Mikhail Mikhaiovich Bakhtin (1895â1975) was without doubt the most astonishingly productive thinker in the Humanities to emerge from Soviet Russia and one of the twentieth centuryâs most significant theoreticians of literature. This book will show that Bakhtinâs ideas remain crucial for literary studies, but also that his approach to literature remains, indeed, astonishingly productive across the full range of the contemporary Humanities. Bakhtin is a thinker who not only reconceives the relationship between literature and other disciplines, but who is also ultimately able to demonstrate the vital and common basis of all Humanities disciplines â of all disciplines that have writing at their conceptual and methodological core. As both the Soviet context and the twentieth century itself recede into history, he has become one of the most important thinkers for the Humanities in the twenty-first century.
The roots of Bakhtinâs attraction lie to some extent in the fact that, although he became known in the West during a period of huge growth of interest in literary and cultural theory in the 1970s, 1980s and 1990s, his thought does not share the central tendency of the key theoretical paradigms such as Structuralism, Marxism, Psychoanalysis and Deconstruction. These paradigms, for all the many and profound ways in which they diverge from and even contradict one another, are nonetheless related by a common characteristic: they are all broadly hermeneuticist, that is, they all imply the existence of another âtextâ beneath the surface or in the interstices of the text or discourse under interpretation. The meaning of any utterance has increasingly been held to lie somewhere beneath or beyond the surface intention of its speaker or author â to the point where the very presence of an author of a literary work or a âsubjectâ of discourse comes into question. For Bakhtin, however, the presence and self-constitution of the speaking subject (sometimes, indeed, an author) lies at the heart of any process of human understanding; it is the inalienable core of his thought. He offers, therefore, a way of understanding the complex relationship between text and world on the basis of the presence of the human subject (or subjects) without colluding in crude, one-dimensional theories of intentionality. Bakhtin never departs from a core Humanistic position, but instead theorizes (re-theorizes) the conditions of possibility of Humanism âafter theoryâ by theorizing the various modes of being and expression â literary and non-literary â of the living, speaking subject. Meaning for Bakhtin is irreducibly present in, but not simplistically reducible to, the text; it is what philosophers would call âimmanentâ. This, in the end, is what texts (and speech) are for.
IMMANENCE
Borrowed from Theology by way of Philosophy, immanence describes the way in which the properties of a given concept or phenomenon â such as, foundationally, God â are said to inhere in the concept or phenomenon itself. In literary studies, the idea of immanence opens up questions about the limits of the text: are texts self-contained, autonomous and complete on their own terms? Does the meaning of the text appear in the words on the page, does it need to be read in its social and historical context, or in the context of the authorâs life? And are these positions mutually exclusive? One of the basic constants of Bakhtinâs work is a desire to break down the apparent opposition between theories of the immanence of the literary text (formalist approaches) and theories of its determination by the external environment (contextual, sociological, historical approaches); or, to use a term that will recur in his work, to concentrate on what happens on the boundaries between such theories. Bakhtinâs core ideas on the dialogic nature of speech and writing suggest that meaning is in one sense immanent in the utterance or the literary work, while it is at the same time intensely connected to the environment in which it is produced. His thought ultimately seeks to erase any comfortable distinction between what is intrinsic and what is extrinsic to the literary work or, indeed, to any utterance.
Another aspect of Bakhtinâs attraction is that he consistently approaches questions of the construction of the human subject, of meaning and of ethics not through the formal lens of philosophy or linguistics, but through the endlessly diffuse lens of literature. His thought returns again and again to the question of what is at stake in the connection between literature and the world beyond it, but it always maintains the primacy of the text, which is never reduced in Bakhtinâs hands to the status of a mere reflection of something else. The âkindâ of literature Bakhtin is primarily interested in is the novel, or at least the ways in which novels (or some novels) manifest his idea of ânovelnessâ, which becomes at different points a near synonym for his key category of the dialogic. Reading Bakhtin can therefore provide, at the most basic of levels, a range of uniquely powerful insights into the novel, but it can also, as we have suggested, help us expand upon those insights in ways that exceed the scope of the novel or even literature itself, contextualizing it against what Bakhtin will call the âuniversalâ of the dialogic. The nature of boundaries âbetweenâ literature and the world, or more properly, the way these and other phenomena merge across or entirely deconstruct boundaries, is what makes reading Bakhtin a task that generates often unexpected rewards.
The phenomenon that dramatizes and binds together the various elements of Bakhtinâs work, more so even than literature, is language. Whether in the context of everyday life, in the mouths of real people or on the pages of literary works, in the mouths of Bakhtinâs no less real âauthors and heroesâ, language both embodies and provides access to the various phases of human experience. Bakhtin and his colleagues, in pursuit of a deeper understanding of the fullness of such experience, will offer their own theory of language, built around the âutteranceâ as the emblem of a âliving languageâ, as opposed to the rules and conventions of language as an abstract system. Language may be the stuff of life as it is lived and at the same time the self-evident point of embarkation for literary study, but it is also the common denominator of the Humanities â it is the high road of interdisciplinarity. Bakhtinâs invocation in the related fields of sociolinguistics, anthropology, social theory, and of course philosophy, from which he initially comes, is a testament to the fact that what is important for and in Bakhtin â the construction and transmission of meaning and the relation of the self to the other â is central to the Humanities project at large. The best-known works of Bakhtinâs middle period, such as his book on Dostoevsky and âDiscourse in the Novelâ, are all in some ways dependent on the elaboration of a theory of language â a âtrans-linguisticsâ as we will call it in Chapter 5. His later and sometimes fragmentary âessaysâ of the 1960s and 1970s make more explicit the relationship between that theory of language and a central, binding idea of the Humanities. The questions raised there â regarding the status of the text, the relationship of lived experience to its literary or theoretical inscription â are the questions that resound through the broad mainstream of the contemporary Humanities, manifest in each of its component disciplines in different ways â but in ways that can be routed and related through Bakhtin.
This book will begin, however, by returning to Bakhtinâs earliest work, written but unpublished in the 1920s, in order to explore the model of self-other relations developed there, which underpins his later ideas on the significance of language and the more familiar categories of dialogism, heteroglossia, chronotope and carnival. It will then deal with what might be regarded as a key turning point in Bakhtinâs life and work, the alignment of his work with the work of his friends and colleagues Valentin Voloshinov and Pavel Medvedev, and, especially, the significance of the former in relation to what has come to be known as the âlinguistic turnâ in philosophy and the Humanities more broadly. On this dual basis, we will then devote separate chapters to dialogism, heteroglossia, chronotope and carnival, in each case tracing the ways in which these ideas evolve in a process of mutual definition with the âcoreâ of Bakhtinâs initial conception. This trajectory will be completed by a chapter on genre, which brings together strands from every phase of Bakhtinâs work and reconnects to some of the questions we have already encountered, questions of the âboundariesâ between literature and life. The book will then conclude with a brief assessment not so much of Bakhtinâs influence, but of his continuing usefulness, both to readers interested primarily in literature and in the context of the Humanities in general.
The book can be read in three ways: first, some readers may wish simply to read continuously from the first chapter to the last, encountering Bakhtinâs major concepts in the context of his thought as a whole and in the process of its evolution; other readers might wish to begin with the chapter on dialogism, move through the mature concepts of heteroglossia, chronotope and carnival, and then return to the earlier chapters in order to explore the roots from which they emerged; finally, the chapters can be read separately as individual treatments of specific concepts, the reader accepting or rejecting invitations to connect with other areas of Bakhtinâs thought according to his or her own inclination.
Bakhtin prefaced one of his own early works, âThe Problem of Content, Material and Form in Verbal Artâ, with a declaration of its freedom âfrom the superfluous ballast of citation and reference, [ ⊠] unnecessary for the competent reader, and of no help whatever to the incompetent readerâ (PCMF 257). While it is not possible in the present context to duplicate Bakhtinâs rather cavalier attitude, citation and reference is focused heavily on Bakhtinâs own writings (and relevant literary exemplars) and has been kept to a minimum in relation to other critical and theoretical sources. Citation is from the editions referred to in the âAbbreviationsâ section at the beginning of the book, full details of which are given under âFurther readingâ at the end; translations have been modified slightly in certain cases.
Throughout the book, as is hopefully already abundantly clear, we will return again and again to the fundamentally literary significance of Bakhtinâs work, the sense in which his ideas cannot live in separation from literary categories, and at the same time to its similarly marked portability, the sense in which his ideas demand to be understood â and exercise profound effects â in contexts that are not conventionally regarded as âliteraryâ. If this book has a core hypothesis of its own, it is that the Bakhtin who provides powerful resources for the study of literature is entirely consistent with the Bakhtin who stands at the heart of a differently conceived Humanities. In both the content and the practice of his thought, Bakhtin casts the boundaries between disciplines in an entirely different light â a light that only becomes fully visible after Bakhtin.
First, however, consistent with Bakhtinâs insistence on the presence and significance of the living, speaking subject, with his fearlessness in the face of âbiographicalâ reductiveness, we will consider the no less essential question of âwhoâ Bakhtin was.