REVIEW-ARTICLES
BOOKS IN REVIEW
David Ketterer
A Typology of SF
Carl D. Malmgren. Worlds
Apart: Narratology of Science Fiction. Bloomington: Indiana
University Press, 1991. xii+208. $22.50.
I suspect that the subtitle of Worlds Apart was an afterthought. Even if it
were not, the invocation of narratology is misleading. The word "narratology" nowhere
appears in Carl Malmgren's text, and none of the names associated with that structuralist
offshoot, notably Mieke Bal, Gérard Genette, and Tzvetan Todorov, are even mentioned.
What Malmgren does provide, in the course of an extended definition of SF, is a typology
of SF (and that last phrase would have made a more appropriate subtitle). He is not the
first to do so. In New Worlds for Old (1974), I argue for a five-category mapping
of the genre: other worlds out of time and space (visionary SF), other worlds in time and
space (frequently satiric), and the present world in other terms (philosophical SF, which
may be separated into three categories depending upon whether the focus is on a new
definition of mankind, a new definition of reality, or some form of outside manipulator).
I envision all these categories (all within the larger overlapping context of
"apocalyptic" literature, which includes the overlapping categories of science fantasy
and other forms of "consequential" fantasy) as overlapping each other. In The Known
and the Unknown (1979), Gary K. Wolfe sets up a five-category iconic organization of
SF, three images of environment (the spaceship, the city, and the wasteland) and two of
humanity (the robot and the monster). A typology or "anatomy of SF" is at least implicit
in the intersection of human versus non-human that Mark Rose in Alien Encounters
(1981) identifies as the "semantic space" of SF. Most recently, William Sims Bainbridge
in Dimensions of Science Fiction(1986) sketches a reader-response typology, the
fan perception of three SF constellations: New Wave; a science-fantasy, horror-and-weird,
and sword-and-sorcery cluster; and hard science. Although Worlds Apart is
distinguished by the extent to which it takes account of, integrates, and builds upon
previous SF theory and criticism, Malmgren makes no attempt to compare or relate his own
useful and provocative typology to these others. Had he done so, the value of what is,
nonetheless, an important book would have been significantly enhanced.
Malmgren maintains that what primarily distinguishes SF is the grounding of its
discourse in a scientific epistemology, and the world (rather than the story) that
discourse represents. Loosely speaking, all fictional worlds comprise a character, or
characters, and one or more settings. Because the characters in SF need not be human (and
not because of A.J. Greimas's narratological usage), Malmgren substitutes the
term "actants" for characters. In place of settings, Malmgren uses the term "topoi" in a
non-narratological sense to mean "not only the settings through which the actants move,
and the social order that structures their interactions, but also the implicit time frame
(historical, futurological, etc.) of the action and the operative laws that govern the
topological domain" (7). On the assumption that a topos is composed of three
interdependent systems, Malmgren provides the following diagram of the four interanimating
systems that make up any fictional world:
WORLD
(1) Actants
(2) Social Order
Topos
(3) Topography
(4) Natural Laws
What separates SF from other fictional worlds is the introduction of a
novelty or innovation into one or more of these systems. In calling the novelty
or innovation a "novum," Malmgren is following the Ernst Bloch-inspired terminology of Darko Suvin (the
theoretician to whom, up to a point, Malmgren would seem to be most indebted).
What emerges is the typology diagrammed on the facing page and the distinction between
SF and science fantasy, the first involving actantial, social order, and/or topographical
novums, the latter involving natural-law novums. Malmgren concludes that SF is
characterized by a fictional world whose system of actants
and topoi contains at least one factor of estrangement from the basic narrative world of
the author, and by a discourse which naturalizes that factor by rooting it in a scientific
episteme. The factor of estrangement, or novum, at once defines the genre and determines
the range of aesthetic and cognitive functions that it is able to serve. (10)
"Basic narrative world" is Malmgren's term for something like "the world of
consensus reality." His definition is essentially Suvinian with the notable exception
that, for Malmgren, SF can include supernatural novums provided they are grounded in the
appropriate discourse.
The distinction between extrapolative (linear and logical) and speculative
(intuitive, quasi-visionary) approaches to the creations of novums corresponds to the
distinction between scientific method and analogy, the tropes of metonymy and metaphor,
and "the main difference between Verne and Wells, within the grapholect of their
time" (15), "grapholect" being a term that Malmgren appropriates from Eric Rabkin's The
Fantastic in Literature. However, in the next chapter Malmgren analyzes the paradigm
SF text by the speculative Wells, The Time Machine, as an example of
extrapolative SF. Malmgren explains: "In comparison to Verne, Wells did rely more on
speculative leaps...from a historical perspective. But within any synchronic study of SF, Wells's work must be located within the extrapolative domain" (33). Nevertheless, as we
shall see, The Time Machine is a tricky test case for Malmgren's entire system,
since from the current scientific viewpoint and hence in terms of the current grapholect
(neither being in this respect much different from Wells's), time travel should be
considered a novum that violates natural law. If The Time Machine is primarily a
time-travel story, it surely belongs to Malmgren's science-fantasy category: it does not
qualify as speculative SF and certainly not as extrapolative SF where Malmgren
places it. Presumably he has forgotten his distinction between extrapolative
metonymy and speculative metaphor when he writes, "The Time Machine's basic novum, the machine itself,
acts as the central metaphor in Wells's critique of science" (40). The problem might be
skirted by the assertion that devolution, considered as quite distinct from the literal
time machine, constitutes the tale's basic novum, but Malmgren does not raise this
possibility. I shall return to the explanation Malmgren eventually offers regarding this
placement conundrum. In the meantime, the reader is invited to scan the examples in
Malmgren's chart of extrapolative and speculative SF. Perhaps the most arguable
categorization is that of Frankenstein as predominantly an extrapolative work.
Chapter 2, "SF and the Reader," explains how SF involves the reader in the activities
of "concretization" (constructing what Marc Angenot in a 1979 SFS article calls the
"absent paradigm") and "interpretation" (which involves the relationship between
estrangement and cognition, and the ability to distinguish between noncognitive novums,
such as the banal one, and cognitive novums). Following an appropriation of Brian McHale's
distinction in Postmodern Fiction (1989) between "zero degree" and "one
degree of interpretation" estrangement (in the first case the reader is
immediately immersed in the unfamiliar world, in the second at least one "terran actant acts as the reader's
ambassador or representative" [31]), Malmgren offers helpful (if a little too familiar)
analyses of The Time Machine and Solaris as one-degree-of-interpretation
SF, in the first case in the extrapolative mode, in the second in the speculative.
Malmgren's essential point is that, since "this first degree of interpretation highlights
the process of reading SF in general," some exemplary cases of "worlds with one degree
of interpretation become meta-SF, meditations upon, and models for, how to read SF" (31).
It is unfortunate that Malmgren elected to use, and thus give currency to, the
unreliable text of The Time Machine edited by Frank D. McConnell (1977).
Furthermore, in a footnote Malmgren claims of The Time Machine that "nothing in
the text (or the critical canon, for that matter) tends to call into question the validity
of the Time Traveler's final reading of the relation between the Morlocks and the Elois"
(182, n13). This is not the case. Clearly Malmgren is unaware of David J. Lake's
article "Wells's Time Traveler: An Unreliable Narrator" (Extrapolation 22:117-26,
Summer 1981) and his revisionary sequel, The Man Who Loved Morlocks (Melbourne,
1981).
In Chapter 3, the heart of Malmgren's book, he fleshes out the SF portion of the
theoretical model established in Chapter 1 with analyses of two novels for each of the
four types, the first extrapolative and the second speculative. Alien-encounter SF is
exemplified by analyses of Robert Silverberg's Dying Inside and Ian Watson's The
Martian Inca, alternate-society SF (in which Malmgren claims the barrier image that
Gary Wolfe highlights in The Known and the Unknown as a general feature of SF is
particularly important) by analyses of Kate Wilhelm's Where Late the Sweet Birds Sang
and Joanna Russ's The Female Man, gadget SF (to which Malmgren interestingly
links cyberpunk) by analyses of Arthur C. Clarke's Rendezvous with Rama and
Arkady and Boris Strugatsky's Roadside Picnic, and alternate-world SF by analyses
of Gregory Benford and David Brin's Heart of the Comet and J.G. Ballard's The
Drowned World. The ontological questioning of reality that occurs in speculative
alternate-world SF, "built as it is on new assumptions about the nature of a world
itself" (124), makes it "very much like science fantasy" and, I would add, very like my
"present world in other terms" category of SF. This SF/science-fantasy ambiguity once
again bedevils Malmgren's system. The most interesting current SF, what is now being
called postmodern SF, would appear to fall into the vexed speculative alternate-world
category. And although Malmgren does not mention a connection, William Gibson's cyberspace
works surely belong as much, if not more, with speculative alternate-world SF as with
gadget SF.
Among the detailed analyses of SF texts, those of The Female Man, Rendezvous with
Rama, Roadside Picnic, and Heart of the Comet are especially useful.
Malmgren's overall argument, however, does become somewhat repetitive. We do not need to
be told three times of Clarke's Childhood's End that the Overlords amount to an extrapolative
Otherness while the Overmind amounts to a speculative Otherness(17, 57,
60-70). And there are, inevitably, the occasional mistakes. It is presumably because
Malmgren has forgotten (or deliberately omitted?) prehistoric SF (and parallel-world SF?)
that, early on, he writes: "It happens in SF that narrative motifs or entities which, at
the time of their inscription, represent a departure from the author's empirical
environment become actualized in a later empirical environment (e.g., submarines, space
flight, atomic energy)" (8). Not all SF is set in the future; "a later" should be
"another." It is not totally accurate to say that in Algis Budrys's Rogue Moon
"those who die are brought back to life" (104), for it is only the doubles of a
sacrificed original that survive.
But more importantly, Malmgren makes no mention of the placement of one significant
subgenre in his SF typology: the prehistoric tale alluded to above. Perhaps, like Everett
F. Bleiler in Science-Fiction: The Early Years (1990), Malmgren classifies the
prehistoric story as a form of historical fiction. Malmgren does link SF with the
19th-century application of the "Historic Method" as "the scientific paradigm for all
the other social sciences" (5), but the argument for treating the prehistoric tale as SF
does not depend on that paradigm. Rather it is because the prehistoric tale involves
extrapolation or speculation on the basis of Darwin's scientific theory of evolution that
it counts as SF. Although the prehistoric story would appear to embody aspects of all four
of Malmgren's SF types, since it frequently involves the confrontation of one or more
stages of human and animal development (intelligent dinosaurs, for example), in terms of
the dominant novum it should be included with the alien-encounter type.
In Chapter 4, Malmgren elaborates on his earlier definition of science fantasy:
A science fantasy world is predicated on the violation or
contravention of five different kinds of "scientific givens": the epistemology of
science itself, an accepted scientific theory, an accepted scientific fact, or
"natural" actantial possibility. A science fantasy violates the epistemology of science when it
presumes that magic is the operative discipline in humanity's relation with the external
world; it violates scientific theory when it explicitly ignores basic scientific
principles (such as the unidirectionality and irreversibility of time); it reverses a
given scientific fact when it presumes, for example, the viability of sentient or humanoid
life on Mars, and a historical fact when it posits the existence of alternate time tracks
based on such reversals [this last statement is confused if not incoherent; alternate time
tracks have to do with scientific theory, not history, and not necessarily with the
violation of scientific theory]; finally it violates actantial possibility by introducing
a counternatural actant into the system of actants, an entity whose morphology, powers, or
existence contravenes scientific possibility. (20-21)
For such fictional worlds to be considered science fantasies rather than
straight fantasies, such violations must be viewed as at least potentially explainable,
perhaps in terms of a new scientific epistemology. All, however, is not quite as
straightforward as Malmgren implies. The scientific theory/ historical fact
category confusion that my bracketed insert draws attention to also points to the fact
that the four NATURAL LAW categories are not equally cut and dried.
The area covered by scientific theory is rather more elastic than the other three
areas. Much of today's scientific theory is, in fact, so fantastic that it can
hypothetically account for even the most far-out novums. More often than not, then, the scientific
theory category has the effect of converting works of science fantasy into
speculative SF.
A portion of Chapter 4, notably the analysis of two test cases, Fritz Leiber's Conjure
Wife and Stanislaw Lem's The Investigation, will be familiar to readers of
SFS, Malmgren's "Towards a Definition of Science Fantasy" having appeared in #46,
November 1988. It is in claiming both sublimative and cognitive value for science
fantasy that Malmgren differs most radically from Suvin's theoretical position. He is, I
believe, right to do so, but it is nevertheless Malmgren's science-fantasy typology that
will provoke the most argument. Not only is it often very difficult to distinguish between
science fantasy and speculative alternate-world SF, but speculative SF generally tends to
segue into science fantasy. What most readers will object to, however, is the placement of
alternate-history SF as represented on Malmgren's chart by Philip K. Dick's The Man in
the High Castle. Readers have intuitively classified that novel as SF, indeed as a
classic of the genre. True, Malmgren does place The Man in the High Castle at the
SF end of an alternate-history science-fantasy spectrum, but that does not solve the
problem. He does not explain why, in spite of the same branching time-lines assumption in
Russ's The Female Man, that book should be classified as speculative SF and
Dick's much more extrapolative novel should be classified as science fantasy.
As it happens, Malmgren does suggest a solution to this dilemma in explaining how
certain time-travel stories--the key text being The Time Machine--qualify as SF
while others (notably stories in which the time-loop novum is dominant) are science
fantasies. In the case of Wells's time machine, Malmgren answers (unconvincingly?)
"that
within the grapholect or writing practice of Wells's time, such a machine did not so
clearly violate contemporary scientific possibility," and (more convincingly) "that
Wells provided for his machine a (now-unconvincing) scientific rationale" (148). Malmgren
goes on to say that
Any SF novum (such as a time machine, FTL travel, and ESP)
can become part of the repertoire of SF conventions and therefore a device or tool for
other authors. It should be noted that conventionalized novums are indeed devices, that
they serve as means to an end, namely the introduction of the dominant or foregrounded
novum in the fiction. In other words, the conventionalized novum has in effect lost its
status as a novum and now serves simply as a device subtending the "real" or dominant novum (as when an FTL drive is used to stage an alien encounter). In addition...time
travel can be engineered in "pure" SF when its scientific rationale accords with the
realm of possibility [Malmgren instances Benford's Timescape and Poul Anderson's Tau
Zero].... In short, despite the fact that time travel would seem to be the kind of
impossibility associated with fantasy, it can be a purely SF motif when it is used as an
enabling device or when it is inscribed in a naturalizing and scientific discourse.
(148-49)
Malmgren appears not to have noticed that his last clause here subverts his basic
distinction and allows for the conversion any science fantasy--including the
time-loop stories--into SF! That uncomfortable possibility aside, in addition to being
countenanced by the more far-out reaches of scientific theory, the branching time-lines
alternate history is the same kind of SF novum as those Malmgren cites above. Although the
alternate-history notion is perhaps the dominant novum in The Man in the High Castle,
it is surely also a conventionalized and enabling novum. Consequently, Dick's novel, like
Russ's, should be classified as SF.
The science-fantasy chapter concludes with a fine analysis of an exemplary
work, the "posthistoric world" (160) that Gene Wolfe describes in his Book of the New Sun.
As it happens, that analysis is preceded by the most unfortunate typo that I noted in Worlds
Apart. I noted it because in occurs in a quote (that Malmgren agrees with) from my
1982 article "Power Fantasy in the `Science Fiction' of Mark Twain":
the intrusion of the fantastic into what appears a science
fiction text or a naturalistic text often simply alters the function of the fantastic
material. Instead of being encouraged to think about questions of psychology or mortality,
the reader is being encouraged to consider matters of epistemology; how do we know what we
think we know is accurate? It is the function of epistemology to relate any debate about
the "real" and the "unreal" to the relationship between the known and the unknown.
(157)
The word "morality" in the text of my article has been mistranscribed as
"mortality."
The epistemology issue is taken up in Malmgren's final chapter with the claim that SF
"has interrogated the assumptions, procedures, and objectives of the scientific way of
knowing the world, an undertaking which grants it a privileged place in modern discourse"
(171). SF "is the epistemological genre par excellence" (173). Science fantasy,
however, "overlays that epistemological concern with an ontological dominant. That is, it
asks readers if the world is indeed everything that is the case, if reality is as
monolithic, as given, as science would have it. Its questions include, how many worlds?
how ordered? how superordinated? and how can we be sure?" (175).
But can an ontological science fantasy be distinguished from an epistemological SF? As
I have indicated, Malmgren himself implicitly deconstructs his distinction between SF and
science fantasy. Consequently, his entire science-fantasy typology is somewhat
problematic. Simply put, it does not allow for the fact that any fictional world
which involves the violation of natural laws can be outer-limit SF if that world is
grounded in a scientific or quasi-scientific discourse which dominates or incorporates any
competing supernatural or magical discourse. It should be emphasized, on the other hand,
that, with some tinkering (and perhaps sleight of hand), Malmgren's SF typology is
workable. Even the tinkering, it seems to me, often simply involves applying Malmgren's
own insights more rigorously than he does. For the most part, however, his SF typology
cogently systemizes, in generally lucid prose, many of the insights of other SF
theoreticians. The extent to which Malmgren is able to agree with previous commentators
might, in fact, be construed as evidence that the definition of SF has been unnecessarily
mystified.
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