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Genre and The Ballad
Genre and The Ballad
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Journal of Folklore Research
During the years I have heard, sung, recorded, studied, and thought about
ballads, I have wondered increasingly about generic identification of the
form. The traditional scholarly definition of the romance, the Hispanic and
Luso-Brazilian ballad with which I have particularly worked, appears to be
clear enough, if somewhat literary: The romance is a narrative song or
poem, composed of octosyllabic (or, occasionally, hexasyllabic) verses with
alternate lines ending in assonance, which we now usually write as six-
teen- (or twelve-) syllable lines divided into hemistichs. The oral traditional
romance tends, as well, to be increasingly presented in dialogue, as com-
pared with earlier renderings, and to exist in variants. This would seem quite
straightforward, if it were not the case that the category romance has little if
any meaning to the people who actually perform and listen to oral tradi-
tional ballads, unless they have learned the term from collectors. Ever since
Juan and Ram6n Menendez Pidal and Maria Goyri began collecting ballads
in Spain in the late nineteenth century and early twentieth century, collec-
tors have had to devise techniques, most frequently singing or reciting the
first line or two, called the incipit, in order to communicate to potential
singers what they would like to hear. This has been a source of endless
frustration.'
Some of my own struggles with the non-existence of romance as a
recognizable category in the field have been recounted in my study of the
ballad "Count Claros."2 Using various approaches during two years of
fieldwork in Brazil and Spain, I have recorded, in addition to numerous
items remotely if at all related to ballads, pieces that tell stories I recognize as
canonical ballad narratives. Not all of them, however, have been in canoni-
cal ballad form. Some have been performed as songs; some as poems; some
as dramas sung by different singers taking different parts, occasionally
accompanied by gestures; and some as stories, with sung verses liberally and
often imaginatively embedded in spoken prose. These pieces are generically
Journal of Folklore Research, Vol. 31, Nos. 1-3, 1994
Copyright © 1994 by the Folklore Institute, Indiana University
distinct. Many of them would not find their way into ballad collections,
certainly not in the form in which they were performed. Yet, in some
respect, they are related to ballads, and they are certainly examples of living
tradition. One is reluctant to banish them from balladry on the grounds of
generic rules which begin to appear both rigid and artificial. Why not, then,
use them to investigate our notions of genre itself? Why not, instead of
lamenting our hardship, consider the implications of the inescapable fact
that the traditional romance, as ballad collectors have defined it, does not
exist in any meaningful way for the ballad-performing community?
The oral traditional ballad cannot be identified with a single time, place,
or style of performance, because whatever it is to those who sing and listen
to it, it is not an inviolable object. Like any living text the ballad raises
questions, but unlike a fixed written text it allows itself to be modified to
answer them. We know that traditional ballads may be performed in many
different settings, ranging from harvests, to dances, to evening spinning
sessions. Therefore it should not be surprising, particularly in a community
that does not recognize the ballad as such, that the setting of the perfor-
mance seems to influence the generic tendency of any particular rendering.
In Brazil at least, ballads performed as children's games or in adult street
ceremonies will be sung and enacted by different singers. Ballads per-
formed as lullabies will, of course, be sung solo, as will those that lighten
solitary labor. Ballads performed during relaxation from work may be sung
or told, and ballads performed during storytelling sessions will be couched
in prose. I would like to suggest in particular that a tendency toward
including prose in a ballad performance fills a perceived need to answer
questions raised by the characteristic spareness of sung ballad diction.
Further, I suggest that such prose is a legitimate and valuable part of the
ballad, and that we as ballad scholars ignore it at our peril, if we aspire to say
anything meaningful about the ballad thus performed.
On the basis of my fieldwork and my familiarity with ballad collections,
the phenomenon I have called prosification, though by no means limited to
Brazil, seems particularly striking there. Whether it really is or not remains
to be seen. But before addressing that question I will focus on a single ballad
I recorded when I visited the Brazilian states of Sergipe and Espirito Santo in
1989. This is the very popular ballad called in Brazil "O Cego" (The Blind
Man), known to Portuguese tradition as "O cego raptor" (The Blind Abduc-
tor), and to Hispanic tradition as "El raptor pordiosero" (The Begging
Abductor). The ruse of blindness combined with poverty employed by a
young man in order to deceive a young woman is not exclusive to the
Hispanic and Luso-Brazilian traditions, appearing, for example, in the
English and Scottish ballads known as '"The Jolly Beggar" and "The
Gaberlunyie Man" (Child 279 and 279 appendix). The British and His-
panic/Luso-Brazilian ballads differ so greatly in every other respect, how-
ever, that I would hesitate to claim any deeper relationship among them.
In all the renderings I have read or heard, the sung words of the Brazilian
"Blind Man," with the exception of a frequent opening of onomatopoeic
knocking, consist entirely of dialogue. From the words we infer characters
and actions. The ballad may open with a voice calling for "mama" to wake up
and come see the blind man. Alternatively there is a knock at a door;
someone asks who is there; the person knocking answers that he is a blind
beggar; the unidentified speaker tells a woman, who is the only character
given a name (in the renderings I recorded it was Helena, Aninha, or
Naninha), to get up and fetch him bread and wine; the blind man says he
does not want bread or wine; what he wants is for Aninha to show him the
way; Aninha is told to guide him; they walk down a dark road; she, perhaps
seeing horses and a carriage, begins to fear that he is not what he seems, and
he reveals that in fact he is not blind but instead has disguised himself in
order to entice her out of her house so that he can carry her off and marry
her; she bids good-bye to her house, her garden, occasionally to her father,
and finally to her mother, who, she claims, was false to her.
The story thus sung is simple. Nothing in it answers such questions as
"Why does the blind man come to this particular door?" or "Why does the
mother ask her daughter to leave the house, evidently at night, to guide a
stranger?" The daughter seems to think it was all a trick. But why does she
think so? Furthermore, does anybody care? The nine renderings of 'The
Blind Man" I recorded reveal that people do care. They also reveal that
answers to these questions differ radically. In some cases the questions were
raised and answered in discussions outside the performance. In others,
which I have classed as sung stories, they were included in the performance.
The renderings of 'The Blind Man" which I recorded in 1989, in brief, were
the following:
One had been learned as a song. The singer was a twelve-year-old girl who
had learned it in school. This was the only time I saw a definitive written text.
A friend of the girl who shyly sang it for me had written it out for her as a
present, on a piece of graph paper, with a dedication and an elaborately
designed border worked in variously-colored pencils.
Four had been learned as sung dramatic games. In only two perfor-
mances, however, did different singers actually take the different parts. Of
the other two, one had been learned in school as a dramatic game, though
the singer sang it alone. The other consisted of a lively encounter between
two collectors (a Brazilian and me) and an aged singer, forgetful but feisty,
trying her best to remember a game she had played and sung as a girl, while
rigorously resisting being manipulated by the collectors, too many of whose
questions were those of people who thought they knew the answers.
Four were story-songs. One of the performers began with an explanatory
introduction in prose and continued with sung verse dialogue interspersed
with prose segments, most of which identified the speakers. Another first
told me the story in great detail, none of which is included in her sung
yLIf'J
:r 'r=.r--rr -4-rJ 'n
IJi-rt-rT-Fr 'I
r11
1. Toques toc toque quem bate ai
Toques toc toque quem bate ai
Sou eu pobre cego esmola a pedir
Sou eu pobre cego esmola a pedir
2. Vai Helena no armarinho
Vai Helena no armarinho
Perhaps the mother was right and her daughter would go on to live happily
ever after with her royal husband. Nonetheless, the daughter's last words are
as bitter as those of Maura's Helena, and we never know whether she later
realizes that her mother knew best, after all.
A thorough consideration of such questions can be seen in the rendering
of Hildete Falcao Baptista. Hildete, who had learned 'The Blind Man" from
her grandmother on the cacao plantation in the state of Bahia where she
grew up, was the sixty-eight-year-old wife of a federal senator from the state
of Sergipe, and founder and director of an institute in the capital, Aracaju,
which provided a home for boys who were orphans or whose parents could
not afford to support them. She offered to perform two ballads for me when
she discovered that I was looking for ballads among the women who worked
at the institute. One was a love ballad she called "Capitao Eduardo," which
combined motifs from various love ballads and ended happily, Hildete said,
when the palm trees growing from the graves of both lovers entertwined in
a posthumous embrace. The other was 'The Blind Man." I made an appoint-
ment to audiotape her in her office, and another some days later to
videotape her. Hildete, thus, had time to polish her rendering. Her style of
delivery was nearly emotionless. She stared into space when I audiotaped
her, and into the camera on the day I videotaped her, seeming almost to
ignore the several women who were present both times, smiling only slightly
as she approached the moral of the story. Her two renderings were nearly
identical.
r r r I r J r 1 JI 1L , i
Hildete began with prose. I have marked her pauses with line ends.
Um dia tinha uma menina numa choupana.
E ela brincava assim na...
na.
pois
ele era cego,
e nao sabia como chegar.
A menina entao foi, perguntou a mae se podia levar.
A mae disse, "E isso ai, vamos, minha filha. Ja que o lugar nao e longe.
One day
there was a girl in a hut.
And she was playing in ...
in ...
and left with him, right? She left, arrives at a certain pla-
in a certain amount of time, she told him that she was very tired.
So he sang:
And with that they went on walking. When she was very tired
she asked him to take pity: [laughs]
For he, because he didn't know where his palace was anymore.
And he found that girl
by the way she was very pretty, she was called Linda [Beautiful].
And
that sumptuous house, she was amazed, right? to see a little blind man, r
because she thought he was a blind man and meanwhile she was in fron
prince.
He was going then ...
he confessed to her that he was a prince,
that he was not a beggar, that he was only fulfilling a fate
and that,
from that day on,
that he was going to marry her because she deserved him.
Not only did she do a good deed for him but also she deserved from him
everything he was going to give her:
wealth,
position,
and everything else.
I believe that story really was ...
is a form of showing that good is always rewarded.
Those who always do good,
always the person is rewarded by something,
and because of this we should,
not only in stories,
but in everything we do, we should always try
to do good without caring for whom.
Because at a time like that we are always happy.
Naninha is more active than her mother in this rendering, taking the
initiative of asking her mother's permission to help the blind man. The
mother is a kind and generous woman, concerned both for the poor blind
man and for her daughter's welfare. She approves Naninha's request to lead
the blind man to his home, adding, somewhat mysteriously (in what may be
a trace of the duplicity seen in other versions of the story or what may simply
be an attempt to rationalize an action that unexplained would lack verisi-
militude), that the place is not very far away.5
Naninha expresses no response except amazement at the revelation that
the man who has abducted her is a prince who intends to marry her because
she deserves him and all his wealth. In the absence of comment, it is
probably safe to assume that, unlike the daughters who accuse their mothers
of betrayal, she is delighted. In any case, the question of deception on the part
of the mother never arises, since the idea to help the blind man was Naninha's.
Hildete herself, whose own life work has been charity, steps in at the end
of the rendering to state and interpret the moral of the story. Doing good, as
she sees it, is at least its own reward, and there is always the possibility that if
we are good and docile and charitable (and it probably does not hurt to be
beautiful) we may be rewarded in more tangible ways as well. Her story,
which generically is clearly not a ballad, expresses a widespread Brazilian
belief that strangers, particularly needy strangers, appearing at one's door,
should be treated well. In secular stories the mysterious stranger is often a
prince in disguise; in sacred stories it tends to beJesus.
But we should remember that things do not always work that way. At the
other extreme to Hildete's interpretation of 'The Blind Man" is that of the
two women I mentioned earlier who were trying to reconstruct the ballad.
Their performance was the product of a joint effort at remembering. One
afternoon I went with a friend and a colleague of hers, Maria Helena de
Deus Silva, who taught religion at the institute Hildete directed, to visit a
friend of Helena's youth who had been a beloved storyteller. Maria Almeida,
seventy-five years old, was originally from the small town of Maruim, Sergipe.
When we visited her, however, she lived in the home of her son and
daughter-in-law in Aracaju, confined by age and crippling diabetes to a dark,
windowless room so small that two single beds left only a narrow path into it,
leading to a dresser. Maria was astonished to see Helena, whom she had not
seen in years, and she greeted us with tears and laments about her life now
compared to what it once had been. Helena, forty-three years old, was
cheerful and ebullient. She had dressed up for the visit, which for her was a
social occasion despite our goal of recording ballads. I had recorded Helena
on other occasions, and had observed that she was a performer who, rather
than becoming tongue-tied when she seemed unsure of what came next,
would embrace the spirit of the piece as she understood it. The piece would
come to life, sometimes in startling ways, as she talked. 'The Blind Man"
provides a good example of her technique, as well as of Maria's increasing
J Iu +u i J. rI mTIr4L
r? Jif .rit r I f l L Ii
That of the third stanza was different:
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164 Judith Seeger
Maria e Helena:
1. Acorda acorda mamae e deixa de tanto dormir
Maria:
Helena e Maria:
3a. Valei-me Nossa Senhora valei-me Santa Maria
Ai o velho seguiu,
chegava nas porta,
pedia esmola,
e saia, saia.
Ate que acertou o caminho. Que o velho vinha pedindo e se perdia. O
velho era cego.
Agora quando nao queria esmola, ele pedia a pessoa p'ra ensinar o caminho.
Sabe? E na cantiga ele dizia assim.
"Nunca vi cego."
Nao chegou a se casar com ele, nao. Ele seguiu a viagem s6, q
de mato, tinha medo, n'era?
Era assim ese pessoal que mora no mato assim na roca. Eles a
amedrontado quando chega uma pessoa de fora, nao e?
Entao esse pessoal como criado como indio, ne?
Nao tem civilizacao, ne? Nao sabem ler...
So she, he goes there. She says, "Go into the kitchen and bring bread
wine." So she goes to get it.
Maria (uncertainly):
Both:
[Maria laughs.]
Now when he didn't want alms, he asked the person to show him the way.
You know? And in the song he said that.
That was the little girl [using the affectionate diminutive bichinha, often used
for children, literally "little animal"].
Helena: No, she didn't go with him. He continued his journey alone.
This is truly an emergent text. Unlike Maura's "Blind Man," which dif-
fered only slightly from another local rendering, maintaining even the
peculiar musical division, or Hildete's, whose words and style of delivery
were nearly identical in two performances more than a week apart, this
particular rendering surely was never heard before and will never be heard
again. The prose intercalations take various forms. The first consists simply
of Maria and Helena asking each other how the song goes. The second is
Helena's prose paraphrase of the mother's instructions to her daughter to
go fetch bread and wine. The third identifies a speaker. But in the fourth,
Helena seems to take the story and run. This is the first of two relatively
lengthy prose segments, one within the performance proper and one
outside of it. Helena's speech when she is within the story is rhythmical,
repetitive, and marked with exclamations. As it proceeds, however, the plot
seems to change abruptly. She asserts that the mother was so lazy that in fact
she never even got up. Furthermore she did not like to give alms. The blind
man suddenly becomes an old man.
At this point I was drawn into the performance as well, for I was so
surprised at the turn the story seemed to be taking that I could not resist
asking if the blind man did not want to marry the daughter. Out of a
confused and largely unintelligible conversation can be heard Helena's
admission that he did. But when I asked if she married him, Helena replied
that not only did she not marry him, she did not even go with him. We are
now in the second lengthy prose segment, which falls outside the perfor-
Maura's rendering was the one performed in the most nearly neutral of
settings: Some friends of mine called her and asked her to sing, and she
complied. She very likely had an interpretation of the story, but she volun-
teered no information about it and was asked for none. Of the three
performances I have transcribed, hers provided the only text one w
find in a typical traditional ballad collection. And yet many of the "ballad
I recorded in Brazil more nearly resembled the renderings of Hildet
Maria and Helena than that of Maura. Both Antonio Lopes' ballad co
tion from the state of Maranhao andJackson da Silva Lima's collection fro
Sergipe also include pieces in which prose is mixed with sung verse.
may fill out a sketchy sung narrative more or less elaborately and m
clude a message for the collector. But does it have any legitimacy within
ballad-performing tradition? And what are ballad collectors to make of it
In order to respond to these questions I would like to consider m
closely what appears to be ongoing generic transformation of the bal
Brazil, specifically the apparent increasing prevalence of prose, wh
structured like Hildete's or emergent like that of Helena and Maria. T
seem to be three possibilities. Perhaps the Brazilian ballad is becom
increasingly prosified with respect to its own past and other traditio
perhaps it is not, and only appears to be doing so because of chang
collecting interests and techniques. Or, perhaps, both things are hap
ing, for there is suggestive, though not conclusive, evidence for each
tion. Support for the first hypothesis involves the nature of the b
performing community, while support for the second focuses on the bal
collecting community. I will consider the first one first.
The differences between the ballads I recorded in Brazil and those I
recorded in Spain, as well as those I have read in ballad collections, are
striking. All the ballads I recorded in Spain in 1985 were metrical narrations,
occasionally quite long, either sung or recited. One woman who sang for me
had written down a number of ballads she knew. Others simply remembered
them. None were professional singers, but all were recognized in their
communities as people who knew ballads as well as other songs. Theirs wer
the sorts of performances I would have expected from what I knew of
balladry. Listening to them was almost like hearing texts straight from ballad
collections. Ballad collectors had visited the towns where I recorded, so th
people understood what I was seeking. To what extent those collectors,
whose single goal was to record as many texts as possible, had influenced
performance style I am unable to say. My impression was that the metric
texts I heard had their own integrity and were, indeed, legitimate ballads in
canonical form.
Ballads I recorded in Brazil were another matter altogether. In the firs
place, people who knew them were much more difficult to locate. I neve
did find anyone who knew more than two or three, and rarely were they in
the form I regarded as generically pure. The ballad called 'Juliana e dom
Reciters frequently, when any part of the narrative appears incomplete, supp
the defect in prose. Where the ballad naturally terminates, they can tell wh
I cannot answer this question. Certainly, the account that postulates only
apparent (as opposed to real) prosification in the modern Brazilian ba
does not have complete explanatory power at this point any more than does
the account based on the intercultural character of the Brazilian ballad-
performing community. It is simply not true that all traditional ballads
NOTES
mixed prose and verse in Scottish ballads and to John Niles for raising the question of
"prosification" vs. "textification. " I would also like to thank Richard Bauman for his useful
suggestions on a very early draft of this paper, and, especially, Anthony Seeger, who read and
questioned repeated drafts of it. I am grateful to Ruth House Webberfor her constant support
and assistance in all my research and writing.
The paper draws on three periods offieldwork and archival research. Myfieldwork in Brazil
from 1977 to 1979 was financed by a joint grant from the Social Science Research Council and
the Fulbright-Hays Commission. The Comite Conjunto Hispano-Norteamericano para la
Cooperacion Cultural y Educativa/Council for the International Exchange of Scholars sup-
portedfive months offieldwork and archival research in Spain in 1985. I am indebted as well
to a grant from the National Endowment for the Humanities, which I shared with Richard
Bauman,John McDowell, Ronald Smith, andJoan Gross, and which enabled me in 1989 to do
thefieldwork in the states of Sergipe and Espirito Santo on which most of this paper is based. All my
tapes are availablefor consultation in the Indiana University Archives of Traditional Music.
2. Judith Seeger, Count Claros: Study of a Ballad Tradition (New York and London:
Garland Publishing, 1990).
3. The transcriptions and translations are mine. The music was copied by
Christina Davidson.
4. I recorded two other renderings of "The Blind Man" the night I record
Maura. Both were performed from a text someone had written to aid the memory
the singers, who had not sung it in some time (though I had to rewrite the text i
verse form for them, following the instructions of one of the singers, as the scr
had written the words without punctuation from one edge of the paper to the oth
and the singers were unable to translate them directly into a song). One render
was performed by three women singing together in unison, to a tune only slightl
different from Maura's. In it the stanza I have numbered 5, in which Helena speak
to the blind man, is cut in half just as Maura's is, and the song continues with
stanza I have numbered 7, without a trace of stanza 6. The singers simply sang
incomplete stanza to the first half of the melody, and then sang the same tune ag
at the beginning of the next stanza, apparently unperturbed by the half-stanza
the other rendering the reaction to the half-melody was different. Three teen-ag
girls sang this performance, each taking one of the roles. Since it came from t
same text, it, too, was missing Maura's stanza 6. The girl who was singing the part
the Helena ended stanza 5, as she had to, singing only half the melody. This posed
problem for the girl who was singing the part of the blind man, whose turn
suddenly was to sing. Her solution, for she was an imaginative and competent sing
was to create and repeat her own melody for the first half of the stanza, bef
resuming the regular melody in the second half of the stanza.
5. In most of the published Portuguese texts of "The Blind Abductor" I hav
seen, the mother tells her daughter to take a distaff and thread with her when she
leaves to show the blind man the way. Presumably the thread is tied to the house to
help the daughter find her way back home, for when the thread runs out the
daughter tells the blind man "there is the road." He abducts her anyway, and the
ballad ends, as did Maura's rendering, with the daughter accusing her mother of
treachery. No Brazilian version of "The Blind Man" I recorded included the motif of
the distaff and thread.
6. For a fuller account of this, see eitherJudith Seeger, 'The Living Ballad in
Brazil: Two Performances," Oral Tradition 2-3 (1987), pp. 573-615, reprinted in
Ruth H. Webber, ed., Hispanic Balladry Today. (New York and London: Garland
Publishing, 1989), pp. 175-217, orJudith Seeger, Count Claros: Study of a Ballad Tra-
dition. (New York and London: Garland Publishing, 1990), particularly pp. 171-225.
7. Magalhaes, Celso de, A Poesia popular brasileira (Rio de Janeiro: MEC/DAC/
BN, 1973). This is a centenary edition of articles originally published in 1873.
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