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[转载]弗拉基米尔·普洛普(Vladimir Propp）叙事理论

2015-07-15 00:23阅读：

http://blog.sina.cn/dpool/blog/u/2034885121

原文地址：弗拉基米尔·普洛普(Vladimir Propp）叙事理论
原文作者：自由人

[转载]弗拉基米尔·普洛普(Vladimir <wbr>Propp）叙事理论 弗拉基米尔·普洛普(Vladimir Propp, 1895-1970)


普洛普（Vladimir Propp）于1928年出版的《民间故事形态学》是形式主义在叙事学研究中的一个胜利，普洛普的叙事研究在形式上指出了意义产生的过程，他象化学家分析化学元素一样把故事当成叙事元素的组合。普洛普的整个研究，就是试图抽出民间故事中的共性。他认为在俄国民间故事中，人物的行为是不变的，他称为'功能'。他认为角色的功能可细分为三十一种，这些功能是按一定的顺序排列下来的。而这些功能经常是纠缠在一起的，形成了'角色'，他认为角色共有七个：反面角色、协助者、救援者、公主和她的父亲、送信人、英雄、假英雄。而角色和功能是故事的二个基本元素。
　　普洛普的叙事研究已经形成现代叙事学的基本框架。当他的理论在20世纪60年代被译介给西方时，对西方现代叙事学的影响是巨大的。
31个功能，如下： 1、某个家庭成员不在家。 2、对主人公下一道禁令。 3、禁令被破坏。 4、坏人试探虚实。 5、坏人获得受害者的消息。 6、坏人企图欺骗受害者，以便控制他或占有他的财产。 7、受害者落入圈套，不自觉地帮助了敌人。 8、坏人伤害了家庭中的某个成员。 8a、家庭中某个成员缺少或希望得到某物。 9、出现灾难或贫穷：主人公得到
请求或命令，他被允许前往或派往。 10、寻找者同意或决定反抗。 11、主人公离家出走。 12、主人公经受考验、审讯或遭到攻击等。这一切为他后来获得某种魔力或帮助铺平了道路。 13、主人公对未来的施与者作出反应。 14、主人公获悉使用魔力的方法。 15、主人公被送到、派到或带到他所寻找的目标所在地。 16、主人公与坏人殊死交锋。
17、主人公遇难得救。 18、坏人败北。 19、最初的灾难与贫穷得到解除。 20、主人公返回家园。 21、主人公受到追捕。 22、主人公在追捕中获救。 23、主人公返回家园或到另一国度，未被认出。 24、假主人公提出无理要求。 25、给主人公出难题。 26、难题得到解决。 27、主人公得到承认。 28、假主人公或坏人被揭露。
29、主人公被赋予新的形象。 30、主人公受到惩罚。 31、主人公结婚并登上王位。
Functions
After the initial situation is depicted, the tale takes the following sequence of 31 functions:
  1. ABSENTATION: A member of a family leaves the security of the home environment for some reason. This may be the hero or perhaps it’s some other member of the family that the hero will later need to rescue. This division of the cohesive family injects initial tension into the storyline. The hero may also be introduced here, often being shown as an ordinary person. This allows the reader of the story to associate with the hero as being 'like me'.
  2. INTERDICTION: An interdiction is addressed to the hero ('don't go there', 'don't do this')The hero is warned against some action (given an 'interdiction'). A warning to the hero is also a warning to the reader about the dangers of life. Will the hero heed the warning? Would the reader? Perhaps the reader hopes the hero will ignore the warning, giving a vicarious adventure without the danger.
  3. VIOLATION of INTERDICTION. The interdiction is violated (villain enters the tale). The hero ignores the interdiction (warning not to do something) and goes ahead. This generally proves to be a bad move and the villain enters the story, although not necessarily confronting the hero. Perhaps they are just a lurking presence or perhaps they attack the family whilst the hero is away. This acts to further increase tension. We may want to shout at the hero 'don't do it!' But the hero cannot hear us and does it anyway.
  4. RECONNAISSANCE: The villain makes an attempt at reconnaissance (either villain tries to find the children/jewels etc; or intended victim questions the villain). The villain (often in disguise) makes an active attempt at seeking information, for example searching for something valuable or trying to actively capture someone. They may speak with a member of the family who innocently divulges information. They may also seek to meet the hero, perhaps knowing already the hero is special in some way. The introduction of the villain adds early tension to the story, particularly when they are found close to the previously-supposedly safe family or community environment. The eloquence or power of the villain may also add tension and we may want to shout at their targets to take care.
  5. DELIVERY: The villain gains information about the victim. The villain's seeking now pays off and he or she now acquires some form of information, often about the hero or victim. Other information can be gained, for example about a map or treasure location or the intent of the 'good guys'. This is a down point in the story as the pendulum of luck swings towards the villain, creating fear and anticipation that the villain will overcome the hero and the story will end in tragedy.
  6. TRICKERY: The villain attempts to deceive the victim to take possession of victim or victim's belongings (trickery; villain disguised, tries to win confidence of victim). The villain now presses further, often using the information gained in seeking to deceive the hero or victim in some way, perhaps appearing in disguise. This may include capture of the victim, getting the hero to give the villain something or persuading them that the villain is actually a friend and thereby gaining collaboration. Deception and the betrayal of trust is one of the worst social crimes, short of physical abuse. This action cements the position of the villain as clearly bad. It also raises the tension further as we fear for the hero or victim who is being deceived.
  7. COMPLICITY: Victim taken in by deception, unwittingly helping the enemy. The trickery of the villain now works and the hero or victim naively acts in a way that helps the villain in some way. This may range from providing the villain with something (perhaps a map or magical weapon) to actively working against good people (perhaps the villain has persuaded the hero that these other people are actually bad). We now despair as the hero or victim acts in a way that may be seen as villainous. Perhaps we worry that the hero will fall permanently into the thrall of the villain. Perhaps they will become corrupted and evil also. We also fear for the reputation of the hero who may be perceived as evil and thus never find the true treasure or win the hand of the princess.
  8. VILLAINY and LACK: Villain causes harm/injury to family member (by abduction, theft of magical agent, spoiling crops, plunders in other forms, causes a disappearance, expels someone, casts spell on someone, substitutes child etc, comits murder, imprisons/detains someone, threatens forced marriage, provides nightly torments); Alternatively, a member of family lacks something or desires something (magical potion etc). There are two parts to this stage, either or both of which may appear in the story. In the first stage, the villain causes some kind of harm, for example carrying away a victim or the desired magical object (which must be then be retrieved). In the second stage, a sense of lack is identified, for example in the hero's family or within a community, whereby something is identified as lost or something becomes desirable for some reason, for example a magical object that will save people in some way. 'Lack' is a deep psychoanalytic principle which we first experience when we realize our individual separation from the world. Lack leads to desire and deep longing and we look to heroes to satisfy this aching emptiness.
  9. MEDIATION: Misfortune or lack is made known, (hero is dispatched, hears call for help etc/ alternative is that victimized hero is sent away, freed from imprisonment). The hero now discovers the act of villainy or lack, perhaps finding their family or community devastated or caught up in a state of anguish and woe. This creates a defining moment in the story as we wonder what will happen now. Perhaps we do not realize that the hero is the hero, as they may not yet have demonstrated heroic qualities. We feel the lack in sympathy for the act of villainy, but the hero may just have arrived on the scene or may be undistinguished from other grieving family members.
  10. BEGINNING COUNTER-ACTION: Seeker agrees to, or decides upon counter-action. The hero now decides to act in a way that will resolve the lack, for example finding a needed magical item, rescuing those who are captured or otherwise defeating the villain. This is a defining moment for the hero as this is the decision that sets the course of future actions and by which a previously ordinary person takes on the mantle of heroism. Having made this decision, acting with integrity means that there is no turning back, for to do so would be to remove the mantle of heroism and be left only with shame.
  11. DEPARTURE: Hero leaves home;
  12. FIRST FUNCTION OF THE DONOR: Hero is tested, interrogated, attacked etc, preparing the way for his/her receiving magical agent or helper (donor);
  13. HERO'S REACTION: Hero reacts to actions of future donor (withstands/fails the test, frees captive, reconciles disputants, performs service, uses adversary's powers against him);
  14. RECEIPT OF A MAGICAL AGENT: Hero acquires use of a magical agent (directly transferred, located, purchased, prepared, spontaneously appears, eaten/drunk, help offered by other characters);
  15. GUIDANCE: Hero is transferred, delivered or led to whereabouts of an object of the search;
  16. STRUGGLE: Hero and villain join in direct combat;
  17. BRANDING: Hero is branded (wounded/marked, receives ring or scarf);
  18. VICTORY: Villain is defeated (killed in combat, defeated in contest, killed while asleep, banished);
  19. LIQUIDATION: Initial misfortune or lack is resolved (object of search distributed, spell broken, slain person revived, captive freed);
  20. RETURN: Hero returns;
  21. PURSUIT: Hero is pursued (pursuer tries to kill, eat, undermine the hero);
  22. RESCUE: Hero is rescued from pursuit (obstacles delay pursuer, hero hides or is hidden, hero transforms unrecognisably, hero saved from attempt on his/her life);
  23. UNRECOGNIZED ARRIVAL: Hero unrecognized, arrives home or in another country;
  24. UNFOUNDED CLAIMS: False hero presents unfounded claims;
  25. DIFFICULT TASK: Difficult task proposed to the hero (trial by ordeal, riddles, test of strength/endurance, other tasks);
  26. SOLUTION: Task is resolved;
  27. RECOGNITION: Hero is recognized (by mark, brand, or thing given to him/her);
  28. EXPOSURE: False hero or villain is exposed;
  29. TRANSFIGURATION: Hero is given a new appearance (is made whole, handsome, new garments etc);
  30. PUNISHMENT: Villain is punished;
  31. WEDDING: Hero marries and ascends the throne (is rewarded/promoted).
Occasionally, some of these functions are inverted, as when the hero receives something while still at home, the function of a donor occurring early. More often, a function is negated twice, so that it must be repeated three times.

Seven Characters

He also concluded that all the characters could be resolved into only 7 broad character types in the 100 tales he analyzed:
  1. The villain — struggles against the hero.
  2. The donor— prepares the hero or gives the hero some magical object.
  3. The (magical) helper — helps the hero in the quest.
  4. The princess and her father — gives the task to the hero, identifies the false hero, marries the hero, often sought for during the narrative. Propp noted that functionally, the princess and the father can not be clearly distinguished.
  5. The dispatcher — character who makes the lack known and sends the hero off.
  6. The hero or victim/seeker hero — reacts to the donor, weds the princess.
  7. [False hero] — takes credit for the hero’s actions or tries to marry the princess.
These roles could sometimes be distributed among various characters, as the hero kills the villain dragon, and the dragon's sisters take on the villainous role of chasing him. Conversely, one character could engage in acts as more than one role, as a father could send his son on the quest and give him a sword, acting as both dispatcher and donor.

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