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BAKHTIN, MIKHAIL MIKHAILOVICH
(1895–1975), considered to be Russia’s greatest lit-
erary theoreticians, whose work has had an im-
portant influence, in Russia and abroad, on several
other fields in the social sciences and humanities.
Born in Orel into a cultured bourgeois family,
Bakhtin earned a degree in classics and philology.
During the Civil War, he moved to Nevel, where
he worked as a schoolteacher and participated in
study circles, and later moved to Vitebsk. In 1924
Bakhtin and his wife moved back to Leningrad, but
he found it difficult to obtain steady employment.
He was arrested in 1929 and charged with partic-
ipation in the underground Russian church, but
managed nevertheless to live most of the 1930s and
1940s in productive obscurity, publishing regu-
larly. He and his work were rediscovered during
the 1950s, and over the years his writings have
continued to influence the development of philol-
ogy, linguistics, sociology, and social anthropol-
ogy, to name just a few related disciplines.
Many of Bakhtin’s contemporary systematiz-
ers of Russian thought sought to discover laws of
society or history and to formulate models designed
to explain everything. Bakhtin, however, sought to
show that there could be no such comprehensive
system. In this sense he set himself against the main
currents of European social thought since the sev-
enteenth century, and especially against the tradi-
tional Russian intelligentsia. Drawing upon literary
sources, he tried to create pictures of self and soci-
ety that contained, as an intrinsic element, what
he called surprisingness. In his view, no matter how
much one knows of a person, one does not know
everything and cannot unfailingly predict the fu-
ture (even in theory). Instead, he argued, there is
always a surplus of humanness, and this is what
makes each person unique. Like Fyodor Dostoyevsky,
Leo Tolstoy before 1880, and Anton Chekhov,
Bakhtin belongs to the great anti-tradition of Rus-
sian thought that, unlike the dominant groups of
the intelligentsia, denied that any system could ex-
plain, much less redeem, reality.
In his earliest work, Bakhtin developed various
models of self and the other, and attempted to de-
velop an approach to ethics. He believed that ethics
could not be a matter of applying abstract rules to
particular situations, but comes instead from care-
ful observation and direct participation in ulti-
mately unrepeatable circumstances. He argued that
through a reliance on rules and ideology, rather
than really engaging oneself with a given situation,
one is using an alibi and, thus, abdicating respon-
sibility. He countered this approach by saying that,
in life, there is no alibi.
As an enemy of all comprehensive theories,
Bakhtin opposed formalism and structuralism, al-
though he learned a good deal from them. Basi-
cally, he accepted the usefulness of certain formal
approaches and methods employed by these theo-
retical schools, but insisted that human purpose-
fulness and intentionality lay behind these formal
models. Unlike the formalists and structuralists, he
developed a theory of language and the psyche that
was based on the concrete utterance (what people
actually say), and on open-ended dialogue. This lat-
ter is perhaps the most famous of the concepts he
introduced.
Bakhtin developed a theory of polyphony,
which he elaborated in his book on Dostoyevsky
(1929). With this theory, he tries to show how an
author deliberately creates without knowing what
his or her characters will do next, and, in so do-
ing, the author also creates a palpable image of true
freedom. Bakhtin equated that freedom to that
which is enjoyed by God, who did not foresee the
outcome of the creatures made by God. In taking
this stance, he argued against the determinists or
predestinarians, for he believed that people are truly
free and ever-surprising, if they are as the poly-
phonic novel represents them.
Bakhtin’s work on the novel during the 1930s
and 1940s is justly renowned. It is certainly his
most durable contribution to semiotics. He identi-
fies how novelistic language works; how the self
and plot are tied to concepts of time and becom-
ing; and how elements of a parodic (or carnivalis-
tic) spirit have infused the novel’s essence. This
theory, as well as in theories of culture that he de-
veloped during the 1950s, emphasized dialogue,
BAKHTIN, MIKHAIL MIKHAILOVICH
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