Thursday, 10 May 2007

Metaphoric Glossary

Excerpt from D. PHILIP CARNEY Tropological Language (Forthcoming, 2008)

Constitutive metaphor: This metaphor works to frame the thinking about the target domain to the point that one cannot consider the TARGET DOMAIN without the SOURCE DOMAIN. Stephen Pepper identified four constitutive metaphors: ORGANICISM, MECHANISM, FORMISM, and CONTEXTUALISM. One can characterise each of these metaphors by its different properties. For example, with mechanism, the economy will resemble a machine. With contextualism, the economy will have a history in which events are inter-linked and one can only understand human actions in the context of these events. With organicism, the entire economy is a living thing complete with closed circular flows.

Contextualism. This is a type of CONSTITUTIVE METAPHOR.

Creative transformation: A creative transformation pertains to an intellectual leap forward of a special kind. It occurs when one transfers an idea (regardless of whether the original idea survives in its exact form during the transfer) from one domain to another.

Dead metaphor: This metaphor is often mistake for literal language. This is a common mistake that one makes through overuse of a metaphor. Overuse can drain a metaphor of its figurative sense that renders it literal in impact. A metaphor dies when the analogical system of that metaphor eclipses the original metaphor itself. This happened with the once metaphorical terms ‘skyscraper’, ‘riverbed’, and the game chess. For example, chess was a metaphorical representation of war as a game. Chess as war faded away to reveal the game chess. Today, one has almost completely lost the connection with war. Chess is interesting only as a self-contained game. Chess is similar to a neoclassical economic model in that one can suppose that both represented the real-world at some point but lost touch with it.

Formism. This is type of CONSTITUTIVE METAPHOR.

Heuristic metaphor: This metaphor is largely realistic and apt (opposed to JUSTIFICATORY METAPHOR). It works to guide inquiry into the TARGET DOMAIN through joining attributes of the target domain with the SOURCE DOMAIN. This metaphor allows practitioners to investigate phenomena without implying the casual relationships of the source domain to the target domain. For example, in economics, economists habitually develop and elaborate a heuristic metaphor into a model as with the human capital metaphor. Similarly, in biology, Darwin associated ideas of classical economics and biology through use of heuristic metaphor to create a cross-fertilised set of ideas that improved biology.

Justificatory metaphor: This type of metaphor (opposed to HEURISTIC METAPHOR) is largely an unrealistic and inapt metaphor. When practitioners use justificatory metaphors, they use the foreign discipline as a holder of truth. This enterprise allows practitioners to make affirmations of truth along lines of a foreign discipline. Indeed, justificatory metaphors are not usually attempts to seek truth. It is a deceptive device that tries to lead the reader to accept the view of the author. Usually, there are subtle endeavours to disguise the approach as being natural or scientific. This device is possibly the most important of all pervasive devices as it allows the practitioner to misguide the negligent reader to accept ill-founded arguments. One can observe justificatory metaphors throughout economics. One can see these when an economist borrows a robust idea from another discipline to disguise (whether intentionally or not) an anomaly in their domestic paradigm.

Mechanism. This is type of CONSTITUTIVE METAPHOR.

Metaphor. This is a language process where one transfers attributes of one object (SOURCE DOMAIN) to another (TARGET DOMAIN). Metaphor borrows from a source domain that has in principle, nothing to do with the target domain. Metaphor, therefore, produces unexpected juxtapositions of subjects from apparently unrelated domains. This is what makes metaphor so powerful.

Object mapping. This is a brachial process that deconstructs an object into characteristics and reassembles the object piecemeal to afford further extrapolations to new situations.

Organicism. This is a type of CONSTITUTIVE METAPHOR.

Pedagogical metaphor: This metaphor works to make already understood expositions clearer. It relies on obvious resemblances between its source and target domains. For example, the circular flow diagram of macroeconomics or the expression time is money are examples of pedagogical metaphor.

Source domain: The academic discipline or field that one uses to gain insight into another (TARGET DOMAIN).

System mapping: This works for humans to extrapolate solutions to problems of similar structure to new problems.

Target domain. The academic discipline or field to which one applies an idea from another.

The Formalist School of Poetry and Marxism

Excerpt from LEON TROTSKY Literature and Revolution Chapter 5

The Formalist Opposition to Marxism – The Reduction of Poetry to Etymology and Syntax – Art for Art’s Sake and The Materialist Dialectics – The Argumentations of Shklovsky and Others – An Analogy with the Theologic Argument Against Darwinism


LEAVING out of account the weak echoes of pre-Revolutionary ideologic systems, the only theory which has opposed Marxism in Soviet Russia these years is the Formalist theory of Art. The paradox consists in the fact that Russian Formalism connected itself closely with Russian Futurism, and that while the latter was capitulating politically before Communism, Formalism opposed Marxism with all its might theoretically.

Victor Shklovsky is the theorist of Futurism, and at the same time the head of the Formalist school. According to his theory, art has always been the work of self-sufficient pure forms, and it has been recognized by Futurism for the first time. Futurism is thus the first conscious art in history, and the Formalist school is the first scientific school of art. Owing to the efforts of Shklovsky – and this is not an insignificant virtue! – the theory of art, and partly art itself, have at last been raised from a state of alchemy to the position of chemistry. The herald of the Formalist school, the first chemist of art, gives a few friendly slapsin passing to those Futurist “conciliators” who seek a bridge to the Revolution, and who try to find this bridge in the materialistic conception of history. Such a bridge is unnecessary; Futurism is entirely sufficient unto itself.

There are two reasons why it is necessary to pause a little before this Formalist school. One is for its own sake; in spite of the superficiality and reactionary character of the Formalist theory of art, a certain part of the research work of the Formalists is useful. The other reason is Futurism itself; however unfounded the claims of the Futurists to a monopolistic representation of the new art may be, one cannot thrust Futurism out of that process which is preparing the art of the future.

What is the Formalist school?

As it is represented at present by Shklovsky, Zhirmunsky, Jacobson and others, it is extremely arrogant and immature. Having declared form to be the essence of poetry, this school reduces its task to an analysis (essentially descriptive and semi-statistical) of the etymology and syntax of poems, to the counting of repetitive vowels and consonants, of syllables and epithets. This analysis which the Formalists regard as the essence of poetry, or poetics, is undoubtedly necessary and useful, but one must understand its partial, scrappy, subsidiary and preparatory character. It can become an essential element of poetic technique and of the rules of the craft. Just as it is useful for a poet or a writer to make lists of synonyms for himself and increase their number so as to expand his verbal keyboard, so it is useful, and quite necessary for a poet, to estimate a word not only in accord with its inner meaning, but also in accord with its acoustics, because a word is passed on from man to man, first of all by acoustics. The methods of Formalism, confined within legitimate limits, may help to clarify the artistic and psychologic peculiarities of form (its economy, its movement, its contrasts, its hyperbolism, etc.). This, in turn, may open a path – one of the paths – to the artist’s feeling for the world, and may facilitate the discovery of the relations of an individual artist, or of a whole artistic school, to the social environment. In so far as we are dealing with a contemporary and living school which is still developing, there is an immediate Significance in our transitional stage in probing it by means of a social probe and in clarifying its class roots, so that not only the reader, but the school itself could orientate itself, that is, know itself, purify and direct itself.

But the Formalists are not content to ascribe to their methods a merely subsidiary, serviceable and technical significance – similar to that which statistics has for social science, or the microscope for the biological sciences. No, they go much further. To them verbal art ends finally and fully with the word, and depictive art with color. A poem is a combination of sounds, a painting is a combination of color spots and the laws of art are the laws of verbal combinations and of combinations of color spots. The social and psychologic approach which, to us, gives a meaning to the microscopic and statistical work done in connection with verbal material, is, for the Formalists, only alchemy.

“Art was always free of life, and its color never reflected the color of the flag which waved over the fortress of the City.” (Shklovsky) “Adjustment to the expression, the verbal mass, is the one essential element of poetry.” (R. Jacobson, in his Recent Russian Poetry) “With a new form comes a new content. Form thus determines content.” (Kruchenikh) “Poetry means the giving of form to the word, which is valuable in itself” (Jacobson), or, as Khlebnikov says, “The word which is something in itself”, etc.

True, the Italian Futurists have sought in the word a means of expressing the locomotive, the propeller, electricity, the radio, etc., for their own age. In other words, they sought a new form for the new content of life. But it turned out that “this was a reform in the field of reporting, and not in the field of poetic language”. (Jacobson) It is quite different with Russian Futurism; it carries to the end “the adjustment to verbal mass”. For Russian Futurism, form determines content.

True, Jacobson is compelled to admit that “a series of new poetic methods finds application (?) for itself in urbanism” (in the culture of the city). But this is his conclusion: “Hence the urban poems of Mayakovsky and Khlebnikov.” In other words: not city culture, which has struck the eye and the ear of the poet and which has reeducated them, has inspired him with new form, with new images, new epithets, new rhythm, but, on the contrary, the new form, originating arbitrarily, forced the poet to seek appropriate material and so pushed him in the direction of the city! The development of the “verbal mass” went on arbitrarily from the Odyssey to A Cloud in Trousers; the torch, the wax candle, the electric lamp, had nothing to do with it! One has only to formulate this point of view clearly to have its childish inadequacy strike the eye. But Jacobson tries to insist; he replies in advance that the same Mayakovsky has such lines as these: “Leave the cities, you silly people.” And the theorist of the Formalist school reasons profoundly: “What is this, a logical contradiction? But let others fasten on the poet thoughts expressed in his works. To incriminate a poet with ideas and feelings is just as absurd as the behavior of the medieval public which beat the actor who played Judas.” And so on.

It is quite evident that all this was written by a very capable high-school boy who had a very evident and quite “self-significant” intention to “stick the pen into our teacher of literature, a notable pedant”. At sticking the pen, our bold innovators are masters, but they do not know how to use their pen theoretically or grammatically. This is not hard to prove.

Of course Futurism felt the suggestions of the city – of the tram-car, of electricity, of the telegraph, of the automobile, of the propeller, of the night cabaret (especially of the night cabaret) much before it found its new form. Urbanism (city culture) sits deep in the subconsciousness of Futurism, and the epithets, the etymology, the syntax and the rhythm of Futurism are only an attempt to give artistic form to the new spirit of the cities which has conquered consciousness. And when Mayakovsky exclaims: “Leave the cities, you silly people”, it is the cry of a man citified to the very marrow of his bones, who shows himself strikingly and clearly a city person, especially when he is outside the city, that is, when he “leaves the city” and becomes an inhabitant of a summer resort. It is not at all a question of “incriminating” (this word misses something!) a poet with the ideas and feelings which he expresses. Of course the way he expresses them makes the poet. But after all, a poet uses the language of the school which he has accepted or which he has created to fulfill tasks which lie outside of him. And this is even true also when he limits himself to lyricism, to personal love and personal death. Though individual shadings of poetic form correspond to individual makeup, they do go hand in hand with imitation and routine, in the feeling itself, as well as in the method of its expression. A new artistic form, taken in a large historic way, is born in reply to new needs. To take an example from intimate lyric poetry, one may say that between the physiology of sex and a poem about love there lies a complex system of psychological transmitting mechanisms in which there are individual, racial and social elements. The racial foundation, that is, the sexual basis of man, changes slowly. The social forms of love change more rapidly. They affect the psychologic superstructure of love, they produce new shadings and intonations, new spiritual demands, a need of a new vocabulary, and so they present new demands on poetry. The poet can find material for his art only in his social environment and transmits the new impulses of life through his own artistic consciousness. Language, changed and complicated by urban conditions, gives the poet a new verbal material, and suggests or facilitates new word combinations for the poetic formulation of new thoughts or of new feelings, which strive to break through the dark shell of the subconscious. If there were no changes in psychology produced by changes in the social environment, there would be no movement in art; people would continue from generation to generation to be content with the poetry of the Bible, or of the old Greeks.

But the philosopher of Formalism jumps on us, and says it is merely a question of a new form “in the field of reporting and not in the field of poetic language”. There he struck us! If you will, poetry is reporting, only in a peculiar, grand style.

The quarrels about “pure art” and about art with a tendency took place between the liberals and the “populists”. They do not become us. Materialistic dialectics are above this; from the point of view of an objective historical process, art is always a social servant and historically utilitarian. It finds the necessary rhythm of words for dark and vague moods, it brings thought and feeling closer or contrasts them with one another it enriches the spiritual experience of the individual and of the community, it refines feeling, makes it more flexible, more responsive, it enlarges the volume of thought in advance and not through the personal method of accumulated experience, it educates the individual, the social group, the class and the nation. And this it does quite independently of whether it appears in a given case under the flag of a “pure” or of a frankly tendencious art. In our Russian social development tendenciousness was the banner of the intelligentsia which sought contact with the people. The helpless intelligentsia, crushed by Tsarism and deprived of a cultural environment, sought support in the lower strata of society and tried to prove to the “people” that it was thinking only of them, living only for them and that it loved them “terribly”. And just as the “populists” who went to the people were ready to do without clean linen and without a comb and without a toothbrush, so the intelligentsia was ready to sacrifice the “subtleties” of form in its art, in order to give the most direct and spontaneous expression to the sufferings and hopes of the oppressed. On the other hand, “pure” art was the banner of the rising bourgeoisie, which could not openly declare its bourgeois character, and which at the same time tried to keep the intelligentsia in its service. The Marxist point of view is far removed from these tendencies, which were historically necessary, but which have become historically passé. Keeping on the plane of scientific investigation, Marxism seeks with the same assurance the social roots of the “pure” as well as of the tendencious art. It does not at all “incriminate” a poet with the thoughts and feelings which he expresses, but raises questions of a much more profound significance, namely, to which order of feelings does a given artistic work correspond in all its peculiarities? What are the social conditions of these thoughts and feelings? What place do they occupy in the historic development of a society and of a class? And, further, what literary heritage has entered into the elaboration of the new form? Under the influence of what historic impulse have the new complexes of feelings and thoughts broken through the shell which divides them from the sphere of poetic consciousness? The investigation may become complicated, detailed or individualized, but its fundamental idea will be that of the subsidiary r6le which art plays in the social process.

Each class has its own policy in art, that is, a system of presenting demands on art, which changes with time; for instance, the Macaenas-like protection of court and grand seigneur, the automatic relationship of supply and demand which is supplemented by complex methods of influencing the individual, and so forth, and so on. The social and even the personal dependence of art was not concealed, but was openly announced as long as art retained its court character. The wider, more popular, anonymous character of the rising bourgeoisie led, on the whole, to the theory of “pure art”, though there were many deviations from this theory. As indicated above, the tendencious literature of the “populist” intelligentsia was imbued with a class interest; the intelligentsia could not strengthen itself and could not conquer for itself a light to play a part in history without the support of the people. But in the revolutionary struggle, the class egotism of the intelligentsia was turned inside out, and in its left wing, it assumed the form of highest self-sacrifice. That is why the intelligentsia not only did not conceal art with a tendency, but proclaimed it, thus sacrificing art, just as it sacrificed many other things.

Our Marxist conception of the objective social dependence and social utility of art, when translated into the language of politics, does not at all mean a desire to dominate art by means of decrees and orders. It is not true that we regard only that art as new and revolutionary which speaks of the worker, and it is nonsense to say that we demand that the poets should describe inevitably a factory chimney, or the uprising against capital! Of course the new art cannot but place the struggle of the proletariat in the center of its attention. But the plough of the new art is not limited to numbered strips. On the contrary, it must plow the entire field in all directions. Personal lyrics of the very smallest scope have an absolute right to exist within the new art. Moreover, the new man cannot be formed without a new lyric poetry. But to create it, the poet himself must feel the world in a new way. If Christ alone or Sabaoth himself bends over the poet’s embraces (as in the case of Akhmatova, Tsvetaeva, Shkapskaya and others), then this only goes to prove how much behind the times his lyrics are and how socially and aesthetically inadequate they are for the new man. Even where such terminology is not a survival of experience so much as of words, it shows psychologic inertia and therefore stands in contradiction to the consciousness of the new man. No one is going to prescribe themes to a poet or intends to prescribe them. Please write about anything you can think of! But allow the new class which considers itself, and with reason, called upon to build a new world, to say to you in any given case: It does not make new poets of you to translate the philosophy of life of the Seventeenth Century into the language of the Acmésts. The form of art is to a certain and very large degree, independent, but the artist who creates this form, and the spectator who is enjoying it, are not empty machines, one for creating form and the other for appreciating it. They are living people, with a crystallized psychology representing a certain unity, even if not entirely harmonious. This psychology is the result of social conditions. The creation and perception of art forms is one of the functions of this psychology. And no matter how wise the Formalists try to be, their whole conception is simply based upon the fact that they ignore the psychological unity of the social man, who creates and who consumes what has been created.

The proletariat has to have in art the expression of the new spiritual point of view which is just beginning to be formulated within him, and to which art must help him give form. This is not a state order, but an historic demand. Its strength lies in the objectivity of historic necessity. You cannot pass this by, nor escape its force.

The Formalist school seems to try to be objective. It is disgusted, and not without reason, with the literary and critical arbitrariness which operates only with tastes and moods. It seeks precise criteria for classification and valuation. But owing to its narrow outlook and superficial methods, it is constantly falling into superstitions, such as graphology and phrenology. These two “schools” have also the task of establishing purely objective tests for determining human character; such as the number of the flourishes of one’s pen and their roundness, and the peculiarities of the bumps on the back of one’s head. One may assume that pen-flourishes and bumps do have some relation to character; but this relation is not direct, and human character is not at all exhausted by them. An apparent objectivism based on accidental, secondary and inadequate characteristics leads inevitably to the worst subjectivism. In the case of the Formalist school it leads to the superstition of the word. Having counted the adjectives, and weighed the lines, and measured the rhythms, a Formalist either stops silent with the expression of a man who does not know what to do with himself, or throws out an unexpected generalization which contains five per cent of Formalism and ninety-five per cent of the most uncritical intuition.

In fact, the Formalists do not carry their idea of art to its logical conclusion. If one is to regard the process of poetic creation only as a combination of sounds or words, and to seek along these lines the solution of all the problems of poetry, then the only perfect formula of “poetics” will be this: Arm yourself with a dictionary and create by means of algebraic combinations and permutations of words, all the poetic works of the world which have been created and which have not yet been created. Reasoning “formally” one may produce Eugene Onegin in two ways: either by subordinating the selection of words to a preconceived artistic idea (as Pushkin himself did), or by solving the problem algebraically. From the “Formal” point of view, the second method is more correct, because it does not depend upon mood, inspiration, or other unsteady things, and has besides the advantage that while leading to Eugene Onegin it may bring one to an Incalculable number of other great works. All that one needs is infinity in time, called eternity. But as neither mankind nor the individual poet have eternity at their disposal, the fundamental source of poetic words will remain, as before, the preconceived artistic idea understood in the broadest sense, as an accurate thought and as a clearly expressed personal or social feeling and as a vague mood. In its striving towards artistic materialization, this subjective idea will be stimulated and jolted by form and may be sometimes pushed on to a path which was entirely unforeseen. This simply means that verbal form is not a passive reflection of a preconceived artistic idea, but an active element which influences the idea itself. But such an active mutual relationship – in which form influences and at times entirely transforms content – is known to us in all fields of social and even biologic life. This is no reason at all for rejecting Darwinism and Marxism and for the creation of a Formalist school either in biology or sociology.

Victor Shklovsky, who flits lightly from verbal Formalism to the most subjective valuations, assumes a very uncompromising attitude towards the historico-materialistic theory of art. In a booklet which he published in Berlin, under the title of The March of the Horse, he formulates in the course of three small pages – brevity is a fundamental and, at any rate, an undoubted merit of Shklovsky – five (not four and not six, but five) exhaustive arguments against the materialist conception of art. Let us examine these arguments, because it won’t harm us to take a look and see what kind of chaff is handed out as the last word in scientific thought (with the greatest variety of scientific references on these same three microscopic pages).

“If the environment and the relations of production,” says Shklovsky, “influenced art, then would not the themes of art be tied to the places which would correspond to these relations? But themes are homeless.” Well, and how about butterflies? According to Darwin, they also “correspond” to definite relations, and yet they flit from place to place, just like an unweighted litterateur.

It is not easy to understand why Marxism should be supposed to condemn themes to a condition of serfdom. The fact that different peoples and different classes of the same people make use of the same themes, merely shows how limited the human imagination is, and how man tries to maintain an economy of energy in every kind of creation, even in the artistic. Every class tries to utilize, to the greatest possible degree, the material and spiritual heritage of another class. Shklovsky’s argument could be easily transferred into the field of productive technique. From ancient times on, the wagon has been based on one and the same theme, namely, axles, wheels, and a shaft. However, the chariot of the Roman patrician was just as well adapted to his tastes and needs as was the carriage of Count Orlov, fitted out with inner comforts, to the tastes of this favorite of Catherine the Great. The wagon of the Russian peasant is adapted to the needs of his household, to the strength of his little horse, and to the peculiarities of the country road. The automobile, which is undoubtedly a product of the new technique, shows, nevertheless, the same “theme”, namely, four wheels on two axles. Yet every time a peasant’s horse shies in terror before the blinding lights of an automobile on the Russian road at night, a conflict of two cultures is reflected in the episode.

“If environment expressed itself in novels,” so runs the second argument, “European science would not be breaking its head over the question of where the stories of A Thousand and One Nights were made, whether in Egypt, India, or Persia.” To say that man’s environment, including the artist’s, that is, the conditions of his education and life, find expression in his art also, does not mean to say that such expression has a precise geographic, ethnographic and statistical character. It is not at all surprising that it is difficult to decide whether certain novels were made in Egypt, India or Persia, because the social conditions of these countries have much in common. But the very fact that European science is “breaking its head” trying to solve this question from these novels themselves, shows that these novels reflect an environment, even though unevenly. No one can jump beyond himself. Even the ravings of an insane person contain nothing that the sick man had not received before from the outside world. But it would be an insanity of another order to regard his ravings as the accurate reflection of an external world. Only an experienced and thoughtful psychiatrist, who knows the past of the patient, will be able to find the reflected and distorted bits of reality in the contents of his ravings. Artistic creation, of course, is not a raving, though it is also a deflection, a changing and a transformation of reality, in accordance with the peculiar laws of art. However fantastic art may be, it cannot have at its disposal any other material except that which is given to it by the world of three dimensions and by the narrower world of class society. Even when the artist creates heaven and hell, he merely transforms the experience of his own life into his phantasmagorias, almost to the point of his landlady’s unpaid bill.

“If the features of class and caste are deposited in art,” continues Shklovsky, “then how does it come that the various tales of the Great Russians about their nobleman are the same as their fairy tales about their priest?”

In essence, this is merely a paraphrase of the first argument. Why cannot the fairy tales about the nobleman and about the priest be the same, and how does this contradict Marxism? The proclamations which are written by well-known Marxists not infrequently speak of landlords, capitalists, priests, generals and other exploiters. The landlord undoubtedly differs from the capitalist, but there are cases when they are considered under one head. Why, then, cannot folk-art in certain cases treat the nobleman and the priest together, as the representatives of the classes which stand above the people and which plunder them? In the cartoons of Moor and of Deni, the priest often stands side by side with the landlord, withont any damage to Marxism.

“If ethnographic traits were reflected in art,” Shklovsky goes on, “the folk-lore about the peoples beyond the border would not be interchangeable and could not be told by any one folk about another.”

As you see, there is no letting up here. Marxism does not maintain at all that ethnographic traits have an independent character. On the contrary, it emphasizes the all-determining significance of natural and economic conditions in the formation of folk-lore. The similarity of conditions in the development of the herding and agricultural and primarily peasant peoples, and the similarity in the character of their mutual influence upon one another, cannot but lead to the creation of a similar folk-lore. And from the point of view of the question that interests us here, it makes absolutely no difference whether these homogeneous themes arose independently among different peoples, as the reflection of a life-experience which was homogeneous in its fundamental traits and which was reflected through the homogeneous prism of a peasant imagination, or whether the seeds of these fairy tales were carried by a favorable wind from place to place, striking root wherever the ground turned out to be favorable. It is very likely that, in reality, these methods were combined.

And finally, as a separate argument – “The reason (i.e., Marxism) is incorrect in the fifth place” – Shklovsky points to the theme of abduction which goes through Greek comedy and reaches Ostrovsky. In other words, our critic repeats, in a special form, his very first argument (as we see, even in so far as formal logic is concerned, all is not well with our Formalist). Yes, themes migrate from people to people, from class to class, and even from author to author. This means only that the human imagination is economical. A new class does not begin to create all of culture from the beginning, hut enters into possession of the past, assorts it, touches it up, rearranges it, and builds on it further. If there were no such utilization of the “second-hand” wardrobe of the ages, historic processes would have no progress at all. If the theme of Ostrovsky’s drama came to him through the Egyptians and through Greece, then the paper on which Ostrovsky developed his theme came to him as a development of the Egyptian papyrus through the Greek parchment. Let us take another and closer analogy: the fact that the critical methods of the Greek Sophists, who were the pure Formalists of their day, have penetrated the theoretic consciousness of Shklovsky, does not in the least change the fact that Shklovsky himself is a very picturesque product of a definite social environment and of a definite age.

Shklovsky’s destruction of Marxism in five points reminds us very much of those articles which were published against Darwinism in the magazine The Orthodox Review in the good old days. If the doctrine of the origin of man from the monkey were true, wrote the learned Bishop Nikanor of Odessa thirty or forty years ago, then our grandfathers would have had distinct signs of a tail, or would have noticed such a characteristic in their grandfathers and grandmothers. Second, as everybody knows, monkeys can only give birth to monkeys ... Fifth, Darwinism is incorrect, because it contradicts Formalism – I beg your pardon, I meant to say the formal decisions of the universal church conferences. The advantage of the learned monk consisted, however, in the fact that he was a frank passast and took his cue from the Apostle Paul and not from physics, chemistry or mathematics, as the Futurist, Shklovsky, does.

It is unquestionably true that the need for art is not created by economic conditions. But neither is the need for food created by economics. On the contrary, the need for food and warmth creates economics. It is very true that one cannot always go by the principles of Marxism in deciding whether to reject or to accept a work of art. A work of art should, in the first place, be judged by its own law, that is, by the law of art. But Marxism alone can explain why and how a given tendency in art has originated in a given period of history; in other words, who it was who made a demand for such an artistic form and not for another, and why.

It would be childish to think that every class can entirely and fully create its own art from within itself, and, particularly, that the proletariat is capable of creating a new art by means of closed art guilds or circles, or by the Organization for Proletarian Culture [Proletkult], etc. Generally speaking, the artistic work of man is continuous. Each new rising class places itself on the shoulders of its preceding one. But this continuity is dialectic, that is, it finds itself by means of internal repulsions and breaks. New artistic needs or demands for new literary and artistic points of view are stimulated by economics, through the development of a new class, and minor stimuli are supplied by changes in the position of the class, under the influence of the growth of its wealth and cultural power. Artistic creation Is always a complicated turning inside out of old forms, under the influence of new stimuli which originate outside of art. In this large sense of the word, art is a handmaiden. It is not a disembodied element feeding on itself, but a function of social man indissolubly tied to his life and environment. And how characteristic it is – if one were to reduce every Social superstition to its absurdity – that Shklovsky has come to the idea of art’s absolute independence from the social environment at a period of Russian history when art has revealed with such utter frankness its spiritual, environmental and material dependence upon definite social classes, subclasses and groups!

Materialism does not deny the significance of the element of form, either in logic, jurisprudence, or art. Just as a system of jurisprudence can and must be judged by its internal logic and consistency, so art can and must be judged from the point of view of its achievements in form, because there can be no art without them. However, a juridical theory which attempted to establish the independence of law from social conditions would be defective at its very base. Its moving force lies in economics – in class contradictions. The law gives only a formal and an internally harmonized expression of these phenomena, not of their individual peculiarities, but of their general character, that is, of the elements that are repetitive and permanent in them. We can see now with a clarity which is rare in history how new law is made. It is not done by logical deduction, but by empirical measurement and by adjustment to the economic needs of the new ruling class. Literature, whose methods and processes have their roots far back in the most distant past and represent the accumulated experience of verbal craftsmanship, expresses the thoughts, feelings, moods, points of view and hopes of the new epoch and of its new class. One cannot jump beyond this. And there is no need of making the jump, at least, for those who are not serving an epoch already past nor a class which has already outlived itself.

The methods of formal analysis are necessary, but insufficient. You may count up the alliterations in popular proverbs, classify metaphors, count up the number of vowels and consonants in a wedding song. It will undoubtedly enrich our knowledge of folk art, in one way or another; but if you don’t know the peasant system of sowing, and the life that is based on it, if you don’t know the part the scythe plays, and if you have not mastered the meaning of the church calendar to the peasant, of the time when the peasant marries, or when the peasant women give birth, you will have only understood the outer shell of folk art, but the kernel will not have been reached. The architectural scheme of the Cologne cathedral can be established by measuring the base and the height of its arches, by determining the three dimensions of its naves, the dimensions and the placement of the columns, etc. But without knowing what a mediaeval city was like, what a guild was, or what was the Catholic Church of the Middle Ages, the Cologne cathedral will never be understood. The effort to set art free from life, to declare it a craft self-sufficient unto itself, devitalizes and kills art. The very need of such an operation is an unmistakable symptom of intellectual decline.

The analogy with the theological arguments against Darwinism which was made above may appear to the reader external and anecdotal. That may be true, to some extent. But a much deeper connection exists. The Formalist theory inevitably reminds a Marxist who has done any reading at all of the familiar tunes of a very old philosophic melody. The jurists and the moralists (to recall at random the German Stammier, and our own subjectivist Mikhailovsky) tried to prove that morality and law could not be determined by economics, because economic life was unthinkable outside of juridical and ethical norms. True, the formalists of law and morals did not go so far as to assert the complete independence of law and ethics from economics. They recognized a certain complex mutual relationship of “factors”, and these “factors”, while influencing one another, retained the qualities of independent substances, coming no one knew whence. The assertion of complete independence of the aesthetic “factor” from the influence of social conditions, as is made by Shklovsky, is an instance of specific hyperbole whose roots, by the way, lie in social conditions too; it is the megalomania of aesthetics turning our hard reality on its head. Apart from this peculiarity, the constructions of the Formalists have the same kind of defective methodology that every other kind of idealism has. To a materialist, religion, law, morals and art represent separate aspects of one and the same process of social development. Though they differentiate themselves from their industrial basis, become complex, strengthen and develop their special characteristics in detail, politics, religion, law, ethics and aesthetics remain, none the less, functions of Social man and obey the laws of his social organization. The idealist, on the other hand, does not see a unified process of historic development which evolves the necessary organs and functions from within itself, but a crossing or combining and interacting of certain independent principles – the religious, political, juridical, aesthetic and ethical substances, which find their origin and explanation in themselves. The (dialectic) idealism of Hegel arranges these substances (which are the eternal categories) in some sequence by reducing them to a genetic unity. Regardless of the fact that this unity with Hegel is the absolute spirit, which divides itself in the process of its dialectic manifestation into various “factors”, Hegel’s system, because of its dialectic character, not because of its idealism, gives an idea of historic reality which is just as good as the idea of a man’s hand that a glove gives when turned inside out. But the Formalists (and their greatest genius was Kant) do not look at the dynamics of development, but at a cross-section of it, on the day and at the hour of their own philosophic revelation. At the crossing of the line they reveal the complexity and multiplicity of the object (not of the process, because they do not think of processes). This complexity they analyze and classify. They give names to the elements, which are at once transformed into essences, into sub-absolutes, without father or mother; to wit, religion, politics, morals, law, art. Here we no longer have a glove of history turned inside out, but the skin torn from the separate fingers, dried out to a degree of complete abstraction, and this hand of history turns out to be the product of the “inter-action” of the thumb, the index, the middle finger, and all the other “factors”. The aesthetic “factor” is the little finger, the smallest, but not the least beloved.

In biology, vitalism is a variation of the same fetish of presenting the separate aspects of the world-process, without understanding its inner relation. A creator is all that is lacking for a super-social, absolute morality or aesthetics, or for a super-physical absolute “vital force”. The multiplicity of independent factors, “factors” without beginning or end, is nothing but a masked polytheism. Just as Kantian idealism represents historically a translation of Christianity into the language of rationalistic philosophy, so all the varieties of idealistic formalizaton, either openly or secretly, lead to a God, as the Cause of all causes. In comparison with the oligarchy of a dozen sub-absolutes of the idealistic philosophy, a single personal Creator is already an element of order. Herein lies the deeper connection between the Formalist refutations of Marxism and the theological refutations of Darwinlsm.

The Formalist school represents an abortive idealism applied to the question of art. The Formalists show a fast ripening religiousness. They are followers of St. John. They believe that “In the beginning was the Word”. But we believe that in the beginning was the deed. The word followed, as its phonetic shadow.