Tuesday, April 25, 2006

Playful Subversion in Shakespeare’s

Playful Subversion in Shakespeare’s All’s Well That Ends Well And Other “Problem Plays”

O me, with what patience have I sat,
To see a king transformed to a gnat!
To see great Hercules whipping a gig,
And profound Solomon to tune a jig,
And Nestor play at push-pin with the boys
And critic Timon laugh at idle toys.


(Love’s Labour’s Lost, IV iii 161-166)Plato’s well-known dialogue Symposium ends with a dramatic note. Aristodemus is the original narrator of this dialogue. He was one of the participants in the party, which Agathon had hosted to celebrate his being adjudged the best tragedian that year. He had had one too many, and had dozed off for some time. While struggling to keep his eyes open, he found Socrates,Aristophanes and Agathon engaged in some serious discussion on drama, still “drinking out of a largegoblet”. He heard Socrates compelling the other two“to acknowledge that the genius of comedy was the same with that of tragedy, and that the true artist in tragedy was an artist in comedy also”(Plato, 392-393).Aristophanes, the writer of comedy and Agathon, the writer of tragedy, were supposed to speak on the subject, but they were totally drunk. They were not in a position to comprehend what Socrates was talking about, let alone disagreeing with him. They had no other option but to fudge a reply by nodding their drowsy heads to express their consent. Particularly in this scene, Plato shows his skill as playwright by shrewdly dodging the issue. Socrates is prevented from conducting his dialogue.The inconclusive ending of an important issue suits a player some creative piece rather than a philosophical discourse. But one thing is certain: According to Socrates, a playwright can write both tragedies and comedies if he wants to. He means to say that the so-called exclusiveness of artistic sensibility is more a myth than a fact. This statement goes against the actual practice of the ancient dramatists.Aeschylus, Sophocles, Euripides and Agathon never wrote any comedy; Aristophanes presumably did not write any tragedy. Plato makes Socrates raise that controversial issue when the two practicing playwrights are too inebriated to give their “sober”opinion on it. Their agreement with Socrates negates their own practice as playwrights. In Rome also the same thing happened. Plautus and Terence never wrote tragedy, and Seneca a comedy. The truth of Socrates’statement - “that the true artist in tragedy was an artist in comedy also”- was vindicated, after more than two thousand years, in Shakespeare who not only wrote comedies and tragedies, but was able to accommodate comic scenes in tragedies and serious scenes in comedies cocking a snook at classical purity of genres. The critical opinion has it that he did all that inadvertently.Samuel Johnson, in his Preface to Shakespeare, while defending Shakespeare for mingling tragic and comic elements in the same play, writes that the playwright“indulged his natural disposition” while writing comedy and produced “without labour what no labour canimprove”, whereas he struggled while writing tragic scenes (Johnson, 17). Johnson’s comments on theplaywright’s handling of, or struggling over, tragic scenes are open to debate. It is difficult to agree with Johnson when we consider Shakespeare’ssatisfactory management of tragic scenes in his major tragedies. However, his observation on theplaywright’s natural bent for comedy seems to be an insightful discovery difficult to dispute. While presenting serious action or developing the plot in his comedies, histories and tragedies (particularly,Hamlet), Shakespeare seems to be on the look out for an opportunity to accommodate a comic scene and Witty exchange of dialogues or to explore the comic potential of a scene or the characters involved in that scene. Once he gets one such occasion, he changes gear, makes a jolly detour around the cliff-hanger ahead, does not hesitate to interrupt all the pressing engagements for some time, pulls all possible strings of his imagination and presents that comic scene with such élan as to make Plautus appear profound. This natural proclivity for comedy also enables Shakespeare to handle the classical as well as the historical material with unrestrained freedom and relative ease.He indulges his native impulses without feeling intimidated by, and reverential to, the larger than life heroes, sanctimonious sages and the seriousness of issues which antiquity has been investing them with. He finds great delight in gulling the likes of Malvolio, who are intolerant of revelry and laughter and make a fetish of seriousness. Sir Toby Belchvoices this sentiment when he tells Malvolio: “Dostthou think, because thou art virtuous, there shall be no more cakes and ale?” (Twelfth Night, I iii109-111). Shakespeare sees to it that there “shallbe” not only “cakes and ale”, but a lot of merry laughter as well, that too at the expense of such censorious characters. A study of Twelfth Night andAll’s Well That Ends Well clearly reveals that the“gulling” plots involving Malvolio and Parolles are constructed with extraordinary care.Shakespeare honed his comic instinct by his reading of the comedies of Plautus and Terence, Boccaccio’s The Decameron, Rabelais’s Gargantua and Pantagruel,Chaucer’s Canterbury Tales and, of course, by his exposure to the native folk dramas, particularly Interludes, flourishing in English countryside. Hi splays offer ample evidence of his knowledge about these writers and their works, and his familiarity with the native dramatic tradition. Celia needsGargantua’s mouth to answer Rosalind’s nine questions in just one word. Rosalind: What did he (Orlando) when thou saw’st him?What said he? How look’d he? Wherein went he? What makes he here? Did he ask for me? Where remains he?How parted he with thee? And when shalt thou see him again? Answer me in one word.Celia: You must borrow me Gargantua’s mouth first;‘tis a word too great for any mouth of this age’ssize. (As You Like It, III ii 205-212)Another interesting aspect of Shakespeare’s comic genius is that he frequently treated classical characters and themes in such a manner as to make them appear less dignified, grand and heroic than conventions allowed. Such unusual and brave treatment is assumed to be a pointer to his originality as well as the vindication of his comic genius. What intention, what sensibility did compel Shakespeare to make light of the serious issues and to trifle with the august personages of antiquity? It is attempted here to answer these questions without transgressing the Shakespeare canon, without imposing on the plays that which they do not contain. To start with, it is assumed that Shakespeare was playful, or playfully subversive. This assumption uncorroborated by some important (and general)observations made by the Russian theorist Mikhail Bakhtin in his treatise on Gargantua and Pantagruel,called Rabelais and His World (1984) about the spirit of the Carnival that entered and replenished European literature during the Renaissance. Merry laughter was mode of counteracting the repressive forces of theological dogmas and official culture that held sway over medieval Europe for more than a thousand years.Cannibalization was not invented. It simply emerged out of the inner necessity of ordinary people to free themselves from the suffocating darkness of the Dark Ages that was characterized by its inflexible social and ecclesiastical hierarchies, its repression of spontaneity in the name of religious discipline and the political status quo. It emerged in the marketplace, in the folk theatre, in the remote countryside,that is to say, in the places where ordinary life was being celebrated in its entirety.Shakespeare was at the peak of his performance between1600 and 1605. If we go by Professor Peter Alexander’sdating of the plays, Shakespeare wrote all his major tragedies during that period. In addition to his tragedies, he came out with some “quaint” and bizarre plays whose very category is difficult to determine.They are taxonomic conundrums. Instead of calling them comedies or tragedies, the critics find some other names for them, such as, dark comedies,tragi-comedies, problem plays and comical satires (ala Ben Jonson). These plays are: All’s Well That Ends Well, Troilus And Cressida, and Measure for Measure.It is not unusual to find some comic scenes and characters in his tragedies, and serious scenes in his comedies. In a serious tragedy like Hamlet, there are scenes with Polonius (Lord Chamberlain), Clowns (theGrave-diggers) and the foppish courtier Osric, which are capable of arousing a great deal of laughter. Bu tin these so-called problem plays, the situation is different. Seriousness is not confined to some scenes or to some characters. They seem to contain the stuff from which tragedies are made. A somber mood pervades the entire play. Menace builds up to a climax. The weather is generally muggy. The major characters frighten us by their proclivities for evil, by their imperfections, by their complete reversal of attitudes and principles, or at least by their vulnerability to temptations. Then towards the end of the play, the menace is diffused. Circumstances are so contrived and the endings are so ingeniously circumvented as to render their schemes ineffective, their villainies innocuous, and their potential for evil unrealized.Even after their exposure, they are not only allowed to go scot-free, they are even assured of rehabilitation. They are forgiven even before they ask for forgiveness. And the plays end happily. Their happiness seems even more undeserving than the suffering of the Aristotelian tragic protagonists. A spirit of boundless lenience sums up these plays. Novice is considered unpardonable. No virtue is considered strong enough to withstand temptation. The nature of the middle is not in sync with that of their endings. But the sweetness of the reconciliation at the end does not completely remove the unpleasant taste, which lingers in the mind of the spectators and readers. On the contrary, the readers and spectators are more or less coaxed or forced to relax their moral stiffness and to broaden their horizons of sympathy in order to accept these characters warts and all, and take part in the sumptuous wedding feasts at the end of All’s Well That Ends Well and Measure for Measure.But these weddings are not occasioned by love. It is the willingness of two bullocks or horses to be yoked together. Angelo and Bertrand would be willing to runaway from their brides if they are given a chance.Love, particularly in these two marriages, is aone-sided affair; it belongs to women only, and theyare entitled to happiness for their constancy.That apart, these plays contain some utterlydisposable characters who are made to appearindispensable. They are the railing knaves, whose onlyjob is to debunk and calumniate other characters,sometimes with reason, sometimes without any. Butthese characters turn out to be no better than thecharacters they debunk. These calumniators also debasethemselves abysmally just to keep their body and soultogether, both in the figurative and real senses ofthe term. Their coarseness is casual; their cynicismis shocking; their desire to survive at all costs ismean; their spite for mankind is gratuitous; theirscurrility is an outrage on good taste; their functionas entertainers is not so engaging, for they offendmuch more than they amuse; and yet their acceptance inthe Shakespearean scheme of things is surprisinglyassured. They so “out-villain villainy” that their“rarity redeems them.” It is true not only forParolles, but for many others of his tribe as well.They are: Parolles in All’s Well That Ends Well,Thersites in Troilus and Cressida, Apemantus in Timonof Athens and that irregular fantastic Lucio inMeasure for Measure. The subject matter andcharacterization of these plays as well as thepresence of these characters all combined problematizethese plays. The very conflicts in these plays sendout conflicting signals. While admitting that theabsence of these characters will not clarify theambiguity of these plays, it may be assumed that theirpresence tunes in to the playwright’s hidden intentionto project a radically altered picture of the world aswell as the complexity of human nature. In these playsin particular, the unstated agenda of carnivalizationis not confined to comic situations and ranting of theparasitic malcontents like Parolles and Thersites; itrather penetrates the substratum of themes andcharacterization, and by so doing subjects them tosevere examination, which inevitably leads to themind’s conversion to a more liberal faith. In fine,it factors in a radical revaluation of values.All’s Well That Ends Well, a play written during 1600– 1605 period, may be cited as a case in point. Itsvery title clearly demonstrates the spirit of theplay. W.W.Lawrence calls it a “supremely cynicaltitle” (79). This title derives from the dialogues ofHelena who is one of the most important characters inthe play. A more persevering and unstoppable woman inlove than Helena is hard to meet in the dramatic worldof Shakespeare. So what if Bertrand spurns her,employs all methods to get rid of her and throws agala feast to celebrate her supposed death; she mustforce herself on him. The title Troilus and Cressidais no less cynical if we consider the condition andconduct of the eponymous lovers at the end of theplay. Cressida, the beloved is footloose andfancy-free in so far as her affair with Troilus isconcerned. She deserts her lover Troilus without anyreason. She simply finds another young man moreattractive. She flirts with a Greek soldier Diomedes,and gifts him the very sleeve that she had received asa token of love from her first lover Troilus. Sheremembers her old lover without feeling the twinges ofconscience. But she feels pity for her doting oldlover. Troilus is made to watch this scene of betrayaland overhear their love whispers. And then Troilus thefighter takes over Troilus the lover after his initialdiscomfort for being so cruelly jilted. As Troilusand Diomedes fight over the sleeve that Cressida hasgifted to her new lover, Thersites, the roguecommentator, is hugely amused. As “lechery eatsitself”, he observes wryly, these two “wenchingrogues” would swallow one another. “Hold thy whore,Grecian; now thy whore, Troyan - now the sleeve, nowthe sleeve” (V iv, 34-35, 23-25). That comment soundsmore symbolic than cynical, because the very cause oftheir combat is a fickle woman, quite unworthy ofbeing an adequate cause for mutual slaughter.Thersites' comment is equally applicable to the largerfeud of which he himself is a part, that is, theGreco-Trojan War. The attacking Greeks and thedefending Trojans are fighting over an equallyunfaithful woman called Helen. He tells Margarelon(who introduces himself as the bastard son ofPriam’s): “If the son of a whore fight for a whore, hetempts judgment. Farewell, bastard.” (V vii, 22-24).When he sees Menelaus and Paris fighting, he comments:“The cuckold and the cuckold-maker are at it” (V vii,11-12). The playwright and Thersites make it clearthat these two pairs of lovers (Thersites calls them“wenching rogues”) are fighting among themselves overtwo unworthy and untrustworthy women. As the men canbe as great as the causes they champion, thesefighters are not as great as they are projected to be.Thersites observes:“Here is such patchery, such juggling, and suchknavery. All the great argument is a whore and acuckold- a good quarrel to draw emulous factions andbleed to death upon. Now the dry serigo on thesubject, and war and lechery confound all” (II iii68-73).All is well that ends well may be a simple statementspoken by a character in self-defense. But it acquiresprofound significance when the playwright uses it asthe title of his play. It destabilizes thetime-honoured association of ends and means. Most ofour value systems are based on their interdependence.It begs such questions as: Is it ethically permissibleto achieve a fair end by adopting unfair means? Isn’tthe value of what has been achieved integrally relatedto how one achieves it? But the title as well as thetheme of the play clearly privileges the end over themeans. In Measure for Measure, Claudio, a young gentleman ofnoble birth, compels his sister Isabella to offerherself to Angelo, the “outward-sainted deputy”, tosave his life. If the aim is to avert death, anymethod adopted to achieve that aim is justifiable.There is no room for any ethical qualms. Claudio says:The weariest and most loathed worldly lifeThat age, ache, penury, and imprisonment, Can lay on nature is a paradiseTo what we fear of death.Sweet sister, let me live.What sin you do to save a brother’s life,Nature dispenses with the deed so farThat it becomes a virtue (III I 130-137).The case is not any different with the legendary heroAchilles in Troilus and Cressida. Hector is thegreatest threat to the Greeks. Troy will not fall solong as Hector lives. That apart, he has killedPatroclus, Achilles’ boon companion. Avenging hisfriend’s death by killing Hector is the “noble” aim ofAchilles. So he kills him when he is unarmed,unguarded. Hector requests him to hold on till he putson his coat-of-arms and holds his sword. But Achillesturns down his request. Yet no infamy visits Achilleswho so brazenly compromises with the means to achievehis end. The battlefield resounds with the big news:Achilles killed Hector. Nobody bothers to inquire: Inwhat way? Was it a fair fight? Had Achilles faced sucha question, he might have defended himself by saying(like Helena) that the great good has been achieved;that all’s well that ends well.In Measure for Measure, Angelo is forgiven andrewarded with a wife. Claudio, the young man condemnedto be hanged, is desperate to live. Vincentio, theDuke of Vienna, disguised as a priest, delivers asolemn diatribe against life. He advises Claudio tohate life and love death: He says: “Reason thus with life,If I do lose thee, I do lose a thing That none but fools would keep…Thou hast nor youth nor age,But, as it were, an after-dinner sleep, Dreaming on both…What’s yet in this That bears the name of life? Yet in this life Lie hid moe thousand deaths” (III i 05- 41). The disguised Duke’s persuasive jeremiad against lifeis totally wasted on Claudio. It is meant to be so. Inspite of its solemnity and irrefutable factuality, thespeaker of this speech knows that the condemned manwill finally live. He will declare his identity andcome to his rescue just in time. Its satirical aspectis apparent. His condemnation of life cuts both wayslike a double-edge sword. The Duke, well known for hisliberal views and indulgent attitude towards vices,only parodies a confessor who tries to cheer up aprisoner in his death throes by sermonizing on thedisadvantages of living and advantages of dying,though with his tongue firmly in his cheek. In All’sWell, Bertrand is presented as a timid man, a breakerof oaths, a seducer of women and an inveterate liar.But for his noble birth and young age, he is asdissolute a character as his boon companion Parolles.He does not possess a single good quality that canendear him to the audience or the reader. But in spiteof all these negative qualities, he is not even reprimanded, let alone punished. Samuel Johnson sumsup this character admirably. He writes:“I cannot reconcile my heart to Bertram: a man noble without generosity, and young without truth; whomarries Helen as a coward, and leaves her as aprofligate: when she is dead by his unkindness, sneakshome to a second marriage, is accused by a woman hehas wronged, defends himself by falsehood, and isdismissed to happiness” (Campbell, 17).Coleridge, however, defends Bertrand saying that “Hewas a young nobleman in feudal times, just bursting into manhood, with all the feelings of pride of birthand appetite for pleasure and liberty natural to sucha character so circumstanced” (Campbell, 17).Coleridge is undoubtedly romanticizing this character.Some of his actions cannot pass muster, such as his readiness to lie and to marry Lafeu’s daughter evenwithout seeing her. As a broadminded uncle takes easy the spats ofchildren with an indulgent smile and an expansiveshrug, believing that there is nothing serious toworry about, the Dukes and Kings quite avuncularly patthe aggrieved characters and wrong-doers, the heroesand the villains (and they are indeed indistinguishable from one another) and ask them to forget their quarrels and be agreeable to each otherin order to be happy together. That is to say, if your aim is to be happy in this trouble-torn world,whatever methods you employ to achieve happiness ispermissible and pardonable. Now the question arises: Does Shakespeare want tostand an ethical system on its head? Or is he positingthat conventional certitudes against practical compulsions of life in order to test their resilience,their relativity? In this sense, these plays may be called satires; for they seem to undermine our complacency by showing how accommodative human naturecan be when it comes to negotiating our self-interestto the abstract requirements of virtue and truth. Foulcan be fair when the goal is achieved; and the crownwill conceal the bald head. In these plays satire is understated. It moves invisibly just below thesurface. One has to dredge deep to locate it. ButShakespeare’s satire is different from that of BenJonson’s. Unlike Jonson’s, Shakespeare’s satire israther gentle, subtle, indulgent and multi-layered. Inthe limited space of this essay, it is attempted to discuss the multi-layered nature of Shakespeare’streatment and testing of sanctified universals, suchas, love, honour, hierarchy, ethics, etc. in the aforesaid plays. It is not possible to assume with any degree ofcertainty what intention inspired Shakespeare tosubject our much acclaimed notions of life, our piousnotions of love to such “reality” test; to tell us howflexible our ethical definition can be under pressingor tempting circumstances, particularly when itinvolves our self-interest; when the going gets tough.But it is certain that such radical departure from thetime-honoured conventions cannot take place without aconscious design, a deliberate intention and a hiddenor unconscious agenda. In Troilus and Cressida, he hasto alter the Homeric story in order to turn Achillesinto a black-guard by making him kill an unarmed Hector, that too with the help of his Myrmidons; hemakes Cressida (who is so charmingly portrayed byChaucer in his Troilus and Criseyde) a coquettish turn coat; he also makes Angelo who claims to be acustodian of public morality, a betrayer of trust andan unscrupulous lecher; and he makes Helena, theheroine of All’s Well That Ends Well, a “clever wench”who stoops quite low to chase and catch hold of herdesired man Bertrand totally oblivious of the moralimplications of her procedures and the unworthiness ofthe count.These problem plays share certain qualities with themajor tragedies, some of which had been written duringthe same period, i.e., between 1600 and 1605. As ithas been stated, Shakespeare was at his most maturestage in that period. For that reason, the moralambivalence and his playful experimentation withvalues and ideas cannot be written off as mereattempts of a fledgling writer to introduce bold andunconventional themes (like Christopher Marlowe) inorder to appear iconoclastic and to draw attention. Aclose reading of these plays reveals a highly committed mind at work. There seems to be a deepstructure supporting the apparent one. Critical opinion has it that Shakespeare is reflectingthe public attitude of his times. The Christianworld-view of the medieval Europe did not, to someextent, accord an exalted or privileged position tothe classical heroes and themes. It is, however, truethat in the popular comedies and Interludes writtenand enacted in English country sides during the middleages and the pre-Renaissance era we find a waning ofawe and lessening of reverence towards the mythological heroes and biblical personages, as wellas towards the value system they represented. MikhailBakhtin offers an interpretation of the Renaissanceworld order, which may explain why Shakespearean canoncontains such a subversive and unofficial attitudetowards classical ideologies and character portrayals. According to him, folk culture and popular forms ofentertainment liberated human mind as well as literature from the strait jackets of classical absolutes and medieval categories. Shakespeare’s comicmuse found its raison d’etre and impetus in the nativefolk literature of his times. Local scribes and lesserwriters wrote those comic dramas and interludes moreto amuse their rural audience than to promote asystematic desecration of the sublime. Even thoughtheir characterization was rudimentary andpresentation coarse, their achievement wassignificant. In spite of their conscious endeavour,they helped create a congenial hotbed for theunofficial humour. They planted the seeds of thisliberated, gay laughter. These seeds grew to theirwonted proportion in the able hands of Shakespeare.That unofficial point of view is accommodated in amore systematic body of thought, as well as in a widercontext. All’s Well, one of his typical problem plays, can bediscussed in detail with a view to illustrating hismanner of handling the borrowed material. Shakespeareborrowed the story of All’s Well from Boccaccio’s TheDecameron, and fleshed it out to suit his dramatic andideological purpose. [It is not attempted here to showthat Shakespeare was guided by a particular ideology,political, economic, social or otherwise, to present characters and dramatic situations as he did in hisplays. Ideology simply means a set of personalbeliefs, attitudes, preferences, etc., which expressthemselves spontaneously refracted through thewriter’s sensibility and genius. Sometimes the writermay not be fully aware of his inner implosions, whichinfluence his creative oeuvres. This type of ideologyis different from the political or social ideologies.While adhering to a political ideology, a writer may have to surrender his personal preferences to belongto, and to act in accordance with, an alien ideology;whereas while adhering to one’s inner ideology, thewriter simply yields to his own impulses, allows hiscreative faculties to be guided by his inner calling.]Shakespeare, interestingly, added a sub-plot to themain plot. The cosmetic changes in the plot structureor story line might have been introduced for dramatic convenience and the conventions of the ElizabethanStage, but introduction of ‘new’ characters that donot figure in the original story is Shakespeare’s veryown invention. It is worth while to figure out what motive necessitated that invention. The plot outline of All’s Well is taken from the Third Day, Ninth Story of The Decameron. In the story by Boccaccio, Gilette, the daughter of a deceased physician, lives as a dependent in the house of the Count of Roussillon. She and the young Count Bertrandare childhood friends. Gilette loves Bertrand, but Bertrand treats her as a friend. He has no special liking for her. As Gilette’s social status is much inferior to that of Bertrand’s, she has little hope ofmarrying him. In course of time Bertram becomes a handsome youth, and goes to Paris to stay in theking’s court. The King of France suffers from chesttumor. The doctors treat it maladroitly. As a result,the king develops a fistula. The fistula does notrespond to any treatment, and gets aggravated when new medicines are tried on it. So the king is unwillingto allow any new experiment. Gilette, now a young and beautiful lady, has acquired an amount of knowledge inmedicine from the notes of her father, Master Gerard.She finds a ray of hope in the king’s ailment. Shesets out for Paris, hoping to cure the king of his fistula and to meet Bertrand. The king is initially reluctant to allow a young lady to treat his disease.But she succeeds in convincing him of the efficacy ofher preparation. She puts the condition that she would court death if she failed and if she succeeded,the king should give her a free hand in choosing herhusband from among the nobles of the court. The kingagrees to her condition. She cures the king, anddemands the hand of Bertrand as her fee. The gratefulking forces Bertrand to marry Gilette. Bertrand ispredictably outraged. Unwilling to consummate hismarriage with his bride, Bertrand goes off to Florencewhere he offers his services as a soldier to the Dukewho is at war. He is determined not to return toRoussillon. He sends a message to Gilette, now theCountess, that unless she acquires his ancestral ring(that he wears) and gives birth to his own child, heis not going to treat her as his wife. They areimpossible conditions, but Gilette does not give uphope. She dons the garb of a nun and pretends to goon a pilgrimage. She announces that she is renouncingthe world, but she actually goes to Florence in searchof her husband. While there, she learns from aninnkeeper that Bertrand is infatuated with a poorwidow’s pretty daughter named Diana and is trying tolay her by offering attractive promises includingmarriage. Gilette befriends the widow and herdaughter, wins their confidence, tempts these two poorwomen with bribes, and finally manages to get theancestral ring from the amorous Count through Diana.She sleeps with him impersonating the widow’s daughterand gets impregnated in the process. She livesincognito in Florence. In due course of time, shedelivers two sons and spreads the news of her death. The count Bertrand returns to his country on hearingthat news, and celebrates his home coming with alavish feast. At that time, Gilette presents herselfwith Bertrand’s ancestral ring and two sons fatheredby him. She has fulfilled his two difficultconditions. The count is now honour-bound to accepther as his rightful wife. The story ends happily.Now Shakespeare has taken the broad outline ofBoccaccio’s story, and introduced at least four newcharacters, such as The Countess of Rousillon(Bertrand’s widow-mother), Lafeu, an old lord,Lavache, a clown (servant to the Countess), and, mostimportantly, Parolles, a confidant and boon companionof Bertram’s. By introducing a mother for the youngcount and as uncle figure Lafeu, Shakespeare wasguided by dramatic exigencies, which require thecredible characterization and the motivation foraction. The audience and readers of this play aremade to look at Helena (Boccaccio’s Gilette) throughthe appreciative eyes of the Countess and thewell-considered opinions of the old lord Lafeu. Thereaders of a story, as a rule, are in a swirl ofmotion, chasing the swiftly moving incidents, oneleading to the other, to reach the suspense-resolvingclimax. They have hardly any inclination to brood overcharacterization and ethical dimension of an actionperformed. But the watchers and readers of a play,even though they are equally absorbed in the movementof the plot and curious about what happens next, aresimultaneously interested in the realism of characterportrayal, the adequate motivation for, and theethical aspect of, action. That is to say, drama hasto be a faithful representation of life and believablepicture of reality, which a narrative genre of limitedlength (such as this story by Boccaccio) may managewithout. At this point, the introduction of unsmiling, cynicalclown Lavache and the braggart soldier Parolles, theboon companion of Bertrand’s becomes significant. What motive, what creative compulsion, and what dramatic necessity do compel Shakespeare to introducethose two characters? The job of a professional clownis to amuse others by the flashes of his wit. But poor Lavache lacks natural wit and sense of humour. Heshocks the Countess by his forward manners, his sauciness, and his inappropriate comments. Parollesis a Captain, not a clown. He is the companion of thecount Bertrand. But he is sometimes made to performthe role that is generally assigned to the Fools and Clowns in other Shakespearean plays. Helena desires to recreate herself by engaging Parolles in aconversation on virginity. He is a social climber.Though of common stock, he tries to belong to thenoble society by dressing himself fashionably and being on equal terms with the count. Lafeu seesthrough his tricks and treats him with disdain. Yet he swallows that humiliation without much protest. Suchan unenviable job was entrusted to a more carefullycrafted character, Thersites in Troilus and Cressida,and to Lucio, a fantastic in Measure for Measured.Thersites is also a Captain. They are unlicensed clowns who appropriate the roles of acerbic commentators on life at large. They are cynical denigrators of such virtues as considered unquestionable by other characters. Instead of relieving the gloom that the incidents generate, theymake it heavier and darker by the endless wagging oftheir tongues, by mixing truth with their fibbing andby their spiteful interpretation of characters andsituations. Whatever they say cannot be called lies,because the conduct of the privileged characters in these plays appears unbecoming of their station in life and unacceptable in the contexts of convention and propriety. In Troilus and Cressida, Cressida switches her affection from her devoted lover Troilus to Diomedes. While handing over Troilus’s sleeve to Diomedes,Cressida is not oblivious of the moral dimension ofher action. A woman cannot remain faithful if sheallows her mind to be guided by her eyes:One eye yet looks on thee;But with my heart the other eye doth see.Ah, poor our sex! This fault in us I find,The error of our eye directs our mind.What error leads must err; O, then conclude Minds sway’d by eyes are full of turpitude. (V ii104-109).The sense of sight is a treacherous guide. As a result, errors and turpitude are there galore, and themore important characters are full of them. But these clowns like Thersites and Parolles do not cause themto happen. They do not generate evil; they simply deepen it and make it appear more pervasive. They find some pleasure in commenting on the folly and immorality of other characters, meaning: “Look you,they are as base as we are, may be worse”. This type of pleasure visits a depraved valet when he discovers,to his great delight, that his master has all thevices that he himself possesses. Though a captain,Parolles has a tendency to run away from the dangersof armed confrontation saying it is advantageous tohim. When very abjectly treated by the old lord Lafeu,he frequently vows to avenge his humiliation, butchooses to swallow it. When he is tricked into aconfession (by two Lords from Rousillon), he fabricates stories about the baseness and cowardice of these lords, betrays his friend count Bertrand,supplies the supposed enemy with such strategic information as would prove disastrous to his own side and makes a virtue of his brazen volte-face with: “Who cannot be crush’d with a plot?” (IV iii 302). That isto say, all would have behaved just as he himself had behaved under similar circumstances, because all areas afraid of dying as he is; all are capable ofbetraying their own side, their friends andbenefactors to save their lives; all do entertain suchpoor opinions about one another in private while publicly treating one another as friends. G.K.Huntercalls him “the superfluous man.” According to thiscritic, “there is no depth to his (Parolles’s)follies; the follies are the character” (Hunter,xiviii). In spite of his shallowness, he is given agood deal of importance and attention in the play. Thecount Bertrand and the two lords take great care tohatch and execute an elaborate plot to test him, totrap him. So far as the play is concerned, Parolles isthe most carefully sketched character, and hissoliloquy after his exposure contains the mosteloquent consolation for the dispossessed: “Beingfool’d, by fool’ry thrive. There’s place and means forevery man alive” (IV iii 315-316). Professor Hunterwrites: “King Charles I’s view that Parolles is the centralattraction of All’s Well (and that Malvolio is the central attraction of Twelfth Night) is not unreasonable; such theatrical success as the play hasenjoyed has largely depended on Parolles; he is drawn with considerable care and his role as a tempter isworked out in detail. Too often he is regarded as awatered-down Falstaff” (Hunter, xlvii).Apparent similarities between Parolles and Thersites on the one hand and Sir John Falstaff on the other areeasily noticeable. They all are in the militaryservice, that is, captains; they, like Plautine MilesGloriosus, are expert at fibbing and boasting. Theirbehaviour on the battlefield is more or less similar.Thersites demeans himself to escape enemy soldiers.Parolles is not only a timid rogue, but a traitor aswell. And Falstaff counterfeits death to escape Douglas. On opening his eyes he sees the dead body of Hotspur (Percy), slain by Prince Hal. He picks up thebody and claims to have slain him and hopes to be madean earl or a duke by the King. The Prince calls him “aglobe of sinful continents.” But their resemblancestops there. Both as a comic character and as a man ofwit, Sir John stands head and shoulders above suchcharacters as Parolles, Thersites and Apemantus.W.W.Lawrence categorically rejects the view that Parolles is an “early sketch of Falstaff” or a“diminished replica” of Falstaff (69).Maurice Morgann, in his celebrated essay (“An Essay onthe Dramatic Character of Sir John Falstaff”, 1777)defends Falstaff against the charge of cowardice. Hewrites: “We look on Falstaff as the same kind of character asParolles, yet we preserve for him the respect and goodwill which we deny to Parolles. Falstaff is atease in danger, and we do not blame Shakespeare for departing from the truth. Perhaps his real character differs from his apparent, and this difference is thetrue point of humour. Perhaps he was intended to be drawn as a character of much natural courage and resolution” (Ralli, 74). All these swaggering soldiers may claim their ancestryto Plautus’s famous character Pyrgopolynices in Miles Gloriosus. But Shakespeare presented Falstaff as asingular type, a complex mixture of bravado and cowardice, cunning and charm, resourcefulness and witand a strong weakness for wine, women and fun. Thegeneral impression he gives is: a man with a healthy,hearty sense of humour, a swaggering old boy, with a foul mouth but without any trace of malice. He is acharacter to whom people would be irresistibly drawnwhile strongly disapproving of his conduct. “With sogenial and agreeable a misleader of youth asFalstaff,” writes W.W.Lawrence feelingly, “the Prince’s wild nights in the London stews seem excusable. No one can wonder at his falling under thespell of a man who fascinates every one about him”(69). He is a character whose rejection by the newking, Henry V (Prince Hal of yesterday) is capable ofprejudicing the audience and the readers against theking. There is general agreement that he deservedbetter treatment than what he received from his booncompanion turned king in Henry V. William Hazlitt sumsup this sentiment in his panegyric on Falstaff:“No more substantial comic character than Falstaff wasever invented…The secret of his wit is masterlypresence of mind and absolute self-possession…Wecannot forgive the Prince’s treatment of Falstaff-though Shakespeare must have known best, according tothe history- yet Falstaff is the better man” (Ralli,151).In fine, he is the embodiment of the carnival spiritand gay laughter Mikhail Bakhtin writes about in his Rabelais and His World. In the two Henry IV plays heis surely a Shakespearean version of Plautus’sPyrgopolynices, the inveterate swaggering Captain whoclaims to be “a grandson of Venus” and says that notonly women, but also armed men shake with fright whenthey see him (Plautus, 204). In The Merry Wives of Windsor, he strikingly resembles Pyrgopolynices in his amatory exploits: his infatuation for, and his seduction of, someone else’s wife, his ability to begulled and consequent loss of his face. Though undoubtedly influenced by Plautus, Shakespeare transformed this Plautine stereotype (Miles Gloriosus)into a full-blooded individual investing him withlocal flavour, eccentric charm and all too human complexity. Parolles and Thersites, on the other hand, eventhough they share a lot of qualities with the fatKnight, they lack his variety, his warmth, his ebullience and his boisterous, bohemian wit. They arecynical rather than comic. Their self-conceit arousesuniversal revulsion; their indiscriminate raillery against one and all, and their utter lack of self-esteem do not endear themselves to the audienceand the readers. In these characters, Shakespeare gives a new twist to Rabelaisian or carnivalesquelaughter; he adds a new dimension to it. The character of Apemantus (in Timon of Athens) comesto mind when we meet Parolles. Apemantus, theparasitic follower of Timon, no honour for himself,but his own physical safety; does not wish to be richbecause “Rich men sin” (I ii 69). When he tries toingratiate himself to Timon by despising mankind, the victimized hero is not amused. Timon tells him bluntly that a fellow, who thrives on others charity and scrounges off humanity, has no good reason to condemn humanity. Timon tells him:“Why shouldst thou hate men? They never flatteredthee. What hast thou given? If thou hadst not beenborn worst of men, thou hadst been a knave and flatterer” (IV iii 268-275).The job of the characters like Parolles, Thersites and Apemantus is not to entertain the audience by their sardonic wit and their own viciousness. They hardlyentertain. They darken humour. They do not discriminate. They tar and feather one and all. Theymock at virtue and vice. They love to bitch, to quarrel, and to profane the sacrosanct. They areanathemas, human hedgehogs. They mark out the levelsto which human nature can sink; yet they are full ofvituperation for the foibles of others. Then, whydoes Shakespeare release these barking mongrels intothe stage where a mingled group of imperfect mortals are engaged in endless intrigues and conflicts? We will do these character great wrong if we call them fools and clowns whose sole function is to perk up asleepy audience to their irreverent loose talk and totheir coxcombs. They themselves do not want to playthat role. They do not want to be taken lightly byothers. Apemantus is a philosopher, more correctly aCynic philosopher, and a coarser avatar of Diogenes.Like that Greek Cynic of 4th century B.C., he sneersat the idea that goodness exists in human nature. Hisbeing called “a dog” too often by Timon may havesomething to do with the Greek origin of the word“Cynic.” The Cynics were called dogs, and Diogenes wasalso called “The Dog.” Both Parolles and Thersites are rank holders in the army. They are captains.Though their reasons to be angry are vague, they project themselves as non conformists. But their nonconformity is not supported by the espousal of an alternative system of values. That’s why their angryraillery looks like a posturing; they try to bite, butthey lack teeth to injure. As they are unable to bite,they find some satisfaction by barking. But do theybark in vain? Do they calumniate others without anycause what so ever? Not really. May be, their reputationas nay-sayers and their lack of discrimination reducetheir credibility. It may appear these three characters in particularare not only the monstrous productions ofShakespeare’s mood-flares, but also they seem to possess the authorial license to do what they aredoing, to profane the sacred, to undermine the hierarchical arrangement of the feudal society which the people belonging to the higher class celebrate, to redefine the conventional notions of virtue and to blur the boundary separating the official from the unofficial.As a neoplasm has no physiological function in thehuman body, Apemantus, the cynical philosopher, has no dramatic inevitability in Timon of Athens. Or, atleast, it seems so. He picks up a nasty quarrel withTimon when the latter refuses his offer of food andasks him to leave. His causeless misanthropy infuriates Timon. Harsh insults are exchanged, eachtrying to outdo the other. Finally Timon drives him away by pelting stones at him, an activity asdeserving of Apemantus as unusual for the distraught Roman lord.Thersites, in Troilus and Cressida, is another case ofa demented, foul-mouthed misanthrope. He is unsparingin his spite for one and all. He tells Achilles: “Agamemnon is a fool; Achilles is a fool; Thersites isa fool; and, as afore said, Patroclus is a fool” (IIiii 54-56). He denigrates virtue; he denigrates vice;he detests discrimination. Although A chilles dissuades Patroclus from thrashing him saying he” is aprivileged man”, he is repeatedly thrashed by Ajaxwhom he abuses most relentlessly. He does not get his‘license to rail’ from the characters in the play; heseems to be in possession of the playwright’ssanction. All the choicest epithets hurled at him (byAjax, by Achilles, by Patroclus, by many others) donot hurt his pride, for he is proud of not having anypride; he wears their animal epithets as his trophiesof conquest. Thersites has none of the qualities,which designate a Shakespearean Fool. Lear’s Fool, oreven Fool in Timon of Athens, is always partial to the sufferers who are on the receiving end. But Thersitesloves no one but himself. His own safety is uppermostin his mind; and he does not hesitate to cringe and cower before the Trojan soldiers in the battlefield just to save his life. He is the ultimate coward. Yet, paradoxically, people he vilifies tolerate him. Achilles greets him with “How now, thou core of envy! Thou fragment”. Ajax calls him a dog, a bitch-wolf’sson, toadstool, porpentine, whoreson, stool for awitch, etc., etc. (II i). He exasperates Ajax byholding back the proclamation he carries, and, instead, goes on abusing him. Achilles intercedes when infuriated Ajax threatens to beat him: “I will beatthee into handsomeness” (II i 15). But soon he turnshostile to his protector Achilles with: “Hector shallhave a great catch an he knock out either of yourbrains: ‘a were as good crack a fusty nut with nokernel” (II i 97-99). He continues:“There’s Ulysses and old Nestor – whose wit was mouldyere your grandsires had nails on their toes – yoke youlike draught oxen, and make you plough up the wars.Yes, good sooth. To Achilles, to Ajax…” (II i101-105).In spite of all his vituperation, Thersites is notonly tolerated, he is well loved by Achilles. On oneoccasion when Thersites pays a visit to Achilles’tent, Achilles is very pleased to see him: “Art thoucome; why, my cheese, my digestion, why hast thou notserved thyself in to my table so many meals?” (II iii37-40). The acceptability of this human “porpentine”is the point to ponder. Thersites mainly interacts with one group of characters from the beginning to theend. They are Ajax, Achilles and Patroclus and, tosome extent, with Pandarus and Troilus. He only refers to Ulysses, Agamemnon, Nestor and Menelaus. The latter group constitutes a relatively more balanced, more astute people who occupy a higher position in the hegemonic structure. Thersites servesas their courier, errand boy, and pours venom against them behind their back. But he is most uninhibited inthe company of the former group. The characters belonging to this group – Ajax, Achilles, Patroclus,etc. are flawed ones, or, more correctly, they areportrayed as such by Shakespeare. Ajax is a mind less hunk, pathetically jealous of Achilles. He is driven to desperation by his jealousy. Achilles loves flattery and to hear irreverent insinuations against the king Agamemnon and his coterie. He is presentedin this play as a show-off, a sulking school boy enjoying the company of his doting Myrmidons and chiefly, his friend Patroclus. He violates the rulesof war and kills Hector when the latter is off hisguard. Not he alone, but all his Myrmidons pounce onan unarmed, unprepared Hector and kill him. Patroclusis presented as the “masculine whore”, the “malevarlet” of Achilles. What Homer had implied in The Iliad about Achilles’ relationship with Patroclus,Shakespeare makes it absolutely clear. Thersites tells it when both Achilles and Patroclus are present. And they seem to have taken it easy. Thersites thrives inthe company of these highly “faulted” characters. His nutty abuses, it seems, have tangy kernels of truth.Thersites barters away his honour for hisself-preservation. Twice in the battlefield, he comesface-to-face with strong enemies. When Margarelonchallenges him, he inquires about his identity. Margarelon tells him that he is the bastard son ofPriam’s. Thersites finds an escape route. He tellshim: “I am a bastard too. I love bastards….One bearwill not bite another, and wherefore should onebastard? Take heed, the quarrel’s most ominous to us;if the son of a whore fights for a whore, he temptsjudgment” (V vii 16-23). After some time, Hectorconfronts him and inquires about his “blood andhonour” only to ascertain whether he is worthy of hissword. Thersites replies: “No, no – I am a rascal; ascurvy railing knave; a very filthy rogue.” Hectorspares his life: “I do believe thee, Live” (V iv25-29). His self-debasement endows him with apeculiar immunity against physical danger. Given achoice between honour and life, he unabashedly choosesthe latter. If life is to be preferred to death, allacts performed, all methods employed to secure life are quite in order.Parolles in All’s Well That Ends Well is the booncompanion of Bertrand, the count of Rousillon. Hisassociation with Parolles surprises those who, likethe old Lord Lafeu, know only the good side of Bertrand. Lafeu is clever enough to see through Parolles. That’s why he treats Parolles with disdaineven before the latter has shown his evil potential.Lafeu tells him contemptuously: “By mine honour, if I were but two hours younger, I’dbeat thee. Methink’st thou art a general offence, and every man should beat thee …you are a vagabond, and notrue traveller; you are more saucy with lords and honourable personages than the commission of yourbirth and virtue gives you heraldry. You are notworth another word, else I’d call you knave” (II iii247-256). When Bertram insists that his companion Parolles is avaliant soldier, Lafeu expresses his grave doubts:“Then my dial goes not true; I took this lark for abunting” (II iv 4-6). He advises the young count notto trust that man in important matters: “There can beno kernel in this light nut; the soul of this man ishis clothes” (II v 33-35). The other two Lords, FirstLord and 2nd Lord, say the same thing about thischaracter when they seek Bertram’s permission to testhis companion’s courage and trustworthiness. TheSecond Lord tells Bertrand: “Believe it, my Lord in my own direct knowledge,without any malice, but to speak of him as my kinsman,he’s a most notable coward, an infinite and endlessliar, an hourly promise-breaker, the owner of no onegood quality worthy of your lordship’s entertainment”(III vi 8-14). Parolles extols the value of a drum that was left inthe battlefield. Bertrand tells him to recover it ifhe could. An elaborate plot is hatched to expose thetrue nature of this man who has effectively concealedall his weaknesses from his companion Bertrand. Hewould be attacked, captured and blind folded by these lords and their men when he goes to the battlefield inthe middle of the night to recover the drum. Then he would be given the impression that the enemy side hascaptured him, and that his life would be spared if he supplied all secret, strategic information about hisside to his captors. The count assures Parolles that if he succeeded inrecovering the drum (that instrument of honour) he would be suitably rewarded by the Duke of Florence and by himself for his bravery. At ten O’clock night,Parolles sneaks into the battlefield and is capturedas planned, and brought to the camp blind-folded. Believing that by betraying his own side he would beable to save his life, he supplies his captors withall vital information without much coaxing. Then,they search his pockets and get an undelivered letterthat he has written to Diana. He informs the gathering that his intention is to warn the poor virgin to be aware of “one count Rousillon, a foolishidle boy. Very ruttish … a dangerous and lasciviousboy, who is a whale to virginity.” But his rhyming letter shows him in lesser light. He advises her toprefer men like him to the boys like the Count. It is not his concern for the poor virgin that makes him write that letter, but his own self-interest. Theletter reads:“He never pays after-debts, take it before And say a soldier, Diana, told thee this:Men are to mell with, boys are not to kiss” (IV iii210-12).Parolles presents the two Lords in worse light. Whenasked about the honesty of the 2nd Lord, Parollessays: “He will steal, sir, an egg out of a cloister; forrapes and ravishments he parallels Nessus. Heprofesses not keeping of oaths; in breaking ‘em he isstronger than Hercules. He will lie, sir, with suchvolubility that you would think truth were a fool.Drunkenness is his best virtue …and in his sleep, hedoes little harm, save to his bedclothes about him …He has everything that an honest man should not have;what an honest man should have he has nothing” (IV iii233-243).It is unlikely that those two lords are as bad as hedepicts them. In so far as the play is concerned,these lords carry themselves with dignity and possessa good amount of generosity as well. The 2nd Lord sosavagely vilified by Parolles seems to have been moreamused than offended. He is even ready to spare theman for his uniqueness as a villain. He says: “He hathout-villain’d villainy so far that the rarity redeemshim” (IV iii 254-25). Parolles possesses most of thequalities that he has attributed to the Second Lord.After pouring venom against one and all, after informing them about the strategic secrets of his ownside, he comes to know that a clever plot hatched byhis protector-cum-companion Bertrand and the two lordshas duped him. He justifies his desperate situationwith “Who cannot be crush’d with a plot?” Thisstatement, though given in self-defense, attests tohis inability or unwillingness to feel ashamed undermost trying of circumstances, and also to hisextraordinary ability to feel happy for havingsurvived the ordeal. He feared death, and death is theworst thing that could have happened. Now that he isalive, all other problems can be taken care of. Hethinks aloud (when left to himself)Yet I am thankful. If my heart were great,‘Twould burst at this. Captain I’ll be no more;But I will eat, and drink, and sleep as softAs captain shall. Simply the thing I amShall make me live…Rust, sword; cool, blushes; and, Parolles, liveSafest in shame. Being fool’d, by fool’ry thrive.There’s place and means for every man alive (IV iii 307-316).In the world of Shakespeare there is always place andmeans for all types of characters, including the likes of Parolles. But this exposed rogue’s self-consoling words have a special and particular significance,which may adequately sum up the ethical dimension ofthe play. The tone and the tenor of this speech match,to a great extent, Helena’s observations on her ownmethod of winning over her reluctant husband and onthe male duplicity. Her husband Bertrand hates herand is unwilling to consummate his marriage with her. Yet again, he makes love to her without knowing thatit is she, his despised wife. She says: O; strange men!That can such sweet use make of what they hate…So lust doth playWith what it loathes….All’s Well that Ends Well. Still the fine’s thecrown. Whatever the course, the end is the renown” (IV iv21-36).For Parolles, survival is the ultimate success. Instead of feeling wretched when exposed, he feels exhilarated for having preserved his life. All is wellthat ends well. Just as Parolles loves his life,Helena loves Bertrand. She is fired by one nobledesire to be united with him. The means she adopts toachieve that aim will not matter much at the end. The sweetness of success will make the means appearunimportant. Shakespeare has vastly improved upon Boccaccio’s Gilette, endowing her with requisite feminine determination to overcome all odds by meansfair and not so fair, a trait noticeable in the emerging modern women. In spite of her spirited and brash maneuvers to achieve her end, she still retainsher feminine charm. Coleridge admires her. She is thefighting woman, “the clever wench”, a type mostnoticeable in the English Interludes. Moralsqueamishness is not one of her virtues. She must win,if not by hook, then by crook. That is the spirit. Onthe other hand, Parolles is a subtle manifestation of Shakespeare’s unstated agenda; he represents anindomitable instinct for survival. Shakespeare is interested to show humanity warts and all. Thisintention may, to a certain extent, answer thepuzzling question why the motiveless malcontents, suchas, Parolles, Apemantus and Thersites are soelaborately portrayed, and that too with some amountof sympathy. The honest old lord Lafeu, who is thefirst to point out Parolles’s villainous nature and towarn the young count to be aware of that rogue,finally accepts the same rogue in his illustriouscompany: “Though you are a fool and a knave, you shalleat” (V iii 14-18). In the last scene, when Lafeu ismoved by Helena’s pleadings and the final acceptanceof Bertrand, he repeats his assurance and givesParolles the freedom to ignore formality and go onrailing as ever.Mine eyes smell onions; I shall weep anon.(To Parolles) Good Tom Drum, lend me a handkercher. So, I thank thee. Wait on me home, I’ll make sportWith thee; let thy curtsies alone, they are scurvyones” (V ii 14-18).By calling him Good Tom Drum, Lafeu makes it clear toParolles that he is in the know of the drum incident;that he would not be accepted by Bertram any more. Sohe comes forward to feed and nurture him. He becomes“the privileged man” like Thersites. In absence ofTimon, Apemantus goes to other lords of Athens topinch and scrape. His reputation as a railing knaveand his immunity to shame will enable him to survive.He does not ask for more. Sheer survival is his onlyambition. Like proverbial cats, these three characters roam on the earth, pinching their sustenance from the tables of the rich and thepowerful, but never feeling grateful, nor any belongingness, to their hosts. They are truly unattached. Bertrand has a pathological spite forcats, and he calls Parolles a cat: “I could endure anything before but a cat, and now he’s a cat to me”(IV iii 21-22). One possible good reason for Shakespeare to create and nurture these “bitter fools”is that he intended to relativize the apparently absolute value system which has been accepted unquestioningly by the Elizabethan public. InShakespeare’s scheme of things, the king even thoughhe occupies the highest rung in the hierarchical ladder shares the same common fate with the rest of humanity. Agamemnon suffers from a common boil that gives him unbearable pain and makes him holler. TheKing of France has a fistula, which does not respondto medicine. Shakespeare’s representation of ethicalabsolutes and choices in the plays under discussionhas a distinct flavour. A particular virtue pushed toits logical extreme is prone to collapse under its ownweight. It may even take after its opposite. When it comes to glorifying love, a few writers will surpass Shakespeare. But no writer has treated this magnificent obsession with greater dramatic irony thanhim. Troilus and Cressida can be cited as the supreme example of demystifying sentimental love. Again, thevice, pushed to its extreme limit, is surprisingly redeemed by some kind of virtue. In some other plays,such as Love’s Labour’s Lost and Henry IV (Part I andPart II), the intermingling of vice and virtue, as well as the unstable foundation on which social hierarchies and certitudes are based, has been presented with casual comedy. But in some others,such as, Measure for Measure, Timon of Athens, All’sWell That Ends Well and Troilus and Cressida, thisintermingling of the high and the low, the good andthe bad, the noble and the ignoble, the heroic and theanti-heroic, love and physical lust, virtue and vice,etc. is done with a view to examining and underminingtheir absolutist ethical claims, and, in the process,relativizing them. Mikhail Bakhtin observes that during the Renaissance gay laughter and carnival spirit entered the realms of high literature. Although Bakhtin claims that gay laughter is a partand parcel of the process of carnivalization, in theseplays commonly known as ‘dark comedies’ or ‘problemplays’ this gay laughter is somewhat subdued andloaded with another motive: carnivalization ofconcepts. Playful subversion of concepts is theunstated agenda, which is adroitly carried out by theambivalent characters, known otherwise as “the bitterfools,” like Thersites, Parolles and Apemantus.Carnivalesque laughter becomes indistinguishable fromthoughtful laughter. This reflection or realizationdawns upon the laughing audience or reader when theirlong-cherished notions about love and lust, about viceand virtue, the lowly and the courtly, the margin andthe center, the cloister and the marketplace, etc. areturned inside out and subjected to cold and relentlessscrutiny, not with a scalpel, but with liberated laughter. This laughter-loving imagination has begunwith Boccaccio’s The Decameron. This 14th centuryItalian writer has set a trend and a mood, whichinfluenced many important writers of EuropeanRenaissance who came after him. Geoffrey Chaucer wasthe first English writer to be acquainted with The Decameron and adopted some of the choicest stories inhis Canterbury Tales. That liberated imagination roseto new heights in the writings of Rabelais’s Gargantuaand Pantagruel (1532-54) and Cervantes’s The Historyof the Valorous and Wittie Knight-Errant Don Quixoteof the Mancha (1605). It reached its absolute perfection in the plays of Shakespeare who added a newdimension to this continuing surge of carnivalization,which, as Bakhtin rightly claims, liberated literaturefrom the straitjackets of dogmatism, didacticism andsentimentality. He writes in Rabelais and His World:“In world literature there are certain works in whichthe two aspects, seriousness and laughter, coexist andreflect each other. …(T)he most important works inthis category are, of course, Shakespeare’s tragedies. True ambivalent and universal laughter does not denyseriousness but purifies and completes it Laughter purifies from dogmatism, from the intolerant and the petrified; it liberates from fanaticism and pedantry,from fear and intimidation, from did acticism, naivetéand illusions, from the single meaning, the singlelevel, from sentimentality. Laughter does not permitseriousness to atrophy and to be turn away from theone being, forever incomplete. It restores theambivalent wholeness. Such is the function of laughterin the historical development of culture andliterature” (122-23).This perhaps, is the secret, unstated reason for Shakespeare to people the stage with fools, clowns,braggarts, sardonic wits, grousing parasites, harmless malcontents, swaggering soldiers, etc. Most of ten these characters are not borrowed straightaway from the stories and historical accounts, which Shakespeare adopts for the stage. Nor are they his pure inventions. They are the progeny of entertaining characters who were present in the folk literature and dramatic interludes of the English countryside. Shakespeare does not use them for purely entertainment purpose. He invests them with an additional role asthe agents of catalysis, as debunkers. Nonentitiesthemselves, they go around telling others ad nauseamthat the so-called hegemons and lords, those upholdersof virtue, those claiming to be men of substance andof ideals, are actually having “botchy cores” and,most often, get too big for their boots. Their notbeing taken seriously is an indispensable part of theprogramme, for nothing is truly altered in acarnivalistic situation. The very nature of carnivalis a moderation of the radical and the mellowing ofthe stiff. These radical and stiff attitudes inform not only huaman nature, but the social and religious systems as well. Nothing is treated with seriousness,because seriousness is itself questioned and contestedin the acts of carnivalization. The purpose and modeof operation of the carnivalistic laughter are to makelight of seriousness without relapsing intoseriousness. The aim of carnivalization, accordingto Mikhail Bakhtin, is to relativize the absolute andto enable us to re-examine our inherited notions ofgood and evil, vice and virtue, margin and center,etc. with apparent playfulness, with subversivelampooning, not to change the world per se but toalter our attitude to it. That is the reason why thechief agents of carnival laughter and temporarydestabilization of official culture are themselvesfrivolous, even flippant. They are on the fringe ofthe society. They more or less resemble the peoplethey rail against in so far as vices are concerned.The whole game is conducted with a mood ofaccommodation: Virtue making room for human lapses,and vice making room for the innate goodness of humannature. Each side is made to make allowances for theother. Such accommodation and allowances are possiblewhen human nature reveals itself in its totality andmultiplicity. The Second Lord puts it accurately: “The web of our life is of a mingled yarn, good andill together. Our virtues would be proud if ourfaults whipt them not; and our crimes would despair ifthey were not cherish’d by our virtues” (All’s Well IViii 67-70).This world-view is the quintessence of Renaissancehumanism that Shakespeare’s plays not only contain abundantly, but draw their strength from. Thisworld-view is brave. It requires the raw courage to contest the traditional certitudes. It requires thegenial sensibility to understand the trickiness of human nature. And, above all, it requires the ability to present, on the stage, all the forces at work, bothin the society and in the interior landscape of man,not with a stern frown, but with a compassionate smile. “This belief in the possibility of a complete exit from the present order of this life” writes Mikhail Bakhtin, ” determines Shakespeare’s fearless, sober (yet not cynical) realism and absence of dogmatism. This paths of radical changes and renewals is the essence ofShakespeare’s world consciousness. It made him see thegreat epoch-making changes taking place around him andyet recognize their limitations” (Bakhtin, 275).Works cited:Bakhtin, Mikhail. Rabelais and His World, (trans.)H. Iswolsky. New York: Indiana University Press, 1984. Boccaccio, Giovanni. The Decameron, trans.G.H.McWilliam. New York: Penguin, 1980.Campbell, Oscar James (ed) The Reader’s Encyclopediaof Shakespeare. New York: Thomas Y. Crowell Company,1966.Hunter, G.K. (edt.) All’s Well That Ends Well (TheArden Shakespeare Paperbacks). London: Methuen & Co.,1966.Johnson, Samuel. The Preface to Shakespeare (1765).Edited by C.T.Thomas. Delhi: MacMillan India Ltd.,1986.Lawrence, William Witherle. Shakespeare’s ProblemComedies.London: Penguin Books, 1969.Plato. The Works. Selected and Edited by Irwin Edman.New York: The Modern Library, 1956Plautus, Titus Maccius. The Pot of Gold and OtherPlays, Trans. by E.F.Watling. New York: Penguin Books,1978.Ralli, Augustus. A History of Shakespearian Criticism, (Vol.1 & 2)New York: The Humanities Press, 1965.Shakespeare, William. The Complete Works, (ed.) PeterAlexander. London: The English Language Book Society,1964.

Literary Theories of Mikhail Bakhtin:

24th Feb 2004

A General Introduction
Mikhail Bakhtin (1895-1975) is one of the most original and enduring literary theorists of the twentieth century. The original and enduring quality of his theoretical constructs rests on the fact that he based his theories on the liberal humanist interpretation and creative understanding of texts, particularly fiction. Two important intentions guide all his intellectual pursuits: the process of creativity and ethical responsibility. All his theoretical writings are firmly grounded in general human nature and the social context. The polemical power of his theories comes from his conviction that a literary work has to be interpreted in its own terms; that the tools of interpretation have to be literary in nature. His in-depth and socio-cultural interpretations of the Classical, Renaissance and Russian literatures not only arm the reader-critic with powerful tools of evaluation, but also induce him to return to those texts with fresh curiosity.
His Rabelais and His World (1968) is an elaborate discussion of the 16th century French novel Gargantua and Pantagruel, and his Problems of Dostoyevsky’s Poetics (1984) is a theoretical study of Dostoyevsky’s novels. Whereas most of the literary theories making their rounds in the twentieth century academic circles have had their origin in non-literary fields of knowledge, Bakhtin’s theories emerge out of his in-depth interpretation of literary texts.
Ferdinand de Saussure’s theories of language supplied the foundation upon which Structuralism as a method of literary interpretation was built. The breakthroughs in analytical and applied psychology by Sigmund Freud and C.G.Jung, the socio-economic philosophy of Karl Marx, and the philosophical insights of Jacques Derrida into Western metaphysics, likewise, have given rise to Psychoanalytical criticism, Marxist criticism and Deconstruction respectively. In other words, the literary theorists have been consciously applying those borrowed methodologies to literary interpretation with a view to exploring the new meanings, hidden structures and untapped energies supposedly lying buried in literary texts. Those tools had been designed for certain areas of knowledge out of which they initially emerged. They were not meant for the interpretation of literature. In order to graft non-literary theories onto the literary texts, the literary critics had to whittle these theories down and tamper with their dynamics.
The law of dynamics guarantees a pragmatic interaction between theoretical know-how and literary oeuvres when they belong to the same category and are guided by the same set of principles and when they partake of the same situation. But linguistic, psychoanalytical, socio-economic and philosophical dynamics cannot be applied to a literary text for the simple reason that the latter is intrinsically different from all these branches of knowledge. A Structuralist critic would think her job completed as soon as she locates some common structures and cultural codes informing a particular text. Commenting on the aesthetic quality, ethical dimension and the meaning of that text is not one of her jobs. Such is the case with the Marxist critic and the Deconstructive critic of literary texts. Even if they are teachers or scholars of literature, they do not consider it necessary to comment on the literary merit of the texts they study. They under-perform knowingly. Just as a committed Marxist has to denigrate religion or ignore his own religious inclinations in order to be faithful to his ideological position as a believer in Marxism, a Marxist critic would read a text closely to find out the economic factors, class struggle, etc. that have gone into its making and ignore all other implications that text might have contained.
On the other hand, the Psychoanalytic critic tends to over- perform by superimposing the Freudian and Jungian models based on real human beings with real case histories on the imaginary characters peopling novels and plays. Any character possessing certain qualities, which cannot fall into normal patterns of behaviour, is quickly branded as a psychopathological freak, an eminently curable case. Ernest Jones’ treatment of Hamlet in his Hamlet and Oedipus may be cited as an example of how a complex universal problem is made particular and simple by subjecting it to a Freudian model of interpretation. While admitting that Marx, Freud, Saussure and Derrida have made solid contributions to their respective branches of knowledge, the very efficacy of the application of their celebrated theories for literary interpretation has always been far from satisfactory. Some of Bakhtin’s writings contain many withering comments on the fundamental premises of other theories. Bakhtin calls all these theories “theoretisms”, because they explain human behaviour in terms of an abstract system of norms, thereby impoverishing the real complexities of life and eliminating the meaningfulness of moral decisions and reducing creativity to mere discovery. While admitting that many of the methodologies and insights of those alien literary theories have enriched literary criticism and have come to stay as useful tools of academic research, it has to be stated that as total methods of interpretation they have not been able to replace conservative pedagogical practices.
But the case with Mikhail Bakhtin is different. While studying representative literary texts, he posited two fundamental questions: One, what types of social climate, historical forces, creative resourcefulness and ground realities had facilitated, and obtained in, the creation of a literary text? Two, what are the inherent virtues or qualities for which the appeal of these classics has been universal and timeless? Bakhtin’s quest for answers to these two questions and his intense engagement with literary texts enabled him, serendipitously, to discover certain theories of literature in general and fiction theories in particular. In this respect, Bakhtin’s theories when applied to the study of literature take on the text under discussion in its entirety and bring out its literary merit, its craftsmanship and its position in the general context as a work of art.
According to Bakhtin, all these literary theories –Saussurean linguistics, Formalism, Structuralism, Freudianism and Marxism or in principle any other- employ instantiation models for the interpretation of literary texts; they understand particular acts (parole) as mere instantiations of timeless norms (langue). Such models, according to Bakhtin, think away the eventness of events and lead to an under appreciation of the richness of daily life and particular actions.
Bakhtin’s theories may be studied in terms of three Global Concepts, such as, Prosaics, Unfinalizability and Dialogism. All of his specially formulated coinages are related to, and center round, these three pivotal concepts. And these three Global concepts are dependent on one another in order to be fully comprehended.
Prosaics is the first global concept. It involves both the view of the world and as an approach to literature. As a view of the world, it is suspicious of explanatory systems or theoretism. Prosaics, in contradistinction to Poetics, is based on the assumption that the most important events of life are not necessarily grand, dramatic, spectacular or catastrophic events, but the apparently small and prosaic ones of everyday life. Novels and prose narratives capture the nuances of the small and prosaic events of everyday life more effectively than poetry. Novel as well as related prose writing is the site for real dialogue, for conversation. The study of prose is Prosaics in this sense. Two senses of Prosaics (a study of prose and a study of prosaic details of life) are valid and interrelated. The novel, Bakhtin opines, is the real site for “dialogized heteroglossia”, because it is capable of incorporating what he calls “active double-voiced words.” The meaning of these special coinages will be explained in the following passages.
Unfinalizability is another Global Concept. Bakhtin writes: “Nothing conclusive has yet taken place in the world, the ultimate word of the world and about the world has not yet been spoken the world is open and free, everything is still in the future and will always remain in the future” (Problems of Dostoevsky’s Poetics 66). The concept of Unfinializability is based on the above-cited assumption. It maps out the ethical dimension of Bakhtin’s theory. Recognition of each person’s unfinalizability and man’s never-ending capacity for “surprisingness” (ability to spring surprises while exercising his freedom of ethical choice) is central to Bakhtin’s ethical system. Bakhtin asserts: “Unrealized potential makes one human.” Each man possesses a surplus of humanness, which modern psychology of Freud and Pavlov does not take into account while studying man. Bakhtin is not a great admirer of Freud, nor is he in favour of applying Freud’s findings to literary interpretation.
Each person, according to Bakhtin, enjoys a “Surplus of Vision” with respect to each other person. He writes: “I can form an image of you, which you then incorporate into your sense of self.” That is to say, each man’s idea of his own self is more or less formed by other persons’ ideas about him. He forms his concept of Polyphony from this. Polyphony refers to a form of writing, which Bakhtin maintains Dostoyevsky has invented. Dostoyevsky has established a new relation of the author with the hero. Just as each person enjoys a surplus of vision with respect to each other person he interacts with, the author of a novel enjoys a surplus of vision with respect to his hero in particular and all other characters in general. The author has not only an essential surplus of vision with respect to his hero, he also knows in advance other essential information about the hero, which is inaccessible to the hero himself. The author is aware of the entire sweep of the hero’s life, the changes of his fortune, the nature of his choice. And what this means is that even authors who want to write novels demonstrating human freedom are implicitly contradicted by the very form in which they write. But Dostoyevsky devised a way to overcome this obstacle, to write about free people who are really represented as free. To do so, he relinquished his omniscience as the author; he surrendered his essential surplus of vision with respect to his heroes. By doing that, he placed himself on the same level as his heroes. By placing himself on the same level as his heroes, he knew about them at any given moment no more than would be possible for the heroes themselves to know. That voluntary surrender of knowledge made it possible for Dostoyevsky to argue with his heroes as equals. Sometimes, Dostoyevsky’s own ideological views lose out in these arguments. That is the case with all Polyphonic novelists. In polyphonic novels the characters may surprise their own authors as they are free to choose, as they are not the finished products but free human agents. Polyphony is a theory of the creative process whose nature is ethical, because it treats people as truly unfinalizable, incomplete, inchoate.
Bakhtin studies the language used in the prose narrative, particularly in a novel, as a body of utterances in which two voices are heard to be interacting with each other. These two voices can be in agreement, or in disagreement. When two voices are in disagreement, it is parody. These double-voiced words can be called dialogic irrespective of their agreement and disagreement. But when they are passive, the voice of disagreement is not strong enough to resist the first dominant voice. Only when they are active, these double-voiced words do incorporate from within “an assertion, the provocation of its denial, and a hostile reaction to that denial, potentially infinitely”(Morson, 66).
Heteroglossia is the condition that governs the operation of meaning in any utterance. It is that which insures the primacy of context over text. At any given time, in any given place, there will be a set of conditions- social, historical, physiological- that will insure that a word uttered in that place and at that time will have a meaning different than it would have under any other conditions. All utterances are “heteroglot in that they are functions of a matrix of forces practically impossible to recoup, and therefore impossible to resolve.”
Bakhtin uses two terms, centripetal and centrifugal forces, to elucidate his theory of heteroglossia. Heteroglossia is the outcome when these two forces collide. In all languages, in all cultures there is a centralizing or centripetal force. It has a homogenizing and hierarchicizing influence. The ruling class and the high literary genres make use of this force. Its characteristics are high seriousness, totalization, domination, and authority. There always exists an undercurrent of a decentralizing or centrifugal force along with the other force. This decentralizing or centrifugal force is apparently subversive, anticanonical, carnivalesque, represented by the clowning, mimicry, decrowning, the ribaldries of the marketplace, parody, mimetic degradation and desecration, grotesque representation of the sublime, etc.
Bakhtin delves deep into the Renaissance literature to find reasons for its being so rich, original and daring. He considers Rabelais’s Gargantua and Pantagruel “the most fearless book in world literature”(Rabelais and His World, 39). Any reader of this book will subscribe to Bakhtin’s opinion. According to him, during the European Renaissance the folk culture emerged as a strong and counter force, and interacted with the sanctimonious official culture and classical literature. By interacting with the official culture and classical literature, the folk culture carnivalized them and made the real dialogue possible. Two powerful traits of the folk culture during the Renaissance were laughter and the grotesque. During the medieval period, laughter lost its comic and regenerative quality and degenerated into angry satire, and the grotesque failed to amuse and inspired fear. He contrasts the Romantic Grotesque (with its alienating apparatus, its tendency to arouse terror) with the Folk Grotesque of the Renaissance characterized by fearless gaiety, by its celebration of “bodily life, such as eating, drinking, copulation, defecation,” by its “parody of official reason, of the narrow seriousness of official truth”, “by its gay relativity, merry negation of uniformity and similarity.” The Folk Grotesque and liberated, universal laughter are/ were indispensable tools for the process of carnivalization of the official rigidity. And it took place during the Renaissance. “True ambivalent and universal laughter” writes Bakhtin in Rabelais and His World:
“does not deny seriousness but purifies and completes it. Laughter purifies from dogmatism, from the intolerant and the petrified; it liberates from fanaticism and pedantry, from fear and intimidation, from didacticism, naiveté and illusion, from the single meaning, the single level, from sentimentality. Laughter does not permit seriousness to atrophy and to be torn away from the one being, forever incomplete. It restores this ambivalent wholeness. Such is the function of laughter in the historical development of culture and literature” (123).
Carnivalization is an important concept of Bakhtin. It is related to his Dialogic structure. In carnival, the social hierarchies- solemnities, pieties, etiquettes and ready-made, time-honoured truths - are deliberately profaned. The voices of the margin invade the centre and claim an equal, dialogic status, challenge the authority, turn the world upside down, playfully subvert the truth-claims, pull up the pompous and the exalted with a view to testing and moderating truth. Dialogue and carnival are related terms, complementary to each other. In a given culture, these two mutually antagonistic forces are perpetually engaged with each other. According to Bakhtin, the period known as the Renaissance was a real site for the intense engagement of these two forces, and their hostile interaction generated a peculiar creative energy. And it resulted in such masterpieces such as Rabelais’s Gargantua and Pantaguel, Boccaccio’s Decameron, Cervantes’s Don Quixote, and the plays of William Shakespeare. According to him, Carnival is not substantive, but functional. Its aim is to achieve ‘a joyful relativity of everything.’ Bakhtin writes in Rabelais and His World:
“In the Renaissance, laughter in its most radical, universal, and at the same time gay form emerged from the depths of folk culture; it emerged but once in the course of history, over a period of some fifty or sixty years (in various countries and at various times) and entered with its popular (vulgar) language the sphere of great literature and high ideology. It appeared to play an essential role in the creation of such masterpieces of world literature as Boccaccio’s Decameron, the novels of Rabelais and Cervantes, Shakespeare’s dramas and comedies, and others” (72).
Dialogue or Dialogism or Dialogic Structure is the third Global Concept of Bakhtin. It is related to his other concepts, such as, carnival, chronotope, heteroglossia and polyphony. It refers to a concept of truth as a conversation rather than a series of propositions. It is the opposite of dialectics. He writes: “Dialogue and dialectics. Take a dialogue and remove the voices (the partitioning of voices), remove the intonations (emotional and individualizing ones), carve out abstract concepts and judgments from living words and responses, then cram everything into one abstract consciousness- and that is how you get dialectics” (Speech Genres and Other Late Essays, trans. Vern W. McGee, 1986. P.147). In other words, dialectics is supremely monologic, because one voice drowns or suppresses all other voices. Bakhtin writes: “Dialogue is not a means for revealing, for bringing to the surface the already ready-made character of a person; no, in dialogue a person not only shows himself outwardly, but he becomes for the first time that which he is, not only for others but for himself as well. To be means to communicate dialogically.”
The language is constituted of intersubjectivity and social communication in the dialogic process. In this sense, all languages are by nature dialogic. Just as dialogue precedes and shapes the language, the language, in its turn, precedes as well as shapes the individuality and subjectivity of its users. Autonomous individuality, Bakhtin maintains, is an illusion. “Consciousness is in essence multiple, Pluralia tantum…. Not another person remaining the object of my consciousness, but another autonomous consciousness standing alongside mine, and my own consciousness can exist only in relation to it” (Problems of Dostoevsky’s Poetics, 288).
Bakhtin divides the theory of interpretation into three categories. “Enclosure Within the Epoch” type of interpretation tries to see the world in terms set by the other periods and other cultures. The second type of interpretation he names “Modernization and Distortion”, which reads into the text the concerns and values of its own epoch, which are assumed to be especially wise and privileged. The literary theories of the twentieth century belong to this category of interpretation. Here we see how Bakhtin differs from the modern theorists who “pillage other cultures only for those themes useful for debates set by current American politics.” Each approach recognizes only one side of the potential dialogue, hence partial and lopsided. The best approach is “Creative Understanding”. It recognizes the otherness of the other without giving up its own “outsidedness”. One person is engaged in a special sort of dialogue with the other. As in all the dialogues, the result is likely to be the creation of insights that neither side had separately; in other words, each side realizes the ‘potential’ of the other in a way neither could have foreseen.
Bakhtin tries to understand the dialogic nature of language in terms of heteroglossia. The idea of heteroglossia is based on the premise that each language is composed of many languages. Each of these constituent languages is a product of a particular type of experience that people acquire by virtue of their association and interaction with their respective professions, ethnic groups, social classes, peer groups and regions. Each of these experiences has its own peculiar way of understanding and evaluating the world. Each of these languages, produced as they are from a variety of experiences, competes with the other languages for the privileged position in the novelistic discourse. When “dialogized heteroglossia” takes place in a novel, we are enabled to view one aspect of experience, which we are accustomed to treat in one language, through the eyes of another. Bakhtin writes in his essay, “Discourse in the Novel,”
Heteroglossia, once incorporated into the novel, is another’s speech in another’s language, serving to express authorial intentions but in a refracted way. Such speech constitutes a special type of double-voiced discourse. It serves two speakers at the same time and expresses simultaneously two different intentions: the direct intention of the character who is speaking, and the refracted intention of the author. In such discourse there are two voices, two meanings and two expressions… double-voiced discourse is always internally dialogized (Dialogic Imagination, 324).
Bakhtin calls dialogized heteroglossia a “relativized, Galilean consciousness” (Ibid, 327).
The concept of Chronotope is one of the lasting contributions of Bakhtin. The Chronotope literally means “Time-Space”. The Theory of Relativity of Einstein is based on the fact that time and space are inseparable; that time is the fourth dimension of space. Bakhtin was somewhat indebted to Einstein and some other scientific thinkers for developing his idea of the Chronotope. The Chronotope, for Bakhtin, is “the intrinsic connectedness of temporal and spatial relationships that are artistically expressed in literature.” In his influential essay titled “Forms of Time and of the Chronotope in the Novel” (1937-38), he writes:
In the literary artistic chronotope, spatial and temporal indicators are fused into one carefully thought-out, concrete whole. Time, as it were, thickens, takes on flesh, becomes artistically visible; likewise, space becomes charged and responsive to the movements of time, plot and history. This intersection of axes and fusion of indicators characterizes the artistic chronotope. … The chronotope as a formally constitutive category determines to a significant degree the image of man in literature as well. The image of man is always intrinsically chronotopic (The Dialogic Imagination, 84-85).
The chronotope is the organizing centers for the events narrated in a novel, and at these centers the knots of narrative are tied and untied. To these centers belongs the meaning that shapes the narrative. The chronotope functions as the primary means for materializing time in space; it concretizes representation. “All the novel’s abstract elements- philosophical and social generalizations, ideas, analyses of cause and effect- gravitate toward the chronotope and through it takes on flesh and blood, permitting the imaging power of art to do its work” (The Dialogic Imagination, 256-257). Bakhtin goes on to say that the nature of the literary image, the language that produces that image and the words shaping that image all are chronotopic. According to him, the Chronotope of a book defines the relationship of that book’s artistic unity with the actual reality it tries to reflect, and for that reason, so far as a work of art or literature is concerned, its temporal and spatial aspects are not only linked to each other, they also determine the emotions and values we associate with that work of art or literature.
Bakhtin has made some important and original contributions to the study of high literary genres as well as the genres of low literature, such as “oratorical, publicistic, and journalistic”. He defines a genre as a way of seeing the world. Each high literary genre – poetry, drama, epic, fiction, etc. – has come into existence, through a long period of time, out of a particular way of knowing, experiencing, interpreting and evaluating the world. Each vision or habit of thought is capable of shaping a distinct form. He calls it the “form-shaping ideology.” The dialogic sense of truth, which is presented in a polyphonic and heteroglot novel, is one such form-shaping ideology. He avers that a work of literature will reveal its intrinsic meaning if it is approached in terms of the form-shaping ideology which has made it possible and contributed to its generic becoming. He writes in “Discourse in the Novel”:
Literary language – both spoken and written – although it is unitary not only in its shared, abstract, linguistic markers but also in its forms for conceptualizing these abstract markers, is itself stratified and heteroglot in its aspect as an expressive system, that is, in the forms that carry its meanings.
This stratification is accomplished first of all by the specific organisms called genres (Dialogic Imagination, 288).
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Bakhtin wrote his books and articles between the late twenties and the early seventies. The discovery of his real worth as a theorist and the emergence of his theories as viable models of interpretation have been gradual, but remarkably steady. Most of his seminal ideas on society, history, culture and, above all, on literature as a byproduct of the interaction of all these forces, lie dispersed in his many essays and book-length treatises the list of which has been supplied at the end of this article. He kept on refining and supplementing his ideas in the course of his career as a writer, which spanned more than four decades. One important reason for Bakhtin’s “gradual” popularity in the academic circles is his discursive style, the Gargantuan size of his oeuvres, his exasperating habit of stretching, and digging for, one concept until it merges into another concept, his generalizations and repetitiveness, his axiomatic claims that seem to be vague, his minting of neologisms to designate any new discovery he chances upon and his wide-ranging encyclopaedic references from all types of books written during the last three thousand years of the Western civilization. All of his socio-cultural-literary theories and neologisms are inextricably inter-connected in a bewildering network of references and cross-references, and they make any scholarly expedition naturally daunting. But in spite of all his apparent faults, Bakhtin is arguably one of the most consistent and profound thinkers of the twentieth century. Wayne C. Booth, in his Introduction to Problems of Dostoevsky’s Poetics, sums up Bakhtin’s contributions to literary theory and offers a valid reason for his being what he is. He writes:
(E)very thinker must pay the price every virtue, and I find that most of what look like weaknesses are the inevitable consequences of his strengths. If he is “vague,” so is every thinker who attempts to approach difficult and general concepts that stand for ultimate and thus ultimately elusive concerns. What is vague from a hostile point of view is wonderfully “suggestive” when we consider it from inside the enterprise. If he is repetitive, why should he not be, when what he is saying will surely not be understood the first, or third, or tenth time? When talking about truths like these, once said is not enough said, because no statement can ever come close enough and no amount of repetition can ever overstate the importance of elusive yet ultimate truth.
I can think of no critic of recent years… who more effectively performs that essential task of all criticism: prodding readers to think again about critical standards as applied to the various canons and anti-canons those standards lead to (Problems of Dostoevsky’s Poetics, xxvii).
Works Cited and Consulted:
Bakhtin, Mikhail Mikhailovich. The Dialogic Imagination: Four Essays
[ Epic and Novel, From the Prehistory of Novelistic Discourse, Forms of Time and of the Chronotope in the Novel and Discourse in the Novel]
( Translated from Russian by Caryl Emerson and Michael Holquist . Edited by Michael Holquist ).
Austin: University of Texas Press, 1981.
Bakhtin, Mikhail Mikhailovich. Problems of Dostoevsky’s Poetics. [Edited and Translated from Russian by Caryl Emerson. Introduction by Wayne C. Booth.]
Theory and History of Literature, Volume 8.
Manchester: University of Manchester Press, 1984.
Bakhtin, Mikhail Mikhailovich. Rabelais and His World.
[Translated from Russian by H.Iswolsky.
Foreword by Krystyna Pomorska. Prologue by Michael Holquist].
New York: Indiana University Press, 1984.
Morson, Gary Saul and Caryl Emerson. “Bakhtin, M.M.”
Johns Hopkins Guide to Literary Theory and Criticism,

Literary Modernism: Its Concerns

30th Aug 2005

Literary Modernism: Its Concerns and Inter-Disciplinary Roots

Graham Hough, in his book Image and Experience: Studies in a Literary Revolution (1960), writes:
The years between 1910 and the Second World War saw a revolution in the literature of the English language as momentous as the Romantic one of a century before…[But it] has not yet acquired a name (Faulkner, ix).
This certainly is an interesting observation by a major critic in 1960. The revolution in literature (and also in art) during the period 1900-1939 was a fact which no art connoisseur or literary critic will deny if she sees the Cubist paintings of Pablo Picasso, and reads the poems of Pound and Eliot and the novels such as Ulysses, Finnegans Wake by James Joyce. These works register a clear paradigm shift in the very mode of _expression. Graham Hough’s statement means that the name modern is an unlikely appellation for an era and for that reason, finding a new name is necessary. In its adjectival form, modern is the antonym of traditional. That is to say modern has to be understood as a binary of traditional. In the historical context, most of the eras styled themselves as modern, meaning forward-looking and avant-garde, in order to distinguish themselves from their previous periods. It may be remembered that in the fifth century B.C, the Athenian tragedian Euripides (484-406) was called a modern, though contemptuously, by his contemporaries for his irreverential and unconventional treatment of myths and gods in his plays. In that sense, the twentieth century British writers distinguished themselves from their Victorian counterparts by calling themselves moderns. But they were in need of a name all the same. But the name stuck, and the adjective modern meaning contemporary and avant-garde in the general sense curiously became a term descriptive of the period between 1900 and 1939 in a particular sense.
Assigning characteristics to a particular period is generally an after-thought, dictated, as it were, by pedagogic convenience and scholarly systematization. Again, a pat definition of an age, though it may appear broadly convincing and homogeneous, does not necessarily encompass the less pronounced, but by no means less important, voices of that age. Again, whether the spirit of an age shapes the sensibility of its major writers or the major writers, while pursuing their individualistic, innovative (and sometimes super realistic) modes of _expression endow the age with its peculiar characteristics, will always remain a debatable issue. Yet again, the possibility that both the assertions may be equally valid or complementary to each other cannot be ruled out.
Equally difficult it is to find a name for a particular age or period. The characteristics of an age are supposed to be reflected in the appellation of that age, though there cannot be a valid reason to suppose that the name is the mirror, which reflects all the trends of that age. This general arbitrariness of taxonomy -of fixing and conflating characteristics and names- becomes more noticeable in the context of Modern Age. That is because, the word “modern” while denoting a particular age, a period in the intellectual history of certain nations in general and the western civilization in particular, carries with it the sense of ‘making it new’, an implication of the avant-garde and a deliberate distancing on the part of certain writers and artists from the dominant prevailing tradition with a view to introducing the unconventional in art and literature. The former, here, refers to what we understand by Modernism, and the latter to what we mean by Modernity, the noun form of the adjective modern. The former is time-specific, to some extent, area-specific, a proper noun, whereas the latter is universal, a common noun, descriptive of an eccentric, experimental tendency. But when we talk of the Modern Age, that is, the first four decades of 20th century in the western culture, we have to take both the implications as valid. Modernism is a versatile signified, an omnibus term incorporating the descriptive and ascriptive senses of modern. When we say T.S.Eliot is a modern poet, we mean both the implications of the term modern. That is to say, he is avant-gardist and modernist at the same time. That is to say, the writers like Pound, Joyce and Eliot have introduced such innovative techniques as would appear modern for all time to come. They have, to a great extent, succeeded in capturing the altered condition of modern man. While discussing modern fiction, John Orr writes:
It still continues to surprise us. It still fragments, shocks and uncovers. Through its fluid mixture of tenses, narrators and styles the modernist novel brings home to us the fragilities of our space-time continuum, the fragility of our uncertain selfhood, and the evil ruptures of history in a century of war and apocalypse (Coyle 621).
Orr’s observations are true for modernist art and poetry as well. With the progress of the eventful 20th century, the plight of man as a thinking being and a social being has remained more or less the same. The fragmentation of self, the loss of innocence and its resultant alienation appear almost irreversible. They have come to stay.
Galsworthy and D.H.Lawrence were contemporaries. But literary critics consider Lawrence modern and Galsworthy Victorian. In this case, they take the form, technique and the subject matter of their novels into consideration while determining their respective sobriquets. Galsworthy subscribed to the typically Victorian attitude to literature as a transparent medium through which the writers would establish a meaningful rapport with their readers and improve their moral standard, and distanced himself from the new knowledge that had already made inroads into the popular domain. He found fault with Charles Dickens for straining the credulity of the readers by introducing so many coincidences and improbable situations in his novels. For Galsworthy, anything that is not immediately believable and morally uplifting is not acceptable. On the other hand, Lawrence considered that sort of adherence to reality and moral code delimiting.
Before attempting to bring out the salient features of modernism, it has to be made clear that the features we call indubitably modernist are not prominently or uniformly present in all of the major writers who were active during the first four decades of the twentieth century. Writers like G.B. Shaw, Henry James, W.B. Yeats, Thomas Hardy and D.H.Lawrence, to quote a few, were transitional figures who traversed both the Victorian and the Modern ages. Some of their works clearly manifest their quarrel with conservative norms we generally associate with Victorianism. They also made insightful use of the new knowledge, new complexities that had entered into the world’s repertoire from science, psychoanalysis, social and political philosophies, and anthropology in some of their works, but they did not depart significantly from their inherited modes of _expression in their other works. The writers such as Ezra Pound, James Joyce, T.S.Eliot, Virginia Woolf in literature and Pablo Picasso in art figure more prominently in any discussion on modernism because of their radical and deliberate departure from the conventional form and techniques.
While discussing literary modernism, it is safe to foreground those works that unmistakably represent the characteristics of a new age from an experimental perspective, in unconventional forms and modes, marking a radical break with the past in order to “make it new.”
We are more or less aware of the creative plurality of an age, which cannot be assimilated into a single most dominant voice. Different voices and narrative styles exist side by side in tension, in contradistinction, in mutual antagonism, that too simultaneously. The continuing traditional forms in the twentieth century serve as backdrops against which the newness of modernism becomes more pronounced.
There are divergent opinions about the beginning and duration of the Modern Age. Some say it began with the end of the Victorian Age, i.e., 1901, and continued till the beginning of the Second World War in 1939. Some say it ended in 1930. Yet there are others who contend that Modernism has a life span of just twenty years, from 1910 to 1930. There are eminent scholars like Richard Ellmann who locate the starting point of Modernism in the last decade of the 19th century. Taking all facts into consideration, it is reasonable to say that the Modern Age began in the last decade of 19th century and ended with the beginning of the Second World War in 1939.
Dates become significant only if they are qualified by, and coincide with, landmark events capable of defining that era. Events could be political, economic, literary, or any other, which are capable of causing a radical changeover from one mode of _expression to another, from one dominant world-view or attitude to another by supplying adequate incentive and raison d’etre for the same. Most often a landmark event, such as the publication of books and new findings in science, psychology or social science, takes time to mature into a worldview and become a powerful source of influence. For example, Charles Darwin published his findings on the descent of man from the apes and the survival of the strongest animals in the process of natural selection in the mid-nineteenth century, but it took nearly fifty years for the world to take full cognizance of this finding. That was because, those scientific findings were made to look like mere assumptions, not an incontrovertible scientific fact by the conservative and religious people of his time. Even the contemporary scientific community was skeptical about Darwin’s findings about the evolution of man.
Like wise, Karl Marx wrote his Communist Manifesto in the mid-nineteenth century, and Das Kapital in the second half of 19th century. The practical power of Marx’s thought as an alternative political system was felt when it inspired the Bolshevik Revolution in Russia in the early 20th century .The scientific findings of Darwin and the sociological ideas of Marx took time to enter the collective unconscious of mankind and to influence the way they thought, acted and wrote. Though these landmark events such as the publication of those books cannot be said to be the starting point of the modernist era, they inevitably contributed to the growth of the modernist temper and, in the process, became formative influences on twentieth century thought and literature.
The modern temper, which has occasioned the creative efflorescence in the 1920s, to be specific, seems to have been slowly snowballing into a turning point since the middle of the previous century, with the publication of The Origin of Species by Means of Natural Selection, or the Preservation of Favoured Races in the Struggle for Life by Charles Darwin in 1859. Darwin’s findings were not confined to biological and anthropological research. It affected the religious beliefs of the Christendom in more ways than one. It influenced philosophical speculation. It invaded the realms of the sacred, the public and the secular. The popular opinion that man is a fallen angel underwent a significant change when Darwin scientifically proved that man is only an evolved orangutan, to use his exact words, “a risen ape.” The burden of the Original Sin, which the western world had been made to carry for nearly two thousand years, did not appear that heavy and real. Again, the pride of man for being made by God in His own image was replaced by an embarrassed humility. Just as in the mid sixteenth century Copernicus’s astronomical findings recorded in his epoch-making book On the Revolution of the Heavenly Bodies (1543) caused a profound shift of perspective, Darwin’s scientific findings such as natural selection, the branching process called speciation by means of which a particular species is diversified in the course of the evolution, the idea of the survival of the fittest that reduced struggle to an existential necessity, the descent of man from non-human species, etc. have shocked the complacent 19th century world into a brand new awareness. The historical process of the unshackling of the human intellect from the religious straitjacket has always been a prerequisite for any radical shift of attitude. As the American playwright Tennessee Williams has summed up the human condition in the post-Darwinian world in his Expressionist play Camino Real: “We’re all of us guinea-pigs in the laboratory of God. Humanity is just a work in progress” (203). By the end of the century, Darwin’s theories had not only been proved correct and accepted as true by other scientists working in that area, but they had affected the general public awareness and invaded other disciplines as well.
Karl Marx (1818-1883), the German philosopher and social scientist, supplied a scientific legitimacy to his theory of class struggle between the factory-owning middle class and the labour class by referring to the biological process of survival of the fittest through natural selection a la Charles Darwin. Marx offered a radical reinterpretation of the shaping forces of the society and history in his Communist Manifesto (1848) and his four -volume tours de force Das Kapital (1867-1883). His theory of Dialectical Materialism or Historical Materialism questioned the traditional determinants of social changes and historical changes. According to him, it is not God but man who is the most powerful presence, and he has become what he always wanted to become. The history of human civilization is the history of class struggle between the owners of the means of production and actual producers, between the bourgeoisie and the proletariat, between the exploiters and the exploited, between those who formulate rules and those who abide by these rules. According to Marx, the capitalist pattern or mindset will be replaced by socialism only when the exploited proletariat becomes fully aware of the ruling class’s clever stratagems of exploitation, when it empowers itself and fights for political emancipation. Most of Marx’s ideas realized their full potential several years after his death. Three volumes of Das Kapital were translated and published in the beginning of the twentieth century. Both in his life and his writing, Marx was a fully committed revolutionary. His radical redefining of the historical process of human civilization and his prescriptive messages of transformation of the society through mass revolution, divided the intellectual and political world into two camps: those who agreed with him and those who differed with him. Inspired by Marx’s ideas, Vladimir Lenin (1870-1924) mobilized the workers and peasants of Czarist Russia, and established the Communist rule there in October 1917. He, however, revised Marx’s idea of the dictatorship of the proletariat by adding that a small group of inspired and committed leaders would be required to lead the labourers, factory workers and peasants to achieve their goal.
The influence of Marxist ideas as an instrument of social, political and intellectual transformation was felt in the first half of twentieth century. It contributed to the birth of modernism. It also made its presence felt in literature and arts. Writers in a capitalist or traditional system, according to Marx, stabilize the world in which they live through imaginative writings, interpretation, evaluation, etc. by yielding, consciously or unconsciously, to ‘the ideological formations’ of the same society. Those ideological formations, like the operating signifying system of the language they use, have already been made complex by the centuries of class struggle. And the powerful bourgeois society, which controls all means of production including the production of literature, tends to downplay this complexity and encourage writers to privilege private emotions and personal crises of characters. Inspired by Marx’s attitude towards bourgeoisie literature, Bertotl Brecht used his plays as an instrument of social change. He wanted to make his spectators think instead of getting emotional. The dramatic convention requires that the audience should identify with the protagonist and the actor should identify with his role. As a result of this identification, both the spectator and the actor get emotionally involved in the action and have no inclination to analyze and brood upon the serious social issues the playwright wants to foreground. In order to ward off this unthinking sentimentality, he decided to estrange both the spectator and the actor from the dramatic action. He called his plays Epic Theatre, for it contained narration in the manner of epics. He introduced slightly cynical and down-to-earth compeers who are familiar with the actors and the spectators. The actors in the traditional drama identify with their roles and the spectators get involved in the dramatic action by identifying with the characters. These compeers comment freely on the actors and action with a view to shattering the illusion of both. They also reveal the plot outline at the outset in order to minimize the thrill of suspense and the anticipation of the audience. This technique is known as the Verfremdunseffekt or Alienation Effect.
It can be a distancing technique, for it enables the spectators to discover the contradictions in the normal quotidian events and newness in the most commonplace things by being less involved and more rational. This idea has certain similarity with that of the Russian Formalist critic Viktor Shklovsky who had coined the term ostranenie meaning defamiliarization in 1917. The job of the artist or the writer, Shklovsky maintains, is to present the commonplace in such a way that they would appear strange and startling. The word estrangement also contains the same connotation of making strange. Brecht wanted that his plays should make the spectators critically alert to their immediate social reality and thereby preparing them to play an active role in social transformation. According to Brecht, people’s emotional participation in drama or any literature cancels out their ability to think objectively and act independently by making them passive recipients. Through the dramatic works of Brecht revolutionary ideas of Marx entered the public domain and the collective unconscious of the modern man. Brecht was one of the most popular playwrights of the modern age.
Marx maintained that scientific socialism (as opposed to utopian socialism) would come when the proletariat overthrew the bourgeoisie and it would replace the capitalist form of society. Based on this idea Fabian Society was founded in England in 1884. George Bernard Shaw was its most prominent member. The Fabians slightly modified the radical ideas inherent in Marxism, which required a total over-throw of the existing system in order to usher in the new one. They maintained that socialism could be achieved gradually through a series of reforms within the framework of existing political and social institutions, just as Quintus Fabius Maximus (275-203 B.C.), the Roman general and dictator, who overcame the redoubtable Carthaginian emperor Hannibal by wearing him down through the sheer force of patience and the strategy of delay.
Another dominant influence on the literatures of the second half of the 19th century was Naturalism. As a theory of literature, it put great emphasis on heredity and environment as determinants of human life. Whereas Realism accorded man a moral choice, Naturalism denied that choice to man. Naturalism considered man a byproduct of heredity and his social environment. A heroic fighter is merely admirable, but he is doomed to failure, not always owing to his own faults, but to a genetically programmed determinism over which he had hardly any control. Hunger, possessive instinct and sexual drive are three most important forces which humans share with other animals. Thus programmed, the protagonists of Naturalistic novels and dramas have little chance of success. They are inexorably destroyed by their own drives as well as by the same set of drives of other people they interact with. According to Emile Zola, the writer of fiction should treat his material just as a scientist treats his guinea pigs in the laboratory. He insisted on a brutal frankness of the artist or writer while describing the instinctual urges of humans. So far as instinct was concerned, humans are not different from other animals. Moral edification was not one of his concerns. Nor did he subscribe to the sanctimonious shyness of typically Victorian writers in the matters of sex. The French novelist developed a theory of literature, particularly of fiction, which delimited the freedom of the novelist. The job of a writer was to observe and report. The artist or the writer was allowed to use his imagination to capture the reality per se that he shared with the rest of mankind. He should not write that which might strain the credulity of his readers.
Naturalism was the literary equivalent of religious bigotry. As a post-Darwinian and post-Mendelian movement, it might have derived its main theoretical argument from the science-inspired form of atheism, which the theories of Darwin and Mendel unwittingly exuded. Evolutionary determinism (Darwin), environmental determinism (Zola) and hereditary determinism (Mendel) have replaced the providential or cosmic determinism that the God-dominated world-order usually envisaged. In other words, Naturalism does not vouchsafe any transcendental destiny to man. But such exaggerated enthusiasm generates its own refutation, as a rule. A radical disagreement with Victorian form of didacticism and Zola-type Naturalism gave rise to an ideological movement known as Aestheticism. The proponents of this school of thought claimed that art or literature should be admired and practiced not because it is useful to the society and individuals, but because it is beautiful. Beauty of an object is not connected to, and dependent on, that object’s practical utility. French poets like Charles Baudelaire (1821-1867) and Stephane Mallarme (1842-1898), German composer Richard Wagner (1813-1883), French artist Guillaume Apollinaire (1880-1918) and British writers, such as, Walter Horatio Pater (1839-1894) and Oscar Wilde (1854-1900), to quote the most prominent, strongly disapproved of the didactic and utilitarian tendencies that treat art or poetry as a means to an end, as a means of fortifying conscience by imparting moral teachings, of serving social needs and purposes. Poetry exists for its own sake. It makes possible most exquisite sensations. It is not the business of the artist or the poet to try conclusions and arrive at them. “There is no such thing as a moral or immoral book,” writes Oscar Wilde in the preface to his un-Victorian novel The Picture of Dorian Gray (1891), and adds: “Books are well-written, or badly written. That’s all.” Walter Pater in his equally un-Victorian novel titled Marius the Epicure (1885) narrates the story a young man in ancient Rome whose life is a quest for beauty in its pristine aspect. In his influential essays and this novel, Pater championed Aestheticism. He maintained that beauty is the most meaningful thing in life; that in a work of art the love of beauty should overpower all other considerations, social and moral.
Oscar Wilde mocked at Naturalistic/ Victorian fiction writers for their concern for verisimilitude. He declared that the novelist instead of trying to make a lie appear as truth should speak the truth at once and save himself the trouble. Taking the idea of art for art’s sake from the French writer Theophile Gautier (1811-1872), he wrote an excellent essay “The Decay of Lying” in which he lamented the damages done to imaginative writing in contemporary Europe owing to the debilitating influences of Naturalism. “The Decay of Lying”, which Wilde presents as a friendly dialogue between Vivian and Cyril in the library of a country house in Nottinghamshire, is arguably the most eloquent defense of Aestheticism in English language. He countered the Victorian emphasis on the social utility of literature as an edifying and ennobling apparatus, by describing it as an aesthetic enterprise of the artist who is least interested in the social reform. Art was considered genuine when the artist made no effort to conceal its unreality, its artificiality. The fear of the fiction writer to appear fictitious to his readers forces him to be dishonest to his own art. He tries all methods to appear faithful to reality just as historians and journalists do to appear reliable. Oscar Wilde writes:
“If a man is sufficiently unimaginative to produce evidence in support of a lie, he might just as well speak the truth at once. … The ancient historians gave us delightful fiction in the form of fact; the modern novelist presents us with dull facts under the guise of fiction…. He is to be found at the Librairie Nationale, or at the British Museum, shamelessly reading up his subject. He has not even the courage of other people’s ideas, but insists on going directly to life of everything, and ultimately, between encyclopaedias and personal experience, he comes to the ground, having drawn his types from the family circle or from the weekly washerwoman, and having acquired an amount of useful information from which never, even in his most meditative moments, can he thoroughly free himself” (Selected Essays, 59-60).
Wilde maintained that true art is not imitative but creative; that “realism is a complete failure” as an art form, because it imitates life and makes much ado about the obvious (ibid, 69). Arguing in the Aristotelian line that art completes what Nature has left unfinished, Wilde goes to the extent of saying that “Life imitates art far more than Art imitates life”; that “The imagination is essentially creative, and always seeks for a new form”; that true pessimism was actually invented by Hamlet and “Robespierre came out of the pages of Rousseau.” That’s because “Literature always anticipates life”, and not the other way round (Selected Essays, 74-75). This privileging of the text as an autonomous entity paved the way for New Critical theories of literature, which dominated the first fifty years of twentieth century. This theory stressed that the meaning of a poem is to be discovered in the poem itself by employing certain techniques of interpretation, and is totally independent of the author’s intention and the reader’s emotional participation.
While stating that Naturalism was replaced by Aestheticism and other super- or extra-realisms of various denominations during the late 19th and early 20th century, it has to be stressed that some of the salient features of Naturalism were retained in Expressionist dramas and in the literatures of high modernism, such as, Joyce’s Ulysses, Eliot’s The Waste Land, Faulkner’s The Sound and the Fury and Virginia Woolf’s Stream-of-Consciousness novels. These features were: a ruthlessly frank probing into the human psyche; a relentless preoccupation with social evils and biological appetites besetting the human creature; the bleak fate that would inevitably befall the tormented protagonist in spite of all his struggles to overcome these forces. Modernist literature has inherited a profound pessimism from Naturalism. Modernist writers were in possession of some advanced tools to excavate the pyramid of the mind.
The Symbolist Movement, which originated in France in mid-nineteenth century, has certain resemblance to Aestheticism. Aestheticism encourages the artist to create something beautiful without worrying about its social or practical usefulness. The Symbolists, likewise, encourage the artist to freely use private symbols without bothering about their general receptivity and the crises of communication they would generate. A symbol in the literary sense means a word or an _expression that signifies a particular object or an event, which, in its turn, signifies something else, something beyond itself. A sign, in a sense, is a symbol. But while forming the part of a larger poetic statement, a symbol is much more than a semiotic sign; it refers to a variety of things and signs outside of it; it has a substratum of implications which readers are expected to dredge up. In this sense, the use of symbols is as old as literature itself. But the French brand of symbolists loaded this old poetic tool with some “new” insights. Their so-called new insights were somewhat mystical in that they found an extrasensory correspondence between the inner world and the outer, between the natural and the spiritual, between the personal and the universal. Charles Baudelaire puts it thus: “Everything, form, movement, number, colour, perfume, in the spiritual as in the natural world, is significative, reciprocal, converse, correspondent” (Abrams, 209). Four major French poets who came after Baudelaire such as Arthur Rimbaud, Paul Verlaine, Stephane Mallarme and Paul Valery subscribed to that mystical correspondence theory. They avoided explicit signification and relied on private suggestiveness of symbols. The influence of the French symbolists on English poets writing in the first half of the twentieth century is seen in the last poems of W.B.Yeats (Byzantium, The Tower), T.S.Eliot (The Waste Land, Four Quartets, The Love-song of J. Alfred Prufrock, Gerontion, Hollow Men, etc.), Ezra Pound (Cantos) and Dylan Thomas and in James Joyce’s Ulysses. These writers (and many others) believed in the existence of an inherent and systematic analogy between the functioning of their creative imagination and the world outside, between the private symbols the mind chooses to express itself and the possibility of their being understood by others. They, therefore, dispensed with “sharable” signification and made use of highly internalized personal symbols. The writers who subscribed to the basic premises of Aestheticism and French brand of Symbolism put greater emphasis on the sanctity and purity of the poetic _expression.
Another typically modernist movement in poetry was Imagism. Formed in 1912 by a small group pf poets such as Hilda Doolittle, T.E.Hulme, Richard Aldington, F.S.Flint, Amy Lowell and Ezra Pound, this movement aimed at purifying poetry of all superfluities. They decided to write such type of poetry as an intellectual statement without any frippery or ornamentation, thereby achieving utmost precision and concreteness. Pound defined an image as that which presents an intellectual and emotional complex at an instant of time by a process called enjambment. Poetic enjambment means the method of continuing the sense without a pause beyond the end of the line. Pound and Flint jointly issued a sort of Imagist manifesto in 1913. They advised the poets to desist from using abstract and rhetorical language and to use the exact word in order to achieve “highest concentration and hard clearness.” In so far as its philosophical position was concerned, it considered man as an “extraordinarily fixed and limited animal” whose views or apprehension of reality could only be expressed through finite and isolated glimpses of reality. Like the Naturalist playwright, the Imagist poet must be utterly faithful to reality. The decorative language expressive of emotion, which the Romantic and Victorian poets used, was dismissed outright as “sentimental, blurry, manneristic.” On the other hand, they found their best models in the ancient classical writers such as Sappho, Catullus and Villon. F.S.Flint spelt out the main rules of imagist poetry. “One: Direct treatment of the ‘thing’ whether subjective or objective; two: To use absolutely no word that does not contribute to the presentation; and three: As regards rhythm, to compose in the sequence of the musical phrase, not in the sequence of a metronome” (Ellmann, 142). In other words, the metaphor used to highlight a ‘thing’ should be an interpretation of that thing, not merely an ornament of that thing. Ezra Pound’s brief poem titled “In a station of the Metro” clearly illustrates the Imagist idea of a metaphor. It reads:
The apparition of these faces in the crowd;
Petals, on a wet, black bough.
In an essay titled “Vorticism,” Pound quotes another Haiku-like poem composed by a Japanese Naval officer when they were walking together on a snow-covered land:
The footsteps of the cat upon the snow:
(are like) plum-blossoms.
(Ellmann, 150).
In each of these two poems, two distinct acts of perception of reality are juxtaposed; and their comparability is inherent, not arbitrary or whimsical. In the first poem, these two acts of perception contribute to the state of disintegration (of petals separated from the flower) and alienation of each face in the shapeless crowd. In the second poem, there is an inherent similarity between the footmarks of the cat on the snow and the plum-blossoms. This similarity is stated in a precise and direct manner.
In spite of its well-defined agenda and able practitioners, Imagism could not enjoy popularity for long. Its minimalist, bare syntax demanded a lot from the readers. It was branded as the poetry of unintelligibility. In its enthusiasm to achieve precision and purity of sorts, Imagist poetry forgot to become poetic. But its critique of the Romantic sentimentality and Victorian decorativeness helped poetry achieve moderation.
Man’s yearning to know his own mind was an ancient one. It has always been the job of the philosopher and the creative artists to chart out the mental landscape and to know how human behaviour and actions are merely the surface symptoms of what takes place in the mind. Sigmund Freud located Oedipus complex in Sophocles’s Oedipus the King and Electra complex in Aeschylus’s Orestes. Fyodor Dostyevsky, the 19th century Russian novelist, plumbs the depths of the mind more than any novelist before him. The new and systematic probing into the human mind, spearheaded by Austrian psychologist Sigmund Freud and his colleagues, generated widespread interest in the beginning of the 20th century. It may be considered one of the shaping influences of modernism. Although a psychological insight into less comprehensible areas of the mind has been the staple of philosophers and novelists from Aristotle to Nietzsche to Dostoyevsky, Freudian psychology, for the first time, offered a scientific and systematic analysis of the functioning of the mind. In other words, its primary aim was to enable the mind to peep into itself and map out its inaccessible terrains. Freud published his Interpretation of Dreams in 1900, and Three Essays on the Theory of Sexuality in 1905. The human mind, according to him, has a three-tier operating system: the Ego, the Id, and the Superego. The Id is the seat of sexual desires and all types of appetites. It relentlessly goads man to fulfill all these desires. The Super Ego, on the other hand, sets high goals that are often unreachable and impractical. The Ego mediates between the social taboos, restrictions, socially approved behaviour and the compelling urges of the Id. The Ego mediates between instinctive urges of the Id and the transcendental urges of the Super ego in order to enable man to adhere to a balanced code of conduct. The great German novelist Thomas Mann, after seeing and realizing the profound connection between literature and Freudian psychoanalysis, writes in1936:
The close relation between literature and psychoanalysis has been known for a long time to both sides…. The connection, the bond between them, is twofold: it consists first in a love of truth, in a sense of truth, a sensitiveness and receptivity for truth’s sweet and bitter, which largely expresses itself in a psychological excitation, a clarity of vision, to such an extent that the conception of truth actually almost coincide with that of psychological perception and recognition. And secondly it consists in an understanding of disease, a certain affinity with it… and an understanding of its productive significance (Ellmann, 585-86).
Some other psychologists, particularly his one-time disciple C.G.Jung, have contested some of the fundamental premises of Freud. But to a majority of people living in the first half of the 20th century Freud’s findings were nothing short of oracles. Mann’s essay expresses the high respect with which his contemporaries regarded Freud’s findings about the functioning of the human mind. The psychological fiction, written during the modernist era was deeply indebted to the Freudian psychology. Freud taught the novelists to treat the surface activities their protagonists as the visible mass of an iceberg whose major portion lies submerged. To probe the source from which human action springs was considered a more worthwhile activity than to make much ado about the mere details of obvious reality.
The quest for the unconscious received a new boost from another great psychologist, Carl Gustav Jung who was a disciple of Freud. They fell apart for some minor disagreement on the nature of the libido, but they have many other things in common. Just as Nietzsche was called a literary philosopher, Jung may be called a literary psychologist. He considered the “creative human being” a “unique personality” who deserved a special psychological investigation. In his famous book Modern Man in Search of a Soul (1930), he writes:
“It is obvious enough that psychology, being a study of psychic processes, can be brought to bear upon the study of literature, for the human psyche is the womb of all the sciences and arts. We may expect psychological research, on the one hand, to explain the formation of a work of art, and on the other to reveal the factors that make a person artistically creative” (Lodge, 175).
Freud locates the source of all creativity in neurosis and repression, but Jung disagrees with him. For him a creative artist is a mystery, a riddle. Psychologists can unravel this riddle by the help of the collective unconscious. For Jung, collective unconscious is the source of all visions, all creativity, and all dreams. He calls it the law of phylogeny. Just as in the physical structure of the body of the modern man we find all the traces of human evolution, the collective unconscious is formed of all the stages of consciousness human beings have already passed through. It is the racial memory, which we inherit. This racial memory connects us with our primordial roots. The mind preserves the traces of hereditary traits in the form of archetypes. Jung defines archetypes as the “psychic residua of numberless experiences of the same type”, which express themselves in the shape of recurrent images, stories and figures.
Even when he accords a special status to the creative writer (“a unique personality” he calls him), he does not give him a will of his own. He is only a medium through which the collective unconscious, the racial memory expresses itself in the form of archetypes. He writes:
“Great poetry draws its strength from the life of mankind, and we completely miss its meaning if we try to derive it from personal factors. Whenever the collective unconscious becomes a living experience and is brought to bear upon the conscious outlook of an age, this event is a creative act which is of importance to everyone living in that age…The artist is not a person endowed with free will who seeks his own ends, but one who allows art to realize its purpose through him” (Lodge, 184, 186).
A poet may have a desire, or an aim, but as an artist he carries the psychic life of mankind; he is the collective man. Jung’s theory of the creative process resembles T.S.Eliot’s “impersonality” theory. “The progress of an artist,” writes Eliot, “is a continual self-sacrifice, a continual extinction of personality.” He even compares the poet’s mind in the act of writing poetry with a “bit of a finely filiated platinum…introduced into a chamber containing oxygen and sulphur dioxide” (Lodge, 73).
The vast untapped world lying within appeared more interesting, more complex and more meaningful than the quotidian external world. The theoretical justification offered by Aestheticism and Symbolism received a scientific legitimacy from Freudian psychoanalysis. Modernist novelists like Joyce, Woolf and Faulkner dived deep into the subconscious to capture what they considered the true source of human action. James Joyce (1882-1941) based his novel Ulysses on the wanderings of Leopold Bloom in the city of Dublin on 16 June 1904. He imposed an epical pattern on Bloom’s wanderings a la Homer’s The Odyssey. Odysseus took ten long years to return from Troy to his home island Ithaca. Here Leopold Bloom, a modern incarnation of Odysseus (Ulysses in Latin) is on a mental and symbolic journey. Molly Bloom is a modern incarnation of Penelope. Stephen Dedalus is a modern avatar of Telemachus, Odysseus’s son. By employing several narrative styles, by breaking and combining words, Joyce tried to capture the nuances of a mind perpetually engaged in thinking, fantasizing, interacting with others, dreaming and taking stock of its own preoccupation with reality. Joyce did not give an explanation for writing the way he did. But his recognizable alter ego Stephen Dedalus states the author’s position: “You behold in me, Stephen said with grim displeasure, a horrible example of free thought” (Ulysses, 20) and a few pages later: “History, Stephen said, is a nightmare from which I am trying to awake” (ibid, 34). Freedom to think and devise his own mode of _expression, a total rejection of historical certitudes, and desperation to exorcise the ghost of Naturalism are his leit-motifs as a writer of new fiction. But Virginia Woolf, his contemporary novelist, offered a forceful defense of the modernist fiction in general and psychological fiction in particular. In her influential essay “Modern Fiction”(1919), Woolf, a bourgeoning writer then, pillories the Victorian novelists such as H.G.Wells, Bennett and Galsworthy for writing “unimportant things”, for spending “immense skill and immense industry making the trivial and the transitory appear the true and the enduring”(Lodge, 87-88). She calls these writers materialists. At that time Joyce’s Ulysses was being serialized in Little Review. She was the first great admirer of that book. Joyce, according to her, “is spiritual; he is concerned at all costs to reveal the flickerings of that innermost flame which flashes its messages through the brain, and in order to preserve it he disregards with complete courage whatever seems to him adventitious” (Lodge, 89). She admires Joyce for having the “complete courage” to be more faithful to his inner life. The future of modern fiction lies in such faithfulness. She writes:
Look within…Examine for a moment an ordinary mind on an ordinary day. The receives a myriad impressions- trivial, fantastic, evanescent, or engraved with the sharpness of steel…Life is not a series of gig-lamps symmetrically arranged; life is a luminous halo, a semi-transparent envelope surrounding us from the beginning of consciousness to the end. Is it not the task of the novelist to convey this varying, this unknown and uncircumscribed spirit, whatever aberration or complexity it may display, with as little mixture of the alien and external as possible? We are not pleading merely for courage and sincerity; we are suggesting that the proper stuff of fiction is a little other than custom would have us believe it” (Lodge, 88-89).
Virginia Woolf has not only spelt out the direction the new fiction would have to choose to be truly modern, she also herself wrote her novels in the new mode. Her first Stream of Consciousness novel was Jacob’ Room, which was published in 1922. This year was significant for modernism. A number of major books that are considered to be representative of modernism were published in that year: Ulysses, The Waste Land, The Sound and the Fury and Jacob’s Room.
Sir James Frazer’s The Golden Bough (1890-1915) is a seminal work and a source of influence on culture and literature of the first part of the twentieth century. Frazer’s book, a tome of twelve volumes, is an anthropological study of myths, religious cults, rituals, totems, taboos, magical rites and customs of ancient societies, and their striking resemblance to those of Christians. Sir Frazer brought out a compact single-volume edition of The Golden Bough in 1922 for the benefit of common readers. Some of the fundamental Christian beliefs such as the transference of sin from one person to another had Asiatic and African origin (Frazer, pp. 542-546,). Most of the Christian festivals related to the Nativity, Crucifixion and Resurrection of Christ and their dates of observance mysteriously tally with Greek, Roman and Egyptian festivals of much older origin. Sir Frazer writes in his 1922-edition:
“Taken together, the coincidences of the Christian with the heathen festivals are too close and too numerous to be accidental. They mark the compromise which the Church in the hour of its triumph was compelled to make with its vanquished yet still dangerous rivals” (Frazer, 361).
Just as Darwin’s findings undermined orthodox faith in Original Sin by showing man’s descent from primates in the course of evolution, Frazer’s study of ancient cultures established the fact that religion has evolved from purely social practices, from the recurring patterns of primitive myths and rituals, and from the early man’s awe-inspired worship of natural objects and forces with a view to warding off natural calamities threatening him. Christopher Nash writes in his essay “Myth and Modern Literature”:
“Arising variably out of etiological speculation, euhemerist historiography, fetishism, mimicry of natural events, and allegorical thinking, myth is always a by-product of man’s way of dramatizing and ceremonializing the pragmatics of Darwinian survival” (Bell, 171).
Eliot has acknowledged in his Notes to The Waste Land that he owed a great deal to Sir James Frazer’s The Golden Bough and Miss Jessie Weston’s book From Ritual to Romance (1920) for writing that book. In her book, Miss Weston describes the ritualistic search for the Holy Grail which is a symbol of fertility combining the sexual and religious elements. While talking about the influence of From Ritual to Romance on The Waste Land, F.O.Matthiessen, in his famous book The Achievement of T.S.Eliot (1935), observes:
For reading that book gave to his mind the very fillip which it needed in order to crystallize. What he learned especially from it was the recurring pattern in various myths, the basic resemblance, for example, between the vegetation myths of the rebirth of the year, the fertility myths of the rebirth of the potency of man, the Christian story of the Resurrection, and the Grail legend of purification. The common source of all these myths lay in the fundamental rhythm of nature – that of the death and rebirth of the year; and their varying symbolism was an effort to explain the origin of life (Cox, 110).
The scientific investigators such as Darwin, Marx, Freud and anthropologist s such as Frazer and Jessie Weston might or might not have been aware of social repercussions of their findings. They might or might not have anticipated the symbolic potential of their oeuvres. But their findings had certainly affected the opinions and beliefs of people who came after them. Most importantly, they affected the way people thought; they altered the general attitude towards literature and art. Religion was one of the first casualties. Many of its basic and sacred claims were challenged. For the first time in the history of human civilization, religion found itself on the defensive. Those three major trendsetters, Darwin, Marx and Freud, were not known for their religious belief. Darwin could not have possibly proved his theory of evolution without subverting the traditional belief that man came into being as a finished product. Karl Marx could not have justified revolution by subscribing to the assumptions of orthodox religion. According to religious faith, the poor people are blessed, because they would inherit the earth. God will take care of their future inheritance and prosperity; there is no need for political revolution. Because all religions glorify the tolerant attitude towards exploitations of all kinds and explain all human suffering in the terms of an ineluctable fatalism, they have always been the most effective deterrence to revolution in the history of mankind. Marx equated religion with opium, for both neutralize man’s ability to protest through slow addiction. Freud, while dissecting the human mind, could not locate God. “The origin of religious attitude,” he commented sarcastically, “can be traced back in clear outlines as far as the feeling of infantile helplessness” (Civilization and Its Discontents, 19). The 19th century world-view was summed up in the famous lines of Robert Browning: “God’s in His Heaven, / And all’s right with the world.” The Victorian writers more or less believed in the possibility of communication between themselves and their readers. If both the writer and the reader lived in the same world and shared the same set of beliefs, there was no reason why there should be any hiatus in the communicating process. They also subscribed to the notion that literature is capable of transforming the society for the better through moral education. Novelists like Thackeray, George Eliot and Galsworthy tried to establish a direct contact with their readers by addressing them directly, by taking them into confidence. Bernard Shaw used his plays as a platform for public education by supplying lengthy introductions to his plays. He asked for a thinking readership or audience, rather than emotionally involved, unthinking readers and audience. Dickens also firmly believed in the effectiveness of his moral message. But he was criticized by Thackeray for his introducing incredible coincidences, sensational melodrama and selective representation of reality in his novels, for that sort of narrative might violate the unstated, though time-honoured, contract between the writer and the reader. This faith in a shared ethical stratum distinguished the typically Victorian sensibility. It went well with the relatively simple world-view. A realistic literature with a desire to teach was well suited to that society.
Even in the Victorian England, there were writers who introduced new forms in poetry and fiction. G.M.Hopkins composed his “experimental” poems in the seclusion of his room. He never wanted to, nor was capable of becoming, reader-friendly like other Victorian poets. Like his contemporary Dutch painter Vincent van Gogh, he allowed his imagination to express itself freely choosing its own medium. His unorthodox diction, his “intricately woven tapestry of language”, his ideas of the sprung rhythm and inscape, demonstrated in his “The Wreck of the Deutschland”, “The Windhover”, “Pied Beauty”, “Duns Scotus’ Oxford”, etc. might have astonished and embarrassed his contemporaries. But he could not publish his poems during his lifetime. He died in 1889, and his poems were published as a collection in 1918. Though living in Victorian England, Hopkins had anticipated modernism.
By the beginning of the 20th century, an epistemological shift was slowly taking place, not only in the domain of poetry, but also in that of general awareness. That one observable phenomenon could be viewed differently by different people from different angles, was one of the epiphanies of the modern writer. That epiphany encouraged poets and novelists to capture the complexities of the new world in their creative work without getting anxious about the readers’ response and the ethical dimensions of their messages. Their main purpose was to make their work a true reflection of the complexities of life, of society and of reality. Their commitment to their craft, their sincerity to their individual awareness of the multitudinous, conflicting reality confronting them replaced the inherited concern for clarity and morality. That is not to say that the modern poets consciously desired to be ambiguous and difficult. It was not their disregard for their readers, but their desire to express themselves with greater freedom and greater sincerity, which made them write or paint in the way they did. Or they might have believed that a complex mode of _expression was needed to express the complexities of modern life. Whereas the typically Victorian poets and novelists tried to reach out to their readers, the typically modern poets and novelists intended, consciously or unconsciously, to reverse that process. That is to say, they wanted that their readers should reach out to them. As one of the greatest modern French novelists Marcel Proust commented, the reality for a writer is not outside world but the world that lies stored in his deep unconscious. His novel Remembrance of Things Past, a tome of seven volumes, is a faithful recapitulation of that stored-up memory, a prodigious surfacing of the submerged consciousness. The reality we meet in Modernist novels is a manipulated reality, a refraction of reality that has passed through the dense medium of the writers’ subconscious.
“The Sunflowers” of Van Gogh are different from the sunflowers we see in a garden, and yet they retain some general aspects, which distinguish them from other flowers. The observer of Van Gogh’s sunset, sunflowers and wheat field will not only know that they are so, but also know what the artist wants to express through them. For Van Gogh and other expressionist painters art is not an imitation of reality but a subjective interpretation of reality; it is a medium through which the Self or the creative mind expresses itself. The Cubist artists such as Pablo Picasso, Georges Braque, Juan Gris tried to introduce geometric forms in their paintings. According to Apollinaire, Cubism “does not aim at an art of imitation, but at an art of conception”. While comparing the paintings of Van Gogh and Gauguin with those of Picasso, we find in the art of the latter a greater degree of complexity. The expressionist subjectivity is replaced by a subjectivity of a more fragmented kind.
The Cubists were at the height of their creativity between 1907 and 1914. They shunned the conventional treatment of space and form, and tried to show the subject from several viewpoints at the same time. “Scientific Cubism”, writes Apollinaire,
is one of the pure tendencies. It is the art of painting new structures out of elements borrowed not from the reality of sight, but from the reality of insight. All men have a sense of this interior reality. The new art clothes its creations with a grandiose and monumental appearance which surpasses anything else conceived by the artists of our time (Apollinaire, 15-16).
In the field of drama, such a tendency was noticeable in the latter plays of August Strindberg. Dramatic Expressionism is exemplified in the plays like To Damascus in three parts (two in 1898, one in 1904), A Dream Play (1902), and The Ghost Sonata or The Spook Sonata (1907). Strindberg, like the Dutch artist Vincent van Gogh and the French artist Paul Gauguin before him, and the Cubists shortly after him, tried to give _expression to his subjective emotion, rather than to objective reality. The mid-nineteenth century Impressionism is an account of how the objective reality projects itself on the subjective consciousness of the artist. Thus, it was a subjective account of an objective perception. In Expressionism, sometimes referred to as Postimpressionism by art historians, the wedge of individuation was driven deeper. It was an imposition on the outside world of the artist’s perception of it. Thus, it was a subjective account of a subjective perception. Celebration of the Self as the ultimate source of creativity and reference started to take root. Strindberg writes in the Preface to his A Dream Play (1902):
“Everything can happen; everything is possible and probable. Time and place do not exist; on an insignificant basis of reality the imagination spins, weaving new patterns; a mixture of memories, experiences, free fancies, incongruities and improvisations. The characters split, double, multiply, evaporate, condense, disperse, assemble” (Strindberg, 175).
This brief manifesto has cast a long shadow. Traditionally, drama is a popular art form and a law-abiding genre. Dramatic rules and conventions are most resistant to change. Full credit has to be accorded to this Swedish master for trifling with the sacrosanct rules of drama. What happens in a dream took place on the stage. The unities of time, place and characterization were flouted to accommodate the playwright’s perception of reality and life, to express his personal nightmares and his chilling analyses of the world per se. It came to full flowering in Europe, particularly in Germany, during the period between the two World Wars (1919-1939). Expressionistic form and technique paved the way for a variety of artistic and literary movements during the first forty years of the twentieth century. In the Theatre of the Absurd of Samuel Beckett and Eugene Ionesco, in such short-lived movements as Dadaism, Surrealism, Vorticism, Futurism, etc. the extra-realistic traits first introduced by artistic and dramatic forms of Expressionism are clearly noticeable. Many major playwrights active during the period under discussion tried to introduce some of the Expressionistic techniques in their plays. Elmer Rice in his Adding Machine (1923), Tennessee Williams in Camino Real (1953), Eugene O’Neill in his Emperor Jones, The Hairy Ape (1922) Pirandello in his Six Characters in Search of an Author (1921), Henry IV (1922), and Right You Are, if You Think You Are (1917), Thornton Wilder in his Our Town (1938), just to quote the most important, have introduced some technical aspects of dramatic Expressionism.
An inner necessity for self-_expression which helped produce a bumper harvest of experimental literature such as James Joyce’s Ulysses and Finnegans Wake, Pound’s Cantos, Eliot’s The Waste Land and Other Poems, Proust’s Remembrance of Things Past, Virginia Woolf’s Jacob’s Room and To the Light House and William Faulkner’s The Sound and the Fury. Each work cited above is a monument containing the author’s sublimated self in its sanctum sanctorum. The “inner necessity” referred to here arises out of the writers’ desire to record the tumult in their alert mind caused by the overwhelming complexities of the external world and to withdraw into their inner space.
The end of the nineteenth century had marked the end of simplicity, of the belief in effective communication between the author and the reader. The external complexity of the world matched the writers’ awareness of their inner complexity thanks to the new light shed on the human subconscious by psychologists like Sigmund Freud and Carl Gustav Jung. Even man’s traditional faith in his free choice was shaken by these psychoanalytical findings. He became a passive medium through which the interface of the Id and Superego expressed itself. The Ego, the mediating presence, formed, as it were, of so many formative influences in the childhood, both traumatic and puzzling, was an unreliable agent of mediation. Complex forms and techniques were devised to express a writer’s response to an equally complex world. Peter Faulkner writes:
“The characteristic demandingness of Modernism arose from the writers’ sense of the difficulty of their task. Only a complex and demanding art, it was felt, could adequately render a modern consciousness of the world….it could be argued that the consciousness of the modern artist has been rendered more self-directed by the influence of psychological investigation, revealing the complexity of human personality, and of philosophical enquiry, emphasizing the role of the agent in creating the reality which he experiences” (20-21).
The philosophical factor that largely contributed to the formation of the modern sensibility came from the German philosopher Friedrich Nietzsche (1844-1900). Bertrand Russell rightly calls Nietzsche a literary philosopher. Thus Spake Zarathustra (1883-1892), his magnum opus, is written in verse. Some of the ideas Nietzsche advocated are unacceptable, even revolting to taste and reason. But his concept of Superman as the incarnation of “will to power” has an evolutionary foundation. Charles Darwin had proved that the creatures of the world have to evolve through a ruthless process of natural selection. The world offers no concession to the weak and the also-ran. The strong have to dominate and even weed out the weak in order to survive as a superior race. Nietzsche offered a philosophical justification for this predatorial process. His prophet Zarathustra tells his listeners:
I teach you the superman. Man is something that should be overcome. What have you done to overcome him?
All creatures hitherto have created something beyond themselves; and do you want to be the ebb of this great tide, and return to the animals rather than overcome man?
What is the ape to man? A laughing-stock or a painful embarrassment.
You have made your way from worm to man, and much in you is still worm. Once you were apes, and even now man is more of an ape than any ape. (Thus Spake Zarathustra, 1-2).
Nietzsche’s ideas exerted a great influence on the twentieth century thought and literature. His advocacy for the emergence of an amoral aristocracy, and of a race of superior beings and rugged individualists found ready takers in the Fascist Italy and Nazi Germany. A few years after, Adolf Hitler became what Nietzsche would have wished to become had he been given physical health and an opportunity to rule. He would have killed six million Jews and sent twice that number to extermination camps with a clear conscience just to sanitize the Aryan race. However, the positive aspect of Nietzsche’s thought as a mobilizing influence on modern sensibility cannot and should not be underestimated. It was an antidote to unexamined claims of religions, particularly Christianity, as a cure-all of all the human problems. His thoughts supplied an ideological basis for the creative writers and artists to give _expression to their feelings and ideas by devising their subjective hieroglyphics without trying to be easily intelligible or accessible to their target audience. The major innovators of modernist art and literature, such as, Picasso, Ezra Pound, Joyce and Eliot filled the shoes of the Nietzschean supermen in so far as their disregard for their general readers or audience was concerned. Their works were more a caviar to the general (read, connoisseur) than the resole for the ordinary mortals. The ordinary readers were expected to acquire a certain degree of skill in appreciation and to raise themselves intellectually if they wished to penetrate the complex subjectivity of modernist writers encoded in their chefs-d’oeuvres. In the case of less original and emulating modernist poets particularly, deliberate obfuscation of form and unintelligibility of substance were raised to the level of excellence. Unintelligibility became legitimate in the name of subjectivity. Figuratively, the ball was thrown to the readers’ court. What could not be comprehended was accorded a benefit of doubt. Joyce had a few emulators thanks to his forbidding and austere craftsmanship, but Eliot and Pound had a legion. Pound and Eliot liberated poetry from the moral responsibility of being legible, which convention imposed on it. That liberation radically altered the phenomenon of poetry. Poetic imagery and diction became trenchantly personal, hence obtuse. In course of time, understanding poetry and fiction became more a specialized activity than a pleasant, leisurely pilgrimage to enjoyment and consequent edification.
As understanding poetry in particular and literature in general became a specialized activity, criticism of literature emerged as a specialized branch of study. Until I.A.Richards published his Principles of Literary Criticism in 1924 and Practical Criticism in 1929, literary criticism or analysis used to follow certain conventions and time-honoured practices. The nature of criticism, appreciation and analysis was humanistic in the broad sense of the term. The critic of a poem or a book generally used to discuss the available biographical information about the author, the historical context and period in which that work was created, the possible sources of influence on the author, comparisons with other texts of similar nature, etc. along with the textual analysis. But Richards dispensed with all such extra-textual referentiality of the text. The text under discussion was considered to be containing all the meanings that can be known or worthy of knowing. The job of the critic, according to Richards, was to interpret (closely read) and evaluate a poem by using such tools as theme, tension, irony, paradox, figures of speech like metaphor, metonym, synecdoche, symbols, etc. using his skill as a trained, well-informed person. Richards’ ideas were germane to the growth of New Criticism in America. Professor Richards tried to elevate literary criticism to an exact science and put great stress on the ability of the reader to extract meaning from a poem or any text.
T.S.Eliot was arguably the most influential writer of the modernist era. He scores over James Joyce by being simultaneously a literary critic of astonishing courage and a poet of surpassing originality. When Eliot’s poems were first published, the entire community of literary critics was equally divided into the two categories: his admirers and his detractors. His prominent detractors considered his poems too artificial, too strange. His admirers considered him refreshingly new.
His first poem “The Love Song of J. Alfred Prufrock”, published in 1915, was a trailblazer. Even before he published his great poems (The Waste Land, Four Quartets), he had already established his reputation as a critic by publishing his collection of essays titled The Sacred Wood (1920). In his 1921 essay “The Metaphysical Poets”, he declared that the poets writing in the modern world “must be difficult”; that they have no option but to become “more allusive, more indirect.”
More than a hundred years before him William Wordsworth wrote in his Preface to The Lyrical Ballads (1800): “Poetry is the spontaneous overflow of powerful feelings; it takes its origins from emotion recollected in tranquility.” Eliot redefined the position of the poet in relation to his poetry. According to him, Poetry is not an _expression of the poet’s emotion, but an escape from it; it is not a reflection of the poet’s personality, but an escape from his personality. The poet’s mind, he wrote, is a mere catalyst. When put in a closed container, the two gases such as, oxygen and sulphur dioxide do not interact with each other. If a platinum filament is introduced into that container, the gases interact with each other, the chemical reaction takes place and they get converted into sulphurous acid. But interestingly, sulphurous acid does not contain any trace of platinum. The platinum filament is not affected either. Its presence causes reaction. It remains totally unaffected. Such is the poet’s mind, which is a receptacle of all the images, feelings, phrases collected from all the poems written before him and assimilated by him. Poetry is produced when the mind of a poet intervenes as an impersonal agent, converting the stored data into new verbal combinations. The personality of the poet is not present in the poem just as platinum is not present in the sulphurous acid. In his 1919 essay “Tradition and Individual Talent” Eliot writes:
“(The modern poet) must be aware that the mind of Europe – the mind of his own country – a mind which he learns in time to be more important than his own private mind – is a mind which changes, and that this change is a development which abandons nothing en route, which does not superannuate either Shakespeare, or Homer, or the rock-drawing of the Magdalenian draughtsman” (Lodge, 73).
It was not the process of writing poetry, but the poet’s role in it, which made this essay one of the most discussed essays of twentieth century. His essays inspired I.A.Richards, and both of them inspired a whole generation of critics and influenced academic practices world over. He made it clear that finding Shakespeare’s laundry bills would not help us understand and appreciate his plays. “To divert interest from the poet to the poetry,” he asserts, “is a laudable aim; for it would conduce to a juster estimation of actual poetry, good and bad” (ibid, 76).
Any discussion on modernism will not be complete without mentioning the name and contributions of the French-speaking Swiss linguist Ferdinand de Saussure. His lecture notes were published as Course in General Linguistics in 1916 two years after his death. Though mankind has used language for thousands of years, no systematic study of synchronic linguistics has been attempted. Saussure’s insightful discovery of the obvious, yet unnoticed aspects of language has enormously influenced many other branches of knowledge such as literature, philosophy, psychology and anthropology. Semiology (known also as semiotic) is a scientific study of language. Saussure called language a system of signs. A sign is produced when a concept, an object, or an idea is given a name. The verbal _expression denoting an idea or an object or a concept is called a signifier. The concept, or the idea or the object is called the signified. It is the meaning of the sign. This process is called signification. But there is no intrinsic connection between the signifier and the signified. It is arbitrary. In a particular linguistic system, the meaning of a sign is determined by its difference from other signs, not by its positive qualities. Saussure also divided the language into two distinct categories: the parole and the langue. A parole is in utterance, the language as it is used in writing or in speech acts. It obtains in the langue, derives its particular form from a vast reservoir of signs. That reservoir of signs is the langue. It is the store of all implicit differentiations, rules of combination peculiar to a particular language-speaking community. Noted linguist Noam Chomsky’s terms such as performance and competence correspond to Saussure’s parole and langue respectively. Anthropologists like Levi Strauss, philosophers like Jacques Derrida, Structuralist critics like Rolland Barthes have used the Saussurean models in their respective fields of study.
Before concluding this essay, it has to be stated that the mind of man in the first quarter of the twentieth century was a rapidly expanding universe. Epoch-making inventions and discoveries in the field of science and technology had influenced the thinking process and also the writing process, and changed the general life-style of people. Telephone, invented by Graham Bell in 1876, had already become widespread. The public screening of projected motion pictures by the Lumiere brothers in 1898 quickly followed the invention of Kinetoscope by Thomas Edison in 1893. Edwin S. Porter made his first motion picture The Great Train Robbery, an 11-minute Western in 1903. Charlie Chaplin emerged as the greatest film personality in the second decade. In 1919 he established United Artists Film Corporation comprising of Douglas Fairbanks, actress Mary Pickford and director D.W.Griffith. That “Little Tramp”, known as the funniest man in the world, starred in The Kid (1920), The Gold Rush (1925), City Lights (1931) and Modern Times (1936). Then arrived the radio, the ultimate source of home entertainment. Guglielmo Marconi was able to send radio signals through the air in 1895 and Reginald Fessenden was the first to broadcast human voice by radio in 1925. Almost at the same time, Vladimir Zworykin, a Russian-born American scientist, invented the iconoscope, a camera tube capable of converting light images into electric signals, and the kinescope, the picture tube used in television receivers. He demonstrated the first completely electronic, practical television system in 1929.
Henry Ford made his first petrol car engine in 1896 and established the Ford Motor Company in 1903, which produced millions of cars with affordable price tags. Then came the Wright brothers, Wilbur and Orville, who made their first flight in 1903. The world was beginning to shrink. The newly acquired ability to fly fired the imagination of the modern man. James Joyce was perhaps inspired by that enthusiasm when he chose the name Stephen Dedalus for his hero (recognizably, his alter ego) in A Portrait of the Artist as a Young Man and Ulysses. George Stephenson was the maker of the first locomotive rocket in 1829 and the builder of the Liverpool and Manchester Railway. And Daedalus, the mythological Greek architect, was the first man to fly like a bird with artificial wings from the island kingdom of Crete to Sicily.
So far as the natural/ artificial binary was concerned, the traditional/ Victorian world-view privileged natural and considered artificial inferior. In the modernist context, artificial was privileged. The man-made artifacts stated above succeeded in convincing the modern man that science and technology were an improvement on nature. Many critics condemned both Eliot and Joyce for writing in an artificial manner. But artificiality was no longer taboo. In a sense, all literary techniques and all scientific or technological inventions were artificial in that men made them.
It was the time when Albert Einstein revolutionized and redefined the terms like space, time, mass, motion, gravitation, matter, energy, etc. Arguably the greatest scientist after Isaac Newton, Einstein published his Special Theory of Relativity in 1905 and General Theory of Relativity in 1915. His famous equation that Energy equals Mass times the velocity of light squared proved that matter is a form of energy; that matter and energy are interchangeable. The nuclear age was born. Though a few great scientists were able to understand the mathematical methods by which Einstein reached his conclusions, average people of his time were aware of the implications of his findings and were hugely excited.
To the people living in the twenty-first century, all these inventions and findings may appear quite passé, for they have been exposed to the full impact of these inventions and discoveries from their childhood; but to the people living in the first part of twentieth century, they were stranger than science fiction. Many believed that after five thousand years of gradual growth, the human mind was realizing its full potential and the tree of civilization was beginning to bloom, to blossom forth.
But there were also a few prophets of doom. They warned that the tree of civilization would bear the poison fruit. The Second World War quickly followed the First World War, just twenty years after. Some of those inventions and discoveries were put to destructive uses. The world had never seen such large-scale devastation before. Invincible faith in the progress was contending with hard facts of despair. But the process was irreversible. The modern age was a nodal point of human civilization, a period of branching out. On the whole, it was a period of happenings, and those happenings shaped the character of the century, warts and all.
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