The Classic Fairy Tales (Second Edition) (Norton Critical Editions)

by Edited by Maria Tatar

  The Oral and Literary Fairy Tales

  The evolution of the fairy tale as a literary genre is marked by dialectical appropriation that set the cultural conditions for its institutionalization and its expansion as a mass-mediated form through radio, film, and television. Fairy tales were first told by gifted tellers and were based on rituals intended to endow with meaning the daily lives of members of a tribe. As oral folk tales, they were intended to explain natural occurrences such as the change of the seasons and shifts in the weather or to celebrate the rites of harvesting, hunting, marriage, and conquest. The emphasis in most folk tales was on communal harmony. A narrator or narrators told tales to bring members of a group or tribe closer together and to provide them with a sense of mission, a telos. The tales themselves assumed a generic quality based on the function that they were to fulfill for the community or the incidents that they were to report, describe, and explain. Consequently, there were tales of initiation, worship, warning, and indoctrination. Whatever the type may have been, the voice of the narrator was known. The tales came directly from common experiences and beliefs. Told in person, directly, face-to-face, they were altered as the beliefs and behaviors of the members of a particular group changed.

  With the rise of literacy and the invention of the printing press in the fifteenth century, the oral tradition of storytelling underwent an immense revolution. The oral tales were taken over by a different social class, and the form, themes, production, and reception of the tales were transformed. This change did not happen overnight, but it did foster discrimination among writers and their audiences almost immediately so that distinct genres were recognized and approved for certain occasions and functions within polite society or cultivated circles of readers. In the case of folk tales, they were gradually categorized as legends, myths, fables, comical anecdotes, and, of course, fairy tales. What we today consider fairy tales were actually just one type of the folk-tale tradition, namely the Zaubermärchen or the magic tale, which has many sub-genres. The French writers of the late seventeenth century called these tales contes de fées (fairy tales) to distinguish them from other kinds of contes populaires (popular tales), and what really distinguished a conte de fée, based on the oral Zaubermärchen, was its transformation into a literary tale that addressed the concerns, tastes, and functions of court society. The fairy tale had to fit into the French salons, parlors, and courts of the aristocracy and bourgeoisie if it was to establish itself as a genre. The writers, Mme D’Aulnoy, Charles Perrault, Mlle L’Héritier, Mlle de La Force, etc., knew and expanded upon oral and literary tales. They were not the initiators of the literary fairytale tradition in Europe (cf. Zipes 1989). Two Italian writers, Giovanni Francesco Straparola and Giambattista Basile, had already set an example for what the French were accomplishing.1 But the French writers created an institution, that is, the genre of the literary fairy tale was institutionalized as an aesthetic and social means through which questions and issues of civilité, proper behavior and demeanor in all types of situations, were mapped out as narrative strategies for literary socialization, and in many cases, as symbolic gestures of subversion to question the ruling standards of taste and behavior.

  While the literary fairy tale was being institutionalized at the end of the seventeenth and beginning of the eighteenth century in France, the oral tradition did not disappear, nor was it subsumed by the new literary genre. Rather, the oral tradition continued to feed the writers with material and was now also influenced by the literary tradition itself. The early chapbooks (cheap books), known as the Bibliothèque Bleue, that were carried by peddlers or colporteurs to the villages throughout France contained numerous abbreviated and truncated versions of the literary tales, and these were in turn told once again in these communities. In some cases, the literary tales presented new material that was transformed through the oral tradition and returned later to literature by a writer who remembered hearing a particular story.

  By the beginning of the nineteenth century when the Brothers Grimm set about to celebrate German culture through their country’s folk tales, the literary fairy tale had long since been institutionalized, and they, along with Hans Christian Andersen, Carlo Collodi, Ludwig Bechstein, and a host of Victorian writers from George MacDonald to Oscar Wilde, assumed different ideological and aesthetic positions within this institutionalization. These writers put the finishing touches on the fairy-tale genre at a time when nation-states were assuming their modern form and cultivating particular types of literature as commensurate expressions of national cultures.

  What were the major prescriptions, expectations, and standards of the literary fairy tale by the end of the nineteenth century? Here it is important first to make some general remarks about the “violent” shift from the oral to the literary tradition and not just talk about the appropriation of the magic folk tale as a dialectical process. Appropriation does not occur without violence to the rhetorical text created in the oral tales. * * * Such violation of oral storytelling was crucial and necessary for the establishment of the bourgeoisie because it concerned the control of desire and imagination within the symbolic order of western culture.

  Unlike the oral tradition, the literary tale was written down to be read in private, although, in some cases, the fairy tales were read aloud in parlors. However, the book form enabled the reader to withdraw from his or her society and to be alone with a tale. This privatization violated the communal aspects of the folk tale, but the very printing of a fairy tale was already a violation since it was based on separation of social classes. Extremely few people could read, and the fairy tale in form and content furthered notions of elitism and separation. In fact, the French fairy tales heightened the aspect of the chosen aristocratic elite who were always placed at the center of the seventeenth- and eighteenth-century narratives. They were part and parcel of the class struggles in the discourses of that period. To a certain extent, the fairy tales were the outcome of violent “civilized” struggles, material representations, which represented struggles for hegemony. As Nancy Armstrong and Leonard Tennenhouse have suggested,

  a class of people cannot produce themselves as a ruling class without setting themselves off against certain Others. Their hegemony entails possession of the key cultural terms determining what are the right and wrong ways to be a human being.2

  No matter where the literary tale took root and established itself—France, Germany, England—it was written in a standard “high” language that the folk could not read, and it was written as a form of entertainment and education for members of the ruling classes. Indeed, only the well-to-do could purchase the books and read them. In short, by institutionalizing the literary fairy tale, writers and publishers violated the forms and concerns of non-literate, essentially peasant communities and set new standards of taste, production, and reception through the discourse of the fairy tale.

  The literary fairy tales tended to exclude the majority of people who could not read, while the folk tales were open to everyone. Indeed, the literary narratives were individualistic and unique in form and exalted the power of those chosen to rule. In contrast, the oral tales had themes and characters that were readily recognizable and reflected common wish-fulfillments. Of course, one had to know the dialect in which they were told. From a philological standpoint, the literary fairy tale elevated the oral tale through the standard practice of printing and setting grammatical rules in “high French” or “high German.” The process of violation is not one of total negation and should not be studied as one-dimensional, for the print culture enabled the tales to be preserved and cultivated, and the texts created a new realm of pleasurable reading that allowed for greater reflection on the part of the reader than could an oral performance of a tale. At the beginning, the literary fairy tales were written and published for adults, and though they were intended to reinforce the mores and values of French civilité, they were so symbolic and could be read on so many different levels that they were considered somewhat dangerou
s: social behavior could not be totally dictated, prescribed, and controlled through the fairy tale, and there were subversive features in language and theme. This is one of the reasons that fairy tales were not particularly approved for children. In most European countries it was not until the end of the eighteenth and early part of the nineteenth century that fairy tales were published for children, and even then begrudgingly, because their “vulgar” origins in the lower classes were suspect. Of course, the fairy tales for children were sanitized and expurgated versions of the fairy tales for adults, or they were new moralistic tales that were aimed at the domestication of the imagination, as Rüdiger Steinlein has demonstrated in his significant study.3 The form and structure of the fairy tale for children were carefully regulated in the nineteenth century so that improper thoughts and ideas would not be stimulated in the minds of the young. If one looks carefully at the major writers of fairy tales for children who became classical and popular in the nineteenth century,4 it is clear that they themselves exercised self-censorship and restraint in conceiving and writing down tales for children.

  This is not to argue that the literary fairy tale as institution became one in which the imagination was totally domesticated. On the contrary, by the end of the nineteenth century the genre served different functions. As a whole, it formed a multi-vocal network of discourses through which writers used familiar motifs, topoi, protagonists, and plots symbolically to comment on the civilizing process and socialization in their respective countries. These tales did not represent communal values but rather the values of a particular writer. Therefore, if the writer subscribed to the hegemonic value system of his or her society and respected the canonical ideology of Perrault, the Grimms, and Andersen, he/she would write a conventional tale with conservative values, whether for adults or children. On the other hand, many writers would parody, mock, question, and undermine the classical literary tradition and produce original and subversive tales that were part and parcel of the institution itself.

  The so-called original and subversive tales have kept the dynamic quality of the dialectical appropriation alive, for there has always been a danger that the written word, in contrast to the spoken word, will fix a structure, image, metaphor, plot, and value as sacrosanct. For instance, for some people the Grimms’ fairy tales are holy, or fairy tales are considered holy and not to be touched. How did this notion emanate?

  To a certain extent it was engendered by the Grimms and other folklorists who believed that the fairy tales arose from the spirit of the folk. Yet, worship of the fairy tale as holy scripture is a petrification of the fairy tale that is connected to the establishment of correct speech, values, and power more than anything else. This establishment through the violation of the oral practices was the great revolution and transformation of the fairy tale.

  By the end of the nineteenth century the literary fairy tale had the following crucial functions as institution in middle-class society:

  (1) It introduced notions of elitism and separatism through a select canon of tales geared to children who knew how to read.

  (2) Though it was also told, the fact that the fairy tale was printed and in a book with pictures gave it more legitimacy and enduring value than an oral tale that disappeared soon after it was told.

  (3) It was often read by a parent in a nursery, school, or bedroom to soothe a child’s anxieties, for the fairy tales for children were optimistic and were constructed with the closure of the happy end.

  (4) Although the plots varied and the themes and characters were altered, the classical fairy tale for children and adults reinforced the patriarchal symbolic order based on rigid notions of sexuality and gender.

  (5) In printed form the fairy tale was property and could be taken by its owner and read by its owner at his or her leisure for escape, consolation, or inspiration.

  (6) Along with its closure and reinforcement of patriarchy, the fairy tale also served to encourage notions of rags to riches, pulling yourself up by your bootstraps, dreaming, miracles, etc.

  (7) There was always tension between the literary and oral traditions. The oral tales have continued to threaten the more conventional and classical tales because they can question, dislodge, and deconstruct the written tales. Moreover, within the literary tradition itself, there were numerous writers such as Charles Dickens, George MacDonald, Lewis Carroll, Oscar Wilde, and Edith Nesbit who questioned the standardized model of what a fairy tale should be.

  (8) It was through script by the end of the nineteenth century that there was a full-scale debate about what oral folk tales and literary fairy tales were and what their respective functions should be. By this time the fairy tale had expanded as a high art form (operas, ballets, dramas) and low art form (folk plays, vaudevilles, and parodies) as well as a form developed classically and experimentally for children and adults. The oral tales continued to be disseminated through communal gatherings of different kinds, but they were also broadcast by radio and gathered in books by folklorists. Most important in the late nineteenth century was the rise of folklore as an institution and of various schools of literary criticism that dealt with fairy tales and folk tales.

  (9) Though many fairy-tale books and collections were illustrated (some lavishly) in the nineteenth century, the images were very much in conformity with the text. The illustrators were frequently anonymous and did not seem to count. Though the illustrations often enriched and deepened a tale, they were generally subservient to the text.

  However, the domination of the word in the development of the fairy tale as genre was about to change. The next great revolution in the institutionalization of the genre was the film, for the images now imposed themselves on the text and formed their own text in violation of print but also with the help of the print culture. And here is where Walt Disney and other animators enter the scene.

  Disney’s Magical Rise

  By the turn of the twentieth century there had already been a number of talented illustrators, such as Gustave Doré, George Cruikshank, Walter Crane, Charles Folkard, and Arthur Rackham, who had demonstrated great ingenuity in their interpretations of fairy tales though their images. In addition, the broadside, broadsheet, or image d’Epinal had spread in Europe and America during the latter part of the nineteenth century as a forerunner of the comic book, and these sheets with printed images and texts anticipated the first animated cartoons that were produced at the beginning of the twentieth century. Actually, the French filmmaker Georges Méliès began experimenting as early as 1896 with types of fantasy and fairy-tale motifs in his féeries or trick films.5 He produced versions of Cinderella, Bluebeard, and Little Red Riding Hood among others. However, since the cinema industry itself was still in its early phase of development, it was difficult for Méliès to bring about a major change in the technological and cinematic institutionalization of the genre. As Lewis Jacobs has remarked,

  this effort of Méliès illustrated rather than re-created the fairy tale. Yet, primitive though it was, the order of the scenes did form a coherent, logical, and progressive continuity. A new way of making moving pictures had been invented. Scenes could now be staged and selected specially for the camera, and the movie maker could control both the material and its arrangement.6

  During the early part of the twentieth century Walter Booth, Anson Dyer, Lotte Reiniger, Walter Lantz and others all used fairy tale plots in different ways in trick films and cartoons, but none of the early animators ever matched the intensity with which Disney occupied himself with the fairy tale. In fact, it is noteworthy that Disney’s very first endeavors in animation (not considering the advertising commercials he made) were the fairy-tale adaptations that he produced with Ub Iwerks in Kansas City in 1922–23: The Four Musicians of Bremen, Little Red Riding Hood, Puss in Boots, Jack and the Beanstalk, Goldie Locks and the Three Bears, and Cinderella.7 To a certain degree, Disney identified so closely with the fairy tales he appropriated that it is no wonder his name virtually became synonymous with the genr
e of the fairy tale itself.

  However, before discussing Disney’s particular relationship to the fairy-tale tradition, it is important to consider the conditions of early animation in America and role of the animator in general, for all this has a bearing on Disney’s productive relationship with the fairy tale. In his important study, Before Mickey: The Animated Film 1898–1928, Donald Crafton remarks that

  the early animated film was the location of a process found elsewhere in cinema but nowhere else in such intense concentration: self-figuration, the tendency of the filmmaker to interject himself into his film. This can take several forms, it can be direct or indirect, and more or less camouflaged.… At first it was obvious and literal; at the end it was subtle and cloaked in metaphors and symbolic imagery designed to facilitate the process and yet to keep the idea gratifying for the artist and the audience. Part of the animation game consisted of developing mythologies that gave the animator some sort of special status. Usually these were very flattering, for he was pictured as (or implied to be) a demigod, a purveyor of life itself.8

  As Crafton convincingly shows, the early animators before Disney literally drew themselves into the pictures and often appeared as characters in the films. One of the more interesting aspects of the early animated films is a psychically loaded tension between the artist and the characters he draws, one that is ripe for a Freudian or Lacanian reading, for the artist is always threatening to take away their “lives,” while they, in turn, seek to deprive him of his pen (phallus) or creative inspiration so that they can control their own lives. (Almost all the early animators were men, and their pens and camera work assume a distinctive phallic function in early animation.) The hand with pen or pencil is featured in many animated films in the process of creation, and it is then transformed in many films into the tail of a cat or dog. This tail then acts as the productive force or artist’s instrument throughout the film. For instance, Disney in his Alice films often employed a cat named Julius, who would take off his tail and use it as stick, weapon, rope, hook, question mark, etc. It was the phallic means to induce action and conceive a way out of a predicament.