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Bronislava Kerbelytë
Structural-Semantic Principles of Formation of the Type of
the Folk Tale
9th Congress of the International Society for Folk-Narrative Research.
The A. Aarne-S. Thompson (AaTh) system of classification
of folk tales is convenient for distinguishing ielatively stable plot formations
characteristic of the late period in the development of national traditions.
However, not all the variants of folk tales fit into the AaTh scheme: a
part of the existing recorded tales can be fitted into the scheme only
conditionally, and hence new subheadings are being introduced into the
national catalogues. It is obvious that the accepted international classification
does not always fulfil its principal function - the contribution to a comparative
study of folk tales of different nations. An investigation of the structure
and semantics of Lithuanian folk tales has led us to the conclusio'n that
the complex plots which have come down to us are products of a long development
and that they have grown into hierarchical systems of elementary plots
(hereinafter EP). An elementary plot shows a collision between two personages
(or two groups of personages) as a result of which the hero obtains some
material or non-material object or is defeated. Because of an uneven development
of the plots of narrative folklore and of the tradition in general, there
exist, side by side with complex plots, real texts having only one EP.
Elementary plots and their constitutent parts, which differ on a concrete
level, exhibit semantic similarities, while outwardly similar plots demonstrate
semantic differences. This brings us to the second important conclusion:
it is essential to establish similarities between texts, not on the basis
of external features but on the basis of deep-lying semantic features.
We have worked out a special semantic language for the description of EPs
and the rules of "translation" (semantic description i made on three levels).
Our third conclusion: complex plot structure organises the semantic nucleus
of the text – the principal EP (at times there is more than one
principal EP, which indicates a combination of folk tales). The plot structure
of the text is a network of EPs. We have distinguished three types of logical
cause-and-effect relations, an associative, a mechanical relationship,
and a detalisation and sum of equal EPs. The most meaningful elements of
the plot structure (those which exhibit the most strongly marked
cause-and-effect relationship, the first type of relationship)
form the framework of the tale: its macrostructure. The above conclusions
have led us to a radical revision of the concept of the type of the folk
tale. Instead of trying to find some ideal model, the folk tale should
be viewed from the point of view of its development. Texts which have a
simple plot structure, and their variants with a complex plot structure,
should both be ctassified as the same type if their semantic nucleus -
the principal EP-is monotypal. Having no possibility to dwell on our methodological
approach and the levels of description of texts and their elements (a book
devoted to these problems is due to come out soon), we shall confine ourselves
only to the most important of them which are necessary in determining the
type of a folk tale. Here is a simple example illustrating our principles.
We shall describe one variant of a popular folk tale "The Kids and the
Wolf" (AaTh 123). The plot of the tale is as follows: a she-goat lives
in a hut with her kids. Before leaving the hut the she-goat tells her children
not to let anyone in. Upon returning the mother calls the kids saying to
them: "Open the door; there is hay on my horns". The kids open the door.
The wolf overhears the mother's words and when she leaves the hut again,
he comes up to the door and addresses the kids with the same words. His
voice is low and the kids do not open the door, for their mother's voice
is high. The wolf asks a black-srnith to make his tongue thin and then
speaks to the kids in the high voice of their mother. The kids open the
door and the wolf gobbles them up. The she-goat follows the wolf's trail,
finds him asleep, slashes his stomach open, releases her kids, fills the
wolf's stomach with stones and stitches it up. On waking up the wolf feels
thirsty, goes to the river, bends down to lap water, tumbles into the river
and is drowned. The plot of the text consists of three EPs arranged in
a linear sequence. The first EP has an unhappy ending ( the wolf gobbles
up the kids), the second EP has a happy ending (the she-goat frees the
kids), the third EP also has a happy ending (the wolf is no longer dangerous).
The hero of the first EP is collective - the kids; the she-goat is a relative
of the hero; the wolf is the antagonist, the black-smith is a neutral personage.
The internal structure of this EP is quite complex: the same personage
performs contradictory actions (the kids do not open the door for the wolf,
then open it). This is a feature of convergence of a semantic pair of EPs:
the first component of the convergence has lost its end and also its role
in the plot structure of the whole text; only a negative outcome of the
collision is important for the link with the following EP. The hero of
the second and third EPs is the she-goat. Those two EPs share one action
- "the she-goat fills the wolf's stomach with stoneC'.
In the second EP the she-goat does this to .conceal the fact that the kids
have been freed, while in the third EP the stones cause a sense of thirst
and heaviness in the wolf. In all the three EPs the hero, a week member
of the family, an animal, confronts the antagonist – the wolf, a powerful
stranger, a beast. According to the aims of the heroes, all the
three EPs belong to the class "Striving for freedom
from a stranger or from being dominated", the first of the five classes
of EPs. We shall limit ourselves to this brief commentary and set aside
a fairly long description of the first semantic level. We shall now present
the second level of description of each EP. 1. The hero is in a safe place
but it is easy to exert influence upon him. A relative of the hero uses
the sign of contact and shows his distinctive feature. A relative urges
the hero not to establish contact with another personage except him. The
antagonist urges the hero to establish contact, using a sign of contact
and showing the feature of a stranger. Noticing the feature of a stranger,
the hero does not establish contact with the antagonist. The antagonist
urges the hero to establish contact using a sign of contact and showing
the feature of a relative. The hero establishes contact with a dangerous
antagonist taking him for his relative. The hero finds himself inside
the antagonist. 2. The hero is deprived of his relative. The hero finds
the whereabouts of his relative by the features of the surroundings.
The hero takes back from the incapacitated antagonist his relative, leaving
in his place an imitation of heaviness in his body. The hero frees his
relative. 3. The hero knows that the antagonist is dangerous. The hero
makes the antagonist's body heavy and helps to arouse in him a need to
get close to a place where he could quench his thirst = a place which is
dangerous. The hero finds himself in a place not suitable for life. The
third semantic level of the same EPs: 1. The hero is in a dangerous situation.
The hero receives information about the sign of contact and about the feature
of the hero's relative. The hero is urged not to establish contact with
the dangerous antagonist. The hero is urged to establish contact with the
dangerous antagonist. The hero does not establish contact with the dangerous
antagonist. The hero is urged to establish contact with the dangerous
antagonist. The hero establishes contact with the dangerous antagonist.
The hero finds himself in the antagonist's power.
2. The hero loses his- relative. The hero obtains
information about the whereabouts of his relative. The hero discovers
that his relative is in the place set for him by the antagonist. The
hero frees his relative. 3. The hero is in a dangerous situation. The hero
places the antagonist in surroundings which are dangerous. The hero renders
the antagonist harmless. In the above descriptions of EPs we emphasised
the actions determining the outcome of the collision. These are the
principal actions (actions of the hero). All concrete EPs are monotypal
if their principal actions are interpreted in the same vyay on the third
semantic level; differences between the actions on the second level of
description make it possible to establish versions of the type of EP, while
variations of final situations allow us to establish subtypes of EPs. The
name of the principal action is the name of the type of EP, while the results
of the EP determine the relationship between elements of a complex plot
structure. Below we shall describe the structure and semantics of the text
by establishing the types of EPs and relations between them: 1.2.1.6. The
hero establishes contact with the dangerous antagonist and finds himself
in the power of the antagonist. 1.1.2.1. The hero discovers that his relative
is in the place set by the antagonist - the hero frees his relative. 1.1.1.2.
The hero places the antagonist in surroundings which are dangerous for
his life - the hero renders the antagonist harmless. The most meaningful
elements of the plot structure are the first and the second EPs. They make
the macrostructure of the text which is described in terms of the results
of EPs: The hero finds himself in the power of the antagonist. The hero
frees his relative. The first EP governs the second; it is the principal
EP. All the animal tales in the structure of whose variants the principal
EP belongs to the type 1.2.1.6. will belong to one and the same structural-semantic
type. The principal EP of the text under analysis may serve as the basis
of an independent work and may also form four more types of simple structures
(we are describing their macrostructures): 1. The hero finds himself
in the power of the antagonist. 2. The hero finds himself in the power
of the antagonist. ~ The
hero does not find himself in the power of the antagonist. 3. The hero
does not find himself in the power of the antagonist.
~ The hero finds
himself in the power of the antagonist. 4. The hero finds himself in the
power of the antagonist. ~The
hero frees himself/frees his relative. 5. The hero gets his relative. (The
hero frees himself/frees his relative). ~
The
hero finds himself in the power of the antagonist. These simple structures
are the basis of the theoretically possible versions of this type of folk
tale. In the second and third versions the principal EP is joined only
by its semantic pairs, in the fourth and fifth versions there can be equivalent
EPs having a definite result. Versions based on the linkage of simple structures
are also possible. The above structural-semantic type embraces Lithuanian
animal folk tales AaTh 57*, 61 B, 123, and also separate variants belonging
to AaTh 163, 112*. A similar type can also be found in fairy tales (AaTh
333, 702 B*, individual variants of AaTh 315, 327). In the Lithuanian animal
folk tales, the first and the fourth versions are dominant; there are also
complex structures (AaTh 61 B). The second and third versions have not
yet been found. The material of Lithuanian fairy tales has yielded 106
types of EPs which could become the nucleus of more or less complicated
structures; only 58 of them have formed the nucleus, 17 other relict types
have isolated variants. The same types can be distinguished in other genres
of folk tales too, though the number of types of EPs here is greater. 'The
distinguishing of structural-semantic types of folk tales enables us to
carry out a more precise comparison of folk tales of different nations,
and also of related texts of different genres. This helps solve many problems
in folklore studies.
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