【作者】 吕超；

【导师】 叶华年； 孙景尧；

【作者基本信息】 上海师范大学 ， 比较文学与世界文学， 2008， 博士

【摘要】 本论文在比较文学的视域下,借鉴异托邦、城市文化、形象学、后殖民等理论,建构城市异托邦的研究范式,重点论述城市异托邦的生成机制和研究范畴,并在此基础上分析西方文学,特别是英语长篇小说中老北京和老上海的形象。老北京和老上海采用学界常用的称谓,时间范围对应20世纪前半期。全文除导论和结语外,分为六章,前三章侧重理论辨析,后三章主要剖析案例。第一章论述城市异托邦的理论谱系。比较文学形象学在研究异域文学形象时,经常套用乌托邦理论,但是无论从词源学,还是从文化史的角度来看,乌托邦都是指现实中不存在的地方。比较而言,异托邦才是现实存在的,而又不同于“自我”的“他者”空间。此外,人类的空间体验也不是均质的,而是因地域、城市的不同有着各色差异,因而传统意义上的国家形象整体研究难免会有顾此失彼的缺陷。考虑到城市是异托邦的代表形态之一,比较文学形象学应拓宽理论思路,扩展研究对象,把城市异托邦(城市的域外文学形象)作为突破口之一。第二章阐述城市异托邦的生成机制,主要包括期待视野、亲身体验和文本表述三个部分。一般而言,人们主要是通过文本、图像等材料间接接触异域城市,他们所处的文化环境及社会集体想象物深深制约着他们对异域情调的想象。对于亲身体验城市异托邦的作家而言,他们则通过漫游城市街道、观察城市风貌等方式来搜集异质文化元素。在文本表述的阶段,作者往往带有明显的倾向性,借助“城市间性”将感受到的城市异托邦以文学的形式描述出来。第三章分析城市异托邦的研究范畴,分为精神、空间、市民三个层面。精神层面是核心内容,它通过空间和市民两个可见层面表现出来,可以分为正面、反面、中性三种基本特征;空间层面主要指作品中描述的异域城市文化景观和整体性的空间布局;市民层面则指生活在城市中人的社会行为,就文化身份而言,他们可划分为土著(原住民)、外族、“文化杂种”三种类型。第四章论述20世纪之前西方文学中的北京和上海形象,为全文增加了历史的深度。在马可·波罗时代,汗八里被视为人间的黄金天堂,西方中世纪晚期的世俗欲望在此得到传奇般映现。新航路开辟之后,一批批传教士来到北京,向西方描述了一座“希望之城”。然而当欧洲的启蒙思潮退去,晚清的京师开始沦为西方人眼中的“东方巴比伦”,并逐渐退化成黑暗东方的堕落中心。开埠后的上海很快从一个小“混血儿”身份发展成为“世界第五大城市”,在西方文学中的形象也越来越暧昧,从充满生机的通商口岸演变为妖冶的“恶之花”。第五章主要分析英语长篇小说中的老北京,兼论这座城市在当时西方文学中的代表性精神特征。20世纪前期的老北京依然保存着梦幻般的古都余韵,因世界大战而迷惘的西方作家纷纷来到这里,试图寻求失落的精神家园。与此相呼应,此时的北京则成为西方作家内心空间的隐喻。在英语长篇小说中,老北京的迷人魅力主要通过古老的文化景观和内向封闭型的空间格局体现出来,城市空间体现出严格的等级差异,并充斥着管制跨文化交流的力量。在小说中,老北京的原住民大多是质朴而谦逊的,体现着古老东方的优秀品质;外族人则大多异常迷恋老北京的城市景观和文化氛围;异质文化间碰撞的最终结果往往是中国传统文化吸引、约束甚至战胜了外来西方文化。第六章主要分析英语长篇小说中的老上海,兼论这座城市在当时西方文学中的代表性精神特征。20世纪前期的老上海是一座畸形繁荣的城市,有着“东方的巴黎”、“西方的纽约”、“冒险家的乐园”等称谓。与中国作家笔下常见的摩登上海形成鲜明对比,此时西方文学中的上海则是混乱、堕落的城市。英语长篇小说很少描写老上海的声光化电、高楼大厦等现代景观,反而关注落后、脏乱的角落,租界与华界的空间杂糅景象隐喻了一座“马赛克城市”。在小说中,老上海原住民的形象大多是狡黠而残暴的;外族人则大多被描述为冒险家式的人物,他们在这座充满诱惑的城市中终日淘金发财、寻欢作乐、放纵欲望;异质文化间碰撞的最终结果往往是外来西方文化腐蚀、约束甚至冲垮了中国传统文化。论文结语指出,在不同的文化体系之间,城市异托邦的具体形象可能千变万化,但最基本的面孔却只有两副:其一,该城市的文化与叙述者所属城市的文化以相异性为主;其二,该城市的文化杂糅了叙述者所属城市的文化,体现出较多的相似性。英语长篇小说中的老北京与老上海形象分别是城市异托邦两副面孔的典型代表:对于他者(西方作家)而言,作为异托邦的老北京体现出更多的相异性,作为异托邦的老上海则体现出更多的相似性。更多还原

【Abstract】 This dissertation aims to construct a research model of city heterotopia in comparative literature,mainly with the help of the theories about Imagologie,Heterotopia,City Culture and Post-Colonialism.It focuses on the configurative mechanism and the research category of city heterotopia,by analyzing Old Peking’s and Old Shanghai’s image in Western literature,especially in English novels.The period of Old Peking and Old Shanghai is delimited to the first half of the 20th century.Besides the introduction and the conclusion,this dissertation is divided into six chapters,with the first three on theoretical exposition,and the last three on case study.The first chapter discusses the evolution of the theory of city heterotopia.In comparative literature Imagologie often uses utopia to illustrate foreign lands,but utopia refers to a place which does not exist in reality.Comparatively speaking, heterotopia is the "other" space which truly exists,and is different from the "self" space.In addition,human spatial experience is not homogeneous,but varies with different regions and cities,and therefore the traditional research on national images unavoidably has many flaws.Considering the city is one of heterotopia’s representative forms,Imagologie should expand its theory,broaden its scope of research,and take the study of city heterotopia(the literay image of a foreign city) as a breakthrough.The second chapter elaborates on the configurative mechanism of city heterotopia.It includes three parts:expectation horizon,in-person experience and text representaion.Generally speaking,people comprehend a foreign city maily indirectly through materials such as texts and pictures.This comprehension is ofen deeply influenced by their cultural environment and collective imagination.However,a writer experiences a city heterotopia directly by himself,and he observes the hetero-cultural elements of the city by roaming in the street and viewing the cityscape. In the stage of textual representation,the writor often shows his obvious tendency when describing the foreign city in the light of "intercityship".The third chapter analyzes the research category of city heterotopia,which includes three aspects:spirit,space and resident.The spiritual aspect is central part, and it is displayed through the spatial and residential aspects.The spirit aspect can be divided into three essential features:positive,negative and neutral.The space aspect mainly refers to the scape of the foreign city and its whole spatial arrangement.The resident aspect refers to the behavior of the residents who,according to their cultural statuses,can be divided into three types:the natives,the aliens and the cultural hybrids.The fourth chapter explicates the image of Peking and of Shanghai in Western literature before the 20th century,so as to give a historical depth to the dissertation.In the age of Marco Polo,Cambaluc was considered a golden paradise on earth,which manifested the secular desire in the last period of the Middle Ages in the west.After the new sea route was discovered,many Christians took great pains to disseminate the Gospel to the "City of Hope".However,when the Enlightenment tides receded, Peking seemed to degenerate gradually into "Eastern Babylon" and the center of the dark East.On the other hand,after opening the port,Shanghai developed very quickly from a small "hybrid" to "the world’s fifth largest city",and its image in western literature became more and more ambiguous,from a vital trading port to a seductive "wicked flower".The fifth chapter mainly analyzes Old Peking in English novels,while expounding its representative spiritual characteristics in the contemporary western literature.In the early 20th century,Old Peking still preserved the illusory charm of an ancient capital,and the western writers who were disillusioned in the World Wars came to Peking,trying to search for the lost spiritual homeland.Therefore,Peking became a metaphor in the western writers’ mind space.In English novels,Old Peking’s enchanting glamor mainly manifests through the ancient cityscape and its introverted space pattern.The urban space demonstrated a strict hierarchical system and a ubiquitous power which controlled the cross-cultural communication.In most situations,the natives of Old Peking were portrayed as simple and humble, embodying the superior quality of the ancient East;the aliens were attracted by Old Peking’s urban landscape and the cultural atmosphere;the result of collision of different cultures was usually that Chinese traditional culture absorbed,restricted or defeated external Western culture.The sixth chapter mainly analyzes Old Shanghai in English novels,while elucidating its representative spiritual characteristics in the contemporary western literature.In the early 20th century,Old Shanghai was an abnormally prosperous city, regarded as "Eastern Paris","Western New York" and "adventurers’ paradise".In the Chinese writers’ works,Old Shanghai was a modern city,but in western literature, Shanghai was a barbarous,chaotic and uncivilized city.The English novels paid little attention to the modern cityscapes of Shanghai,such as skyscrapers.On the contrary, they focused on the messy and dirty corners,the intermixed space of the Concession and the Chinese area deemed Shanghai as a metaphor of "mosaic city".In most situations,the natives of Old Shanghai were depicted as sly and cruel;the aliens were described as adventurers,who sought fortune,pleasure and indulgenec all day;the result of the collision of different cultures was the intruding Western culture overwhelmed,eroded or defeated Chinese traditional culture.The conclusion of the dissertation points out that between different cultural systems,city heterotopia only has two basic faces:first,the culture of this city is very different from the writer’s culture;second,the culture of this city culture mingles with the writer’s culture,sharing many similarities.The image of Old Peking and the Old Shanghai in English novels represent respectively the two basic faces:to the western writers,as city heterotopia,Old Peking is more different and unfamiliar,Old Shanghai is more similar and familiar.更多还原