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Narratology
DOI 10.54770/20729316-2023-2-54
A.E. Agratin, V.I. Tiupa (Moscow) HISTORICAL PHASES OF NARRATIVE STRATEGIES
In any sphere of activity, the difference in strategies is generated, on the one hand, by the difference of initial conditions, and on the other hand, by the difference in potential goals. The purpose of narration is the communicative event of the interaction between consciousnesses, which can be strategically different. As for the initial conditions of narration, it's determined by the narrative picture of the world, "which provides the scale for determining what constitutes an event" (Yu.M. Lotman). Such pictures of the world are phasic in their genesis: each of them takes shape in narrative practices at a certain stage in the development of human consciousness but can subsequently be actualized in historically later cultural contexts. The paper considers the precedent, imperative, adventurous, and probabilistic pictures of the world, and clarifies the specifics of the narrative points of view they manifest. Narrative strategies are directly expressed in the narrative through the relationship between the points of view of the narrator and the character (the basic perspectives that form a kind of framework of any narrative discourse) in their relation to the reader (the addressee of the narrative). In early narrative texts the diegetic world appears as if seen from one perspective, common to the narrator, the protagonists of the story and the reader. In post-mythological storytelling practices, all events are demonstrated and evaluated from the perspective of the narrator, the provider of an unquestionable system of values. The narrator of the adventure story appears as a private witness to events, allowing for an alternative view of the story being told, thus opening up the possibility of constructing the perspective of the hero in the narrative. Finally, in the novel and post-novel narratives, the narratorial point of view loses its former authority not only in witnessing and evaluating the narrated events, but also in identifying them and, in this respect, is likened to the character's point of view, which, on the contrary, appears to be dominant.
Key words
Narrative strategy; picture of the world; ethos of narration; point of view; russian literature; myth; parable; anecdote; novel.
А.Е. Агратин, В.И. Тюпа (Москва)
ИСТОРИЧЕСКАЯ СТАДИАЛЬНОСТЬ НАРРАТИВНЫХ СТРАТЕГИЙ
Аннотация
В любой сфере деятельности различие стратегий порождается, с одной стороны, различием начальных условий, а с другой - потенциальных целей. Смысл повествования состоит в коммуникативном событии взаимодействия сознаний, которые могут стратегически различаться. Что касается начальных условий рассказывания, то они определяются нарративной картиной мира, «дающей масштабы того, что является событием» (Ю.М. Лотман). Такие картины мира стадиальны в своем генезисе: каждая из них формируется в нарративных практиках на определенном этапе развития человеческого сознания, но впоследствии может актуализироваться в исторически более поздних культурных контекстах. В статье последовательно рассмотрены прецедентная, императивная, авантюрная и вероятностная картины мира. Нарративные стратегии непосредственно выражены в повествовании через соотношение точек зрения нарратора и героя - базовых перспектив, формирующих своего рода «каркас» любого нарративного высказывания, - в их отношении к читателю (адресату повествования). В ранненарративных текстах диегетический мир предстает как бы увиденным с одной точки зрения, общей для нарратора, действующих лиц истории и читателя. В постмифологических практиках рассказывания все события демонстрируются и оцениваются с позиции нарратора - носителя непререкаемой системы ценностей. Рассказчик авантюрной истории предстает как частный свидетель событий, допускающий альтернативный взгляд на излагаемую историю - в результате открывается возможность для построения перспективы героя в повествовании. Наконец, в романе и построманных повествованиях нарраториальная точка зрения утрачивает былую авторитетность не только в свидетельстве и оценке излагаемых событий, но и в их идентификации и в этом плане уподобляется точке зрения персонажа, которая, напротив, оказывается доминирующей.
Ключевые слова
Нарративная стратегия; картина мира; этос повествования; точка зрения; русская литература; миф; притча; анекдот; роман.
Narrative strategies take the place of an integrative concept in the system of narratological categories. All other characteristics of the narrative are drawn to this concept in one way or another.
Sometimes narrative strategies are unreasonably reduced to narrative techniques. This is, in particular, the popular understanding of this category formulated by G. Prince: narrative strategy is "a set of narrative procedures followed or narrative devices used to achieve some specific goal" [Prince 1987, 64]. In this definition, strategy is substituted for tactics. Meanwhile, the notion of strategy borrowed from military science correctly serves to characterize
the most fundamental attitudes of activity. In a similar vein, Philippe Roussin discusses the "suppositions" of storytelling [Roussin 2010, 17].
When applied to narrative practices, the fundamental distinction between strategic and tactical competencies is fundamentally important, since it prevents the mistaken identification of the author with the narrator. The strategic position of the author ensures the unity of the basic principles of narration and the communicative goal, to which the speech acts of the narrator, sometimes several narrators, lead. The author's position can be both homogeneous with the position of the narrator and detached (ironic) in relation to him or her.
According to M.M. Bakhtin, there are "two events - the event that is narrated in the work and the event of narration itself" [Bakhtin 1990, 255]. The dual-events nature of the narrative also requires a two-dimensional approach to defining narrative strategy. For that matter, in any field of activity, the difference in strategies is determined by the difference in its initial conditions and by the difference in target settings.
The initial conditions are determined by the picture of the world, "which provides the scale for determining what constitutes an event" [Lotman 1977, 234] Picture of the world is the common name for a multitude of systems of representation of life: linguistic, ethnic, scientific, religious, artistic, professional, age, gender, etc. pictures of the world. In each of these variations it is a set of initial assumptions about the most general preconditions of human presence in being.
The target settings can also be fundamentally different; they are determined by the ethos of narration.
According to Ricoeur, there is no ethically neutral narratives because "the anticipation of ethical considerations is implied in the very structure of the act of narrating" [Ricoeur 1992, 148]. Wayne Booth described "the encounters of a storyteller's ethos with that of the reader or listener" [Booth 1988, 8].
Narrative ethos is a rhetorical category that actively enters the circle of non-classical narratological concepts [Altes 2014, 20]. According to Bakhtin, the ethos corresponds to the "typical model of addressee" [Bakhtin 1990, 200] of discourse. In his philosophy of dialogue, Levinas considered in this sense a mental attitude implicit in the intersubjective space of communication. Ethos is not subjective. It is intersubjective "magnetic field" in which the subject finds itself "sustaining discourse" (in Foucault's terms).
The ethos of narrative discourse presupposes the readiness of the addressee to move toward the value horizon of the narrator. The category of ethos in nar-ratology signifies the position of value and meaning that the subject perceiving history is called to take, while remaining a participant in the communicative event. Of course, as we reread the same text, we can always take a position of analytical distance. But at this point we disrupt the intersubjective relationship between the narrator and his or her addressee.
It should be added that these conditions and target settings are directly expressed in the narrative through the relationship between the points of view of the narrator and the character (the basic perspectives that form a kind of "framework" of any narrative discourse) in their relation to the reader (the addressee of the narrative).
Point of view is the position taken by a narrator toward the storyworld. The term "point of view" is similar to the terms "perspective" and "focalization". Often, the three concepts are used synonymously. Nevertheless, some differences between them can be traced. Perspective is usually understood as the subjective worldview of a character or narrator (if the second is personified). In the framework of constructivist approaches to narrative, the term indicates the specifics of reader activity: the recipient inevitably transfers his ideas about the person and the human mind to the hero (builds his "perspective"), so that his existence is conceived as pseudo-real [Surkamp 2005, 424]. However, classical narratol-ogy does not imply a strict distinction between perspective and point of view.
B. Niederhoff, following S.S. Lanser [Lanser 1981, 13], rightly notes that point of view is "a relation between a viewing subject and a viewed object.
Narratologists have occasionally succumbed to the temptation of simplifying
things by reducing the relation to one of the elements connected by it" [Niederhoff 2014]. By shifting the emphasis toward the object, scholars are more likely to use the term "focalization", but they prefer the term "point of view" ("perspective") to draw attention to the subject. In our opinion, point of view is a generic concept in relation to focalization and point of view in a narrower sense (the point from which the storyworld is viewed).
W. Schmid qualifies point of view as a mandatory (basic) component of the narrative which determines its "optics" and the selection of translated information about the storyworld. Choosing point of view is the initial phase of generating a narrative: a given object becomes a part of the story when it is in the field of vision of a subject. In other words, a narrative without point of view simply does not exist [Schmid 2010, 195]. It should be added that narratolo-gists who interpret the concept of point of view more narrowly do not agree with this statement. "If we think of the concept in spatio-visual terms", lack of point of view is acceptable: "One can tell a story without a fixed viewpoint in the literal sense, just as one can paint a landscape without perspective" [Niederhoff 2014].
This article adopts Schmid's typology of point of view. According to this typology, narrator can tell a story in either of two ways: from his own perspective or from the perspective of one or more characters [Schmid 2010, 105].
The formation of narrative strategies is a historical process of a phasic nature. The first step in forming some narrative strategy was the mastery of verbal storytelling, free of paralinguistic means of representation. Narrative replaces the more primitive communicative practice of syncretic display. The most archaic narrative practices (tales of mythical cultural heroes and fairy tales) have inherited the mythological picture of the world, which is that everything in the world has already been and will be again, as with the changing seasons. It is a precedential picture of the world where only what is supposed to happen happens; here the person, according to M. Eliade, refuses "to grant value <...> to the unusual events" [Eliade 1971, 85]. In contrast to the myth, narrative discourse confers eventfulness on singular incidents. However, by inheriting "the inventory of myth" [OpengeH6epr 1998, 228], it also inherits the precedential nature of the latter. Eventfulness is given to the mythological substratum by
the fact that it is presented as a precedent, the first occurrence in a series of all such occurrences. The archaic character is similar to the mythological character. It's a performer of actions, realizing some necessity.
The precedential picture of the world also determines the ethos of archaic narratives. As S.Yu. Neklyudov shows, moral code of these narratives is adherence to "rules of behavior", while "wrong" actions characterize the "false hero" [Неклюдов 2020, 26]. The receptive attitude of the addressee of early narrative texts consists in acquiring and preserving an attachment to a common generic experience of "correct behavior", in a choral identity with everyone. This attitude implies an optic of narration in which the diegetic world is seen from a single perspective common to the narrator, the characters, and the reader, whose complete solidarity with other narrative instances ("witnesses" of the events) is a necessary condition for an adequate perception of the narrative. The ethos of the imitative narrative strategy is the ethos of calm.
The historical crisis of mythological consciousness leads to the formation of several paths of further development of human mentality. The most important among them was the emergence of religious legends, which required a fundamentally new (regulative) strategy. In post-mythological religious consciousness, an imperative picture of the world manifested by the narrative practices of the Old Testament is formed. This picture of the world is based on the initial assumption that life is determined not by cyclical recurrences, but by a supreme world order, where a sacred law or a subject of higher justice rules.
The narrator, whose point of view determines the entire course of the story, becomes the representative of such a subject in the narrative. The character's vision is not presented in the structure of the narrative. His perspective is not actualized; all events are demonstrated and evaluated from the perspective of the narrator, the bearer of an unquestionable system of values. The reader also sees things from the narratorial point of view: "all the subject-object relations expressed in the text" converge "in one fixed focus" [Lotman 1977, 265].
The narratives of the Old Testament are characterized by an ethos of duty. The narrative focuses on the ultimate positivity or negativity of the event chain, allowing for the extraction of values of existence from the perceived story. The ethos of duty consists in concern for the dignity of one's position in life, the legitimacy of one's motives and actions.
A kind of quintessence of the second narrative strategy is a parable. The historical roots of the parable are found in the hagiographic genre of medieval book writing, as well as in many genres of fiction: the fable, canonical genres of drama (tragedy and comedy), etc.
A radically new strategy is found in the adventurous Greek novel (2nd century AD). The world of adventure, as Bakhtin characterizes it, is a world of initiatory chance, "where the normal, pragmatic and premediated course of events is interrupted" [Bakhtin 1990, 92]. As the researcher notes, "Greek adventure-time lacks any narural, everyday cyclicity" [Bakhtin 1990, 91]. It's an occasional picture of the world. It presents life as a chaotic stream of mishaps, like a game of chance, where any outcome and the most improbable set of cir-
cumstances are possible. For the adventurous character, everything is determined by the unpredictable "lot" that falls to him.
The receptive attitude of the adventurous narrative can be defined as an ethos of desire, as an intention of self-actualization: to become oneself. This reading imbues the narrated story with a meaning that is "desire" [Barthes 2007, 40] of the reader himself.
The narrator is a private witness to events, which provides an alternative view of the story. This opens up the possibility of constructing a character's perspective. The reader's optics are still closely tied to the narratorial point of view, but now reader is allowed to look at the diegetic world through the eyes of the characters.
The adventurous strategy emerged long before the Greek novel, in the marginal narrative practice of anecdotes about the private lives of notable historical figures. The anecdote which captured the separation of private life from polis communality carried in itself the germs of carnival profanation, which Bakhtin associated with the emergence of the novella: "The 'extraordinary' in the novella is the violation of the prohibition, is the profanation of the sacred" [Бахтин 1990, 41]. The canonical novella is a product of the third basic narrative strategy.
The genre-forming factor of the novel is the biographical structure of the narrative, which O.E. Mandelstam focused on in his 1922 essay "The End of the Novel", defining novel writing as "the art of getting interested in the fate of individuals" [Мандельштам 1987, 72], rather than national heroes or generic characters. In contrast to the adventure novel, the nineteenth-century classic novel developed the strategy of the biographical narrative that unfolds the indirect trajectories of individual existences through a series of situations that can turn out to be either precedent, or imperative, or adventurous-occasional. The biographical strategy is based on a probabilistic picture of the world, which, on the one hand, combines existing types of eventfulness, and on the other hand, generates its own type of eventfulness, different from all previous ones. Leaving the precedent world of domestic existence, Pushkin's Grinev ("The Captain's Daughter") finds himself in a world of adventurous incidents (losing to Zurin, a disastrous snowstorm and a miraculous rescue, a duel with Shvabrin). With a noose around his neck in front of Pugachev's outstretched hand, he enters a situation of unequivocally imperative choice. Finally, during the trial Grinev could justify himself and defend his noble honor but at the cost of the loss of his human dignity (this is how he imagines Masha's involvement in the trial). This is a typical "bifurcation point" that is characteristic of the probabilistic picture of the world. The defining nodes of the novel narrative are the moments of inevitable but not predetermined life change when the character appears as a subject of individual experience and personal self-identification. The narrator does not possess complete knowledge of the diegetic world. The narratorial point of view loses its authority not only in witnessing and evaluating the narrated events, but also in identifying them, and in this respect is likened to the point of view of the character, which, on the contrary, appears to be dominant.
This tendency is extremely clear in the post-novel genre of the short story, which is primarily represented in Russian literature by Chekhov ("A Nervous
Breakdown", "The Lady with the Dog"). In Z.S. Paperny's correct observation, Chekhov's "reader <...> is like a person entering a garden, where there are no explanations, no signs, no pointers, where one must look, listen, breathe in the scent, and decide for oneself" [nanepHtm 1960, 49].
In "The Student" Ivan Velikopol'skiy, under the influence of cold weather and without the most comfortable conditions of home life, succumbs to pessimism. After telling two widows the parable of Peter's denial and seeing Vasil-isa cry and how Luker'ya's "expression became strained and heavy like that of someone enduring intense pain", the student suddenly realizes "that truth and beauty which had guided human life there in the garden and in the yard of the high priest had continued without interruption to this day" [Chekhov 1918]
The whole story is a narrative from Ivan's point of view. Both the emotional decline and spiritual elevation of the character occur within his horizons. To comprehend Ivan's discovery and see if whether it is simply the impulsive, meaningless gust of the young man, it is necessary to hear the narrator's voice and find out what will happen to the hero afterwards. For this, the context of his future is required. However, narratorial point of view does not give us access to this information. It is only at the end that the narrator, who looks out from the shadow of the hero's perception for a brief instant, hints at the uncertainty of the hero's future life: "and the feeling of youth, health, vigor - he was only twenty-two - and the inexpressible sweet expectation of happiness, of unknown mysterious happiness, took possession of him little by little, and life seemed to him enchanting, marvellous, and full of lofty meaning" [Chekhov 1918].
The narrator, unlike the hero, remains unsure about the significance of the changes in his world: any fact may or may not turn out to be an event once the character has chosen one of the possible continuations of his life.
No perspective is a reliable tool for the reader to identify and make sense of the story: the addressee of the narrative gains unprecedented freedom and at the same time assumes an equally unprecedented responsibility in clarifying the meaning of the narrative (the ethos of responsibility).
It should be noted that, theoretically, each of the pictures of the world can serve as a basis for any (or almost any) ethos, which gives reason to speak of hybrid narrative strategies in the history of narration. The table below shows possible hybrid strategies (along with the basic ones in bold):
Ethos / Picture of the world I. Calm II. Duty III. Desire IV. Responsibility
A. Precedential AI (imitative strategy) AII AIII AIV
B. Imperative BI BII (regulative strategy) BIII BIV
C. Occasional CI CII CIII (adventurous strategy) CIV
D. Probabilistic DI DII DIII DIV (biographical strategy)
Gogol's "Dead Souls" combines occasional eventfulness with the ethos of duty. The probabilistic picture of the world of Tolstoy's and Dostoevsky's narratives differs in its ethos. Tolstoy's narrative is organized by the ethos of necessity. Here the narrator always knows the measure of the hero's rightness, although he does not always state it directly. But he often leads his characters to the realization of the moral truth. In Dostoevsky's novels, the probabilistic chain of events unfolds in the intension of responsibility for participation in the struggle of world powers. Of course, Raskolnikov's anguish and the happy ending of his story can bring to mind the ethos of duty. In the epilogue, however, Raskolnikov did not make any parable-like choice. Agreeing with Bakhtin that each of Dostoevsky's characters has his own truth polyphonically conjugated with other truths without the author's "last word", one cannot but recognize that the reader is also left with a similar position. But Dostoevsky does not allow for the dispersion of alternative readings. This is how the narrative effect of solidarity is formed.
Narrative strategies should be qualified as basic models of narrative discourse. The study of these models will make it possible to trace the regularities that characterize not only the transformation of narrative practices but also the gradual changes in the human culture associated with the perception, storage, comprehension, and transmission of event experience.
It should be noted that narrative strategies do not replace one another irrevocably. Once emerged, they are actualized again in the subsequent stages of the evolution of the narrative. For example, the regulative strategy, which first asserted itself in religious devotion, was consistently applied in medieval literature and later in classicism.
The study of narrative strategies is available at the level of the formal organization of the narrative text. This is the configuration of the points of view of the narrator and the character. This configuration reflects the picture of the world conveyed by the narrative as well as its target settings. "Traces" of the strategies discussed in this paper can probably be found in other aspects of the presentation of the narrative as well.
The historical phases of narrative strategies are consistent with the processes of genre formation: the adventurous strategy corresponds to the novella, the biographical strategy corresponds to the novel and the short story. In this sense, the study of genres from a comparative perspective goes hand in hand with the identification of the strategic parameters of storytelling. The results of genre studies are a reliable support for a deeper understanding of the nature of narration as a historically determined phenomenon.
A narrative strategy is a universal tool of analysis used to describe narratives of any media. That's why it would be reasonable to trace the functioning of the discussed category on non-literary material.
The hybrid strategies mentioned in the conclusion of this paper are worthy of study in their own right. Potential combinations of conditions and target settings of the narrative need more detailed factual confirmation.
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Andrey E. Agratin,
Russian State University for the Humanities; Pushkin State Russian Language Institute. Candidate of Philology, Associate Professor at the Department of Theoretical and Historical Poetics; Senior Teacher at the Department of Humanities and Natural Sciences. Research interests: narratology, discourse analysis, history of Russian literature of the nineteenth century, A.P. Chekhov's prose, contemporary literature. E-mail: andrej-agratin@mail.ru ORCID ID: 0000-0002-4993-7289
Valerij I. Tiupa,
Russian State University for the Humanities.
Doctor of Philology, Professor, Professor at the Department
of Theoretical and Historical Poetics, Institute of Philology and History.
Research interests: theory and history of literature, narratology,
poetics of lyrics, aesthetics, theory of communication.
E-mail: v.tiupa@gmail.com
ORCID ID: 0000-0002-1688-2787
Агратин Андрей Евгеньевич,
Российский государственный гуманитарный университет; Государственный институт русского языка имени А.С. Пушкина. Кандидат филологических наук, доцент кафедры теоретической и исторической поэтики РГГУ, старший педагог кафедры гуманитарных и естественных наук Гос. ИРЯ им. А.С. Пушкина. Научные интересы: нарратология, дискурс-анализ, история русской литературы XIX века, проза А.П. Чехова, современная литература. E-mail: andrej-agratin@mail.ru ORCID ID: 0000-0002-4993-7289
Тюпа Валерий Игоревич,
Российский государственный гуманитарный университет. Доктор филологических наук, профессор, профессор кафедры теоретической и исторической поэтики Института филологии и истории. Научные интересы: теория и история литературы, нарратология, поэтика лирики, эстетика, теория коммуникации. E-mail: v.tiupa@gmail.com ORCID ID: 0000-0002-1688-2787
