【作者】 甘锋；

【导师】 马龙潜；

【作者基本信息】 山东大学 ， 文艺学， 2008， 博士

【摘要】 利奥·洛文塔尔是在大西洋两岸享有盛誉的批判理论家、文学理论家和传播理论家。作为社会研究所的核心成员之一,他在一生的学术研究中,始终把法兰克福学派的批判理论应用于文学、文化和社会问题的分析研究,在文学理论、通俗文化理论和批判传播理论等方面都有卓越的贡献。他的文学传播研究不仅揭开了西方文学研究的传播学转向的序幕,而且有效地把批判理论、文学理论和传播理论综合起来,“扭转了当时的研究立场,在文化社会学领域发动了一场哥白尼式的革命”,成为批判的文化研究的先驱和跨学科研究的典范。作为批判的文学传播理论的奠基人,洛文塔尔所提出的文学传播研究的基本主题、理论原则和研究范式都可以被看作是批判的文学传播理论的根基上的开端,他的著作中包含的大量的深刻的文学传播思想,对于建设中国特色的文学传播学具有非常现实的借鉴意义。在学术界把对法兰克福学派的研究集中在批判理论和大众文化理论上,把对洛文塔尔的研究集中在通俗文化理论和社会传播理论上的情况下,本文独辟蹊径,选取了他的文学传播理论作为研究对象,第一次较为全面、细致、深入地分析了他的文学传播理论,勾勒了他所开创的文学传播研究范式的基本面貌和主要特点,阐明了其文学传播理论对我国当代文学研究所具有的理论价值和现实意义。它不仅给我们提供了一种重要的观察当今文学现象的新视角,扩大了对文学的解释范围,拓展了文学研究的理论空间,而且发展了一种针对文学传播问题的批判性、跨学科的研究方法,提供了一种可行的文学传播研究范式,丰富了人们对文学的本质和特征的理解,加深了对文学史与文学批评的研究。在对其文学传播理论进行系统研究的基础上,本文对文学传播理论发展的基本问题进行了深入探讨,总结出了对文学传播问题的一些规律性认识,为深入理解和把握大众传播语境中的文学与文艺学的基本性质和大众传播条件下出现的文学与文艺学转型现象提供了一个更为广阔的参照系、一个更加深厚的理论语境。本文共分六个部分:导论、结语和正文,正文由四章构成。导论部分主要介绍本文选题的初衷,即本项研究的理论价值和现实意义;以及本文的主要研究对象和写作的逻辑线索。作为全文的开篇,笔者试图在导论中把洛文塔尔的文学传播理论放到文学研究的传播学转向的语境中,放到他的理论体系中来概括性地揭示出他的文学传播理论的价值和特征。第一章概括介绍洛文塔尔文学传播理论的生成和发展。第一节是对其学术生涯的回顾,试图揭示其学术成就与学术生涯之间的内在联系。本节将其学术生涯概括为四个时期进行了分析:魏玛共和国时期、社会研究所时期、美国之音时期和柏克莱时期。“洛文塔尔跨越国界的学术活动不但扩展了他的理论视野而且为建立新的学术体制做出了重要贡献。”第二节梳理了其文学传播理论的学术资源。他的学术传统与马克思、黑格尔、歌德、弗洛伊德、狄尔泰、西美尔和韦伯兄弟等德国贤哲有着深厚的血脉渊源,更重要的是,他不仅继承了德国的哲学传统和人文主义范式,而且在一定程度上表现了对美国实证主义的尊重,吸收了美国社会科学的一些研究方法。第三节梳理了其文学传播理论的发展轨迹:从在欧洲采用批判理论对文学传播和大众接受现象进行社会学的研究,到在美国采用批判传播理论对文学进行传播学的研究,以至于综合欧美的理论成果,建构了“理论力场”、“传播力场”和“理解力场”等一系列学科交叉性极强的范畴,从而开创出了在文学与传播的“力场”中把握文学的本质这样一种全新的文学研究范式。第二章主要分析洛文塔尔文学研究的传播学视角和方法。作为第一个以“文学传播”问题为主要研究对象的文学理论家,把文学问题作为一种传播现象加以研究和把握,是其文学理论的基本特征和方法论基础。在把文学研究的方法论从传统的以作家作品为中心的研究范式里解放出来的努力中,他所使用的一整套方法都可以由传播学的观念得到说明。他之所以能够捕捉到文学发展到大众传播时代所出现的传播转向这种历史趋势;之所以能够超越批判传播学派和经验传播学派,形成独特的文学传播理论,究其根源,切入问题的全新角度和研究范式的创新不能不说是他的一个突破口。他针对大众传播条件下出现的文学转型现象以及当时各种文学研究方法的不足,综合批判理论、传播理论和文学理论建构了“理论力场”这一全新的方法论,这使其文学传播理论明显地表现出跨学科的研究背景以及各种理论资源在“理论力场”中既冲突又融合的理论特征。他打通“批判理论和经验理论,社会科学方法和人文科学方法”的尝试,是“欧洲理论姿态和美国经验主义研究相结合的最成功的范例之一”,在文艺学研究和传播学研究中都产生了深远的影响。通过对其文学理论与传播理论、批判理论与经验方法的冲突与融合的深入分析;通过将其与阿多诺、与经验学派进行比较分析,不但凸现了他的理论特色,使我们看到了批判理论的“另一副面孔”,填补了以往在这方面研究的一些空白,而且为完整、科学的理解法兰克福学派提供了一个新的理论语境,从而深化了法兰克福学派研究。第三章集中论述洛文塔尔文学研究的新范式,阐释其文学传播理论中的文学观。他认为既有的理论范畴和研究范式无法解释大众传播语境中的文学传播现象,因而才尝试着创建了“传播力场”、“理解力场”等理论范畴和在文学与传播的“力场”中探寻文学的本质这样一种文学研究新范式。在他看来,文学传播活动必须在更具包容性的文化和社会理论中被调查,文学传播研究不仅要包括它的传播者、文本和接受者,而且要包括它的文化语境、社会过程和经济关系。在对文学和通俗文化进行传播研究的过程中,他建构了“传播力场”这一由复杂的传播现象所构成的动态结构,用以阐释某一独特的历史时期的既构成又变动不居的文学传播活动。然而仅以“传播力场”来解释文学传播活动,未免抹煞了它的特殊性,因此他又进一步提出以“理解”范畴来规定文学与传播的关系。他认为,作为人类交往活动中的一种传播行为,文学对于恢复传播的本真内涵和人性内容,对于推进人与人之间的交流、理解、分享内在的体验,对于“人类的自由与解放”都具有不可替代的价值和作用,正是出于对文学传播行为在人类交往活动中所具有的理解和解放功能的信念,他才把极具德国文化哲学色彩的“理解”范畴与法兰克福学派的“力场”理论结合起来,从而确立了“理解力场”这一文学传播研究的思想枢纽。洛文塔尔认为,“文学本身就是传播媒介”,无论是就其内在本质而言,还是就其社会功能来说,文学所发挥的都是一种中介作用,即传播、交流、理解的中介,文学本质的生成,文学的美学、社会学、文化学等特征都与传播有着密不可分的关系。从“理解力场”的角度看,文学传播活动的核心就是意义的创造、理解和共享。因此只有从传播的角度,把对文学本质的探讨放在传播这一基点上,把文学传播作为文学自身的存在方式来研究,才能深刻认识文学发展到大众传播时代所出现的文学转型现象。文学存在本身就是一种传播,这种阐释丰富了对文学本质的理解,在一定程度上弥补了精神史中模糊的文学概念。本文认为,洛文塔尔把文学放在文学与传播的“力场”中来揭示文学的本质和功能,从传播的角度对文学进行规定的文学观念,是一种传播论的文学观,从而揭示了洛文塔尔是最早一代提出传播论的文学观念的理论家之一。第四章侧重分析了洛文塔尔对文学传播活动不同环节及其关系的研究,并且通过分析他的两例个案研究验证了其理论分析的有效性。他考察了作家、文学媒介、书商、批评家、传播渠道和读者等各种“力”在文学“传播力场”中的角色及其相互关系的历史变迁对文学的影响,并且分别论述了传播者与文本建构,期待视野与文本结构,文学“传播力场”的历史变迁与文学转型等问题。在他看来,机械印刷传播方式催生的包括“职业作家”在内的新型传播主体对文本的建构产生了根本性影响。阅读大众的出现则是文学传播世界发生决定性改变的另一个根源,它不但引发了持续至今的“艺术和通俗文化之争”,而且改变了作家、文本和读者之间的关系,“这种改变在美学领域和伦理领域产生了最为深远的影响,同时影响到了文学实体和文学形式”,形成了新的文学类型。对某一作家作品和文学类型在文学史上的传播接受状况的研究,是他在二十世纪三四十年代文学研究的焦点问题。他对陀思妥耶夫斯基的接受研究和对通俗传记的内容分析堪称二十世纪运用文学传播理论进行文学批评实践的双璧。他也因此被誉为“接受理论的先驱”和“读者反应批评的真正开拓者”。结语部分对洛文塔尔文学传播理论的价值和局限性做了简短概括。他的理论主要是对播放式传播阶段的文学传播现象的理论总结,具有那个时代的历史局限性就在所难免。而今人类正在由“第一媒介时代”进入到“第二媒介时代”。在这种新型“传播力场”条件下,就不能再简单地接受他的理论假设和研究结果,就是一些已经被验证了的理论结论,其有效性也还有待于进一步考察。但是他提供的研究视角,拓展的理论空间,确立的基本主题、理论原则和研究范式依然有其可资借鉴的理论价值和现实意义。更多还原

【Abstract】 As a well-known critical theorist, literary theorist and communication theorist, Leo Lowenthal enjoys great fame on both sides of the Atlantic. As one of the core members of The Institute of Social Research, he always applied critical theory of Frankfurt School to analyze the literary, cultural and social problems in the whole life of the academic research, which had made many outstanding contributions in the field of literary theory, popular culture theory and critical communication theory. Lowenthal’s study of literature communication not only opened the prelude of the communication turn in the field of literary research, but also combined availably critical theory, literary theory with communication theory, "Lowenthal transforms this position into a Copernican revolution in the sociology of culture", being the pioneer of critical cultural studies and a model of cross-disciplinary studies.As founder of critical theory of literature communication, Lowenthal’s basic themes, theory principle and research paradigm could be considered the beginning of a theoretical foundation of critical theory of literature communication. Lowenthal’s books involve lots of realistic and profound ideas about literature communication, which would enrich the study of literature communication with Chinese characteristics. Current research on Frankfurt School concentrates primarily in the aspect of critical theory and mass culture theory, and research on Lowenthal concentrates primarily in the aspect of popular culture theory and communication theory. The dissertation focused and thoroughly analyzed Lowenthal’s theory of literature communication for the first time, drawing basic aspects and main characteristics of his literature communication research paradigm, revealing its main theoretical value and its significance to our contemporary literary research. It not only provided a kind of new importance angle of observing literary phenomenon nowadays, extended scope of literature interpretation, expanded belletristic theoretical space, but also developed a new critical interdisciplinary research method aiming at literature communication problems, provided a kind of viable literature communication research paradigm, enriched comprehension of essence and characteristic of literature, deepened studies on the literary history and the literary criticism. By systematically studying Lowenthal’s theory of literature communication, the dissertation deeply discusses the basic problems of developing theory of literature communication, summarizes some regular recognition about literature communication problems, and provides a more wide reference system, a more profound theoretical context for further understanding the essence of literature and literary theory, and transformation of literature and literary theory in mass communication context.The dissertation is composed of six parts: an introduction and a conclusion and a main text made up of four chapters.The introduction part of the paper introduces the original intention of selecting the topic, namely, the theoretic value and practical significance, the main subject, and the logical arrangement of the dissertation. The introduction generally reveals theoretical value and main characteristics of Lowenthal’s theory of literature communication, by exploring it in the context of communication transformation of literary research and his theoretical system.Chapter one generally introduces the generation and development of Lowenthal’s theory of literature communication. The first section gives a sketch of Lowenthal’s academic career, trying to reveal the relationships between the experiences of his life and his academic achievements. This section consists of four parts for the analysis and generalization of his whole career life: The Weimar Republic, The Institute of Social Research, The Voice of America, and Berkeley. The second section hackles academic resources of Lowenthal’s theory of literature communication. The intellectual traditions Lowenthal grew up with were Marx, Hegel, Goethe, Freud, Dilthey, Simmel, and Max Weber, Alfred Weber. More importantly, he had not only inherited and developed the Germanic philosophical tradition and humanistic paradigm, but also he had come to recognize that American positivism was completely respectable theoretical approaches and research methods, and he had adopted some methods of American social science. The third section draws a development track of Lowenthal’s theory of literature communication: his sociological study, by applying critical theory, on literature communication and mass acceptance in Europe, his communication study, by adopting critical communication theory in the USA, on literature, and his synthesis, on the base of the aforesaid studies, on those theoretical achievements of Europe and the USA, established a series of cross-disciplinary categories including force fields of theory, force fields of communication and force fields of understanding, thereby created a brand-new belletristic paradigm to master the essence of literature in the "force fields" between literature and communication.Chapter 2 mainly analyzes the communication’s angle of view and methods in Lowenthal’s literary study. As a literary theorist who first regards literature communication problems as main research object, it is main characteristic of Lowenthal’s literary theory that literary problems are researched as a kind of communication phenomenon. In the effort to free the methodologies of literature researches from the author-and-works -centered research paradigm, his complete set of methodology be illustrated by the concept of communication. It is exactly a brand-new angle of view and research paradigm that make Lowenthal swiftly seize historical trend of communication transformation of literary development in age of mass communication, and transcend Empirical School and Critical School of communication, and shape special theory of literature communication. Aiming at transformation of literature and literary theory in mass communication context as well as the insufficient of the existing various research methods, Lowenthal created a brand-new methodology of "force fields of theory", his synthesis on critical theory, communication theory and literary theory, which makes Lowenthal’s theory of literature communication to show up cross-disciplinary research background and theoretical characteristics. Robert Merton praised "such a successful synthesis" as "one of the few successful examples of a synthesis of the European theoretical stance and American empirical research", which exerts a profound and lasting influence upon studies of literature and communication. Upon profound analysis on the conflict and fusion between literary theory and communication theory, critical theory and empirical method, and upon study of comparison among Lowenthal, Adorno and empirical school, does this dissertation not only highlight the features of his theory, and reveal "the other face" of critical theory, fill the blank of study in this respect, but also provide a new theoretical context for understanding Frankfurt School much more completely and scientifically, thereby deepen the study on Frankfurt School.Chapter 3 discusses Lowenthal’s new belletristic paradigm, expounds its literature view in his theory of literature communication. He thought that the existing categories and paradigms cannot explain phenomenon of literature communication in mass communication context, so he tried to establish a series of categories including "force fields of communication" and "force fields of understanding", and created a brand-new belletristic paradigm to research the essence of literature in the "force fields" between literature and communication. In his view, literature communication activities must be investigated in the culture and the society theories, not only in terms of its communicators, its texts, and its receivers, but also in terms of cultural contexts, social processes, and economic relations. In the process of communication researching on literature and popular literature, he constructed "force fields of communication" which is composed by complex communication phenomenon was employed to interpret the phenomenon of literature communication which is in a certain historical period. But if literature communication activities are interpreted only by way of "force fields of communication", specific characteristics of Literature communication will be diminished.He held that as a means of communication in the human interactions, literature occupied an indispensable value and influence because literature could regain true connotation and human contents of communication, to reinforce interpersonal communion and understanding and to share inner experience and to liberate and free human beings. So he combined "understanding" with Germanic cultural philosophical tradition with "force fields" of Frankfurt School, thereby established thoughts of "force fields of understanding" literature communication research. Lowenthal thought that "literature itself is media of communication", no matter the essence or functions of literature, it plays a intermediary role, namely, is media of communication, exchange, and understanding, the generation of literary essence, and aesthetics, sociology, culturology characteristics of literature is connected with communication closely. In view of "force fields of understanding", the core of literature communication activities is to create, comprehend and share meanings. Therefore, if the probing of essence of literature can be based on the communication and literature communication can be explored as an existing means of literature itself, the literature transition phenomenon can be better understood how it developed from cognitive literature to mass communication. The existing literature itself is communication, which illustrates and enriches the comprehension of the essence of literature and makes up the vague concept in the spiritual history. This dissertation holds Lowenthal’s literary viewpoint that he revealed the essence and functions of literature in the "force fields" between literature and communication, and researched literature from the viewpoint of communication is a kind of literary viewpoint of communication, which reveals that Lowenthal is one of the first generation who propose the literary viewpoint of communication.Chapter 4 mainly analyzes Lowenthal’s research on the various links and their relation of literature communication activities, and proves the effectiveness of its theoretical analysis through his two cases of case studies. He investigated how the "forces" of authors, literary media, booksellers, critics, communication channels and readers played their roles in the "force fields of communication" and how the corresponding historical changes of their interactive relationships and respectively analyzed the problems of communicator and text construction, horizon of expectations and text structure, and historical changes of literature "force fields of communication" and literary transitions. In his view, new communication subjects including professional writer had exerted a widespread and fundamental influence on the textual construction. Appearance of masses was an origin of the decisive change which took place in the world of literature communication, it not only induced "The debate over art and popular culture", but also changed the relation among author, text and reader, "the decisive change was to have the most far-reaching effects both in theaesthetic and ethical domains, on the body as well as the form of literature......the types of literature and literary institutions were affected by this change and which, in turn, fostered it; the shifting ideational patterns which illuminate". Research on communication situation of a certain author, work and type of literature in history of literature is Lowenthal’s belletristic focus in 1930-1940. Lowenthal’s a series of content analyses of biographies in popular magazines and research on The Reception of Dostoevski’s Work in Germany can be regarded as the double jade of literature criticism by applying literature communication theory in 20th century. Therefore, he is also honored as the forerunner of reception theory and real pioneer of reader-response criticism.Epilogue outlines the values and limitations of Lowenthal’s theory of literature communication. His theory was set up on the basis of playing type communication stage, so its historical limitations are inevitable. Now "The First Media Age" is getting into "The Second Media Age". In this case, we can’t more simply receive his theoretical hypothesis and research results, even if for some verified conclusions, they also need further investigation. But Lowenthal’s research perspective, theoretical space, basic themes, theory principle and research paradigm still have theoretical value and significance to our contemporary literary research.更多还原