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 The Song of Roland
FORMULAIC STYLE AND POETIC CRAFT

Published under the auspices of the

CENTER FOR MEDIEVAL AND RENAISSANCE STUDIES
University of California, Los Angeles
 Publications of the
CENTER FOR MEDIEVAL AND RENAISSANCE STUDIES, UCLA

1. Jeffrey Burton Russell: Dissent and Reform in the Early Middle Ages
2. C. D. O'Malley: Leonardo's Legacy
3. Richard H. Rouse: Serial Bibliographies for Medieval Studies
4. Speros Vryonis, Jr.: The Decline of Medieval Hellenism in Asia Minor
and the Process of Islamization from the Eleventh through the Fifteenth
Century
5. Stanley Chodorow: Christian Political Theory and Church Politics in
the Mid-Twelfth Century
6. Joseph J. Duggan: The Song of Roland: Formulaic Style and Poetic
Craft
 JOSEPH J. D U G G A N

The Song of Roland

FORMULAIC STYLE AND POETIC CRAFT

University of California Press

Berkeley Los Angeles London

1973
 University of California Press
Berkeley and Los Angeles, California
University of California Press, Ltd.
London, England
Copyright © 1973, by
The Regents of the University of California
ISBN 0-520-02201-7
Library of Congress Catalog Card Number: 75-186101
Printed in the United States of America
Designed by Theo Jung
To Mary Boyce Duggan
 Acknowledgments

I WOULD LIKE to express my thanks to the colleagues who supported

me with their encouragement while this book was being written,
to Robert Alter, Louise Clubb, Phillip Damon, Janette Richardson,
Thomas G. Rosenmeyer, and, above all, Alain Renoir. As early
as 1963, when computer applications to literary studies were still
in their infancy, Eleanor Bulatkin encouraged me to develop a
way of isolating formulas through data processing methods. I
am indebted also to Gio Wiederhold, Laura Gould, and Regina
Frey, whose programming skills were indispensible to my under-
taking, and to the Committee on Research and the Computer
Center of the University of California, Berkeley, both of which
gave generous financial aid. A grant from the National Endow-
ment for the Humanities allowed me precious time for completing
the basic research. Ian Short, Phillip Damon, and Manfred Sand-
mann read the manuscript in full and offered advice which im-
proved it immeasurably; for the shortcomings which subsist, they
are, of course, in no way responsible. My debt of gratitude to
Mary Kay, Marie Christine and Kathleen Duggan for their un-
failing patience and cheerfulness over the past four years, despite
the many inconveniences and disruptions of family life caused
by the preparation and writing of this book, cannot be sufficiently
acknowledged.
 Contents

i : The Problem and the Method i

2: Formulaic Language and Mode of Creation 16

3: The Episode of Baligant: Theme and Technique 63

4: Roland's Formulaic Repertory 105

5: Roland's Motifs and Formulas and

the Evolution of Old French Epic Style 160

6: Consequences 213

Index 223
 1: The Problem and the Method

of the Chanson de Roland is at the base of

T H E O X F O R D MANUSCRIPT
every general theory concerning the origins and nature of the Old
French epic. Gaston Paris, Joseph Bedier, Ferdinand Lot, Ramon
Menendez Pidal, Jean Rychner, Italo Siciliano, all scholars who
have had pretensions toward an overview of the epic genre, have
concentrated their analytic powers on this text, and sometimes
to the neglect of other poems of great worth. It is the keystone of
any theory which pretends to support, with the strength of its
evidence, the immense weight of well over a hundred chansons
de geste. This is partly because the language of the poem of
which Oxford is a copy reveals it as one of the earliest Old French
texts, situated on the brink of the twelfth century, before the
great mass of works in the vulgar language which illuminate
the secular side of the revival of letters. More ancient than the
other epics, it may represent a more archaic technique and be
closer to the origins of the genre than any other extant song. On
the other hand the poet's artistic mastery has led some to place
the Oxford Roland apart from the bulk of eleventh- and twelfth-
century chansons de geste. Is the content of this manuscript to
be considered typical or atypical of the epic production of its time?
While seeking an answer to this question one must proceed
with more than ordinary prudence, for many scholars who con-
cern themselves with Old French literature are particularly at-
tached to the Chanson de Roland and are quick to take offense
when they believe that its esthetic excellence is being impugned.
This situation has immeasurably complicated the controversy be-
2 The Song of Roland
tween "individualists" and "traditionalists," the former generally
considering their opponents' views to be violations of the poem's
artistic integrity. There is a complementary tendency to accept
statements about Raoul de Cambrai, the Charroi de Nîmes, Gor-
mont et Isembart or any one of several dozen other chansons de
geste which would never be admitted or even formulated about
Roland.
On the other hand, if Roland criticism has been tempered by
this particular atmosphere of scholarly sensitivity, the restraining
effect has been counterbalanced by a more positive result: one
can be fairly certain that any theory which stands up under this
assessment is a sound one. It is necessary, then, and perhaps even
beneficial, that every estimation of the Old French epic, whether
it is primarily stylistic as is the present study, or historical and
linguistic like the bulk of the scholarly Roland bibliography,
should test itself against the majesty of the Oxford version. This
poem, universally esteemed, so often extolled, has been the down-
fall of more than one system. It is therefore with a touch of ap-
prehension and with a vivid awareness of the inadequacies, in
many respects, of my own method, that I begin this study of the
Oxford Roland's style viewed against the backdrop of the twelfth-
century chanson de geste.1
In considering the Roland's mode of creation, what alternatives
lie before us?
Defenders of the thesis that the poem is a clerical creation
have argued that it is too well put together, too near perfection,
to be the product of an unwritten, traditional, spontaneously com-
posed literature,2 the mere recording of an oral recitation.3 One
1
Henceforth when Roland is mentioned, the reference is to Raoul Mortier's
conservative edition of the Oxford manuscript in Les Textes de la Chanson
de Roland, vol. I: La Version d'Oxford (Paris: Editions de la Geste Francor,
1940). When the other manuscripts are in question, they will always be
clearly distinguished from Oxford.
2
The term "literature" may seem out of place in this context, but as long
as no term in general critical usage designates the body of orally-composed
poems, the word "literature", properly qualified, must serve the purpose.
3
See especially Maurice Delbouille, " L e s Chansons de geste et le livre,"
The Problem and the Method 3

must, then, consider the eventuality that the Roland is simply,

as has been believed by many commentators since Philip-August
Becker, the creation of one cultivated author, just as La Vie
inestimable du grant Gargantua was created by Rabelais from
legendary material.4 While admitting the presence of formulaic
language in the chansons de geste, including Roland, contempo-
rary individualism stoutly refuses to concede that formulas are
in themselves indicative of either traditional elaboration or im-
provisational technique.
It is possible, too, that a man of great genius took an existing
oral poem, product of an unwritten poetic tradition, and revised
it in the process of setting it down in writing, transforming it
from a rude song of battles into a well constructed and highly
idealistic work, close forerunner of Oxford. Since it has become
evident in the years since the publication of Rychner's La Chanson
de geste: Essai sur l'art épique des jongleurs5 that individualists
are going to have to make their peace one day with traditionalism,
there has been a tendency to work toward some sort of middle
view rather than accept outright that oral, spontaneous composi-
tion could have resulted in a poem of Roland's scope and skill.
Among the partisans of this compromise position must be
ranged, paradoxically, Professor Rychner himself, who hesitates
to include Roland in the same class as the other twelfth-century
epics, which he sees as products of oral improvisation. " . . . A
supposer qu'il y ait eu des chants épiques sur Roncevaux antéri-
eurs à la chanson d'Oxford, leur mise par écrit a dû être très
créatrice, coïncider, en fait, avec un acte de création poétique." 6

in La Technique littéraire des chansons de geste: Actes du Colloque de

Liège (septembre 1957), Bibliothèque de la Faculté de Philosophie et lettres
de l'Université de Liège, C L (Paris: Société d'Edition " L e s Belles Lettres,"
1 9 5 9 ) , pp. 2 9 5 - 4 2 8 , and Italo Siciliano, Les Chansons de geste et l'épopée:
Mythes, Histoire, Poèmes (Turin: Società Editrice Internazionale, 1968).
4
Whether the supposed sources of Roland were oral or written does not
directly concern us in the consideration of this hypothesis.
5
Geneva: Droz, 1 9 5 5 .
6
La Chanson de geste, p. 36.
4 The Song of Roland

Pierre Le Gentil, in a series of lucid articles, expresses a similar

belief that the intermediate point of view is closer to the truth
than either extreme and that Roland is probably both the culmina-
tion of an oral tradition and the work of a great individual.7 He
admits the existence of traditional legends anterior to Oxford,
but supposes a sudden mutation in the tradition brought about
by a poet of genius who is responsible for the high artistry of the
extant song. As for the question of writing versus improvisation,
Le Gentil leans toward the former, but "reconnaître à Turold
des qualités hors de pair, ce n'est pas nier qu'il ait usé d'un style
de caractère 'traditionnel.' C'est dire plutôt qu'il a si parfaitement
assimilé ce style qu'il s'en est rendu maître et en a obtenu le
maximum d'efficacité artistique." 8
One of the few European exponents of pure traditionalism9
is the late Ramón Menéndez Pidal, whose La Chanson de Roland
y el neotradicionalismo10 led to an upward revaluation of histori-
cal evidence for the existence of a poetic Roland tradition dating
back to the event of August 1 5 , 778. For the great Spanish mas-
ter, traditional elaboration consists in the passing down, from
7
" A propos de l'origine des chansons de geste: le problème de l'auteur/'
in Coloquios de Roncesvalles (Saragossa, 1 9 5 6 ) ; " A propos de la Chanson
de Roland et la Tradition épique des Francs de Ramón Menéndez Pidal,"
Cahiers de Civilisation Médiévale, V I (1962), 3 2 3 - 3 3 3 ; " L e s chansons de
geste et le problème de la création littéraire au moyen âge: 'remaniement'
et 'mutation brusque'," in Maxime Chevalier, Robert Ricard, and Noël Salo-
mon, ed., Mélanges offerts à Marcel Bataillon par les hispanistes français,
Annales de la Faculté des Lettres de Bordeaux, supplement to Bulletin His-
panique, L X I V (Bordeaux: Féret et Fils, 1 9 6 2 ) ; "Réflexions sur la création
littéraire au moyen âge," Chanson de geste und höfischer Roman (Heidel-
berg: Carl Winter Verlag, 1 9 6 3 ) , pp. 9 - 2 0 ; " L a Chanson de geste: le
problème des origines," Revue d'Histoire Littéraire de la France, L X X
(1970), 992-1006.
8
Mélanges Bataillon, p. 496.
9
One would have to include in this category René Louis : see his "L'épopée
française est carolingienne," in Coloquios de Roncevalles, pp. 3 2 7 - 4 6 0 .
10
Madrid: Espasa-Calpe, 1 9 5 9 . A l l references will be to the second edition,
translated by I.-M. Cluzel and revised with the collaboration of René Louis,
La Chanson de Roland et la Tradition épique des Francs (Paris: Picard,
i960).
The Problem and the Method 5

performer to performer, of the poetic text more or less intact.

This poetry "lives through its variants" in as much as the slight
changes made by each singer maintain it in a state of continuous
reelaboration, sometimes to the esthetic detriment of the tradi-
tional poem, but often for its betterment. Menendez Pidal differs
from Rychner and from the American traditionalism represented
by Albert B. Lord 11 in that he does not conceive of the perfor-
mance as a spontaneous re-creation through the medium of formu-
laic phraseology. 12
Lord has articulated better than any traditionalist before him
the sociological, mythic, and linguistic elements which set oral
literature apart from poems whose creation is synonymous with
their being written down. After a long acquaintance with the
actual performance milieu of the Yugoslavian epic, he has de-
scribed in detail the process of singers' apprenticeship, during
which they learn how to re-create, by means of formulaic phrases
in which are couched the standard actions of epic plot, the long
verse narratives of the oral tradition. Through the formulas and
through the construction while singing of larger narrative seg-
ments, the motif and the theme, singers are able to perform long
epic songs after having heard them sung by others only once.
For Lord the mechanism of oral tradition does not entail memori-
zation of the poetic text: the singer retains the sequence of events
in the plot from the performance he has overheard. His own
version will be a re-creation of each poetic line, motif, and theme,
with the insertion or omission of as much material as he deems
fit; he employs formulas of his own choosing which may or may
not coincide with those of the source performance. Lord admits

11
See, above all, The Singer of Tales, Harvard Studies in Comparative
Literature, X X I V (Cambridge: Harvard University Press, 1960), the classic
formulation of the oral-formulaic theory and a culmination of the pioneer-
ing work of Milman Parry.
12
See "Sobre las variantes del c6dice rolandiano V 4 de Venecia," Cultura
Neolatina, XXI (1961), 1 0 - 1 9 ; also " L o s cantores epicos yugoeslavos y los
occidentales: el Mio Cid y dos refundidores primitivos," Bolefin de la Real
Academia de Buenas Letras de Barcelona, X X X I ( 1 9 6 5 - 1 9 6 6 ) .
6 The Song of Roland
the possibility of a transitional poet, one trained to sing oral-
formulaic poems who has later learned to write, but he regards
the transitional poem as a contradiction in terms: a poem is
created either orally or in writing, and no matter how much
traditional material the writing poet incorporates into his work,
that work is still a product of written creation.13
Needless to say, the polemic which has involved so many per-
ceptive scholars is not without relevance for an esthetic apprecia-
tion of the poem itself. One cannot validly interpret a literary
work without at least a rudimentary knowledge of the circum-
stances of its creation. If the individualists are correct, then the
Roland should be read in the light of a tradition of written com-
position which stretches from Virgil's Aeneid to the Roman
d'Enéas and beyond. 14 But should traditionalism prevail, many,
perhaps most, of the analytic methods developed for a written
culture would have to be reexamined and their relevance to
Roland criticism placed systematically in question. A technique
of oral creation implies, after all, an esthetics in sympathy with
what is known of this technique. Before the question of esthetics
lies that of the mode of creation. The second cannot be considered
in isolation from the first.
I have not attempted to present an exposition of past Roland
scholarship, 15 but only to outline the three main points of view
concerning the poem's mode of creation in so far as they affect a
13
Singer of Tales, p. 1 2 9 .
14
1 am by no means equating individualism with advocacy of classical
or medieval Latin origins or models, either for the Roland or for the chanson
de geste in general. But the Aeneid and the vernacular romans d'antiquité
would, if individualism were vindicated, provide a body of literary works
through which one could construct a poetic context for criticism of Roland.
For a fuller discussion, see "Virgilian Inspiration in the Roman d'Enéas
and the Chanson de Roland," in Rosario P. Armato and John M . Spalek, ed.,
Medieval Epic to the "Epic Theater" of Brecht, University of Southern
California Studies in Comparative Literature, I (Los Angeles: University
of Southern California Press, 1968), pp. 9 - 2 3 .
15
Menéndez Pidal provides a history of the main questions, seen through
his particular optic, in La Chanson de Roland et la tradition épique des
Francs, pp. 3 - 5 0 .
The Problem and the Method 7

critical reading. My own contribution will be in part evaluative,

but to a great extent descriptive, and necessarily so, for the ques-
tion of formulaic composition in the chanson de geste and its
significance has been considered in a rarified atmosphere.16 There
can be little agreement concerning such matters as the jongleur's
improvisation of his songs, the fluidity or fixity of transmitted
works, and the greater or lesser degree of dominance exercised
by stylized elements on the poet's art, until we have a more exact,
comprehensive view of the role played by formulas in the texture
of each poem.
For this reason I have given much thought to the development
of a method for ascertaining the extent to which formulaic style
pervades a given poem. 17 The approach I finally settled on, which
takes advantage of the high speed and accuracy of electronic
data processing machines, can be extended beyond the limits of
a single poem, but the longer the totality of verses to be con-
sidered, and the more disparate their orthographical conventions,
the less sure it becomes. It consists in generating, by means of a
large electronic computer, a concordance of the poem to be
studied. Not any concordance will do : individual concorded words
must be arranged according to the alphabetization of the words
which follow them in the poetic line, so that a concordance of
groups of words, and not simply one of individual words divorced
from their context, is obtained. A phrase coextensive with the
hemistich and substantially identical with another phrase in the
poem—and, allowing for the inconsistency of Old French spell-
ing, similar phrases will generally be found next to each other
on the concordance page because of the alphabetizing feature—
can be regarded as a formula since it conforms to Parry's defini-
tion as " a group of words which is regularly employed under
16
In this regard Maurice Delbouille complained—rightly so—of " l a
fragilité des éléments sur quoi reposent tant de développements hypothé-
tiques donnés au lecteur pour des faits assurés." "Les Chansons de geste et
le livre," p. 308.
17
Throughout this work the term " f o r m u l a " without qualification refers
to semantically stylized hemistichs and not to syntactic formulas.
8 The Song of Roland
the same metrical conditions to express a given essential idea." 1 8
The word-group concordance method has its difficulties. I would
be the last to claim that it presents the scholar with an already
constituted list of all the formulas in the work he is studying.
This is not the case with Old French, at least, nor with any
other language whose spelling is not standardized; the more uni-
form the orthography, the closer one approaches an automatically
produced listing of the poem's formulas. But even with a work
like the Chanson de Roland, where words differ greatly in their
spelling, the word-group concordance renders formulaic analysis
vastly more simple than the intuitive process of reading the poem
several times and underlining what one perceives to be identical
phrases, or the fichier method of inscribing each hemistich on a
separate index card and collating the results. Let me give some
examples of orthographic difficulties so as not to lose the reader
amid a wealth of abstractions.
The Old French word barons may be spelled baruns in an
Anglo-Norman text such as Roland, and as a matter of fact
the Oxford scribe uses both spellings. This seemingly slight
alteration results in the formulas barons franceis and baruns
franceis being located on different pages in the "b" section of
the Roland concordance. Sun cheval brocket and sun ceval brocket
are likewise separated in the "c's". But in both of these cases,
one realizes, while examining the formulas distinguishable in the
"i" section under the word franceis and in the " b ' s " under
brocket that barons franceis/baruns franceis and sun cheval
brocket/sun ceval brocket are both single formulas with ortho-
graphic variations. It is particularly useful to search under such
words as il, le, de, or, as might have been done with one of the
examples just cited, sun, because these function words are sub-
ject to little or no orthographic variation, and are thus much more
18
Milman Parry, "Studies in the Epic Technique of Oral Verse-Making.
I. Homer and Homeric Style," Harvard Studies in Classical Philology, XLI
(1930), 80. All Parry's published work is now reprinted in Adam Parry, ed.,
The Making of Homeric Verse: the Collected Papers of Milman Parry
(Oxford: Clarendon Press, 1970).
The Problem and the Method 9
likely to gather together all the versions of a given formula than
are words which occur less frequently. They will, of course,
change with case and number, but these mutations present little
difficulty, as they are totally predictable.
One must, on the other hand, take care not to overcompensate
for variable spelling by listing the formula as it is found under
the entries for both sun and brocket, for example. To circumvent
this possibility, which would result in too high an estimation of
formulas, I took two precautions. No matter where in the con-
cordance a formula was discovered, I recorded it as a formula
only on that page where the occurrence of its first significant
word was recorded. Thus, to continue with the same examples, it
may have occurred to me that baruns franceis was a formula to
be joined with the group barons franceis while I was perusing
the entries for the word franceis, but I then turned back to barons
and made a notation incorporating baruns franceis, barons being
the first significant word (noun, adjective, verb or adverb) in the
formula. I chose this particular form for my method, although
one could just as easily count the formulas under their first word,
or their last word, as long as some consistent procedure is fol-
lowed to avoid duplication.
To verify the effectiveness of this safeguard, I took a second
precaution. After the concordance was consigned to paper, I
also had the computer instructed to produce a complete copy on
perforated cards, so that for each formula found in the paper
concordance, a corresponding card could be picked out and laid
aside as a discrete physical counterpart of the formula. For one
occurrence of the phrase barons franceis, therefore, there was a
perforated card bearing the information: a sa voiz grand et halte:/
"Barons franceis, as chevals e as armes!" AOI. 2g86. Like all
the entries, this one contains a preceding and a following context
and an "address" or indication of line number. When the process
of picking out the formulas was complete, all the cards were
processed by a card sorting machine, which automatically placed
them in the order of their line numbers. It was then a simple
io The Song of Roland
matter to check that no formula appeared twice in succession in
the packet of cards, since this would have constituted a duplica-
tion in the formula list. With both these precautionary measures
I was able to procure as complete a set of formulas as possible
for the Chanson de Roland19 and other epic texts.
By a formula I mean a hemistich which is found two or more
times in substantially the same form within the poem.20 Formulas
are not rigidly fixed phrases. The poets' technique includes the
faculty of adapting the formula to its immediate context, as will
be shown in detail in Chapter IV. If two expressions differ in
their essential idea, I have not considered them to be examples of
the same formula. Since the idea content of a phrase is determined
largely by words of considerable semantic weight—nouns, verbs,
attributive adjectives, adverbs—I have considered it indispensible
that, to be reckoned as formulas, the hemistichs in question can
differ lexically only in their function words: pronouns, prepo-
sitions, conjunctions, possessive and demonstrative adjectives,
interjections, and definite and indefinite articles. One exception
to this guideline has been made: during the course of my investi-
gation I remarked that an inordinately high number of phrases,
always found in the second hemistich position, differed only in
their terminal words. There was obviously a point of technique
involved. The poets were manipulating formulas in a special way
designed to facilitate the presentation of certain common motifs
19
See A Concordance of the Chanson de Roland (Columbus: Ohio State
University Press, 1970).
20
Michael Nagler has proposed an interesting pre-verbal conception of
the formula in "Toward a Generative View of the Homeric Formula/'
Transactions and Proceedings of the American Philological Association,
XCVIII (1967), 2 6 9 - 3 1 1 . I concur that formulas are the actualisation of, as
Nagler puts it, a "central Gestalt . . . which is the real mental template
underlying the production of all such phrases." Further work is needed to
differentiate formulas from the other repeated phrases of language which
presumably are also the actualisation of a pre-verbal configuration. Nagler's
theoretical work may eventually provide a deeper understanding of the
psychological processes behind the text. It does not, of course, alter the
fact that formulas are perceived as repetitions by the scholar and are subject
to statistical description like any other linguistic phenomenon.
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