【作者】 李永梅；

【导师】 郭继德；

【作者基本信息】 山东大学 ， 英语语言文学， 2009， 博士

【摘要】 卡里尔·菲利普斯(1958-)出生在加勒比海地区。他以戏剧写作开始其创作生涯,但随后他的小说创作成就超过了戏剧。迄今为止,菲利普斯创作了十部小说、四个舞台剧、两个电影剧本及一个广播剧、三部非小说文集、两部选集,此外他还做过编辑,是《卫报》、《泰晤士报文学评论副刊》等报刊杂志的撰稿人。他的大部分作品,特别是小说获得过不同的奖项,其中《遥远的海岸》(2003)一书就获了四个奖项;广受好评、堪称其代表作的《渡河》(1993)获得1993年布克奖的提名,并在1994年获英国詹姆斯·泰特·布莱克纪念奖。菲利普斯不仅是一位用英语创作的卓越的黑人作家,而且已成为一位写作领域宽广的多产作家,无怪乎《纽约时报》这样评价他“菲利普斯已证明自己为同时代人中最佳和最多产的作家”,称他为“我们时代的文学巨人之一”。在来自前大英帝国殖民地的作家中,卡里尔·菲利普斯是当代英国文学中的一位举足轻重的人物,凭借其作品,尤其是小说,他从形式到主题更新了本质上是现实主义但偶尔又流露出狭隘思想的文学传统。他的这种创新承继了同样来自于西印度群岛的上一辈移民作家的文学精神,例如威尔逊·哈里斯、乔治·莱明和塞缪尔·塞尔凡,但在来自加勒比海地区的作家中,除V.S.奈保尔之外,菲利普斯是另一位较早被公认为属于英国文学“主流”的作家。菲利普斯对英国文学的贡献主要表现在两个方面。一个方面是在菲利普斯的小说中,碎片般的故事取代了传统的线性叙事,过去与现在相层叠,迥异的地点相关联,这种支离破碎恰好反映了处于离散、错位中人物的生活状态。如果说菲利普斯早期带有自传因素的小说还都算得上是完整的故事,虽然其中不时穿插着“闪回”,那么其后期的小说则直接把彼此孤立但又富有抒情的声音并置在一起。这些声音由于性别、种族、阶级和时间的原因而相互隔绝,然而它们又都有痛苦和失败的共同经历,并且对未来怀有一种本能的期望。第二个方面是,菲利普斯小说的主题拓宽了英国小说的领域,对现存的社会秩序提出了质疑,同时强调长期以来英国小说所忽视的内在异质性。菲利普斯的小说关注传统历史学所排斥的人物,重现了西方社会刻意掩盖的历史,比如跨越大西洋的奴隶贸易的真实历史。在二十世纪九十年代之前的英国小说中,奴隶制及“他者”在英国要么被故意忽略,要么被当作次要问题,然而他们在菲利普斯的作品中却成了核心问题。菲利普斯作品形式与主题上的创新恰当地反映了他所受到的影响,体现了他对现有传统的依附与超脱,这种传统既是英国的、非洲的、美国的,也是加勒比海的。尽管菲利普斯取得了不小的成就,但是他似乎并没有赢得应有的关注。这固然有菲利普斯作品题材对现在的读者过于“陈旧”的因素,但最主要的原因或许是由于作者的身份:作为非洲的后裔,菲利普斯生于加勒比海地区,长于英国,现定居美国。对于手中握有的这四张身份名片,菲利普斯反复诉说自己处处有家,但毫无归属的境况:“我认识这个地方,感觉就像在家里一样,但我不属于这里。我既是这里的一员,又不是这里的一员。”事实上,菲利普斯本人的处境,尤其是他的不停地跨越国界的行为恰好反映了黑人的生存现状。另外,虽然小说《渡河》备受好评,获得了布克奖提名,但却不是最后的获胜者,因此普通读者对他的关注相对较少也是情理之中的。在通读菲利普斯作品的基础上,笔者发现“渡河”是其中反复出现的一个主题,并且渡河的行为直接影响人物此后的命运,不论渡河人的动机如何,他们对家的眷恋与追求是相似的。渡河的行为既指时间上,又有空间上的含义,大多数的人物都有渡河的经历,所以渡河既是真实意义上的,也有跨越种族界限的比喻意义。综合国内外有关菲利普斯的学术研究成果,笔者注意到,国外的学术著作有五部,国内有两篇硕士论文,一篇学术文章,没有博士论文和专著。在笔者读过的批评著作和文章中,除了菲利普斯本人写过一篇题为“跨越边界”,以及一位评论者针对其文章写的一篇呼应的文章外,并没有其他的文章或论文探讨“渡河”人的状况。本论文通过分析渡河人渡河前的期望,渡河的苦难历程,渡河后的遭遇和结局,以及更为广阔意义上的渡河,揭示了渡河的普遍性,这是本论文的第一个创新点。对家园的追求一直是文学作品的主题,菲利普斯的作品也不例外。尽管在他看来,家是“谜一样的难题”,他不止一次地称“你是哪里人?”为“存在问题的问题”,和“有密码的问题”,但是值得注意到是,作者也同他作品中的人物一样在身体力行地探寻着的“家园”的真实含义。作品中的人物大多是以悲剧收场,尽管最后总会在凄凉中透出一点儿希望,而作者却依然在昔日的环大西洋“三角地区”穿梭着,离开了生他(西印度群岛)、养他(英国)的地方,定居在美国。他处处有家,却又感到无处为家,这或许就是渡河人的真实写照。渡河是一个永不止息的流动着的过程,即使一个人物倒下了,其身后的家人后备军仍在翘首期盼着能有朝一日会到“宗主国”去。大多数的评论文章谈到了渡河人的移位之苦,但是没有涉及他们对家园的不懈追求,所以从渡河人的角度来关注他们对家园的追求,是本文的第二个创新点。因此本论文以“渡河”为切入点,结合文本和相关理论,从四个方面来分析人物在追求家园和身份归属上所面临的困境。它们分别是在奴隶制下黑奴失去家园及艰难地重建家园、移民对“英国梦”的追寻、白人渡河者,以及在更广阔意义上的渡河。论文的第一章探讨了较早的黑人渡河,即跨越大西洋奴隶贸易中被迫渡河的非洲人。历史是菲利普斯一直关注的焦点,特别是奴隶制这段历史。第一部分首先分析了菲利普斯在二十世纪后期重述贩运黑奴的目的。在菲利普斯看来,奴隶制迄今仍然是一个大家有意回避的主题,所以菲利普斯致力于挖掘被官方历史所排斥的各种声音,既有奴隶的声音,也包括种植园主女儿的声音。奴隶制绝不仅仅是黑人的历史,它同样也是白人的历史。第二部分追溯了奴隶制的历史。对于那段不光彩的贩奴史,英国没有勇于承认自己所扮演的角色,而是极力地掩盖和否认,其实在菲利普斯看来,那或许就是英国社会的“万恶之源”,也正是从奴隶制开始,才有了此后的大英帝国子民源源不断地移向他们的期望之地—英国。第三部分详细分析了菲利普斯作品中黑奴的生存状况。正是由于暴利的驱使,黑奴贸易迫使无辜的非洲人踏上了不归的横渡大西洋之旅,就像《渡河》中所描绘的那样,他们承载着非洲父亲的期望,像折断的树枝在异国的土地上艰难地生长。第四部分探讨了奴隶制的遗产,包括种族主义及非白种人在二十一世纪所要面临的民族身份问题,当代英国的焦虑可以从奴隶制那里找到根源,然而人们对这二者之间的关系的探讨却远远不够,正是这些促使菲利普斯重述奴隶制这段历史。引人深思的是,黑奴的后代子孙们非但没有远离夺走他们的先辈、令他们永世无法相见的殖民者,反而被他们如磁石般地吸引,开始了到宗主国的寻梦之旅,这是第二章所要探讨的问题。本章首先简要回顾了那段著名的“帝国风驰号”(Windrush)海船运送移民的历史。英国朝野对历史采取遗忘的手段之一,就是把乘坐“帝国风驰号”海船的那代移民的到来看作是黑人第一次到达英国,从而否认贩运黑人的不光彩历史,把外来人排除在外的目的。但是从古到今,欧洲大陆,特别是英国,外来人的脚步从来就没有停止过,无论是出于获取暴利的动机,还是缓解劳动力匮乏的需求,英国“请入”的外来人—被贩运的黑奴及五、六十年代的加勒比海移民,都为英帝国的繁荣做出了卓绝的贡献,但是他们的奉献不但没有得到认可,而且他们的“存在”被视为某些社会问题的根源。第二部分联系菲利普斯自身的经历,特别是对于“出身”这一敏感问题的苦恼,说明渡河人无处扎根的夹缝处境。笔者归纳了菲利普斯小说中形形色色的移民形象,宗主国为何具有如此的吸引力或许可以从米尔恰·伊利亚德的两种时间观念那里找到解释。本质上来说,渡河人的困境源于西方殖民主义的罪恶,殖民者掠夺财富的同时,以西方文化替代殖民地原有的脆弱的历史文化传统,只要文化消失了,其子民注定成为无根之木,四海为家,又处处无家。本章同时也挖掘了渡河人悲惨命运的原因:一方面遭受宗主国的排斥,另一方面,因为自己抛弃了家乡,哪怕是再回到故乡,也找不到归属感。由此菲利普斯提出了一个“大西洋之家”的概念,这反映了移民的两难处境。第三章专门讨论了白人“渡河”的情况。就像《渡河》中所表明的,渡河人群中不仅仅包括黑人,白人也同样在渡河,虽然情况与黑人有所不同。在贩运黑奴过程中黑人无疑是牺牲品,他们也许并没有意识到白人也没有幸免于难。黑奴的家园被隔断,处于边缘的白人也同样是有家难回,他们与黑人有着相似的遭遇。笔者所读过的评论文章中没有人提到白人渡河,这是本论文的第三个创新点。本论文首先追溯了欧洲人渡河的历史,利益驱动下的远洋航行打着传播文明旗号,实则开启了他国成为附庸国的殖民历史,这为欧洲的经济繁荣打下了坚实的基础。然后论文分析了白人渡河进入“黑暗之地”一此处指非洲或加勒比海—的历程,正是在这“黑暗之地”,他们发现自己的尴尬身份和有家难回的境地;更加可悲的是,白人渡河者自己也是其同胞种族歧视的受害者,他们之所以在自己国度上无奈的迁移,到处漂泊,同样也是想找到一处避风港。正如《大西洋之声》中遭受家乡排斥的法官瓦林所认为的“在(美国)南方我们没有黑人问题,我们有白人问题。”从时间的角度来说,奴隶制早已退出了历史舞台,但是其影响—以种族歧视为变体—在二十一世纪依然存在。如果白人主流社会不正确对待贩运黑奴的历史,那么将有更多的白人同黑人一样成为牺牲品。白人在自己家乡的放逐和寻家,正反映了人类所面临的处境。为了更好的表达“渡河”的主题,菲利普斯采用了一系列的叙事技巧,这构成了更广阔意义上的“跨越”,这正是第四章讨论的主题。为清楚起见,笔者将叙事技巧归为两大类:一是声音类,如复调、主人叙事与奴隶叙事、腹语,菲利普斯正是凭着这些技巧来挖掘被湮没的声音。为了与“声音”相对照,笔者把另一类技巧称为“文本”,如互文性和旅游文学。菲利普斯正是使用了这些技巧模糊了小说与非小说的界限,又把自己的文本与前人的文本联系起来。所有这一切都是围绕着共同的主题:渡河人去尝试建立家园。通过以上的分析,笔者得出的结论是:透过渡河人失去家园到艰难地重建家园的过程,菲利普斯的作品反映了人类所面临的困境。随着国与国之间的交往,人口的迁移日趋频繁,并且是多方向多地点的来回穿梭。由于渡河人的背景复杂,这就使得菲利普斯的作品具有了跨文化的国际视野。因此探讨渡河人的境况,即黑奴的离散、随后的移民及白人的内部迁徙,能促使人们重新思考民族、民族主义、国家以及基于此上的人们的身份。离散与移民是流动的,迁徙的人们总是在征途中,不断地跨越地理上、文化上和心理上的界限。他们的身份不再是单一的,而是一直处于建构中,这对于笃信身份观念稳定不变的英国人不啻是极大的挑战。作为外来人,菲利普斯试图从母国的内部对有意缄默的英国白人社会发出振聋发聩的呐喊,希望人们来关注渡河人这一特殊群体。作品中提到了个别白人抽象的友好举动,但并没有惠及黑人,要更好地改善黑白对立的局面需要双方的努力,这或许是以后要探讨的问题。所以研究这位目前仍处于创作旺盛期的年轻作家很有必要,特别是他对历史和种族的责任感影响着越来越多的读者。“渡河”的历史犹如永不止息的河水,从过去流到今天,又流向未来,河的两岸人来人往,前面的倒下了,后面的仍在源源不断地渡河。重温那段历史,还历史以真实的面貌,倾听多个被压抑的声音,打破传统认识的局限,这或许是解决目前家园与归属困境的出路。更多还原

【Abstract】 Caryl Phillips (1958-) is a black British writer with a Caribbean background. His writing career starts with drama, however, the achievements of the subsequent fiction outweigh his earlier plays. So far, his writings include ten novels, four stage plays, two screenplays, one radio play, three non-fictional works, and two anthologies. In addition, Phillips works as an editor, and he is also a regular contributor to The Guardian, The Times Literary Supplement, etc. Most of his works, fiction in particular, received many big awards and honours, among which A Distant Shore (2003) won four prizes and the most acclaimed Crossing the River (1993) was short-listed for the Booker Prize, and then obtained James Tait Black Memorial Prize in 1994. Phillips is not only one of the most accomplished black novelists writing in English, but also a writer fast becoming known as one of the most productive all-around men of letters anywhere. No wonder New York Times thus comments, "Caryl Phillips has proved himself among the best and most productive writers of his generation," and calls him "one of the literary giants of our time."Among the writers from the so-called margins of the former British Empire, Caryl Phillips has become one of the major figures of contemporary English literature and has contributed through his works, especially fiction, to the formal and thematic renewal of a literary tradition that used to be essentially realistic and was occasionally parochialism. Of course, this originality can be traced to some of Phillips’s West Indian precursors in Britain, like Wilson Harris, George Lamming and Samuel Selvon. But among the writers of Caribbean origin, Phillips is earlier recognized as belonging to the "mainstream" of British literature, with the exception of Trinidadian V. S. Naipaul who writes in a more conventional vein.Phillips has done a great contribution to the English literature by means of his acclaimed novels. In his novels, Phillips replaces the linear narrative with fragmented stories that shuttle in time and space, and this fragmentation aptly agrees with the lives of his displaced, usually dislocated, characters. The first two novels, The Final Passage and A State of Independence, combine a unity of action with flashbacks, while his later novels employ straightforward juxtaposition of isolated, often lyrical, voices which are separated from each other by gender, race, class and time, yet share a common experience of pain and loss, and an instinctive urge to hope against all odds. Another contribution of Phillips to the contemporary English literature lies in theme, which widens the area of English fiction, and also calls the existing social order into question. His novels focus on characters who are usually excluded from the traditional historiography, and recur to the hidden history of the West, the transatlantic slave trade, for example, and in the meantime underscore Britain’s inherent, though long neglected, heterogeneity. Whereas slavery and the "Other" presence in England were either intentionally neglected, or, at best, treated as side issues in most English novels until the 1990s, they have become central issues in Phillips’s works. Therefore, the originality of Phillips’s writings in form and subject matter does reflect the influences he received, but meanwhile indicates his attachment to and detachment from the existing tradition, whether English, African, American or Caribbean.Though Phillips has made great achievements, he does not gain enough attention. In my opinion, the lack of due attention to Caryl Phillips and his works among critics may result from the fact that Phillips’s works are "old materials" for the present readers. Yet, it seems to me that another major factor is Phillips’s multiple identities. Of African descent, Phillips was bora in the Caribbean, and grew up in a white area of Britain, received education in Oxford, but now is teaching at Yale of the US. However, to the four identity cards, Phillips repeats, "I recognize the place, I feel at home here, but I don’t belong. I am of, and not of, this place." Actually, Phillips’s position, and his own border-crossing act in particular, reflect the real situation of the black. In addition, his well-known novel Crossing the River was short-listed for the Booker Prize instead of a finalist, thus it is understandable that he does not attract much attention from the common people.After a careful reading of Phillips’s works, I notice that "crossing the river" is a recurrent key issue, moreover, the act of crossing directly influences the fate of river crossers. Regardless of their motives, the river crossers have similar love and pursuit towards home, and river crossing is both spatial and temporal. "River" in Phillips’s fiction has literal meaning and the metaphorical one, which refers to the racial barriers. Therefore, the river combines both the black and the white crossers, who cross the rivers in the geographical sense, and also attempt to transcend the racial border. By extension, "crossing the river" can also be explored from the narrative perspective corresponding to the common theme of this dissertation. Considering the critical research on Phillips, I have observed that there are five books and monographs as well as scholarly essays in the foreign countries, and in China there are two Master’s theses, and one academic article, but no dissertations or books. Based on the commentaries I have read, except Caryl Phillips’s essay entitled "Border Crossings" and Boehmer’s "Response to Caryl Phillips, ’Border Crossings’", there is no other article or dissertation focusing on the situation of river crossers. By analyzing crossers’ hopes before crossing the river, the traumatic experience of crossing, their tragic fate, and the extensive meaning of crossing, the dissertation concludes that a variety of crossings indicate the universality of river crossing. This is my first originality.The search for the location in which the self is "at home" is one of the primary projects of literature, so Phillips’s works are no exceptions. Home in Phillips’s term, is a "conundrum", and he considers "where are you from" as a "problem question", a "coded question", yet Phillips explores it within and without his fiction and non-fiction. Noticeably, like the figures in his creation, Phillips earnestly joins in the probe for home. What is different is that most of the characters have a tragic ending, though with a bleak hope, while Phillips still shuttles around the Atlantic triangular area. After leaving his homeland and the adopted country, Phillips now lives in the United States, and indeed there is residence in the three locations, yet to which he feels he does not belong, which may be the true portrayal of the river crossers. The crossing, however, is a never-ending process of the fluidity, even if the characters met with unhappiness, their families far back home are eagerly looking forward to going to the mother country some day. Scholarly articles mainly touch on the displacement and dislocation of characters, but no one dwells on their attempts to settle down whether in mother country or homeland. Therefore, concentrating on the pursuit of home from the perspective of river crossers is my second originality.On the basis of the above analysis, this dissertation will use "crossing the river" as a focus to connect Phillips’s works and some related theories, and analyze characters’ common dilemma in pursuit of home, identity and belonging in four aspects, namely, loss of home of the black in slavery, seeking "England dream" of the migrants, the white river crossers, and crossings in Phillips’s narrative.Chapter One "Loss of Home of the Black in Slavery" investigates the earlier river crossers in the slave trade, and how their homes are lost and how they try in vain to settle down in other countries. Section one tries to locate Phillips’s intention of re-narrating the past of slavery in the late twentieth century. In Phillips’s view, slavery in Britain is still a silenced topic, so he is devoted to dig the hidden voices out of the received history, whether a slave’s or a plantation owner’s daughter’s. Slavery does not merely belong to the black, for it is also an essential part of the history of the white. Since history is Phillips’s constant focus, especially the period of slavery, it is necessary to trace the history of slavery. To the notorious history, Britain does not admit it or the role Britain once played, but tries to hide and deny them, which might be in Phillips’s argument the source of all evil of the British society. It is owing to the slavery that heralds the ensuing tide of migrants from the former British colonies. The third section gives a detailed analysis of some of Phillips’s works covering slavery. Driven by the motive of interests, the slave trade forces millions of Africans to the Atlantic crossing with no return, and the black slaves try to sink hopeful roots into difficult soil, as the African father in Crossing the River wishes. In Phillips’s view, in the process of river crossings, the middle road is not viable for the slaves, for they have to choose either side of the river. As for the Christianized slaves, being missionaries cannot win them status, or a sense of belonging. Last section is about legacy of slavery in Phillips’s non-fiction, including racism and the problems facing non-white people in the twenty-first century Britain with national identity. It is precisely this under-explored relationship between the anxieties of contemporary Britain and the past of slavery that motivates Phillips’s imaginative return to slavery in his fiction.Inspiringly thinking, the descents of the black slaves do not steer clear of the former colonists who have wrenched their ancestors from their homeland, but are attracted by them, and make their journeys to metropolis to seek "England Dream". This is the topic discussed in Chapter Two. In addition to diaspora in the period of slavery, another big migration is the famous Windrush generation migration in nineteen forty-eight. One of Britain’s history amnesia strategies is to consider the Windrush arrival as the primary moment of black British arrival, in this way they might deny the infamous history of slavery, and hence exclude the outsiders. Whether out of the impetus of interests or relieving labour shortage, those "invited"—the black slaves or the Caribbean migrants in the 50s and 60s, made big contributions to the prosperity of the British Empire, yet their achievements do not gain due respect and recognition, instead, their "presence" is considered as the source of certain social problems. After combining with the author’s personal experience, especially the problematic question "where are you from", I summarize several types of individual migrants, and Mircea Eliade’s concept of time may explain the reason why the metropolis is such a magnet for immigrants. Furthermore, I examine the miserable fate of river crossers: being excluded and even persecuted by mother country and deprived of belonging in their homeland even if they return home. In this case, Phillips suggests an idea of "Atlantic Home", which implies the dilemma of migrants.Chapter Three is devoted to the white river crossers. Just as Crossing the River indicates, river crossers include both the black and the white, though with different purposes. The black are undoubted victims of the slave trade, yet some of the white are not immune from death either. This very disaster renders the black slaves homeless, and likewise, the white cannot return to their home. Among the academic articles and books I have read, no one mentions the white river crossers, especially the marginal white having similar fate to the black. This is the third originality of the dissertation. Therefore, this chapter firstly offers a brief history of the European’s sea voyage. Under the cover of civilization mission, the Europeans begin their oceangoing voyage completely out of grabbing wealth, which laid a solid foundation for the prosperity of Europe, and also led to the colonization era for the looted countries. In the following part, the dissertation analyzes the white’s passage to the "land of darkness", here referring to Africa or the Caribbean. It is in this "land of darkness" that the white recognize their awkward status and the dilemma of having home whereto one cannot return. Worse still, the reason why the white move from one place to another in their own country is that they search for a retreat, for they are also victims of the racism from their own race. As the white Judge Waring in The Atlantic Sound, excluded by his own hometown, argues that "We don’t have a Negro problem in the south (America): we have a white problem." From the angle of time, slavery is indeed a past tense, yet its legacy—in the form of racism—still exerts influence on humans in the twenty-first century. If the white mainstream does not adopt a correct attitude towards slavery, then more whites, besides the black, will fall prey to the white race. In this case, the exile and home seeking of the white indicate the common situation of humans.Corresponding to the theme of "crossing the river", Phillips employs a series of narrative techniques, which consist of the extended meaning of crossings. This is the content of Chapter Four. For the sake of clarity, I classify them into two types: one is about voices, that is, polyphony, master narrative vs. slave narrative, ventriloquism, and by which Phillips explores unheard voices in the official history. And the other one I call "text" just in contrast with "voices", is intertextuality, and travel writing. With these narratives, the author purposely blurs the border between fiction and non-fiction, and connects his own text with his predecessors’. All these techniques also contribute to the common theme—characters crossing rivers to pursue home, identity and belonging.In conclusion, this dissertation asserts that through the phenomenon of river crossings, Phillips’s works show the situation of crossers’ quest for home. With the intercourse among nations, international migration is more evident, and the direction is multiple. Owing to the river crossers of different origin, Phillips’s works posit a cross-cultural vision of world. Therefore, focusing on the river crossers—diaspora in slavery, the subsequent migration, and the internal white migration, offers critical spaces for thinking. They force us to rethink the meaning of nation and nationalism, nation-states and identity. Diaspora and migration are fluid, and the people are en route, constantly crossing geographical, cultural and psychic boundaries. Therefore, the construction of their identities is always plural and in process, which challenges the idea of the continuous, unchanging, homogenous and stable British identity. As an outsider, Phillips writes within the mother country to rouse the attention of the deliberate silence of the white, to show great concern to the special group—river crossers. In the relationship between the black and the white, some benevolent white individuals attempt to offer their outstretched hands, nevertheless the abstract act does not offer substantial help to the black, in this case, to relieve and better the enmity needs the cooperation and effort of the two sides. Thus, it is necessary to study the young writer, who is till in the rise of his writing career, and above all, his responsibility to history and race can put every of us into deep thinking. The history of river crossing is like the water of the river, flowing from the past till the present, and more and more people join in the never-ending process of crossing. So reviewing the history, re-sounding unheard voices, and learning from the history, only in this way may people find a solution to the social problems such as home, belonging and identity, and to the construction of a just future.更多还原