【作者】 王委艳；

【导师】 刘俐俐；

【作者基本信息】 南开大学 ， 文艺学， 2012， 博士

【摘要】 话本小说作为明清之际的通俗小说其产生具有非常复杂的时代背景，除了时代经济等客观因素之外，还与源远流长的“说话”艺术有着不可分割的关系。时代经济和人文环境为“说话”艺术的“书面化”及其传播提供了基础，而“说话”艺术长期形成的艺术形式为话本小说文本叙述方式的形成起到了关键的作用。正是“说话”艺术形式的交流性形成特性和话本小说对“说话”口头艺术的“写/读”交流方式的书面化改造构成了话本小说特有的内置“拟书场”的叙述格局。以此为基础，话本小说的“交流性”塑形对其文本艺术形式和审美特性具有强大的塑造作用，使话本小说从文本的艺术形式到审美都具有了这种特性，可以说，话本小说最核心的艺术和审美特性是“交流性”。这种“交流性”通过话本小说的文体、结构、情节、文化叙事模式和意识形态特征等等各方面表现出来。首先，话本小说的文体是一种具有明显“交流”特征的“说话体”。从标题到口头程序，从叙述者的存在状态到具有民族特质的“韵”与“散”的表述特征，这些都与话本小说“拟书场”的叙述格局有着密切关系，而这种内置的“拟书场”的叙述动力则来自内置的“说话人——看官”之间贯穿整个故事运行过程的和谐交流。其次，话本小说具有非常独特的结构模式。话本小说故事的结构方式基本在一种强势化的劝惩主题之下运行，并遵从通俗小说一贯的线性叙事模式，于是我们发现，在强势化主题控制下故事的运行并不自由，无论单线蘖生的故事运行模式还是多线运行模式都会在某些“催化”性事件左右下朝着既定的主题运行，这些线性叙事模式最终都有一个聚合的过程，因此，话本小说两种基本的结构模式是单线蘖合结构和多线聚合结构，而参与故事运行的“催化”事件因为影响故事的布局而具有了结构性作用，笔者将之命名为“催化结构”，于是我们发现，话本小说的结构模式是一种在深层主题结构控制下，横向的单线蘖合结构和多线聚合结构和纵向的催化结构条块分割而形成的立体型网格状结构。话本小说另一种结构模式是连缀结构，这种结构依然是一种深层主题控制下条块状线性结构模式。而所有这些均是在话本小说“拟书场”叙述格局的虚拟看官和说话人的“说——听”交流关系下运行。催化结构对故事运行方向的控制（使故事朝主题运行）便体现了这种“交流性”对小说结构强大的塑造作用。第三，话本小说的情节模式的独特性也在于其“交流”特性。话本小说叙事中常常出现具有中国传统的母题类型，而这些母题类型是经过了长期的“说——听”交流和“写——读”交流的筛选。而话本小说的情节节奏、情节的戏剧性也无不围绕其内置化的“拟书场”中的“说——听”交流关系和经过改造的已经书面化的“写——读”交流关系展开。第四，话本小说表现出明显的、具有民族文化特色的文化叙事特性和具有明清之际通俗小说的意识形态表达的独特性。话本小说文化叙事表现出了广泛的民间性，其独特之处在于存在于器物、观念、制度各种形态的文化因子全面参与了话本小说故事情节、结构等艺术形式的营造。而对于文化的态度，无论是遵从式文化叙事还是背反式文化叙事，都体现了一种叙事伦理姿态，这种叙事伦理姿态与读者的阅读伦理构成一种契合、也构成一种张力。这是一种更加形而上意义上的交流特征。而话本小说的“亚文化”特性使其在意识形态上表现出了某种暧昧性。于是作者意识形态、文本意识形态和读者意识形态之间的交流构成了话本小说意识形态交流的主要内容。纵观话本小说从生成——文本——接受的整个生命流程，交流性不但是话本小说的生成特性，而且是其艺术和审美特性。于是我们发现，话本小说在内置“拟书场”的虚拟“说——听”交流框架下构筑了中国古代通俗小说——话本小说的文本诗学系统。这是一种“交流诗学”系统。论文一方面揭示了话本小说艺术和审美特性——交流性和其构筑的“交流诗学”系统；另一方面从研究方法的角度提示我们对叙事作品的研究应该从文化的角度，从作品的产生、文本到接受整个生命流程及各个阶段之间的交流关系来全面考察其艺术和审美规律。更多还原

【Abstract】 As a kind of popular fiction of Ming and Qing dynasties, Huaben fiction has avery complicated producing background, in addition to the objective factors,such aseconomic, the reason has a inseparable relationship with oral art which is popularfrom Song dynasty. Economic and cultural environment are the basis for the spread oforal art and its written form, but the art form of oral art plays a key role in the processof transformation from oral art to Huaben fiction. The communication characteristicsof oral art and the "write/read" communication documented reform of Huabenfictoion formed the Virtual oral art scene of Huaben fiction.Based on this, thecommunication characteristics of Huaben fiction took an impotant role on theformation of its characteristics of art and aesthetic. We can say, the the core of art andaesthetic characteristics of Huaben fiction are communication. Such characteristicsare eapressed by many factors such as story style, structure, plot, cultural narrativepattern and ideological characteristics and so on.First of all, the style of Huaben fiction is a kind of oral art form with features ofcommunication. The oral program the title, the existence state of the narrator and thenational expression characteristics of verse and statement, all of these have closerelation to the the Virtual oral art scene of Huaben fiction. And the motive power ofnarration comes from the harmonious communication between the Speaker andAudiences throughout the entire story.Second, Huaben fiction has a very unique structure mode. Such structure istaking its way under a strong theme of Advised of punishing and follows linearnarrative mode of popular novel. So we found that such kind of structure is not freeunder the control of the strong theme.No matter the singlet-line-and-seperationnarrative mode or the multi-line narrative mode will take its way to the deep themeunder the control of some catalytic events. And all the line of the story have a processof polymerization. So there are two structures of Huaben fiction, they are a kind ofnarrative structre that a single clue born more clues and then the hybridpolymerization (structure1) and multi-line-and-polymerization narrative structure(structure2). And the Catalytic events which have many influences to the process ofthe story have the function of structure. So we find that the structure mode of Huabenfiction is a kind of multiple-layered and Grid shaped structure. Structure1and2which are horizontal and the Catalytic structure which is longitudinal are controlledby the deep structure of theme. And all of these are taking their way under the Virtual “speake-listen” relationship of the Virtual oral art scene of Huaben fiction. And theCatalytic structure controls the direction of the story to be sure it goes to the deeptheme. All of these serve the aim of communication.Third, the unique plot mode of the Huaben fiction is also the communicativecharacteristics. The Chinese traditional motif types often appear in the story ofHuaben fiction and such motif has been screening during the long-term “speak/listen”and "write/read" communication. The plot of the narrative rhythm and the dramaticplot mode are also come from the built-in Virtual oral art scene and the above twocommunicative mode.Fourth, Huaben fiction shows obvious national culture characteristics and theuniqueness ideology expression of popular novels of Ming and Qing dynasties. Theculture narrative of Huaben fiction shows a wide range of folk narrativecharacteristics. Its unique exists in the concept, implements and society system and allthe cultural factors fully participate in the narrative process. And for the attitude of theculture, both the Following-type cultural narrative and adverse type cultural narrativeshow a narrative ethics attitude. And such ethics attitude constitutes both a fit and atension with the readers’ reading ethics. But the ethics attitude of Huaben fiction isambiguity because of its subculture features and so that the the author ideology, textideology and readers ideology form the communicative relationship---the maincommunicative content of the Huaben fiction.Throughout t the whole life of process of Huaben fiction, communicativecharacteristics not only are the borning characteristics but also are the art andaesthetic characteristics. And so we find that Huaben fiction has built the frameworkof communicative system under the virtual oral art scene. We name such systemcommunicative poetics system. On one hand, this paper reveals the art and aestheticcharacteristics of Huaben fiction, that is communicative characteristics, on the otherhand, from the point of view of the research methods we can find that it is veryimportant to study all the life factors of narrative works and make clear thecommunicative relationship between these factors. And this can help us find the artand aesthetic characteristics from the perspective of culture.更多还原