Surface of the Literary Theories: Part 1

Introduction: Literary theory in literature is the systematic study of the nature of literature and the methods for analyzing and interpreting it. It provides a framework of ideas and principles that critics and readers use to understand how literary texts function, what they mean, and what their cultural and social significance might be.

Think of literary theory as a set of lenses or perspectives through which we can examine and make sense of literary works. Just like different scientific theories offer different ways of understanding the natural world, different literary theories offer different ways of understanding the world of texts.

Here is a breakdown of what literary theory encompasses. Understanding the Nature of Literature: Literary theory grapples with fundamental questions like:

•    What is literature? What distinguishes it from other forms of writing?
•    What is the role of the author?
•    What is the relationship between a text and its context (historical, social, cultural)?
•    What is the role of the reader in creating meaning?
•    What are the goals or functions of literature?
•  Developing Analytical Frameworks: It provides various approaches and methodologies for interpreting texts. These theories offer specific questions to ask, concepts to consider, and ways to analyze different aspects of a literary work (e.g., plot, character, language, themes, structure).
•  Exploring Different Perspectives: Literary theory acknowledges that there isn’t one single “correct” way to read a text. Different theories highlight different aspects and lead to diverse interpretations. This allows for a richer and more nuanced understanding of literature.
•  Examining Cultural and Social Significance: Many literary theories go beyond the text itself to consider its broader cultural and social implications. They might explore issues of power, ideology, gender, race, class, and the ways in which literature reflects, reinforces, or challenges societal norms.

In essence, literary theory provides us with the tools and concepts to engage with literature in a more informed, critical, and sophisticated way. It moves beyond simply reading for plot or personal enjoyment to asking deeper questions about how literature works and what it signifies.

Without literary theory, our engagement with literature might be more subjective and less systematic. Theory helps us to:

•  Articulate our interpretations more clearly and persuasively.
•  Become aware of our own assumptions and biases as readers.
•  Understand the diverse ways in which meaning can be constructed.
•  Engage in meaningful discussions and debates about literature.
•  Appreciate the complexity and richness of literary texts within their broader contexts.

The various literary theories (like formalism, structuralism, psychoanalytic criticism, feminist criticism, postcolonial criticism, etc., which we discussed earlier) represent different schools of thought that offer distinct frameworks for understanding literature. Each theory brings its own set of assumptions, questions, and analytical tools to the study of literary texts.

The most struggling reading a reader of English Literature faces is Literary Theory. So, there would be a series of articles based on various Literary and Adaptational Theories. The series covers the Literary Theories in the following manner-

This is the first article of the Theory Series where it’s going to cover seven theories.

1. Formalism and Russian Formalism

1. Summary of the theory: Focuses on the intrinsic features of a literary text, such as plot, character, narrative technique, and style. It emphasizes the “literariness” of a text – what makes it distinct from other forms of writing. Meaning is derived from the artistic devices within the text itself, not from external factors like authorial intention or historical context. Russian Formalism, a precursor, developed concepts like defamiliarization (making the familiar strange) and the distinction between fabula (story) and syuzhet (plot).
2. How to apply in the texts: Analyze the text by identifying and examining its literary devices. Consider how these devices contribute to the overall effect and meaning of the work. Look at patterns, repetitions, contrasts, and the way the narrative is structured. Analyze the function of different elements like point of view, setting, and character development within the text’s formal framework.
3. Key terminologies or coinages:
   1. Defamiliarization (ostranenie): Making the familiar seem new or strange to enhance perception.
   1. Fabula: The chronological sequence of events in a story.
   1. Syuzhet: The way the story is organized and presented in the text (plot).
   1. Motif: A recurring element, image, or idea in a literary work.
   1. Narrative devices: Techniques used in storytelling, such as foreshadowing, flashback, etc.
   1. Literariness: The quality that makes a text literary.
4. Examples: Analyzing the use of metaphor and simile in a poem to understand its central themes. Examining the non-linear plot structure of a novel and how it affects the reader’s understanding of events. Identifying recurring motifs in a play and discussing their symbolic significance.
5. Important texts and authors and their opinions or summary:
   1. Viktor Shklovsky: Argued for defamiliarization as the essence of literary art (“Art as Technique”).
   1. Roman Jakobson: Contributed to the study of poetic language and the functions of language.
   1. Boris Eichenbaum: Focused on the formal analysis of Gogol’s “The Overcoat,” emphasizing skaz (oral narration).
   1. Theory of Literature (Wellek and Warren): While influenced by New Criticism, it engages with formalist ideas about the intrinsic study of literature.

2. New Criticism

1. Summary of the theory: Emphasizes close reading of the text itself, rejecting the relevance of authorial intention, historical context, or reader response. The text is seen as a self-contained and objective entity whose meaning can be discovered through careful analysis of its internal elements, such as paradox, irony, ambiguity, and tension. The “intentional fallacy” (the belief that the author’s intended meaning is the correct meaning) and the “affective fallacy” (judging a poem by its emotional impact on the reader) are key concepts to be avoided.
2. How to apply in the texts: Perform a meticulous close reading, paying attention to the nuances of language, imagery, symbolism, and the interrelationships between different parts of the text. Identify and analyze literary devices and how they contribute to the text’s overall unity and meaning. Look for paradoxes, ironies, and ambiguities that create tension and complexity.
3. Key terminologies or coinages:
   1. Close reading: Detailed and careful analysis of the text.
   1. Intentional fallacy: The error of assuming the author’s intention is the meaning of the work.
   1. Affective fallacy: The error of judging a work based on its emotional impact on the reader.
   1. Paradox: A seemingly contradictory statement that may contain a deeper truth.
   1. Irony: A contrast between what is said and what is actually meant, or between appearance and reality.
   1. Ambiguity: The presence of multiple possible meanings.
   1. Tension: The interplay of opposing forces or ideas within the text.
4. Examples: Analyzing the complex use of metaphors and paradoxes in a poem by John Donne. Examining the ironic tone in a short story by Edgar Allan Poe and how it contributes to the overall theme. Identifying the ambiguities in a Shakespearean sonnet and exploring their potential interpretations.
5. Important texts and authors and their opinions or summary:
   1. T.S. Eliot: Advocated for an impersonal theory of poetry and the objective analysis of tradition (“Tradition and the Individual Talent”).
   1. I.A. Richards: Focused on the psychological aspects of reading and the importance of textual analysis (“Practical Criticism”).
   1. William Empson: Explored the multiple meanings and ambiguities in poetry (“Seven Types of Ambiguity”).
   1. Cleanth Brooks: Emphasized the organic unity of a poem and the role of paradox and irony (“The Well Wrought Urn”).
   1. W.K. Wimsatt and Monroe C. Beardsley: Coined the terms “intentional fallacy” and “affective fallacy” (“The Intentional Fallacy,” “The Affective Fallacy”).

3. Structuralism

1. Summary of the theory: Views literature as a system of signs and codes, drawing heavily from linguistics (particularly the work of Ferdinand de Saussure). It seeks to identify the underlying structures and patterns that govern literary texts and cultural phenomena. Meaning is not inherent in the text itself but arises from its relationship to these broader systems. Structuralists analyze narrative structure, character roles, and recurring motifs to uncover universal principles of storytelling and meaning-making.
2. How to apply in the texts: Identify the underlying structures and patterns within the text. Analyze binary oppositions (e.g., good/evil, nature/culture) and how they function. Examine the roles of characters in relation to narrative functions (e.g., hero, villain, helper). Apply structuralist models of narrative (like Vladimir Propp’s morphology of folktales or Algirdas Greimas’s actantial model). Look for recurring motifs and their structural significance.
3. Key terminologies or coinages:
   1. Signifier and Signified (Saussure): The sound-image (signifier) and the concept it represents (signified). Meaning arises from the arbitrary relationship between them within a system of differences.
   1. Langue and Parole (Saussure): Langue is the abstract system of language, while parole is the individual act of speaking or writing. Structuralism focuses on langue.
   1. Binary oppositions: Contrasting pairs of concepts that structure meaning.
   1. Myth (Barthes): Cultural narratives that naturalize social and ideological assumptions.
   1. Narrative grammar: The underlying rules and structures that govern storytelling.
   1. Actantial model (Greimas): A framework for analyzing the roles of actors in a narrative (e.g., subject, object, helper, opponent).
   1. Morphology of the Folktale (Propp): A structural analysis of Russian folktales identifying recurring functions and character types.
4. Examples: Analyzing the binary oppositions (e.g., civilization vs. wilderness) in Joseph Conrad’s “Heart of Darkness.” Applying Propp’s functions to analyze the recurring plot elements in fairy tales. Examining how Roland Barthes decodes the “myth” of a magazine advertisement.
5. Important texts and authors and their opinions or summary:
   1. Ferdinand de Saussure: His work on linguistics laid the foundation for structuralism (“Course in General Linguistics”).
   1. Claude Lévi-Strauss: Applied structuralist principles to the study of mythology and kinship systems (“Structural Anthropology”).
   1. Roland Barthes: Analyzed popular culture and myth as systems of signs (“Mythologies,” “S/Z”).
   1. Vladimir Propp: Developed a structural analysis of Russian folktales (“Morphology of the Folktale”).
   1. Algirdas Greimas: Developed the actantial model for narrative analysis (“Structural Semantics”).

4. Psychoanalytic Criticism

1. Summary of the theory: Applies the theories of psychoanalysis, primarily those of Sigmund Freud and Jacques Lacan, to the study of literature. It examines the unconscious desires, anxieties, and psychological conflicts of authors and characters. Texts are seen as expressions of these unconscious processes, and literary analysis can uncover hidden meanings and motivations. Key concepts include the Oedipus complex, the id, ego, superego, repression, the unconscious, and the symbolic order. Lacanian psychoanalysis introduces concepts like the mirror stage, the imaginary, the symbolic, and the real.
2. How to apply in the texts: Analyze characters’ motivations and behaviors in terms of unconscious desires and conflicts. Look for Freudian symbols (e.g., phallic symbols, yonic symbols) and their potential meanings. Examine the author’s life and how it might have influenced the text (though this is a more traditional Freudian approach, often viewed cautiously now). In Lacanian analysis, focus on how language and the symbolic order shape identity and desire, and how characters navigate the imaginary and the real.
3. Key terminologies or coinages:
   1. Id, Ego, Superego (Freud): The three parts of the psyche.
   1. Unconscious (Freud): The reservoir of repressed desires and memories.
   1. Oedipus complex (Freud): A child’s unconscious sexual desire for the parent of the opposite sex and feelings of rivalry towards the parent of the same sex.
   1. Repression (Freud): The unconscious blocking of unacceptable thoughts or desires.
   1. Dream-work (Freud): The process by which the unconscious transforms latent dream thoughts into manifest dream content (condensation, displacement, etc.).
   1. Mirror stage (Lacan): The stage in infant development where the child recognizes its image in a mirror, leading to the formation of the ego.
   1. Imaginary (Lacan): The realm of pre-linguistic experience and identification with the mirror image.
   1. Symbolic (Lacan): The realm of language, social structures, and the law of the father.
   1. The Real (Lacan): The inaccessible realm beyond the symbolic order, the traumatic core of existence.
4. Examples: Analyzing Hamlet’s procrastination in terms of the Oedipus complex or unconscious guilt. Examining the symbolism of the whale in Melville’s “Moby-Dick” through a Freudian lens. Interpreting a character’s fragmented sense of self in a modernist novel through Lacanian concepts of the fragmented ego and the symbolic order.
5. Important texts and authors and their opinions or summary:
   1. Sigmund Freud: His foundational works on psychoanalysis (“The Interpretation of Dreams,” “Civilization and Its Discontents”).
   1. Jacques Lacan: Developed a complex reinterpretation of Freud, emphasizing the role of language (“Écrits”).
   1. Shoshana Felman: Explored the intersection of psychoanalysis and literature (“Literature and Psychoanalysis”).
   1. Slavoj Žižek: Applies Lacanian psychoanalysis to a wide range of cultural phenomena, including literature and film.
   1. Harold Bloom: Developed a theory of literary influence based on Freudian concepts of anxiety (“The Anxiety of Influence”).

5. Marxist Criticism

1. Summary of the theory: Views literature as a product of social and economic forces, particularly the relationship between the ruling class (bourgeoisie) and the working class (proletariat). It examines how literature reflects, reinforces, or challenges the dominant ideologies and power structures within a society. Marxist critics analyze issues of class struggle, alienation, exploitation, and ideology in literary texts. They often focus on how economic and social inequalities are represented and whether a text supports or subverts the status quo.
2. How to apply in the texts: Analyze the social and economic context of the work’s creation and reception. Examine the representation of different social classes and their interactions. Identify the dominant ideologies present in the text and how they are supported or challenged. Look for instances of class conflict, exploitation, and alienation. Consider how the text might reflect or critique the material conditions of its time.
3. Key terminologies or coinages:
   1. Base and Superstructure (Marx): The economic system (base) shapes the social, political, and ideological aspects of society (superstructure), including literature.
   1. Ideology: A system of beliefs and values that often serves the interests of the ruling class and can mask social inequalities.
   1. Class struggle: The conflict between different social classes with competing economic interests.
   1. Alienation: The feeling of estrangement and powerlessness experienced by workers in a capitalist system.
   1. Commodification: The process of turning goods, services, and even people into objects of trade.
   1. Hegemony (Gramsci): The dominance of one social group over others through ideological consent rather than force.
   1. Dialectical materialism (Marx): The Marxist theory that historical change arises from material conditions and the struggle between opposing forces.
4. Examples: Analyzing the portrayal of the working class in the novels of Charles Dickens. Examining how social inequalities and economic exploitation are depicted in John Steinbeck’s “The Grapes of Wrath.” Investigating how a seemingly apolitical romance novel might reinforce bourgeois ideologies about love and marriage.
5. Important texts and authors and their opinions or summary:
   1. Karl Marx and Friedrich Engels: Their foundational writings on historical materialism and class struggle (“The Communist Manifesto,” “Das Kapital”).
   1. Georg Lukács: Developed theories of realism and the relationship between literature and social consciousness (“History and Class Consciousness,” “The Historical Novel”).
   1. Antonio Gramsci: Introduced the concept of hegemony and the role of ideology in maintaining power (“Prison Notebooks”).
   1. Louis Althusser: Elaborated on the role of ideology and ideological state apparatuses (“Ideology and Ideological State Apparatuses”).
   1. Terry Eagleton: A prominent contemporary Marxist literary critic (“Literary Theory: An Introduction,” “Marxism and Literary Criticism”).

6. Reader-Response Criticism

1. Summary of the theory: Shifts the focus from the text itself to the reader’s experience and the process of making meaning. It argues that a literary work is not complete until it is read and interpreted by a reader. Different readers will inevitably have different interpretations based on their individual backgrounds, experiences, and perspectives. Reader-response critics explore the interaction between the text and the reader, and how this interaction shapes meaning.
2. How to apply in the texts: Consider how different readers might interpret the same text. Analyze the gaps and indeterminacies in the text that invite reader participation. Examine the reading process itself – how readers make predictions, form expectations, and revise their understanding as they read. Explore the role of the reader’s background and cultural context in shaping interpretation.
3. Key terminologies or coinages:
   1. Implied reader (Iser): The hypothetical reader inscribed in the text, whose characteristics and expectations are implied by the narrative strategies.
   1. Horizon of expectations (Jauss): The set of beliefs, values, and prior literary experiences that a reader brings to a text from their historical and cultural context.
   1. Gaps/Indeterminacies (Iser): Aspects of the text that are not explicitly stated and require the reader to fill in the blanks.
   1. Transactional theory (Rosenblatt): Emphasizes the dynamic interaction or transaction between the reader and the text, where meaning is created in the event of reading.
   1. Subjective criticism (Bleich): Focuses on the individual reader’s personal responses and how they shape interpretation.
   1. Interpretive communities (Fish): Groups of readers who share similar reading strategies and cultural assumptions, leading to shared interpretations.
4. Examples: Analyzing how different readers might respond to the ambiguous ending of a short story. Examining the gaps in a narrative and how a reader’s assumptions might fill them. Comparing the interpretations of a novel by readers from different cultural backgrounds.
5. Important texts and authors and their opinions or summary:
   1. Louise Rosenblatt: Pioneered reader-response theory, emphasizing the transactional nature of reading (“Literature as Exploration,” “The Reader, the Text, the Poem”).
   1. Wolfgang Iser: Focused on the role of the implied reader and the gaps in the text (“The Implied Reader,” “The Act of Reading”).
   1. Hans Robert Jauss: Developed the concept of the horizon of expectations and the history of reception (“Toward an Aesthetic of Reception”).
   1. Stanley Fish: Argued that interpretation is determined by interpretive communities (“Is There a Text in This Class?”).
   1. Norman Holland: Focused on the reader’s psychological responses and identity in shaping interpretation (“5 Readers Reading”).

7. New Historicism and Cultural Materialism

1. Summary of the theory: These related approaches emphasize the interconnectedness of literature and its historical and cultural context. They reject the idea of literature as existing in a vacuum and argue that texts are shaped by and intervene in the social, political, and economic forces of their time. New Historicism (often associated with Stephen Greenblatt) focuses on the circulation of power and discourse within a specific historical period, while Cultural Materialism (more British, associated with Raymond Williams) has a more explicitly Marxist orientation, emphasizing the material conditions of cultural production and the potential for resistance.
2. How to apply in the texts: Research the historical and cultural context in which the text was produced and received. Analyze how the text reflects or engages with the social, political, and economic issues of its time. Examine the relationship between literary and non-literary texts (e.g., historical documents, pamphlets, legal records). Pay attention to issues of power, ideology, and social control. Cultural materialists might also focus on marginalized voices and the potential for subversive readings.
3. Key terminologies or coinages:
   1. Discourse (Foucault): Systems of thought and language that shape understanding and power relations.
   1. Power/Knowledge (Foucault): The idea that power and knowledge are intertwined and mutually constitutive.
   1. Circulation of social energy (Greenblatt): The way in which cultural energies and anxieties are exchanged and negotiated between literary and non-literary texts within a given historical period.

4. Examples:

• New Historicism: Analyzing Shakespeare’s The Tempest in the context of European colonialism and the accounts of early voyages to the Americas, showing how the play reflects and engages with the power dynamics and cultural anxieties of the time. Examining how Renaissance literature reflects and shapes the social rituals and power structures of the court. Studying pamphlets and sermons alongside literary texts to understand the prevailing discourses on topics like gender or religious dissent.
• Cultural Materialism: Analyzing how the representation of class in a Victorian novel like Dickens’s Oliver Twist both reflects the social inequalities of the period and potentially offers a critique of the dominant ideologies that sought to normalize poverty. Examining how contemporary popular culture (e.g., television shows, music) reinforces or subverts dominant power structures and ideologies related to class, race, or gender. Studying the material conditions of theatrical production in Elizabethan England and how these conditions might have influenced the content and form of plays.

5. Important texts and authors and their opinions or summary:

• Stephen Greenblatt, Renaissance Self-Fashioning: From More to Shakespeare (1980): A foundational text of New Historicism, arguing that Renaissance literature played a crucial role in the construction of individual identity within specific historical and social contexts. He emphasizes the “circulation of social energy” between literary and non-literary texts.
• Stephen Greenblatt, Shakespearean Negotiations: The Circulation of Social Energy in Renaissance England (1988): Further develops the New Historicist approach by examining the complex interplay between power, literature, and social practices in Shakespeare’s England.
• Raymond Williams, Marxism and Literature (1977): A key text in Cultural Materialism, arguing for a materialist analysis of culture that considers the social, economic, and political conditions of its production and consumption. He emphasizes the concept of “culture as a whole way of life.”
• Raymond Williams, The Country and the City (1973): Examines the shifting representations of rural and urban life in English literature in relation to changing social and economic structures.
• Jonathan Dollimore and Alan Sinfield (eds.), Political Shakespeare: New Essays in Cultural Materialism (1985): An influential collection of essays that applies a Cultural Materialist approach to Shakespeare, focusing on issues of power, ideology, and resistance. Dollimore’s own work often explores the subversive potential within literary texts.
• Catherine Gallagher and Stephen Greenblatt, Practicing New Historicism (2000): Offers a more reflective and nuanced account of the development and application of New Historicist methodologies.