Lesson 6: Formalism/ Textual Criticism

 In the field of literary criticism, a formalist approach is one that studies a text as a
text and nothing more. For example, a formalist reading of a poem would focus
on its rhythms, rhymes, cadences, and structure. It would not seek to locate the
poem in a wider political or cultural context except insofar as it helped to improve
the reader's understanding of the text itself.
 Formalist literary criticism focuses on the text as the major artifact worthy of
study rather than, say, the author him or herself, the historical time period during
which the text was written, how the text responds to gender roles or class
concerns during the period, or anything else that exists outside of the text's world
itself. It is a mode of criticism that came about in response to the more author-
centered focus that dominated the literary world prior to the twentieth century.

Writing a Formalist Literary Analysis

Using formalism, a critic can show how the various parts of a work are welded
together to make an organic whole. This approach examines a text as a self-
contained object; it does not, therefore, concern itself with biographical
information about the author, historical events outside of the story, or literary
allusions, mythological patterns, or psychoanalytical traits of the characters
(except those aspects described specifically in the text.)
A formalist critic examines the form of the work as a whole, the form of each
individual part of the text (the individual scenes and chapters), the characters, the
settings, the tone, the point of view, the diction, and all other elements of
the text which join to make it a single text. After analyzing each part, the critic
then describes how they work together to make give meaning (theme) to the text.
Point of View
Setting
Characters
Plot
Symbols
Theme
A thorough analysis of the text is important to write a good paper here. Remember
the judgment you make about a literary work will reflect your own values, biases,
and experience; however, you MUST respect the author's words and intentions as
presented in the text. Do not analyze a work in terms of what you would like to
see; analyze it in terms of what you actually observe. Remember to clearly
separate your assumptions from the author's assumptions.
· Before you begin to write, re-read your notes, considering which approach
seems most appropriate. Write your answers to the following questions in
FULL sentences.
o Did a particular aspect (literary element) of the novel make an
impact on me?
o What relationships between the various parts of the novel (and
literary elements) do I see?
o What lesson (meaning or theme) did the author want me to learn
from reading this novel?
· Write a thesis which clearly and directly states the point you want to make
about the novel. Consider this example of a thesis statement:
Example 1:
Setting in "A Worn Path" by Eudora Welty is effective: the descriptions are
beautiful.
 · Next underline key words:
Setting in "A Worn Path" by Eudora Welty is effective:
the descriptions are beautiful.
· Answer these questions about the example:
1. Does this thesis limit and focus what the writer has to say about
the story?
Definitely not! This thesis (and I use the term loosely) is very
vague. The key terms are so general that they fail to provide any
focus for the paper. To provide specific examples to support this
statement will be very difficult.
2. Can this thesis help to explicate the novel's theme?
Again, this statement has no real connection to what the
author is saying (the meaning) in the story.
Example 2:
Eudora Welty uses the setting of "A Worn Path," presented in
the vivid descriptive phrases of the protagonist's strenuous
journey through the wild country of Natchez Trace, to connect the
reader with Phoenix, both as a character and as a symbol.
1. Does this thesis limit and focus what the writer has to say about
this story?
Yes! This paper will be give examples from the text which show
how the description of the setting (during this character's journey)
characterize the protagonist as a person and a symbol. In addition,
repetition of the underlined key words will help this writer build
coherence in the paper.
2. Can this thesis help to explicate the novel's meaning (theme)?
No, at least not directly. While connecting the setting along the
journey to the main character will definitely get at the author's
theme, the theme is not made clear. In fact, though both the
character and the symbolism, almost assures this paper will
discuss theme, the actual reference to the story's theme is missing.
However, this thesis would address the assignment response for
looking at form (structure) and how the story is built.
Example 3:
Through Phoenix's strenuous journey in the wild country of
Natchez Trace, Eudora Welty uses
her protagonist to symbolically show the struggle of African-
Americans toward equality and integration in the South after the
Civil War.
1. Does this thesis limit and focus what the writer has to say about
this story?
Yes! This paper will give examples from the text showing how the
character's journey symbolizes the African-Americans struggle for
equality and integration. Repetition of the underlined key words will
help this writer build coherence in the paper.
2. Can this thesis help to explicate the novel's meaning (theme)?
Yes! It connects the setting with the symbolic journey to get at the
author's theme. In fact, looking at the journey, the character and
 the symbolism almost assures this paper will discuss theme. This
thesis would address the assignment response for looking at
meaning (theme).
Once you have arrived at the thesis, make a brief outline of the examples
(including quotes and paraphrases--and page numbers for each) which will
support the thesis you have written.
After preparing an optional outline, complete with examples, begin writing the
paper. Always avoid allowing the quotes and paraphrases from the text to take
over the paper. You are the critic, and this paper is YOUR formalist interpretation
of the novel. Quote only the words necessary to make your point; avoid long
passage of diaglor, etc. Also use the specific quotes and paraphrases as support
for YOUR ideas and always interpret them for the reader, by showing how the
quoted material connects to the point you are making. Do not expect a reader to
interpret a scene or event from the text in the same way that you have. Always
make the connections for the reader.

What is the point of view?

Point of view is the viewpoint from which you view the setting, see the
action, observe the characters, and hear the conversations.
Depending on the powers the author has granted this narrator, you
may even be able to see inside a character's mind, learning what he
or she thinks and feels. (. . .ever wish we all had these powers. . .?)
o In first person point of view, "I" and "we" are used. Sometimes the first
person narrator is a participant in the story of the novel; sometimes,
he/she is an observer. The reliability of first person narrators should
be evaluated on the basis of their involvement in the story).
o In third person point of view, "he," "she," and "they" are used. Third
person narrators may be omniscient (all-knowing), offering editorial
comments on or an objective report of the characters and situations.
Third person narrators may also be limited omniscient, functioning as
a sort of central intelligence, though limited by the fact that they are
also a character in the story; hence, they usually cannot see into
minds, know the future, etc. A note of caution--It is important to avoid
confusing the narrator with the author in reading fiction.
Ask yourself the following questions in analyzing point of view:
1. How does the author's choice of point of view affect the reader's
understanding and feelings about the story?
2. Does the point of view in the novel have a particular use?
3. What advantages does the author gain by using this viewpoint?
4. What changes in the novel would have to be made if the point of view were
changed?
5. Does the author's choice of point of view reveal or illuminate his/her theme?

What is the setting?

Setting is more than just the place and time a story takes
place. Setting also includes the atmosphere: the social and cultural
context of the story. A novel may have many settings or occur at
different times; however, each time and place were selected by the
author for a particular reason. As yourself the following questions:
1. Does the setting play an important role in revealing any element of the
novel?
 2. What information does the setting give me about a situation or a
character?
3. What influence does the setting have on the characters or their
actions?
4. Does the setting contribute to the novel's theme?

Who are the characters?

Characters are the lifeblood of every novel, and some characters are more important
than others. Characters may be round (more like real life with positive and negative
traits) or flat (usually stereotypes that symbolize a certain type of person/place/thing).
Characters may also be dynamic (changing and growing as the novel's events unfold)
or static (those who remain unchanged no matter what happens to them).
In addition, note the following important character types as you read through
the novel:
o the protagonist - the main character around whom the novel's action
revolves (usually). Don't be trapped into thinking this character must
be human because he/she/it may not be.
o the antagonist - the important character with whom the protagonist is
locked in conflict. The antagonist may be a person or some other
animate life form (or a collection of said life forms), a place, or a thing.
o the foil - a minor character (usually) who is offered as a contrast to
point out or emphasize a distinctive characteristic of the protagonist.
Ask yourself the following questions about the important characters of the
novel?

4. Are the character physically described? How detailed are these

descriptions, and who gives them to you? (a narrator? or another
character? reliability?)
5. How do the character's words and actions characterize him/her/it?
6. What is the character's motivation for the decisions and actions
he/she/it makes?
7. Are the character's actions believable, given the setting and
situations in the novel?
8. How do the characters, their actions and motivations, contribute to
the novel's theme?

What are symbols?

Symbols extend beyond one-to-one comparison. Be

cautious when looking for symbols. A symbol is a like
signpost, used and oftentimes repeated at key
junctures, that alludes to a larger meaning than the
signpost normally would indicate. Symbols can be
public or private.
Public symbols have traditional meanings. The rose
which is a well-known symbol of love, and the apple is
a religious symbol for forbidden knowledge as in the
Adam and Eve story.
Private symbols can mean anything the author wishes
them to mean, and this meaning is only apparent from
 the way in which they are used in the novel. Sometimes
authorial and traditional symbols merge having both the
traditional meaning, and one that is more closely
related to the novel.
Symbols most often reveal characters to us and/or
strongly allude to the theme of a novel. Readers of a
novel may not always agree on a particular symbol's
interpretation or even if a particular item is a symbol, so
be careful to offer plenty of supporting evidence and
reasoning to back up both your selection and
interpretation of any symbol.

What is Theme?

Theme is the point of the book, the author's message to us: the readers. Theme is
often complex, and thus, it may be difficult for two people out of ten to interpret the
same theme. Though certain readers may see similar themes, most likely the
themes they interpret will be different in some way or another to varying degrees.
Hence, theme is a matter of individual interpretation. However, the interpreter must
not be too cavalier in assuming he/she can choose any theme whatsoever. The
theme must logically come from the text; therefore, the theme must be supportable
by using specific text examples. Care should be given to interpreting these specific
text examples in the context that they are used in the novel. Care should also be
given to avoid "stretching" or "reaching" too far to make a text example fit into our
interpretation of the theme. In addition, the wise reader/interpreter will avoid
associating the author or the author's life too closely with the main character or
his/her life.
Questions to ask to get to the theme:

1. What lesson does the author want me (the reader) to learn from this book?
2. What lesson does the author want me (the reader) to learn about life?
* Important note - Be doubly sure to state the theme in an arguable statement. See
the following examples:
In Way of the Peaceful Warrior, Dan Millman writes about living in the present.
(This statement is not a theme; it announces the topic but does not make an
arguable statement about it.)
In Way of the Peaceful Warrior, Dan Millman concludes that living in the present is
the key to unreasonable happiness.
(This statement gives us the topic "living in the present" and makes a point about it
"is the key unreasonable happiness")