Formalism

This guide aims to elucidate the principles of Formalism as a method of literary criticism and to explore its potential application in the analysis of Nikkei diaspora literature. Formalism, with its emphasis on the intrinsic features of a text, offers a unique lens through which to examine the literary artistry of works emerging from the complex experiences of the Nikkei diaspora.

This guide will first define Formalism, tracing its historical development and outlining its core tenets. It will then explore the key concepts and techniques employed in Formalist literary analysis, followed by an overview of the characteristics and common themes found in Nikkei diaspora literature. The central focus will be on how the principles of Formalism can be applied to analyse specific literary elements within Nikkei diaspora literature, such as narrative structure, use of language, and imagery, and what insights this approach can offer regarding themes of displacement and identity. Finally, the guide will consider the limitations and criticisms of applying Formalism to culturally specific literature like that of the Nikkei diaspora.

Understanding Formalism?

Formalism in literary criticism refers to approaches that analyse, interpret, or evaluate the inherent features of a text. These features encompass not only grammar and syntax but also literary devices such as meter and tropes. A fundamental principle of Formalism is the examination of a text as a self-contained object, independent of external considerations such as the author's biography, historical events, or cultural influences. Formalist critics focus on how the various parts of a work are integrated to create an organic whole and generate meaning, often identified as the theme. Key tenets of Formalism include the autonomy of art, a focus on formal analysis, and the central role of literary devices. This approach prioritises the study of form and structure over thematic concerns or the text's relationship with the outside world. Formalism seeks to establish objective criteria for assessing literary quality and significance. It posits that everyday language serves primarily to communicate information, whereas literary language possesses the capacity to rejuvenate and enable readers to experience the world in a novel way.

The core principle of treating the text as an autonomous object presents a direct contrast to the nature of diaspora literature, which is frequently deeply embedded in socio-historical experiences of displacement and cultural interaction. This suggests a fundamental challenge in applying Formalism without acknowledging the very context that shapes diaspora narratives. However, the formalist emphasis on "literariness" and the distinction between literary and ordinary language could offer a unique perspective to examine how Nikkei diaspora literature uses language to express hybrid identities and experiences that might not conform to traditional linguistic norms.

Formalism rose to prominence in the early 20th century as a reaction against Romanticist theories of literature that centered on the artist and individual creative genius. Its aim was to establish literary studies as an independent and factual science. Two primary schools of formalist literary criticism emerged: Russian Formalism, which flourished around 1915, and Anglo-American New Criticism, which gained prominence after World War I. Russian Formalism, encompassing groups like OPOYAZ and the Moscow Linguistic Circle, focused on concepts such as defamiliarisation, the technique of making the familiar seem strange, and the distinction between the plot (syuzhet) and the story (fabula). New Criticism in the United States, on the other hand, emphasised close reading of the text and asserted its autonomy, rejecting the intentional fallacy, the notion that an author's intended meaning should dictate interpretation, and the affective fallacy, which focuses on the reader's emotional response. Formalism became the dominant mode of academic literary study in the US until the 1970s. While it faced criticism for its perceived neglect of social and political contexts, leading to its displacement by other critical approaches, some contemporary trends suggest a potential resurgence of interest in formalism.

The historical context reveals that Formalism emerged partly as a reaction to an overemphasis on historical and biographical approaches to literature, which is quite distinct from the contextual richness often required in understanding diaspora literature. This contrast highlights the need for careful consideration when applying formalist principles to works that are inherently shaped by historical and cultural displacement.

Key Concepts and Techniques in Formalist Literary Analysis

Formalism provides a set of specific concepts and techniques for the close reading and analysis of literary texts. These tools enable critics to focus on the "literariness" of a work—the qualities that distinguish it as a literary text—and to understand how its form contributes to its overall meaning.

One of the most central concepts in Formalism, particularly Russian Formalism, is defamiliarisation (ostranenie). This technique involves presenting familiar objects or situations in an unfamiliar way, thereby renewing the reader's perception and making the artistic experience more vivid. Shklovsky, a key figure in Russian Formalism, argued that the purpose of art is to disrupt habit and automatisation by forcing a fresh perspective on the world.

Another important distinction made by the Russian Formalists is between the story (fabula) and the plot (syuzhet). The story refers to the chronological sequence of events in a narrative, while the plot is the way those events are organised and presented in the text, which can involve manipulations of time, causality, and perspective. Analysing the relationship between the fabula and syuzhet can reveal how an author creates suspense, emphasises certain themes, or manipulates the reader's understanding of the narrative.

Formalists also pay close attention to literary devices such as metaphor, simile, irony, paradox, and symbol, as well as to the sound and rhythm of language, including meter, rhyme, alliteration, and assonance in poetry. New Critics in particular advocated for close reading, a meticulous and detailed analysis of the text itself to uncover its complexities and ambiguities, arguing that the meaning of a work is inherent within its textual structure and can be discovered through careful examination of these devices and patterns. They emphasise the unity and coherence of the text, suggesting that all elements of a successful literary work are interconnected and contribute to an overall unified meaning.

These formalist techniques can be applied to any literary text, regardless of its cultural background or thematic concerns. When applied to Nikkei diaspora literature, they might reveal how authors use specific narrative structures, linguistic choices, or literary devices to represent the unique experiences of diaspora. For example, the concept of defamiliarisation could be particularly relevant in examining how Nikkei authors portray their ancestral homeland or their adopted country in ways that challenge conventional perceptions. Similarly, an analysis of plot structure might reveal how the experience of displacement is mirrored in the way the narrative unfolds.

Applying Formalism to Nikkei Diaspora Literature

While Formalism traditionally emphasises the autonomy of the text and disregards external contexts, its focus on the internal workings of literature can still offer valuable insights into Nikkei diaspora narratives. By applying formalist concepts and techniques, we can examine how Nikkei authors use specific literary elements to shape and convey the themes and experiences associated with diaspora.

Narrative Structure and Displacement

The way a story is structured (the syuzhet) can reflect the experience of displacement. For example, a non-linear narrative might mirror the fragmented sense of identity or the disrupted sense of time that can accompany diaspora. Authors might use flashbacks or shifts in perspective to explore the characters' connections to their past and their present realities in a new land. Analysing the order in which events are revealed and the pacing of the narrative can show how the author constructs a sense of belonging or alienation for their characters.

Consider a novel that interweaves stories from the protagonist's life in Japan with their experiences in their new home country. A formalist analysis would focus on the transitions between these narrative threads, the use of parallel structures or contrasting imagery, and the overall effect of this structure on the reader's understanding of the protagonist's sense of self and place. The manipulation of time and sequence could be seen as a formal device that embodies the dislocated experience of diaspora.

Language and Hybridity

Formalism's attention to language can be particularly fruitful when analysing Nikkei diaspora literature, where linguistic hybridity is often a central feature. Authors might incorporate Japanese words or phrases into their writing in English or Spanish (or another language), creating a unique linguistic texture. A formalist approach would examine the frequency and placement of these linguistic elements, their integration into the surrounding text, and their contribution to characterisation and thematic development.

For instance, a character who code-switches between Japanese and English might use Japanese terms to express cultural nuances or emotional intimacy that are difficult to convey in the adopted language. The formal analysis would consider the impact of these linguistic choices on the tone, the reader's engagement, and the portrayal of the character's hybrid identity. Furthermore, the use of specific dialects or idiomatic expressions can highlight cultural differences or a character's specific background within the Nikkei diaspora.

Imagery and Cultural Memory

Imagery plays a significant role in evoking cultural memories and representing the sensory experiences of diaspora. Formalist analysis involves a close examination of the patterns of imagery, the types of sensory details used (visual, auditory, olfactory, tactile, gustatory), and the symbolic meanings that these images might carry. In Nikkei diaspora literature, images of specific foods, landscapes, or cultural practices can serve as powerful links to the characters' heritage and their sense of identity.

For example, the repeated mention of a particular Japanese dish might not only provide a sensory detail but also function as a symbol of home and nostalgia for a character living abroad. A formalist reading would analyse how this image is developed throughout the text, its connection to other images and themes, and its overall contribution to the work's meaning. Similarly, the description of natural landscapes, whether in Japan or in the diaspora setting, can be analysed for its symbolic significance in relation to themes of belonging or alienation.

Defamiliarisation and Re-evaluation of Cultural Norms

The formalist concept of defamiliarisation can illuminate how Nikkei authors present familiar aspects of Japanese or the adopted culture in new and unexpected ways. By making the familiar strange, authors can challenge readers' assumptions and offer fresh perspectives on cultural norms, traditions, and identities. This technique can be particularly effective in representing the hybridity of Nikkei identity, where elements of two or more cultures are juxtaposed or blended in ways that create a sense of novelty.

Consider a scene in a novel where a Nikkei character observes a traditional Japanese ceremony through the eyes of someone who has also been immersed in another culture. The author might describe the ceremony in a way that highlights aspects that a native Japanese speaker might take for granted, thereby inviting the reader (and perhaps the character themselves) to see it in a new light. A formalist analysis would focus on the specific linguistic and descriptive techniques used to achieve this defamiliarisation and its impact on the reader's understanding of cultural identity and perspective.

Plot Structure and the Journey of Displacement

The plot (syuzhet) of a Nikkei diaspora narrative often reflects the journey of displacement, adaptation, and the search for home. A formalist approach would analyse the sequence of events, the pacing of the narrative, and the cause-and-effect relationships between different plot points to understand how the author constructs the experience of diaspora. This might involve examining whether the narrative follows a linear progression from migration to settlement, or if it circles back and forth in time, reflecting a more complex relationship with the past and present.

For instance, a story about a character who returns to Japan after growing up in the diaspora might have a plot structure that contrasts the character's expectations with the reality they encounter, highlighting the complexities of identity and belonging across cultures. A formalist analysis would look at how the plot is organised to create these contrasts and what thematic insights they offer.

By focusing on these formal elements—narrative structure, language, imagery, defamiliarisation, and plot—Formalism can provide a detailed understanding of how Nikkei diaspora literature crafts its representations of identity, displacement, and cultural negotiation.

Limitations and Criticisms of Applying Formalism

While Formalism offers a valuable framework for analysing the internal workings of Nikkei diaspora literature, it is important to acknowledge its limitations and the criticisms that have been leveled against it, particularly in relation to culturally specific texts.

Neglect of Socio-Historical Context

One of the primary criticisms of Formalism is its tendency to isolate the literary text from its socio-historical context. This approach can be problematic when analyzing diaspora literature, which is often deeply rooted in specific historical events (such as immigration policies, wars, and economic conditions) and social realities (such as racism, discrimination, and cultural assimilation). Ignoring these external factors can lead to an incomplete or even misleading interpretation of the work.

For Nikkei diaspora literature, understanding the historical context of Japanese emigration to various parts of the world, the experiences of Nikkei communities in their adopted countries (including periods of persecution and marginalisation), and the ongoing dialogues about identity and belonging within these communities is crucial. A purely formalist reading might overlook the significance of these contexts in shaping the themes, characters, and narratives found in this body of literature.

Limited Engagement with Cultural Specificity

Formalism's focus on universal literary principles and its tendency to downplay cultural differences can also be a limitation when applied to Nikkei diaspora literature, which is inherently concerned with the intersections of Japanese culture and other cultures. Elements such as language, cultural practices, and social norms that are specific to the Nikkei experience might not be adequately addressed through a purely formalist lens.

For example, the use of Japanese honorifics in a Nikkei novel written in English might carry significant cultural weight that a formalist analysis focused solely on linguistic structure might miss. Similarly, the portrayal of specific cultural rituals or traditions might have deeper meanings that are tied to the historical and social context of the Nikkei community being depicted.

Potential for Decontextualised Interpretation

By emphasising the autonomy of the text, Formalism risks detaching the work from the lived experiences and intentions of the author, as well as the reception and interpretation of the text by readers from the Nikkei diaspora themselves. This can lead to interpretations that, while based on a close reading of the text, may not resonate with the cultural and historical understanding of those who are most directly connected to the literature.

For instance, a formalist analysis of imagery related to gardens in a Nikkei novel might focus on its symbolic function within the text without considering the specific cultural significance of gardens in Japanese culture and how that significance might be reinterpreted or transformed in the diaspora context.

Difficulty in Addressing Issues of Identity and Representation

While Formalism can analyse how themes of identity are constructed through literary devices, it may struggle to fully engage with the complex social and political dimensions of identity in diaspora. Issues of representation, such as who has the authority to tell Nikkei stories and how these stories are received within and outside the Nikkei community, often require a critical framework that goes beyond the text itself.

For example, Formalism might analyse the portrayal of a biracial Nikkei character in terms of narrative consistency and character development, but it might not adequately address the broader questions of racial identity, cultural appropriation, or the politics of representation within the context of diaspora.

Despite these limitations, the techniques of close reading and the focus on textual details that are central to Formalism can still be valuable tools for analysing Nikkei diaspora literature, especially when used in conjunction with other critical approaches that take into account the historical, social, and cultural contexts of these works. A balanced approach might involve starting with a close formal analysis to understand how the text functions as a literary work, and then broadening the scope to consider how these formal elements interact with the specific experiences and themes of the Nikkei diaspora.

Conclusion

Formalism, with its emphasis on the intrinsic features of a literary text, offers a unique and detailed way to analyse Nikkei diaspora literature. By focusing on narrative structure, language, imagery, and literary devices, formalist techniques can reveal how authors within the Nikkei diaspora craft their narratives and express complex themes of identity, displacement, and cultural negotiation. The concept of defamiliarisation, for instance, can be particularly useful in examining how these authors present familiar aspects of culture in new ways, reflecting the hybridity of their experiences.

However, it is crucial to acknowledge the limitations of Formalism when applied to culturally specific literature like that of the Nikkei diaspora. The historical, social, and cultural contexts that profoundly shape these works cannot be ignored without risking a superficial or incomplete understanding. The experiences of displacement, the complexities of identity formation, and the nuances of cultural heritage are central to Nikkei diaspora literature and require a critical lens that is sensitive to these external factors.

Therefore, while a formalist approach can provide valuable insights into the artistry and construction of Nikkei diaspora narratives, it should ideally be used in conjunction with other critical methodologies that can address the broader socio-historical and cultural contexts. This integrated approach would allow for a richer and more nuanced understanding of this diverse and important body of literature, appreciating both its literary achievements and its profound engagement with the experiences of the Nikkei diaspora. By paying close attention to the formal elements while also considering the cultural and historical backdrop, we can gain a deeper appreciation for the ways in which Nikkei authors use language and narrative to articulate the unique realities of living between worlds.

Formalism

Formalism

Understanding Formalism?

Key Concepts and Techniques in Formalist Literary Analysis

Applying Formalism to Nikkei Diaspora Literature

Narrative Structure and Displacement

Language and Hybridity

Imagery and Cultural Memory

Defamiliarisation and Re-evaluation of Cultural Norms

Plot Structure and the Journey of Displacement

Limitations and Criticisms of Applying Formalism

Neglect of Socio-Historical Context

Limited Engagement with Cultural Specificity

Potential for Decontextualised Interpretation

Difficulty in Addressing Issues of Identity and Representation

Conclusion

Further reading