PROBLEMS OF CATEGORIES I N FOLK PROSE"

K u r t Ranke
Translation b y Carl Lindahl

I n 1938, i n a w o r k of h i s l a t e r y e a r s ,
the great Dutch cultural historian Johan
Huizinga--who m i g h t b e considered the s p i r i t -
u a l successor o f Jakob B u r c k h a r d t--dec l a r e d
t h a t p l a y has as important a function as
work i n h u m a n a c t i v i t y . He c o n t r a s t e d h i s
c u l t u r a l a n d s o c i o l o g i c a l c o n c e p t i o n of homo
ludens a an the p l a y e r ] to the optimistic
eighteenth-century fiction of homo sapiens
a n d the p o s i t i v i s t i c nineteenth-century label,
homo faber [ M a n t h e ~ a k e r ] . H u i z i n g a i s of
the opinion that all human culture
' has
arisen--or u n f o l d e d it s e l f - - i n p l a y and as
p l a y . P l a y , states Huizinga, i s older than
culture; f o r as i n s u f f i c i e n t a n d l i m i t e d as
t h e concept o f c u l t u r e may be, i t s d e f i n i t i o n
p r e s u p p o s e s a h u m a n s o c i e t y i n e v e r y case--
and animals have clearly not waited for
h u m a n s to t e a c h them a b o u t p l a y . We c a n
safely say t h a t human c i v i l i z a t i o n h a s added
n o d i s t i n g u i s h i n g c h a r a c t e r i s t i c s to t h e u n i -
v e r s a l concept o f p l a y . A n i m a l s p l a y e x a c t l y
a s p e o p l e do.
Thus, p l a y p r e s e n t s u s w i t h a t o t a l i t y ,
a "primary category of life1'--if there i s
a n y t h i n g a t a l l w h i c h deserves t h i s t i t l e .
However, those who f o c u s ( a s H u i z i n g a does
i n a w i d e r sense) d i r e c t l y o n t h e f u n c t i o n of
" A p p e a r e d o r i g i n a l l y as ~ ~ K a t e g o r i e n p r o b l e m dee r V o l k s p r o s a , I 1
Fabula 9 ( 1 9 6 7 ) : 4 - 2 . Translation p u b l i s h e d b y permission
of the author.
play--not o n l y i n t h e l i v e s of a n i m a l s a n d
children, but also in its expression in
c u l t u r e - - h a v e the r i g h t to b e g i n t h e i r s t u d i e s
a t the p o i n t where b i o l o g y a n d p s y c h o l o g y
leave o f f . They f i n d t h a t p l a y i n c u l t u r e i s
an entity which pre-exists culture itself,
w h i c h h a s accompanied c u l t u r e a n d i n t e r -
m i n g l e d w i t h i t from i t s b e g i n n i n g s to t h e
present d a y .
Huizinga further states that a l l the
g r e a t p r i m a l a c t i v i t i e s of human society a r e
.
interwoven w i t h p l a y Consider l a n g u a g e , t h e
f i r s t a n d g r e a t e s t tool w h i c h people them-
selves h a v e f a s h i o n e d i n o r d e r to commu-
nicate, to teach, to g i v e o r d e r s . T h r o u g h
language, people make d i s t i n c t i o n s , define,
determine--in short, name; in languaje,
things are exalted to the r e a l m of the
s p i r i t u a l . The s p i r i t w h i c h creates l a n g u a g e
s p r i n g s p l a y f u l l y a g a i n a n d a g a i n beyond
the concrete w o r l d to t h e w o r l d of t h o u g h t .
Behind every single abstract expression
s t a n d s a metaphor, a n d i n each metaphor
a play-on-words l i e s embedded. Thus, in
d e v i s i n g terms w h i c h d e s c r i b e i t s own e x i s t -
ence, h u m a n i t y c o n t i n u a l l y creates f o r i t s e l f
a second, invented w o r l d a l o n g s i d e the w o r l d
of n a t u r e .
O r c o n s i d e r myth, which i s also a
symbolic r e p r e s e n t a t i o n of existence, t h o u g h
on a s l i g h t l y more a b s t r a c t level t h a n i n d i -
v i d u a l words a r e . T h r o u g h m y t h e a r l y peoples
sought to e x p l a i n the e a r t h l y and to f o r m
connections w i t h t h e h e a v e n l y . I n each of
the e v e r - c h a n g i n g fantasies i n which myth
clothes the e v e r y d a y world, an inventive
s p i r i t p l a y s on the b o r d e r between humor
a n d h i g h seriousness. F i n a l l y , c o n s i d e r r e l i -
gious c u l t s : p r i m i t i v e communities c a r r y o u t
their holy activities for guaranteeing the
we1 I - b e i n g of the worl d--thei r consecrations,
s a c r i f i c e s , m y s t e r i e s of ri t u a l - - a s play, in
the truest sense of the word. The g r e a t
d r i v i n g f o r c e s of c u l t u r a l l i f e - - l a w a n d order,
commerce, f i n a n c e , a r t s a n d crafts, poetry,
s c h o l a r s h i p , a n d science--have t h e i r r o o t s i n
m y t h a n d r i t u a l . A l l these roots, a s w e l l ,
were n u r s e d i n t h e s o i l of p l a y f u l a c t i v i t y .
At t h i s p o i n t , we c a n l e a v e H u i z i n g a .
P e r h a p s we w i l l f e e l moved t o r e s t r i c t h i s
general conceptions ( w h i c h he a p p l i e d f r e e l y
to almost e v e r y a r e a o f h u m a n c u l t u r e ) t o a
snore w o r k a b l e r a n g e . F o r i n s t a n c e , i n many
of t h e above-mentioned def i ni t i o n s w h i c h d e a l
witn t h e genesis o f linguistic and mythic
images, t h e n a t u r e of p l a y v a n i s h e s i n t o t h e
element of t h e p l a y f u l ; t h a t i s , i n t o a n a r e a
o f a c t i v i t y n e a r l y i d e n t i c a l to t h e s p i r i t u a l
process. I n o t h e r words, in determining the
c r e a t i v e processes a t w o r k in t h e r e a l m of
t h e h u m a n s p i r i t , t h e concept of t h e p l a y f u l
( w h i c h H u i z i n g a uses q u i t e l o o s e l y ) i s o n l y a
m e t a p h o r , a S o r r o w i n g f r o m t h e o n t o l o g y of
p l a y , b u t scarce1 y i d e n t i c a l w i t h i t . P l a y f u l
a c t i o n s precede p l a y : t h e f o r m e r i s a n i n n a t e
power, t h e l a t t e r i t s p r o d u c t .
I d o propose, however, t h a t we f u r t h e r
p u r s u e H u i z i n g a ' s a t t e m p t to r e d u c e o u r c u l -
t u r e t o a few b a s i c f u n c t i o n s . W i t h t h i s i n
m i n d , I c a l l a t t e n t i o n to t h e e q u a l l y u s e f u l
a t t e m p t o f t h e German phi l o s o p h e r a n d s o c i o l -
o g i s t Helmuth Plessner to d e f i n e l a u g h i n g
a n d c r y i n g a s the s h a p i n g forces f o r a l l
imaginative g r o ~ t h .W ~e s h o u l d c o n t i n u e a n d
expand such efforts b y attempting to under-
stand the p r i m a l r e a l i t y of human story-
t e l l i n g - - a s a g e n u i n e l y c r e a t i v e . qua1 i t y s i m i -
l a r to those w h i c h m o t i v a t e h u m a n c u l t u r e in
g e n e r a l . A n d I b e l i e v e t h a t we c a n u s e a
sirni l a r m e t h o d o l o g i c a l s t a r t i n g p o i n t , i f we
f i r s t set h u m a n n a r r a t i v e in r e l i e f f r o m t h e
pre-cu I t u r a l , "animal" l e v e l of development.
; i a t u r a l l y, we k n o w t h r o u g h modern b e h a v i o r a l
s t u d i e s t h a t i n t h e s o c i a l l i f e of t h e more
h i g h l y developed a n i m a l species, t h e need
f o r c o m m u n i c a t i o n h a s l e d t o t h e development
of basic languages. B u t t h i s i n s t i n c t i v e 1y
c r e a t e d speech evokes n o s p i r i t u a l l y i n s p i r e d
concept i o n s o r e v e n c o n c e p t u a l c a t e g o r i e s i n
the minds of i t s hearers; i t m e r e l y s t i m u l a t e s
b e h a v i o r a l r e a c t i o n s , i n s t i n c t i v e 1y a n d i r r e v -
ocabl y . I n h i s famous book, Verstandigung
unter Tieren [ u n d e r s t a n d i n g among ~ n i m a l s,]
t h e German b e h a v i o r i s t K o n r a d L o r e n z h a s
shown that b i r d species sometimes possess
t h e i r own ~ p e e c h . Just ~ a s bees use t h e i r
s i g n l a n g u a g e to communicate s u c h t h i n g s a s
the location of food to t h e i r companions,
b i r d s communicate w i t h t h e i r k i n d t h r o u g h
sound s i g n a l s which transmit, among o t h e r
t h i n g s , i n f o r m a t i o n a b o u t t h e l o c a t i o n o f food.
B u t something q u i t e d i f f e r e n t i s h a p p e n i n g
when we h e a r t h i s s o r t of c o m p l i c a t e d con-
v e r s a t i o n among c r o w s :
The f i r s t says, t t T h e r e l s a h o r s e b e h i n d t h i s m o u n t a i n ! I 1
The second r e s p o n d s , "1s t h e r e any meat on i t ? "
A t h i r d m a i n t a i n s , "Only s k i n and bones!l14

This c h a r m i n g a e t i o l o g i c a l t a l e on the o r i g i n
o f crow l a n g u a g e , k n o w n i n Germany a s w e l l
a s among o t h e r E u r o p e a n f o l k , i s a n i n v e n -
t i o n of Man t h e S t o r y t e l l e r , who s u b s t i t u t e s
h i s o w n emotional a n d m e n t a l make-up f o r
t h a t of t h e a n i m a l s . A n d w i t h t h i s example,
we h a v e now a r r i v e d a t Man t h e S t o r y t e l l e r ,
homo narrans.
At t h e same time, I b e l i e v e , we h a v e
come u p o n a c e n t r a l theme i n t h e r e s e a r c h of
c u l t u r a l a n d i n t e l l e c t u a l h i s t o r y . F o r we c a n
c e r t a i n 1y assume that human beings--since
they p r o d u c e d t h e i r f i r s t t o o l s a n d o r n a m e n t s ,
o r developed t h e i r f i r s t simple forms of c u l t
a n d magic (death cults, sacrificial cults,
c u l t s of masks, h u n t i n g magic, protective
magic, a n d so o n ) ; s i n c e they f i r s t u n d e r -
stood how t o e x p r e s s t h e i r i n g e n u i t y t h r o u g h
the a r t i s i t i c p r o d u c t i o n of sculpture, en-
graving, and painting; since they first
created gods and demons--that from the
earliest d a y s of t h e i r s p i r i t u a l e x i s t e n c e ,
human b e i n g s h a v e g i v e n p l a y to t h e i r emo-
tions a n d conceptions t h r o u g h the n a r r a t i o n
of s t o r i e s of a l l s o r t s . They t o l d n a r r a t i v e s
w h i c h g a v e f o r m to t h e i r t e r r o r a n d a n x i e t y
as well as to the t h i n g s which fascinated
them; n a r r a t i v e s w h i c h embodied t h e i r l o n g i n g
for some measure of h a p p i n e s s , celebrated
their heroes, expressed their laughter at
e v e n t s w h i c h amused them, a i r e d t h e i r com-
p l a i n t s over the fickleness of t h e i r w o r l d ;
n a r r a t i v e s i n which they imagined the gods
and the frightening powers which lurked
a r o u n d a n d w i t h i n them; n a r r a t i v e s in w h i c h ,
in short, e a r l y p e o p l e came t o terms w i t h
e v e r y t h i n g w h i c h a f f e c t e d them.
We k n o w n o t h i n g a b o u t these a n c i e n t
s t o r y t e l l i n g processes: n o o r n a m e n t , n o p i c -
ture, no b u i l d i n g created i n these e a r l y
epochs expresses a n y t h i n g a b p u t t a l e t e l l i n g
a n d i t s contents a n d background. B u t how
c o u l d i t b e t h a t these p e o p l e who e x p r e s s e d
t h e i r thoughts a n d feelings in p i c t o r i a l a n d
p l a s t i c forms--indeed, i n forms w h i c h e v e n
t o d a y c o n t i n u e t o amaze us--should not a l s o
have given shape to t h e i r thoughts and
f e e l i n g s i n words a s w e l l ? Nothing speaks
a g a i n s t t h i s assumption; e v e r y t h i n g speaks
i n i t s f a v o r . Consider the a s t o n i s h i n g f a c t
that, i m m e d i a t e l y w i t h t h e onset of w r i t t e n
c u l t u r e , t h e e a r l i e s t l i t e r a r y documents were
r e p l e t e w i t h n a r r a t i v e s of every sort.5 For
example, the Sumerians a n d A k k a d i a n s of
t h e t h i r d to second m i l l e n n i u m b e f o r e C h r i s t
g a v e u s t h e G i l g a m e s h e p i c , i n w h i c h numer-
ous a r c h a i c t y p e s a n d g e n r e s were combined:
t h e c r e a t i o n m y t h , t h e l e g e n d of t h e f l o o d ,
t h e h e r o i c e p i c o f t h e j o u r n e y to t h e u n d e r -
world, the c a s u i s t i c motif of the b r o k e n oath,
t h e a e t i o l o g y of t h e b i r d " k a p p i , " t h e w i t c h
t a l e c o n c e r n i n g I s h t a r , a n d so f o r t h . A l s o
f r o m hlesopotamia came c e r t a i n c e r t a i n E t a n a
legends [see AT 3138, 5371, t h e f a b l e of t h e
f o x o n t r i a l , t h e a r g u m e n t between t h e h o r s e
a n d t h e o x . I n t h e second m i l l e n n i u m S.C.,
t h e E g y p t i a n s k n e w t h e M a r c h e n o f t h e Two
B r o t h e r s [ A T 3181, t h e f a b l e of t h e f i g h t be-
tween t h e p a r t s o f t h e b o d y , t h e humorous
t a l e of t h e w o r l d t u r n e d u p s i d e down, t h e
h i s t o r i c a l l e g e n d o f t h e conquest of t h e c i t y
of Joppe ( w i t h t h e famous A l i b a b a m o t i f ) , a s
w e l l a s a g r e a t n u m b e r o f gnomes [Weisheits-
r e g e l n ] a n d s a y i n g s w h i c h may b e c o n s i d e r e d
t h e predecessors of t h e b i b l i c a l p r o v e r b s of
Solomon. Among t h e Chinese, one t h o u s a n d
years before Christ, appears the f i r s t version
o f t h e n o b l e l e g e n d [ ~ e n t i l s a g e ] of t h e h e r o
who i s a b a n d o n e d a s a n i n f a n t a n d r a i s e d
b y animals, a s w e l l a s t h e o r i g i n m y t h of
t h e W o r l d E g g . I n t h e same a r e a , a b o u t 600
B.C., the b e a u t i f u l M a r c h e n of the swan
m a i d e n s [ A T 4001 a p p e a r s ; f o l lowed, a b o u t
300 B.C., b y the aetiological t a l e of the
Woman i n t h e Moon [ b l o t i f A751.81. I n their
d e p i c t i o n s o f t h e d r a g o n f i g h t [ A T 3001 a n d
t h e j o u r n e y of t h e a r g o n a u t s , M i n o a n s e a l s
of t h e second m i l l e n n i u m a t t e s t t h a t these
n a r r a t i v e s were a l r e a d y i n e x i s t e n c e a t t h a t
time. Homer a n d I-ierodotus a r e b o t h f i l l e d
w i t h f u l I - l e n g t h Marchen, legends, a n d t a l e s
of l y i n g ( L ~ ~ e n g e s c h i c h t e n )A. l r e a d y i n t h e
seventh century B.C., Greek vases show
i l l u s t r a t i o n s f r o m t h e Odyssey ( f o r e x a m p l e ,
the Polyphemous legend, including certain
versions of t h i s s t o r y which a r e independent
o f Homeric t r a d i t i o n 6 ) a n d s u c h a n i m a l t a l e s
a s t h e r a c e between t h e h a r e a n d t h e t o r t o i s e
[ A T 2 7 5 ~ 1 . A t t i c comedies of t h e f i f t h c e n t u r y
B.C. show k n o w l e d g e of f a b l e s a b o u t t h e L a n d
of C o c k a i g n e [ A T 1930; M o t i f ~ 1 5 0 3 1 .
~ M O S o~ f these c a t e g o r i e s of f o l k n a r r a -
t i v e a r e a l s o k n o w n i n a n c i e n t Hebrew t r a d i -
t i o n . The t r i p a r t i t e l e g e n d of t h e t h r e e sons
of Noah p a r a l l e l s t h e Greek t r a d i t i o n s of t h e
sons of Kronos a n d H e r a k l e s a n d t h e Germanic
t r a d i t i o n of t h e sons o f Mannus. The e x p o s u r e
of t h e c h i l d d e s t i n e d f o r g r e a t m a j e s t y [ M o t i f
~ 1 3 1 1 , a m o t i f i n m a n y h e r o i c legends, was
r e p o r t e d n o t o n l y o f Xloses, b u t a l s o i n t h e
more a n c i e n t B a b y I o n i a n t r a d i t i o n o f S a r g o n
!--and l a t e r t o l d in Persia about Cyrus, in
I n d i a about Karma, I n Rome a b o u t Romulus
a n d fiemus, a n d among t h e Germanic t r i b e s
about Sigurd. The d e s t r u c t i o n o f Sodom i s
n o t h i n g more t h a n a n a e t i o l o g i c a l legend.
The m i r a c l e of A a r o n ' s r o d [ ~ o t i f D441.7.1]
a l s o o c c u r s i n numerous e a r l y E u r a s i e n re1 i-
g i o u s legends. The m o t i f of t h e p a r t i n g o f
t h e w a t e r s [ M o t i f C1551], which belongs to
t h e c a t e g o r y of l e g e n d s of d e s t r u c t i o n , h a d
a l r e a d y a p p e a r e d i n Z e n d a v e s t a . The m i r a c l e
b y w h i c h Moses makes w a t e r f l o w f r o m a r o c k
[ m o t i f 91567.61, a n a r r a t i v e which lies along
t h e b o r d e r between m y t h a n d re1 i g i o u s legend,
i s a l s o t o l d of D i o n y s u s , A t a l a n t a , M i t h r a s ,
Jesus, a n d t h e s a i n t s o f a l l r e l i g i o n s . Casu-
i s t i c problem tales a r e represented b y the
famous s t o r y of t h e Judgement of Solomon [ A T
9251, w h i c h a p p a r e n t l y possesses o l d e r p a r a l -
lels in l n d i c t r a d i t i o n , a n d i s also depicted
o n a f r e s c o i n Pompey .
Thus d i d human b e i n g s i n t h e i r e a r l y
w r i t i n g s set down t h e i r t h o u g h t s a n d feelings,
t h e i r meditations on t h e i r world, t h e i r sur-
roundings, a n d t h e i r concept o f n o t h i n g n e s s
[ ~ n w e l t l - - t h r o u g h the agency of a l l sorts
of s t o r i e s . A n d we may c e r t a i n l y assume t h a t
t h i s g i f t of n a r r a t i o n , a s w e l l a s o f n a r r a -
t i v e form, was n o t f i r s t i n s p i r e d b y t h e de-
velopment o f w r i t i n g : s t o r y t e l l i n g must h a v e
e x i s t e d a l o n g t i m e b e f o r e t h e n . Here, o f
course, I am s p e a k i n g o f M a r c h e n a n d Sagen,
of m y t h s a n d f a b l e s , of Schwanke a n d p a r -
ables, of re1 i g i o u s a n d a e t i o l o g i c a l legends.
ilndoubtedly, t h i s c l a s s i f i c a t o r y terminology
was e n t i r e l y unknown to t h e people of these
e a r l y epochs, j u s t as i t was obscure to t h e i r
descendents. I t i s t h e d e f i n i t i o n of these
c a t e s o r ies--not the categories themsel ves--
w h i c h a r e a n i n v e n t i o n of the science of o u r
time. Of course, Man t h e : J a r r a t o r a l s o d i f -
f e r e n t i a t e s between t h e genres w h i c h we c a l l
legend, Marchen, a n d so on. A f t e r a l I , h e
created these s t o r i e s . But h i s names f o r them
a r e so v a r i a b l e ( e v e n on the s u r f a c e level of
language) and h i s definitions ( i n s o f a r as he
even t r i e s to make them) so i n a c c u r a t e , t h a t
the s c h o l a r concerned p r i m a r i l y w i t h b i n d i n g
terms a n d d e f i n i t i o n s w i l l not f i n d them of
much use. "But," as t h e L e n i n g r a d f o l k l o r i s t
Propp states, " i n e v e r y science, c l a s s i f i c a t i o n
i s the f o u n d a t i o n a n d p r e r e q u i s i t e f o r t h e
s t u d y of t h e m a t e r i a l . C l a s s i f i c a t i o n i t s e l f
i s the r e s u l t of a l o n g d e t a i l e d i n v e s t i g a t i o n .
The d e t e r m i n a t i o n of the s u b j e c t u n d e r s t u d y
v e r y often r e q u i r e s t h a t i t b e a c c u r a t e l y
assigned to a n a p p r o p r i a t e class, genre, o r
type."7 Then f o l l o w s a sentence b y P r o p p
w h i c h cannot go uncontested: " I n f o l k l o r e ,
the p a i n s t a k i n g p r e l i m i n a r y work in t h i s
f i e l d h a s s t i l l not been completed."
As i s w e l l known, t h e B r o t h e r s Grimm
made a few, e a r l y g e n e r a l statements--sti l l
val i d today--concern i n g the difference
between the legend a n d the Marchen, t h u s
h e l p i n g to d i s t i n g u i s h the generic c h a r a c t e r -
i s t i c s of these forms. I n subsequent times,
such e f f o r t s m u l t i p l i e d , and i n the e a r l y
decades of t h i s c e n t u r y , e v e r more complex
categories h a v e been e s t a b l i s h e d , a n d s u i t -
able definitions have been worked out.
Berendsohn, Wesselski, von Sydow, a n d Jol les
c a n be named a s spokesmen f o r t h i s f i e l d
of i n v e s t i g a t i o n , a s w e l l as L i i t h i , Rohrich,
Bbdker, Propp, C ~ s t o v , a n d others i n more
recent years. The p r o b l e m h a s been a p -
proached from a l l angles. Stylistic, struc-
t u r a l , a n d phenomenological c r i t e r i a , a s we1 l
a s qua1 i t a t i v e a n d q u a n t i t a t i v e considerations,
a n d t h e b i o l o g i c a l a n d e s t h e t i c f u n c t i o n s of
these c a t e g o r i e s h a v e been b r o u g h t i n t o p l a y
to d e t e r m i n e t h e i r d i s t i n c t i v e n a t u r e s . Here,
however, a r i s e s t h e b a s i c a l l y s i m p l e q u e s t i o n
of the p r i o r i t y a n d c a u s a l i t y of t h i n g s . Only
p r i m a r y a n d constant d a t a c a n b e considered
c r u c i a l in determining the b i n d i n g character-
i s t i c s of genres. From t h e b e g i n n i n g , we
must d i s c a r d incidental d e t a i I s l i m i t e d to
c e r t a i n times a n d p l a c e s , a s w e l l a s f l u c t u a -
in esthetic, c u l t u r a l , social, a n d other such
functions. The p o i n t o f d e p a r t u r e f o r s u c h
d e f i n i t i o n s , however, c a n on1y b e s o u g h t a t
the c o r e o f t h e phenomenon; n a m e l y , a t t h e
p l a c e where t h e e x p r e s s i o n a n d f o r m of these
genres originate: with Man the Narrator
himself.
\Vi l l - E r i c h P e u c k e r t , t h e famous German
c u l t u r a l s c i e n t i s t , once s a i d i n r e g a r d t o t h e
topic a t hand, t h a t e v e r y o n e who t e l l s a
s t o r y wishes to e x p r e s s something w h i c h i s
f u l l of s i g n i f i c a n c e a n d m e a n i n g f o r h i m s e ~ f . ~
T h i s i s e x a c t l y t h e p o i n t a t w h i c h a l l obser-
v a t i o n s o n t h e m e a n i n g a n d n a t u r e of n a r r a -
t i v e c a t e g o r i e s must b e g i n . Natural Iy, the
Einfache Formen [ s i m p l e f o r m s ] of f o l k n a r r a -
tion can be differentiated by various stylistic
a n d s t r u c t u r a l c h a r a c t e r i s t i c s ; however, above
a l l a n d e x genere, i t i s t h e e s s e n t i a l a n d
dominant expressions inherent i n e a c h of
these forms w h i c h causes t h e i r p e r m u t a t i o n s
of s t y l e a n d shape. As I s t a t e d e a r l i e r , a t
t h e 1959 Congress o f F o l k N a r r a t i v e Research
a t Kiel: behind a l l the v a r i o u s a n d uniquely
expressive facets of o u r n a r r a t i v e h e r i t a g e
t h e r e e x i s t t h e i n t e r n a l d r i v e s a n d conscious
w i l l of humanity--humanity provides the only
impetus f o r e x p r e s s i o n h e r e s 9 I n my v a r i o u s
a t t e m p t s t o d e t e r m i n e these b a s i c c a t e g o r i e s ,
I h a v e g o t t e n t h e i m p r e s s i o n t h a t a l l too
o f t e n a n d a l l too r e a d i l y , f o l k l o r i s t s s t u d y
the m a t e r i a l s a n d t h e i r independent existence
to t h e e x c l u s i o n of people--the p e o p l e who
c r e a t e d them a n d g a v e them t h e i r a p p e a r a n c e
a n d t h e i r form. Therefore, I r e p e a t e m p h a t i -
c a l l y , once a g a i n , t h a t a l l f o r m a n d s t r u c -
t u r e i s m e r e l y t h e h a l l m a r k of t h e i n d i v i d u a l
creation. A l l v a r i a t i o n s i n form a r e o n l y the
ephemeral a n d v a r i e d e x p r e s s i o n o f a n abso-
l u t e content.
K.V. C i s t o v h a s condemned s u c h attempts
to r e d u c e n a r r a t i v e f o r m s to i n t e l l e c t u a l a n d
s p i r i t u a l a b s o l u t e s . He h a s l a b e l e d s u c h a t -
tempts a s " a b s t r a c t - p s y c h ~ l o g i c a l ' ~a n d "neo-
r o m a n t i c " i n n a t u r e , a n d h e h a s spoken s a r -
c a s t i c a l ly of the "dreaded" drives behind
narration.1° I think it very remarkable,
especial Iy from the s t a n d p o i n t of s c i e n t i f i c
t h e o r y , t h a t i t s h o u l d b e a Russian--of all
people--who w o u l d l e a v e so l i t t l e room to t h e
fundamental p s y c h i c a n d mental powers o f
t h e human c r e a t i v e process. A p p a r e n t l y t h e
material i s t i c a l ly-oriented v i e w of t h e w o r l d
h a s l i t t l e tolerance f o r arguments based on
p s y c h o l o g y . And, b y t h e way, I a l s o b e l i e v e
t h a t we s h o u l d n o t b e too h a s t y t o d e v a l u e
the idea of the "romantic." For surely the
gomantics, t h o u g h sometimes somewhat i n t u i -
tive, t a u g h t u s more a b o u t t h e essence of
t h e t h i n g s w h i c h c o n c e r n u s t h a n we h a v e
learned from the mechanistic methods of
modern times--and h e r e , I am b y n o means
referring only to the current rage for
s t r u c t u r a l ism.
~ h u s . , i n s p i t e of w h a t C i s t o v ' s c o u n t e r -
a r g u m e n t s m i g h t be, I b e l i e v e we c a n p r o -
ceed f r o m t h e i d e a t h a t t h e n a r r a t i o n o f sto-
r i e s of a l l s o r t s a r i s e s f r o m one o f t h e most
b a s i c needs o f h u m a n n a t u r e . I b e l i e v e we
may f u r t h e r proceed f r o m t h e a s s u m p t i o n t h a t
the i n d i v i d u a l genres of f o l k n a r r a t i v e a r e
p r i m a r y forms of human expression, which
h a v e s p r u n g u p from dreams a n d emotions,
from magical a n d r a t i o n a l thought processes,
from d e l i g h t i n p l a y a n d f a n t a s y . Then, as
the c o r o l l a r y to these two assumptions, we
may conceive of each of these genres as
spontaneous expressions r e v e a l i n g the special
r e l a t i o n s h i p of humans to the w o r l d a r o u n d
a n d w i t h i n them, a t a n y g i v e n time. I f these
premises a r e accepted, we must a l s o accept
t h a t each of these genres h a s i t s own func-
tion: t h a t is, i t s own e x p r e s s i v e f u n c t i o n
a n d i t s own power to produce a c e r t a i n effect.
When we consider such f a c t o r s i n connection
w i t h the g r e a t age a n d the u n i v e r s a l d i s t r i -
b u t i o n of these categories of f o l k prose, the
Einfache Formen p r o v e themselves to be a n
anthropological, perhaps even a purely
a n t h r o o l o g i c a l , problem.
t i s t o v also argues against t h i s point,
u s i n g my own terminology a g a i n s t me: " t h i s
i s not a question of a n ' a n t h r o p o l o g i c a l t
problem, b u t of an 'historical, 'social, '
and 'ethnologicalt In my view,
however, the " h i s t o r i c a l t t as well as the
"ethnological" (by which Cistov probably
means "ethnic-regionaltt) fall under the
category of "incidental d e t a i l s t t mentioned
above. These d e t a i l s a r e c e r t a i n l y of g r e a t
s i g n i f i c a n c e as p a r t i a l a n d m a r g i n a l mani-
f e s t a t i o n s of the t o t a l phenomenon a n d a r e
therefore absolute1y w o r t h y of s t u d y . Never-
theless, a s p a r t i a l forces bounded b y space
a n d time, these variables cannot be considered
useful tools f o r d e t e r m i n i n g genres. I t h i n k
r a t h e r t h a t we s h o u l d p r o b e deeper beneath
the veneer of t h i n g s , b e h i n d these obvious
h i s t o r i c , social, a n d e t h n i c v a r i a b l e s to seek
t h e i r common denominator--the p r i m a l base of
these phenomena, the o n t o l o g i c a l k e r n e l of
genre substances. T h i s k e r n e l c a n o n l y b e
f o u n d , however, i n t h e r e a l m of a n t h r o p o l o g y .
I n o r d e r to c l a r i f y t h i s p o s i t i o n , I w i l l
r e p e a t once more w h a t I s t a t e d i n my 1959
address a t Kiel :
I t seems to me t h a t i n a t t e m p t i n g t o
del i n e a t e Einfache Formen, we h a v e w o r k e d
much too much w i t h q u e s t i o n s of c u l t u r a l in-
f l u e n c e a n d b o r r o w i n g , t h a t we h a v e t h o u g h t
too much i n European a n d Indo-European
terms, t h a t we h a v e l o s t s i g h t of t h e i n s i g h t s
of anthropological science in t r e a t i n g t h e
fundamental q u e s t i o n s of t h e n a t u r e , type,
o r i g i n , a n d d i s t r i b u t i o n of n a r r a t i v e g e n r e s .
Sy t h i s , I mean t h a t t h e p r o b l e m o f t h e
Einfache Formen is an anthropological
p r o b l e m . I-low e l s e to account f o r t h e g l o b a l
d i s t r i b u t i o n of most o f these f o r m s ? No s p i r i t
can inspire, where t h e r e i s n o s y m p a t h y ;
no forn? c a n g r o w , where t h e r e a d i n e s s i s
l a c k i n g . What c a n c h a n g e , p e r h a p s , a r e t h e
s p e c i f i c images o f a b a s i c i n t e l l e c t u a l a n d
emotional content ( w h i c h r e m a i n s a l w a y s a n d
e v e r y w h e r e t h e same). P e r h a p s t h e degree
o f a c u l t u r e ' s p r e d i s p o s i t i o n to accept s u c h
forms, o r the poetic experience w i t h which
t h e forms a r e r e n d e r e d , may a l s o c h a n g e .
What r e m a i n s t h e same, always a n d every-
where, i s t h e f u n c t i o n a l i t y of t h e e x p r e s s i o n
a n d i t s forms. We must t h e r e f o r e e x p a n d o u r
concept o f t h e Einfache Formen ( m a n y o f
w h i c h h a v e been d e f i n e d too n a r r o w l y , ac-
cording to methods of Il'estern I it e r a r y
c r i t i c i s m ) i n o r d e r to encompass t h e i r uni-
versal, human e x p r e s s i v e f u n c t i o n s a n d t h e
l a w s w h i c h u n d e r 1 i e those f u n c t i o n s . These
questions are not really historically or
r e g i o n a l I y l i m i t e d . They a r e pure1 y a n t h r o -
pological. These elemental expressions are
i n t r i n s i c c h a r a c t e r i s t i c s o f t h e soul a n d mind,
a n d a r e t h l ~ se s s e n t i a l to t h e u n i v e r s a l h u m a n
c r e a t i v i t y of e p i c form.12
I b e l i e v e t h a t my m e a n i n g i s c l e a r . I
a l s o b e l i e v e t h a t t h e i m p l i c a t i o n s r e l e v a n t to
the d e f i n i t i o n of categories a r e c l e a r a s well.
F o r t h i s t a s k , we c a n o n l y b e g i n w i t h p e o p l e
themselves, w i t h t h e h e r i t a g e o f t h o u g h t a n d
emotion w h i c h t h e y - - i n v a r i o u s w a y s a n d in
v a r i o u s forms--have invested i n t h e i r n a r r a -
tives. The q u e s t i o n of t e r m i n o l o g y - - t h a t is,
how these genres a n d s u b g e n r e s s h o u l d b e
named--is s e c o n d a r y a n d easy to s o l v e .
I t i s s u r e l y n o t t h e t a s k of a n i n t r o -
ductory address to resolve the d e f i n i t i o n a l
p r o b l e m s i n d i c a t e d h e r e . Elsewhere, I have
a l r e a d y t r i e d i n v a r i o u s w a y s to e s t a b l i s h
a n i n i t i a l , a n d c e r t a i n l y a n incomplete, set
of g u i d e l i n e s f o r s u c h a s t u d y . Here, I would
l i k e t o p o i n t o u t once a g a i n t h a t , though
many of o u r c o l l e a g u e s h a v e a l r e a d y t a k e n
stands on t h i s question, we h a v e s t i l l n o t
arrived at clear and internationally appli-
cable results. I t h a s a l s o been s a i d t h a t
a l l g e n e r i c d i s t i n c t i o n s made w i t h a n " i d e a l
type" in mind a r e inadequate a n d r u n the
risk of being overly abstract, completely
u n r e p r e s e n t a t i v e of r e a l i t y . B u t i s t h i s t r u e ?
A f t e r a l l , these t h i n g s e x i s t ! A l l these t h i n g s
are real: the Marchen, the legend, the
Schwank, t h e re1 i g i o u s legend, t h e a e t i o l o g y ,
t h e memorate, a n d so on. Those r e s e a r c h e r s
who spend--as most o f u s h a v e spent--a
l i f e t i m e d e a l i n g w i t h these s i m p l e o r complex
forms of f o l k c r e a t i o n c e r t a i n l y know, however,
t h a t t h e sum of those p u r e forms w h i c h ac-
t u a l l y e x i s t must o f n e c e s s i t y b e c o n c e n t r a t e d
i n t o the a p p r o p r i a t e genres. N a t u r a l ly there
a r e t r a n s i t i o n a l a n d m i x e d forms: t h e r e a r e
hlarchenschwanke a n d Schwanklegends. A n i m a l
t a l e s a p p e a r sometimes a s f a b l e s , sometimes
a s a e t i o l o g i c a l t a l e s , sometimes a s Schwanke,
a n d a s many o t h e r genres a s w e l l . T h r o u g h
a m i s u n d e r s t a n d i n g of t h e i r meaning, the
p a r a b l e s of one f o l k g r o u p d e v o l v e i n t o t h e
Schwanke of a n o t h e r . Legends--i n t h e c o u r s e
of t h e i r wanderings, when a somewhat d i f -
ferent ethnic group no longer understands o r
t o l e r a t e s t h e i r o r i g i n a l demonic c h a r a c t e r - -
c a n become ~Llarchen. " T h i s i s a s s e l f - e v i d e n t
a s t h e m i x t u r e of l y r i c a n d e p i c modes, o r
of e p i c a n d d r a m a t i c modes," h:ax L u t h i once
stated very c l e a r l y . "There a r e l y r i c a n d
e p i c dramas, b u t t h e i d e a s o f t h e d r a m a t i c ,
t h e l y r i c , the epic, a r e n e v e r t h e l e s s s e p a r a b l e
f r o m each o t h e r , n o t o n l y i n t h e s p e c u l a t i o n s
of p o e t i c t h e o r i s t s , b u t a l s o i n t h e e x p e r i e n c e
of those who c r e a t e a n d e n j o y these e x p r e s -
sions. N o t h i n g w h i c h l i v e s i s r i g i d l y sche-
matic, yet every l i v i n g t h i n g s t r i v e s a f t e r
a d e f i n i t e form. No i n d i v i d u a l n a r r a t i v e w i l l
r i g i d l y f u l f i l l a l l t h e l a w s of t h e genre, b u t
many n a r r a t i v e s d r a w close to t h e s t r i c t a b -
s o l u t e f o r m a n d p l a y a r o u n d i t s borders."13
Therefore, p u r e forms do e x i s t . What
r e m a i n s d o u b t f u l i s o n l y w h e t h e r t h e i r scien-
t i f i c definitions can stand u p to objective
criticism. Are s u c h d e f i n i t i o n s b i n d i n g f o r
the e n t i r e g l o b a l r a n g e of o u r n a r r a t i v e
tradition, o r only perhaps f o r the n a r r a t i v e s
t o l d i n E u r a s i a , o r i n even s m a l l e r e t h n i c
r e g i o n s ? Are they v a l i d o n l y f o r c e r t a i n e r a s
of c u l t u r a l development, o r o n l y w i t h i n c e r -
t a i n mental o r social s t r a t a ? Or a r e such
c r i t e r i a merely a n i n d i v i d u a l a f f a i r ? Please
u n d e r s t a n d me w e l l : these a r e m e r e l y ques-
tions, a n d no h i s t o r i c a l , social, o r ethno-
l o g i c a l t y p o l o g y c a n b e d e r i v e d f r o m them.
I t seems to me--and I intentionally repeat
myself one more time--that the scepticism
w i t h which our theoreticians approach t h e i r
own conceptual viewpoints a n d t h e i r own
f l a i r f o r d e f i n i t i o n s results from a f a l s e
principle. Scholars focus on the surface
m a n i f e s t a t i o n s o f form, structure, stylistic
characteristics, social surroundings, and
other such incidental detai Is--instead of
beginning with the creator of all these
phenomena, t h e one who s t a n d s b e h i n d a l l
these t h i n g s . We must b e g i n w i t h Man the
Narrator, whose s p e c i a l g i f t i t i s to g i v e
appropriate and s u i t a b l e n a r r a t i v e expression
to h i s unconscious i m p u l s e s a n d conscious
imaginings.
Please u n d e r s t a n d me w e l l : a s I see
h i m , t h i s Man t h e N a r r a t o r , who h a s been
i n t r o d u c e d to you w i t h a few s h o r t words, i s
n e i t h e r t h e i n d i v i d u a l who makes u p c e r t a i n
s t o r i e s n o r t h e i n d i v i d u a l n a r r a t o r who passes
them on. N a t u r a l l y , we k n o w a l l a b o u t t h e
r o l e of t h e i n d i v i d u a l i n g e n e t i c a s w e l l a s
i n traditional processes. B u t w h a t I mean
h e r e b y homo narrans i s n o t h i n g more t h a n
t h e sum of a l l s t o r y t e l l i n g a n d t r a d i t i o n -
b e a r i n g people. Homo narrans i s , a t one a n d
t h e same time, t h e r e p r e s e n t a t i v e of h u m a n i t y ,
the representative of humani t y ' s wishes,
dreams, a n d a n x i e t ies--and t h e r e p r e s e n t a t i v e
of these t h o u g h t s a n d f e e l i n g s a s they a r e
f i c t i o n a l ized a n d heightened i n t o t h e i r ap-
p r o p r i a t e n a r r a t i v e forms. T h i s homo narrans
i s t r u l y a n anthropological--not a regional
o r an individual--problem, j u s t a s the forms
and the motivating s p i r i t u a l and intellectual
i m p u l s e s of his n a r r a t i v e s a r e a n t h r o p o l o g i c a l
p r o b l e m s . L i k e homo ludens, homo narrans i s
d i r e c t l y involved in the great c r e a t i v e pro-
cesses of the human s p i r i t . The e f f e c t of h i s
c r e a t i v e use of t h e Einfache Formen c a n b e
f e l t i n even t h e most subtle, r e f i n e d , c r e a t i v e
forms of o u r c i v i l i z a t i o n . The best aspects of
a l l arts-poetry, p a i n t i n g , music--are g r o u n d e d
i n those forms w h i c h homo narrans f i r s t in-
vented--or s h o u l d we say, w h i c h were i n v e n t e d
i n h i m ? Here t h e o n t o l o g i c a l - f u n c t i o n a l ap-
p r o a c h to t h e p r o b l e m e n d s i n m e t a p h y s i c s - -
a t o p i c w h i c h i s n o t w i t h i n t h e scope of t h i s
essay. hly s i m p l e i n t e n t was o n l y t o p o i n t
out possible s t a r t i n g p o i n t s f o r d e f i n i n g the
Einfache Formen of o u r n a r r a t i v e t r a d i t i o n - -
that is, to show how homo narrans g i v e s
f o r m i n l a n g u a g e not o n l y to t h e s u r f a c e
l e v e l of h i s t h o u g h t s , b u t a l s o to w h a t i s
deepest a n d most b a s i c i n him.14

J o h a n H u i z i n g a , Homo Ludens (Hamburg, 1 9 5 6 ) [ E n g l i s h

t r a n s l a t i o n : Homo Ludens: A Study o f t h e P l a y Element i n
C u l t u r e ( B o s t o n : Beacon P r e s s , 1 9 5 5 ) t r a n s . n o t e ] .

H e l m u t h P l e s s n e r , Lachen und Weinen: E i n e Untersuchung

Nach den Grenzen menschlichen V e r h a l t e n s (MUnchen, 1 9 5 0 )
[ E n g l i s h t r a n s l a t i o n : Laughing and C r y i n g : A Study o f t h e
L i m i t s o f Human Behavior ( E v a n s t o n , I l l i n o i s : N o r t h w e s t e r n
U n i v e r s i t y Press, 1970) t r a n s . n o t e ] .

Konrad Lorenz, Verstgndigung u n t e r T i e r e n ( Z u r i c h :

Fontana Verlag, 1953).
4
See, f o r e x a m p l e R i c h a r d W o s s i d l o , l l e c k l e n b u r g i s c h e
V o l k s u b e r l i e f e r u n g e n v o l . 2: D i e T i e r e i m Munde des Volkes
f is mar, 1 8 9 9 ) . p . I l O f f . , n o . 7 4 5 f f . , a n d t h e n o t e s on
t h e s e n u m b e r s , p . 384. [When r e n d e r e d b y M e c h l e n b u r g n a r -
r a t o r s , t h i s passage i s onomatopoeic: t h e words o f t h e crows
a r e made t o s o u n d l i k e c a w i n g . trans. note].

The f o l l o w i n g e v i d e n c e i s s u m m a r i z e d f r o m K u r t Ranke,
" E i n f a c h e Formen," i n Das F i s c h e r L e x i k o n L i t e r a t u r e 2,
1 ( ~ r a n k f u r t : F i s c h e r , 1 9 6 5 ) , p. 1 8 7 f f .

On t h i s p o i n t s e e L u t z R t i h r i c h , ' ! D i e m i t t e l a l t e r l i c h e n
R e d a k t i o n e n des Polyphem-Narchens (AT 1137) und ihr
V e r h a l t n i s z u r a u s s e r h o m e r i s c h e n T r a d i t i o n , I 1 Fabula 5 ( 1 9 6 2 ) :
48ff.

V.J. P r o p p , f l P r i n c i p y k l a s s i f i k a c i i f o l ' k l o r n y x ? a n r o v , l l
S o v e t s k a j a e t n o g r a f i a ( 1 9 6 4 ) : no. 4, p p . 147-154.

Will-Erich P e u c k e r t , Deutsches V o l k s t u n i n MIrchen

und Sage, Schvank and R a t s e l ( ~ e r l i n : W a l t e r de G r u y t e r ,
 K u r t Ranke, " E i n f a c h e Formen,I1 i n I n t e r n a t i o n a l e r
K o n g r e s s d e r V o l k s e r z a h l u n g s f o r s c h e r i n K i e l u n d Kopenhagen
( B e r l i n : W a l t e r de G r u y t e r , 1 9 6 1 ) . I f f . [English transla-
t i o n by W i l l i a m Tempher and E b e r h a r d A l s e n i n J o u r n a l o f
t h e F o l k l o r e I n s t i t u t e 4 ( 1 9 6 7 ) : 17-31. trans. note].

lo K.W. E i s t o v , Zur F r a g e d e r Klassifikationsprinzipien

der Prosa-Volksdictung. L e c t u r e d e l i v e r e d a t t h e Seventh
I n t e r n a t i o n a l Congress o f t h e A n t h r o p o l o g i c a l and E t h n o -
l o g i c a l S c i e n c e s , Moscow, 1964; German-language s e c t i o n ,
(Moscow, 1 9 6 4 ) , p. 2.

l1 Ibid., p. 6.

See n o t e 9; h his passage a p p e a r s on pp. 30-31 o f t h e

English translation. trans. note].
l3 Max L i i t h i , Das E u r o p l i s c h e Volksa2irchen 2nd ed. (Bern
u n d Munchen, 1960). p. 98.

l4 [Translator's note: I would l i k e t o thank T r i c i a

L o o t e n s o f I n d i a n a U n i v e r s i t y f o r r e a d i n g t h r o u g h t h i s manu-
script, correcting errors, and s u g g e s t i n g e m e n d a t i o n s .
She i s r e s p o n s i b l e f o r many o f t h e improvements i n t h e manu-
s c r i p t , b u t i s n o t r e s p o n s i b l e f o r any e r r o r s w h i c h may
remain.