes merely the organisation of pre-aesthetic materials. Thus Shklovsky differentiated between fabula (the fable) and syuzhet (plot) in terms of the structuring of what is said.

   Yurii Tynyanov emphasised the binary methodology favoured by the earlier formalists. Words, for Tynyanov were not essentially 'poetic' or 'prosaic' but rather were coloured by the formal textual context in which they were positioned.

   Shklovsky, Tynyanov, Eikhenbaum and Tomashevsky considered the textual work in holistic terms as a complex unity of component parts. The parts were analysed in relation to each other. Those that stood out from the others were considered foregrounded. By establishing a 'scientific' critical practice, with the articulation of structural 'laws' then specific fields of literature could be related to other fields.

   In 1928 Tynyanov, with Roman Jakobson published the Theses on Language. These formed the basis for the development of structuralism. These were:
1.-Literary science had to have a firm theoretical basis and an accurate terminology.
2.-The structural laws of a specific field of literature had to be established before it was related to other fields.
3.-The evolution of literature must be studied as a system. All evidence, whether literary or non-literary must be analysed functionally.
4.-The distinction between synchrony and diachrony was useful for the study of literature as for language, uncovering systems at each separate stage of development. But the history of systems is also a system; each synchronic system has its own past and future as part of its structure. Therefore the distinction should not be preserved beyond its usefulness.
A synchronic system is not a mere agglomerate of contemporaneous phenomena catalogued. 'Systems' means hierarchical organisation.
5.-The distinction between langue and parole, taken from linguistics, deserves to be developed for literature in order to reveal the principles underlying the relationship between the individual utterance and a prevailing complex of norms.
6.-The analysis of the structural laws of literature should lead to the setting up of a limited number of structural types and evolutionary laws governing those types.
7.-The discovery of the 'immananet laws' of a genre allows one to describe an evolutionary step, but not to explain why this step has been taken by literature and not another. Here the literary must be related to the relevant non-literary facts to find further laws, a 'system of systems'. But still the immanent laws of the individual work had to be enunciated first.

   Vladimir Propp was influenced by the Formalists, and his work The Morphology of the Russian Folk Tale provided one of the defining studies of genre, and laid the foundations for French Structuralism, influencing particularly the work of Roland Barthes.

   Another contemporary figure, Mikhail Bakhtin, was also influenced by if not directly linked with the Russian Formalists. His contributions to the notion of dialogism and the notion of voice in literary discourse emerged contemporaneously with considerations of sound and rhythmic elements in Formalist analyses. Russian Formalism contributed a number of things to literary theory, including:
1.-Placing the study of the actual work at the centre of literary scholarship, rather than looking for authorial biographical links or sociolgical influences, which they considered as peripheral to the text.
2.-They problematised the idea of 'literariness', and usefully addressed the 'form' versus 'content' issue.
3.-They viewed literary history and the eveolution of literary genres as as an internal dynamic process.
4.-They contributed a wealth of analytical techniques to stylistic analysis, including sound patterns, metres and verse forms.
5.-They provided analytical techniques for characterising a range of discursive styles and different modes of story-telling.

   Structural Formalism continued for some time into the 1930s in the Prague Linguistic Circle. Some of this group, including Roman Jakobson migrated to the US with the emergence of Nazism. This group went on to influence the development of New Criticism in the 1940s and 1950s.
   In other directions, the Bakhtin School combined elements of Formalism with Marxism. It was formalist insofar as it was concerned with the linguistic structure of literary texts, but was marxist in its comitment to the view that language could not be separated from ideology. At the same time it resisted the purely marxist turn insofar as it resisted the view that langauge arose as a reflex of a material socio-economic substructure.
 
 



 
 

New Criticism Explained

   New Criticism was a highly influential school of Formalist criticism that flourished from the 40s to late 60s.
   New Criticism Occurred Partially in Response To:
1.-Biographical Criticism that understood art primarily as a reflection of the author's life (sometimes to the point that the texts themselves weren't even read!).
2.-Competition for dollars and students from sciences in academia.
3.-New forms of mass literature and literacy, an increasingly consumerist society and the increasingly visible role of commerce, mass media, and advertising in people's lives.

   New Criticism Tends to Emphasize:
1.-The text as an autotelic artifact, something complete with in itself, written for its own sake, unified in its form and not dependent on its relation to the author's life or intent, history, or anything else.
2.-The formal and technical properties of work of art.

   New Critical Assumptions:
1.-The critic's job is to help us appreciate the technique and form of art and the mastery of the artist.
2.-That the "Western tradition" is an unbroken, internally consistent set of artistic conventions and traditions going back to ancient Greece and continuing up to this day, and that good art participates in and extends these traditions. Similarly, criticism's job is to uphold these traditions and protect them from encroachments from commercialism, political posturing, and vulgarity.
3.-That there are a finite number of good texts (a notion now often tied to "the canon" of texts traditionally taught). The closer that a text comes to achieving an ideal unity, where each element contributes to an overall effect, the more worthy it is of discussion.
4.-Studying literature is an intrinsically edifying process. It hones the sensibilities and discrimination of students and sets them apart from the unreflective masses.
5.-That "cream rises," and works of genius will eventually be "vindicated by posterity."
6.-That there is a firm and fast distinction between "high" art and popular art.
7.-That good art reflects unchanging, universal human issues, experiences, and values.
8.-Technical definitions and analyses are vital to understanding literature. The text's relationship to a world that extends beyond it is of little interest.

   Critics Associated With It: John Crowe Ransom, Allen Tate, Robert Penn Warren, and Cleanth Brooks. New Critics also frequently looked to the work and criticism of T.S. Eliot and the essays of Matthew Arnold for inspiration.

   Criticisms Sometimes Made of New Criticism:
1.-That it's emphases on technique, unity of effect, and the autotelic status of art works best on the lyric poem, but has problems with larger, more historically recent forms like the novel.
2.-That it makes the Western tradition out to be more unified than it is by ignoring diversity and contradictory forces within it, and more monadic than it is by ignoring the exchange between non-western and western cultures (Aristotle, for instance, central to new critical concepts, was introduced to medieval Europe via the Islamic world).
3.-That artistic standards of value are variable and posterity is fickle. Particular pieces of art are viewed as important because they do important cultural work, represent values that segments of the culture (say editors and English professors) believe are of vital import, or help us understand our history.
4.-That the values New Critics celebrated were neither unchanging nor universal, but instead reflected their own, historically and experientially specific concerns, values and ambitions.
5.-That context is just as important as form to understanding a work of art.
 
 

 

 
 

Compiled by Estefania Sanz Esteve
Academic year 1998/1999
28 May 1999
© a.r.e.a./Dr. Vicente Forés López
© Estefania Sanz Esteve
Universitat de València Press