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• How to write a literary analysis essay | A step-by-step guide

How to Write a Literary Analysis Essay | A Step-by-Step Guide

Published on January 30, 2020 by Jack Caulfield . Revised on August 14, 2023.

Literary analysis means closely studying a text, interpreting its meanings, and exploring why the author made certain choices. It can be applied to novels, short stories, plays, poems, or any other form of literary writing.

A literary analysis essay is not a rhetorical analysis , nor is it just a summary of the plot or a book review. Instead, it is a type of argumentative essay where you need to analyze elements such as the language, perspective, and structure of the text, and explain how the author uses literary devices to create effects and convey ideas.

Before beginning a literary analysis essay, it’s essential to carefully read the text and c ome up with a thesis statement to keep your essay focused. As you write, follow the standard structure of an academic essay :

• An introduction that tells the reader what your essay will focus on.
• A main body, divided into paragraphs , that builds an argument using evidence from the text.
• A conclusion that clearly states the main point that you have shown with your analysis.

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Table of contents

Step 1: reading the text and identifying literary devices, step 2: coming up with a thesis, step 3: writing a title and introduction, step 4: writing the body of the essay, step 5: writing a conclusion, other interesting articles.

The first step is to carefully read the text(s) and take initial notes. As you read, pay attention to the things that are most intriguing, surprising, or even confusing in the writing—these are things you can dig into in your analysis.

Your goal in literary analysis is not simply to explain the events described in the text, but to analyze the writing itself and discuss how the text works on a deeper level. Primarily, you’re looking out for literary devices —textual elements that writers use to convey meaning and create effects. If you’re comparing and contrasting multiple texts, you can also look for connections between different texts.

To get started with your analysis, there are several key areas that you can focus on. As you analyze each aspect of the text, try to think about how they all relate to each other. You can use highlights or notes to keep track of important passages and quotes.

Language choices

Consider what style of language the author uses. Are the sentences short and simple or more complex and poetic?

What word choices stand out as interesting or unusual? Are words used figuratively to mean something other than their literal definition? Figurative language includes things like metaphor (e.g. “her eyes were oceans”) and simile (e.g. “her eyes were like oceans”).

Also keep an eye out for imagery in the text—recurring images that create a certain atmosphere or symbolize something important. Remember that language is used in literary texts to say more than it means on the surface.

Narrative voice

Ask yourself:

• Who is telling the story?
• How are they telling it?

Is it a first-person narrator (“I”) who is personally involved in the story, or a third-person narrator who tells us about the characters from a distance?

Consider the narrator’s perspective . Is the narrator omniscient (where they know everything about all the characters and events), or do they only have partial knowledge? Are they an unreliable narrator who we are not supposed to take at face value? Authors often hint that their narrator might be giving us a distorted or dishonest version of events.

The tone of the text is also worth considering. Is the story intended to be comic, tragic, or something else? Are usually serious topics treated as funny, or vice versa ? Is the story realistic or fantastical (or somewhere in between)?

Consider how the text is structured, and how the structure relates to the story being told.

• Novels are often divided into chapters and parts.
• Poems are divided into lines, stanzas, and sometime cantos.
• Plays are divided into scenes and acts.

Think about why the author chose to divide the different parts of the text in the way they did.

There are also less formal structural elements to take into account. Does the story unfold in chronological order, or does it jump back and forth in time? Does it begin in medias res —in the middle of the action? Does the plot advance towards a clearly defined climax?

With poetry, consider how the rhyme and meter shape your understanding of the text and your impression of the tone. Try reading the poem aloud to get a sense of this.

In a play, you might consider how relationships between characters are built up through different scenes, and how the setting relates to the action. Watch out for  dramatic irony , where the audience knows some detail that the characters don’t, creating a double meaning in their words, thoughts, or actions.

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Your thesis in a literary analysis essay is the point you want to make about the text. It’s the core argument that gives your essay direction and prevents it from just being a collection of random observations about a text.

If you’re given a prompt for your essay, your thesis must answer or relate to the prompt. For example:

Essay question example

Is Franz Kafka’s “Before the Law” a religious parable?

Your thesis statement should be an answer to this question—not a simple yes or no, but a statement of why this is or isn’t the case:

Thesis statement example

Franz Kafka’s “Before the Law” is not a religious parable, but a story about bureaucratic alienation.

Sometimes you’ll be given freedom to choose your own topic; in this case, you’ll have to come up with an original thesis. Consider what stood out to you in the text; ask yourself questions about the elements that interested you, and consider how you might answer them.

Your thesis should be something arguable—that is, something that you think is true about the text, but which is not a simple matter of fact. It must be complex enough to develop through evidence and arguments across the course of your essay.

Say you’re analyzing the novel Frankenstein . You could start by asking yourself:

Your initial answer might be a surface-level description:

The character Frankenstein is portrayed negatively in Mary Shelley’s Frankenstein .

However, this statement is too simple to be an interesting thesis. After reading the text and analyzing its narrative voice and structure, you can develop the answer into a more nuanced and arguable thesis statement:

Mary Shelley uses shifting narrative perspectives to portray Frankenstein in an increasingly negative light as the novel goes on. While he initially appears to be a naive but sympathetic idealist, after the creature’s narrative Frankenstein begins to resemble—even in his own telling—the thoughtlessly cruel figure the creature represents him as.

Remember that you can revise your thesis statement throughout the writing process , so it doesn’t need to be perfectly formulated at this stage. The aim is to keep you focused as you analyze the text.

Finding textual evidence

To support your thesis statement, your essay will build an argument using textual evidence —specific parts of the text that demonstrate your point. This evidence is quoted and analyzed throughout your essay to explain your argument to the reader.

It can be useful to comb through the text in search of relevant quotations before you start writing. You might not end up using everything you find, and you may have to return to the text for more evidence as you write, but collecting textual evidence from the beginning will help you to structure your arguments and assess whether they’re convincing.

To start your literary analysis paper, you’ll need two things: a good title, and an introduction.

Your title should clearly indicate what your analysis will focus on. It usually contains the name of the author and text(s) you’re analyzing. Keep it as concise and engaging as possible.

A common approach to the title is to use a relevant quote from the text, followed by a colon and then the rest of your title.

If you struggle to come up with a good title at first, don’t worry—this will be easier once you’ve begun writing the essay and have a better sense of your arguments.

“Fearful symmetry” : The violence of creation in William Blake’s “The Tyger”

The introduction

The essay introduction provides a quick overview of where your argument is going. It should include your thesis statement and a summary of the essay’s structure.

A typical structure for an introduction is to begin with a general statement about the text and author, using this to lead into your thesis statement. You might refer to a commonly held idea about the text and show how your thesis will contradict it, or zoom in on a particular device you intend to focus on.

Then you can end with a brief indication of what’s coming up in the main body of the essay. This is called signposting. It will be more elaborate in longer essays, but in a short five-paragraph essay structure, it shouldn’t be more than one sentence.

Mary Shelley’s Frankenstein is often read as a crude cautionary tale about the dangers of scientific advancement unrestrained by ethical considerations. In this reading, protagonist Victor Frankenstein is a stable representation of the callous ambition of modern science throughout the novel. This essay, however, argues that far from providing a stable image of the character, Shelley uses shifting narrative perspectives to portray Frankenstein in an increasingly negative light as the novel goes on. While he initially appears to be a naive but sympathetic idealist, after the creature’s narrative Frankenstein begins to resemble—even in his own telling—the thoughtlessly cruel figure the creature represents him as. This essay begins by exploring the positive portrayal of Frankenstein in the first volume, then moves on to the creature’s perception of him, and finally discusses the third volume’s narrative shift toward viewing Frankenstein as the creature views him.

Some students prefer to write the introduction later in the process, and it’s not a bad idea. After all, you’ll have a clearer idea of the overall shape of your arguments once you’ve begun writing them!

If you do write the introduction first, you should still return to it later to make sure it lines up with what you ended up writing, and edit as necessary.

The body of your essay is everything between the introduction and conclusion. It contains your arguments and the textual evidence that supports them.

Paragraph structure

A typical structure for a high school literary analysis essay consists of five paragraphs : the three paragraphs of the body, plus the introduction and conclusion.

Each paragraph in the main body should focus on one topic. In the five-paragraph model, try to divide your argument into three main areas of analysis, all linked to your thesis. Don’t try to include everything you can think of to say about the text—only analysis that drives your argument.

In longer essays, the same principle applies on a broader scale. For example, you might have two or three sections in your main body, each with multiple paragraphs. Within these sections, you still want to begin new paragraphs at logical moments—a turn in the argument or the introduction of a new idea.

Robert’s first encounter with Gil-Martin suggests something of his sinister power. Robert feels “a sort of invisible power that drew me towards him.” He identifies the moment of their meeting as “the beginning of a series of adventures which has puzzled myself, and will puzzle the world when I am no more in it” (p. 89). Gil-Martin’s “invisible power” seems to be at work even at this distance from the moment described; before continuing the story, Robert feels compelled to anticipate at length what readers will make of his narrative after his approaching death. With this interjection, Hogg emphasizes the fatal influence Gil-Martin exercises from his first appearance.

Topic sentences

To keep your points focused, it’s important to use a topic sentence at the beginning of each paragraph.

A good topic sentence allows a reader to see at a glance what the paragraph is about. It can introduce a new line of argument and connect or contrast it with the previous paragraph. Transition words like “however” or “moreover” are useful for creating smooth transitions:

… The story’s focus, therefore, is not upon the divine revelation that may be waiting beyond the door, but upon the mundane process of aging undergone by the man as he waits.

Nevertheless, the “radiance” that appears to stream from the door is typically treated as religious symbolism.

This topic sentence signals that the paragraph will address the question of religious symbolism, while the linking word “nevertheless” points out a contrast with the previous paragraph’s conclusion.

Using textual evidence

A key part of literary analysis is backing up your arguments with relevant evidence from the text. This involves introducing quotes from the text and explaining their significance to your point.

It’s important to contextualize quotes and explain why you’re using them; they should be properly introduced and analyzed, not treated as self-explanatory:

It isn’t always necessary to use a quote. Quoting is useful when you’re discussing the author’s language, but sometimes you’ll have to refer to plot points or structural elements that can’t be captured in a short quote.

In these cases, it’s more appropriate to paraphrase or summarize parts of the text—that is, to describe the relevant part in your own words:

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The conclusion of your analysis shouldn’t introduce any new quotations or arguments. Instead, it’s about wrapping up the essay. Here, you summarize your key points and try to emphasize their significance to the reader.

A good way to approach this is to briefly summarize your key arguments, and then stress the conclusion they’ve led you to, highlighting the new perspective your thesis provides on the text as a whole:

If you want to know more about AI tools , college essays , or fallacies make sure to check out some of our other articles with explanations and examples or go directly to our tools!

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By tracing the depiction of Frankenstein through the novel’s three volumes, I have demonstrated how the narrative structure shifts our perception of the character. While the Frankenstein of the first volume is depicted as having innocent intentions, the second and third volumes—first in the creature’s accusatory voice, and then in his own voice—increasingly undermine him, causing him to appear alternately ridiculous and vindictive. Far from the one-dimensional villain he is often taken to be, the character of Frankenstein is compelling because of the dynamic narrative frame in which he is placed. In this frame, Frankenstein’s narrative self-presentation responds to the images of him we see from others’ perspectives. This conclusion sheds new light on the novel, foregrounding Shelley’s unique layering of narrative perspectives and its importance for the depiction of character.

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Analytical Essay Guide

Analytical Essay Step by Step Writing Guide

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Interesting Analytical Essay Topics Ideas for Students

15 Analytical Essay Samples to Learn From - Tips Included

How to Craft Analytical Essay Outline? An Easy Guide

Analytical essays let you express your critical thinking abilities and deepen your understanding of complex subjects. However, they are not easy to write.

In fact, analytical essays are some of the most challenging but also some of the most highly-rewarded writing assignments. That’s why mastering the art of analytical essay writing can prove invaluable. 

In this guide, you will get some helpful writing steps, tips, and essay examples to introduce you to analytical writing. With these resources, you will be able to write an exceptional analytical essay from start to finish.

Let’s get started!

• 1. What Is an Analytical Essay?
• 2. H2- How To Structure An Analytical Essay?
• 3. How to Write an Analytical Essay?
• 4. Analytical Essay Formatting 
• 5. Analytical Essay Examples
• 6. Best Analytical Essay Topics Ideas

What Is an Analytical Essay?

“Analytical essays are essays that aim to examine, interpret, and dissect a specific topic or subject matter.”

These types of essay requires a deeper level of analysis of the topic. Analysis writing involves breaking down a topic into relevant parts and an examination and interpreting these parts to make up a cohesive understanding of that topic.

They are commonly assigned in academic settings across various disciplines, including literature, social sciences, and business and finance. 

Characteristics of Analytical Essays 

Analytical essays are defined by several characteristics, including:

• Objective Analysis: Focuses on evaluating facts and evidence without personal bias.
• Evidence-Based: Uses data, quotes, examples, and scholarly sources to support arguments.
• Focus on Complexity: Examines multifaceted topics, exploring ambiguities and multiple perspectives.
• Critical Thinking: Involves assessing the strengths and weaknesses of various arguments and interpretations.

Types of Analytical Essay 

These are some of the common types of analytical essays, each with its unique focus and approach to analysis. Depending on the subject matter and the requirements of the assignment, writers may employ one or more of these types to conduct a thorough analysis.

• Literary Analysis Essay
• Rhetorical Analysis Essay
• Character Analysis Essay
• Critical Analysis Essay
• Comparative Analysis Essay
• Process Analysis Essay
• Data Analysis Essay
• Historical Analysis Essay

H2- How To Structure An Analytical Essay?

A well-structured analytical essay typically follows a standard format that includes an introduction, body paragraphs, and a conclusion. 

Here is how to structure an analytical essay: 

How to Write an Analytical Essay?

Now that you know what an analytical essay is, let’s get into the writing steps involved in writing. You can follow this simple 5-step process to produce a good analytical essay.

Step 1 - Brainstorm for a Clear Topic

Start by selecting a topic that interests you and aligns with the assignment's guidelines. It's essential to choose a subject with enough depth for analysis. Avoid topics that are too broad or too narrow.

Tip: Students often confuse analytical essays with descriptive essays . While a descriptive essay focuses on detailing a topic, an analytical essay goes deeper to examine and interpret its elements.

Step 2 - Research and Gather Evidence

Conduct thorough research to gather relevant evidence, examples, data, or quotes that support your main ideas. Ensure your sources are credible and appropriate for your academic level.

Step 3 - Develop a Clear Thesis Statement

Craft a concise and focused thesis statement that outlines the central argument or perspective you will analyze in your essay. Your thesis statement should be specific and debatable, serving as the essay's guiding point.

Step 4 - Create an Outline

Organize your essay's structure with an outline. Plan the main points you want to address in each body paragraph, ensuring a logical flow of ideas. Your outline should include an introduction, body paragraphs, and a conclusion.

For an extensive exploration of outlining your essay, visit our blog post on crafting an analytical essay outline .

Step 5- Write the Introduction

Introduce your topic and thesis. Start with a hook to capture interest, provide some background information, and present your thesis statement. Set the stage for your analysis.

Here is what a good essay introduction includes:

• It begins with a compelling hook statement that captures your reader's attention. The opening sentence could be a fact, quote, or an observation that is meant to draw the reader in and to make them read onwards. 
• Provide essential context to orient your audience. 
• Finally, present a clear and concise thesis statement that outlines the main argument of your essay. The thesis statement is the central part of your introduction as it clarifies your main focus. 

Step 6- Develop Body Paragraphs

The body paragraphs of your analytical essay are where the real substance of your analysis takes place. This is where you delve deep into your topic, examine evidence, and present your arguments with precision. 

To craft effective body paragraphs, follow these essential guidelines:

• Start with a Clear Topic Sentence

Each body paragraph should begin with a clear and concise topic sentence that introduces the main point or argument you'll be addressing in that specific paragraph. This sentence sets the tone and direction for the entire paragraph.

• Provide Supporting Evidence and Examples

Support your analysis with concrete evidence and examples. This can include primary sources, quotations from texts, data from research, historical events, or any relevant information that strengthens your argument. Ensure that the evidence you choose directly relates to your thesis statement.

• Analyze the Evidence

Don't stop at presenting evidence—analyze it. Explain the significance of the evidence and how it supports your argument. Dive into the details, exploring the "how" and "why" behind your analysis. This is where your critical thinking skills shine.

• Maintain a Logical Flow

Ensure that your paragraphs have a logical flow. Transition smoothly between ideas to maintain coherence in your essay. Consider using transitional phrases or sentences to guide readers through your analysis. 

Step 7 - Conclude your Essay and Revise 

Finally, conclude your essay by summarizing your key points and reinforcing your thesis.

The conclusion of an analytical essay provides a synthesis of the arguments presented in the essay. It presents a cohesive picture of the topic after breaking it down in the body paragraphs. 

The conclusion of an analytical essay consists of the same parts as any other essay conclusion . Here is how it’s done:

• The writer should restate the thesis statement and concisely mention the main arguments. 
• The conclusion finally ends with a strong closing statement, which can be a food for thought, a question for further research, or a compelling observation. 

After writing your essay, take time to revise and proofread. Check for clarity, coherence, and logical flow. Ensure that each paragraph transitions smoothly to the next and that your thesis is consistently supported throughout. Correct any grammatical or spelling errors.

Remember, the uniqueness of an analytical essay lies in its depth of analysis and interpretation. Unlike expository or persuasive essays , it requires you to critically engage with the topic and provide a detailed examination of its components.

By following these steps, you can effectively write an analytical essay that is well-structured, insightful, and compelling.

Analytical Essay Formatting 

When formatting an analytical essay, it's important to adhere to certain guidelines to ensure clarity, coherence, and professionalism. 

Here's how you can format your analytical essay:

• Use standard margins (1 inch) on all sides of the page.
• Include page numbers in the header or footer, aligned to the right margin.
• Title your essay at the top of the first page, centered and in bold or italics .
• Use headings and subheadings to organize your analysis if necessary.
• Follow any specific formatting guidelines provided by your instructor or institution.
• When submitting your analytical essay electronically, save the document in a common file format such as Microsoft Word (.docx) or PDF (.pdf).
• Make sure that your document is properly formatted and free of any formatting errors before submission.
• Analytical essays can be written in a formal, academic style. Avoid informal language and maintain an objective tone throughout.
• Depending on your field of study, you may be required to use a specific citation style such as APA , MLA , or Chicago . 

Make sure to follow the guidelines of the chosen citation style for citing sources within the text and in the bibliography or references section.

Analytical Essay Examples

Read these analytical essay examples to gain a clearer understanding of how analytical essays work. 

Let’s take a look at a short analytical essay example: 

Here are some PDF samples that you can read and download for free. Check them out: 

Literary Analytical Essay Example

Analytical Essay Sample

These are just a few examples. For more, check out our analytical essay examples guide to get plenty of ideas.

Best Analytical Essay Topics Ideas

Do you want to try writing your own analytical essay for practice and need topic suggestions? Here are ten analytical essay prompt topic ideas for you.

• Analyze the symbolism of the "green light" in F. Scott Fitzgerald's "The Great Gatsby."
• Analyze the foreign policy decisions that led to a significant historical conflict.
• Explore the impact of gerrymandering on the democratic process in a specific country.
• Examine the economic consequences of a major financial crisis, such as the 2008 global recession.
• Analyze the impact of globalization on the economies of developing nations.
• Analyze the concept of justice in Plato's "The Republic."
• Examine the ethical dilemmas surrounding euthanasia and assisted suicide.
• Analyze the existentialist themes in the works of Jean-Paul Sartre.
• Analyze the role of propaganda in shaping public opinion during a political campaign.
• Analyze the cultural significance of a specific religious festival or tradition.

Need more ideas? Check out our list of more than 100 analytical essay topics to help you out!

In Conclusion,

Analytical essay writing is tough, but it’s also the most satisfying and rewarding. Writing an analytical essay can greatly broaden your understanding of a topic. By following the steps, tips, and examples provided in this guide, you're better equipped to embark on your analytical writing journey with confidence. 

Remember that practice is key to honing your analytical skills. As you continue to engage with complex subjects and seek feedback, your ability to uncover meaning and offer fresh insights will flourish. 

Also, we understand that while writing an analytical essay, you sometimes need a helping hand. With MyPerfectWords.com , you can get help from expert writers at our analytical essay writing service . They will craft fully original and custom-tailored essays for you at the most affordable prices.

So contact our essay writing service for college today!

Frequently Asked Questions

What are the four main features of analytical writing.

The 4 main features of analysis essay are: 

• Emphasizes impartial evaluation, avoiding personal bias.
• Relies on credible evidence for logical reasoning.
• Involves assessing information for insightful interpretations.
• Prioritizes clear communication of complex ideas.

What is the main purpose of analytical writing?

The primary purpose of analytical writing is to dissect complex subjects or issues, critically evaluate them, and generate informed insights or interpretations. It aims to deepen understanding, challenge assumptions, and contribute to knowledge in a particular field or discipline by analyzing evidence, identifying patterns, and drawing reasoned conclusions.

What are the 5 aspects of analytical thinking?

Five aspects of analytical thinking are: 

• Identifying Patterns
• Critical Evaluation
• Problem-Solving
• Inferential Reasoning
• Creative Synthesis

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There are still a lot of things that man has yet to discover. We still have not reached the core of the earth nor the depths of the oceans and we are still on the process of exploration. The human mind is capable of understanding any complex task or idea.

In the quest of knowledge and information, we need to incorporate different strategies. That is why even in writing, we have to discover new styles and processes of expressing or telling a narrative. Essay writing is just one of the many tools that a writer uses in order to convey his/her thoughts and opinions.

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What Is Analysis Essay?

An analysis essay is an article or a writing piece that involves the use of evaluation of an idea, an object, or an opinion. It involves a detailed assessment plan of a complex subject and break it down into smaller and simpler ideas in order to present its true meaning or essence.

In its true form, writing an analysis essay requires keen observation of the subject as well as unbiased judgment when presenting an idea. It avoids providing conclusions for essays or statements that may come from personal opinion or unformulated reasoning making this piece of literature helpful in presenting factual data and impartial inferences.

How to Structure Analysis Essay

There are two forms of an essay, one is formal and the other is informal. The former takes a standard structure while the latter is considered free essay writing where a writer can express or use any method as he/she pleases. While, for an analysis essay, it has to take the formal pattern. It should consist of an introduction, the body, and the conclusion or summary.

In addition to these three basic parts of an essay , you also need to make a title. It should be one that should follow or embody the whole point of your analysis as well as to give a preview of what it is all about.

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Guidelines to Write Analysis Essay

There are many guidelines on how to write an effective essay, especially what that will present a detailed idea or interpretation of a more complex topic.

• Focus on the subject. Writing an analysis essay outline requires a writer to not get away from the main point. You need to avoid veering away even if the subject is too complex.
• Create an outline. You do not need to follow the basic pattern of essay writing. If you have created an outline that you are comfortable and you think is effective, use it.
• Establish an objective. You need to set a smart goal why you are doing an analysis essay. This helps you focus on what you are doing.

Benefits of Analysis Essay

Essay writing is a more common task that you see in schools. Students are often complaining when they are asked to write one especially an analysis essay. However, what we should understand is that writing an analysis essay has a lot of benefits that we might not be aware of.

First, you become better in writing effective essays . You will be exposed to a lot of thinking which is very important when you write.

The second one is it makes you a critical thinker. You become attentive to anything that crosses your path while at the same time being cautious of it. This attitude helps you in better decision-making.

Text prompt

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• Professional

Analyze in an analysis essay the themes of freedom and confinement in "The Yellow Wallpaper"

Discuss in an analysis essay the portrayal of technology in dystopian literature

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What Does It Mean for AI to Understand?

December 16, 2021

Maggie Chiang for Quanta Magazine

Introduction

Remember IBM’s Watson, the AI Jeopardy! champion? A 2010 promotion proclaimed, “Watson understands natural language with all its ambiguity and complexity.” However, as we saw when Watson subsequently failed spectacularly in its quest to “ revolutionize medicine with artificial intelligence ,” a veneer of linguistic facility is not the same as actually comprehending human language.

Natural language understanding has long been a major goal of AI research. At first, researchers tried to manually program everything a machine would need to make sense of news stories, fiction or anything else humans might write. This approach, as Watson showed, was futile — it’s impossible to write down all the unwritten facts, rules and assumptions required for understanding text. More recently, a new paradigm has been established: Instead of building in explicit knowledge, we let machines learn to understand language on their own, simply by ingesting vast amounts of written text and learning to predict words. The result is what researchers call a language model. When based on large neural networks, like OpenAI’s GPT-3, such models can generate uncannily humanlike prose (and poetry !) and seemingly perform sophisticated linguistic reasoning .

But has GPT-3 — trained on text from thousands of websites, books and encyclopedias — transcended Watson’s veneer? Does it really understand the language it generates and ostensibly reasons about? This is a topic of stark disagreement in the AI research community. Such discussions used to be the purview of philosophers, but in the past decade AI has burst out of its academic bubble into the real world, and its lack of understanding of that world can have real and sometimes devastating consequences. In one study , IBM’s Watson was found to propose “multiple examples of unsafe and incorrect treatment recommendations.” Another study showed that Google’s machine translation system made significant errors when used to translate medical instructions for non-English-speaking patients.

How can we determine in practice whether a machine can understand? In 1950, the computing pioneer Alan Turing tried to answer this question with his famous “imitation game,” now called the Turing test. A machine and a human, both hidden from view, would compete to convince a human judge of their humanness using only conversation. If the judge couldn’t tell which one was the human, then, Turing asserted, we should consider the machine to be thinking — and, in effect, understanding.

Unfortunately, Turing underestimated the propensity of humans to be fooled by machines. Even simple chatbots, such as Joseph Weizenbaum’s 1960s ersatz psychotherapist Eliza , have fooled people into believing they were conversing with an understanding being, even when they knew that their conversation partner was a machine.

In a 2012 paper , the computer scientists Hector Levesque, Ernest Davis and Leora Morgenstern proposed a more objective test, which they called the Winograd schema challenge. This test has since been adopted in the AI language community as one way, and perhaps the best way, to assess machine understanding — though as we’ll see, it is not perfect. A Winograd schema, named for the language researcher Terry Winograd, consists of a pair of sentences, differing by exactly one word, each followed by a question. Here are two examples:

Sentence 1: I poured water from the bottle into the cup until it was full. Question: What was full, the bottle or the cup? Sentence 2: I poured water from the bottle into the cup until it was empty. Question: What was empty, the bottle or the cup?

Sentence 1: Joe’s uncle can still beat him at tennis, even though he is 30 years older. Question: Who is older, Joe or Joe’s uncle? Sentence 2: Joe’s uncle can still beat him at tennis, even though he is 30 years younger. Question: Who is younger, Joe or Joe’s uncle?

In each sentence pair, the one-word difference can change which thing or person a pronoun refers to. Answering these questions correctly seems to require commonsense understanding. Winograd schemas are designed precisely to test this kind of understanding, alleviating the Turing test’s vulnerability to unreliable human judges or chatbot tricks. In particular, the authors designed a few hundred schemas that they believed were “Google-proof”: A machine shouldn’t be able to use a Google search (or anything like it) to answer the questions correctly.

These schemas were the subject of a competition held in 2016 in which the winning program was correct on only 58% of the sentences — hardly a better result than if it had guessed. Oren Etzioni, a leading AI researcher, quipped , “When AI can’t determine what ‘it’ refers to in a sentence, it’s hard to believe that it will take over the world.”

However, the ability of AI programs to solve Winograd schemas rose quickly due to the advent of large neural network language models. A 2020 paper from OpenAI reported that GPT-3 was correct on nearly 90% of the sentences in a benchmark set of Winograd schemas. Other language models have performed even better after training specifically on these tasks. At the time of this writing, neural network language models have achieved about 97% accuracy on a particular set of Winograd schemas that are part of an AI language-understanding competition known as SuperGLUE . This accuracy roughly equals human performance. Does this mean that neural network language models have attained humanlike understanding?

Not necessarily. Despite the creators’ best efforts, those Winograd schemas were not actually Google-proof. These challenges, like many other current tests of AI language understanding, sometimes permit shortcuts that allow neural networks to perform well without understanding. For example, consider the sentences “The sports car passed the mail truck because it was going faster” and “The sports car passed the mail truck because it was going slower.” A language model trained on a huge corpus of English sentences will have absorbed the correlation between “sports car” and “fast,” and between “mail truck” and “slow,” and so it can answer correctly based on those correlations alone rather than by drawing on any understanding. It turns out that many of the Winograd schemas in the SuperGLUE competition allow for these kinds of statistical correlations.

Rather than give up on the Winograd schemas as a test of understanding, a group of researchers from the Allen Institute for Artificial Intelligence decided instead to try to fix some of their problems. In 2019 they created WinoGrande , a much larger set of Winograd schemas. Instead of several hundred examples, WinoGrande contains a whopping 44,000 sentences. To obtain that many examples, the researchers turned to Amazon Mechanical Turk, a popular platform for crowdsourcing work. Each (human) worker was asked to write several sentence pairs, with some constraints to ensure that the collection would contain diverse topics, though now the sentences in each pair could differ by more than one word.

The researchers then attempted to eliminate sentences that could allow statistical shortcuts by applying a relatively unsophisticated AI method to each sentence and discarding any that were too easily solved. As expected, the remaining sentences presented a much harder challenge for machines than the original Winograd schema collection. While humans still scored very high, neural network language models that had matched human performance on the original set scored much lower on the WinoGrande set. This new challenge seemed to redeem Winograd schemas as a test for commonsense understanding — as long as the sentences were carefully screened to ensure that they were Google-proof.

However, another surprise was in store. In the almost two years since the WinoGrande collection was published, neural network language models have grown ever larger, and the larger they get, the better they seem to score on this new challenge. At the time of this writing, the current best programs — which have been trained on terabytes of text and then further trained on thousands of WinoGrande examples — get close to 90% correct (humans get about 94% correct). This increase in performance is due almost entirely to the increased size of the neural network language models and their training data.

Have these ever larger networks finally attained humanlike commonsense understanding? Again, it’s not likely. The WinoGrande results come with some important caveats. For example, because the sentences relied on Amazon Mechanical Turk workers, the quality and coherence of the writing is quite uneven. Also, the “unsophisticated” AI method used to weed out “non-Google-proof” sentences may have been too unsophisticated to spot all possible statistical shortcuts available to a huge neural network, and it only applied to individual sentences, so some of the remaining sentences ended up losing their “twin.” One follow-up study showed that neural network language models tested on twin sentences only — and required to be correct on both — are much less accurate than humans, showing that the earlier 90% result is less significant than it seemed.

So, what to make of the Winograd saga? The main lesson is that it is often hard to determine from their performance on a given challenge if AI systems truly understand the language (or other data) that they process. We now know that neural networks often use statistical shortcuts — instead of actually demonstrating humanlike understanding — to obtain high performance on the Winograd schemas as well as many of the most popular “general language understanding” benchmarks .

The crux of the problem, in my view, is that understanding language requires understanding the world, and a machine exposed only to language cannot gain such an understanding. Consider what it means to understand “The sports car passed the mail truck because it was going slower.” You need to know what sports cars and mail trucks are, that cars can “pass” one another, and, at an even more basic level, that vehicles are objects that exist and interact in the world, driven by humans with their own agendas.

All this is knowledge that we humans take for granted, but it’s not built into machines or likely to be explicitly written down in any of a language model’s training text. Some cognitive scientists have argued that humans rely on innate, pre-linguistic core knowledge of space, time and many other essential properties of the world in order to learn and understand language. If we want machines to similarly master human language, we will need to first endow them with the primordial principles humans are born with. And to assess machines’ understanding, we should start by assessing their grasp of these principles, which one might call “ infant metaphysics .”

Training and evaluating machines for baby-level intelligence may seem like a giant step backward compared to the prodigious feats of AI systems like Watson and GPT-3. But if true and trustworthy understanding is the goal, this may be the only path to machines that can genuinely comprehend what “it” refers to in a sentence, and everything else that understanding “it” entails.

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