包公文学研究

【作者】 李建明；

【导师】 董国炎；

【作者基本信息】 扬州大学 ， 中国古代文学， 2010， 博士

【摘要】 包公故事的丰富,在通俗文学中可以说是独一无二。包拯的故事北宋时期就在民间流传,宋元明清以包公故事为题材的文学作品难以统计。这说明,包公文学是一种显著的历史存在。包公文学是指涉及包公故事情节的文学作品,包公文学体裁有戏曲、小说、传说故事、宝卷等。本篇包公文学的研究以戏曲、小说为主,对包公文学的考察时限止于清末。本研究的内容以清官文化的产生为背景,研究包公文学的产生、发展和包公形象的演变,着重探讨清官文化为什么会在宋朝兴起,宋元以来的清官文学为什么会以包公为代表,并且以文本的演变来探讨包公文学的发展变化。同时,从文学研究和文化研究的角度对包公文学意蕴作深入细致的探讨。研究包公文学可以体会中国古代的司法文化与精神。中国古代注意法与情、法与理的关系,重礼教,法顺人情、息讼止争是古代的司法精神。包公文学虽然积淀着封建政治文化成分,是皇权制度的产物。但是执法如山的包公,体现了一种民本思想,包公文学关注的是平民的日常生活并揭露了统治阶级残民以逞的罪行。这是一种真正的民间立场,不同于文人对民众居高临下的同情。包公文学中的清官意义是一种为官之道与从政之德,具体表现为清正廉洁、刚直不阿、体恤民情等方面,这是一种宝贵的文化资源。因此,包公文学包含着一种深刻的人文精神。研究包公文学已远远超过包拯这一历史人物本身,有重大的学术意义和现实意义。宋朝之前的著名的廉吏,也有不少。在同时代的官僚中,包公的地位远不及富弼、韩琦、文彦博等人显赫,才情也比不上欧阳修、苏东坡等人的出类拔萃;政治上的建树,更无法与范仲淹和王安石等人相提并论。包公为什么会作为清官文学的代表在通俗文学中出现?要解决这一问题,关键要从包拯所处的宋朝——清官文化兴起的时代谈起。清官文化在宋朝的兴起有历史、社会和文化的原因。宋朝革除五代弊政,建立廉洁的政府,是顺应历史潮流的。而宋朝的法律对私有权的保护和重典治盗贼,也加强了民众的法律意识和对清官的诉求。宋代,清廉是官员必须遵守的基本政治准则。不少官员自觉以儒家的思想来塑造自己的清官品格。宋代出现了一大批砥砺名节的士大夫,这是宋朝清官文化产生的一个标志。而民间文艺中的公案文学则是清官文化生动的体现,是清官意识流行的重要标志。民间对清官持久和广泛的传播,充分说明了传统的清官意识基本上是一种民间信仰。清官是百姓用心灵供奉的神。正是在这样的文化背景下,包拯有幸走进了通俗文学,从而成为清官的典型。只有从清官文化的角度去考察包公文学,才能真正解决问题。包公文学在各个朝代经历了不同的发展期。包公形象,在宋代市井文艺家那里,包公只是一个判官形象。包公在通俗文学中成为判官形象,则与正史与文人文集对他审案个性的描写有关。宋人的历史和文人的文集中,记载包公判案的有十多处,并表现了包拯峭直、清廉、明察、忠恕爱民的个性,包公在审案中注重法律与情理的统一。所有这一切,都为后世包公文学所本。到了元代,包公被塑造成有智谋的斗士形象。主持正义又充满智慧的包公,体现了作家们对清明政治的渴望和期待。同时,这也是生活在朝不保夕的元代百姓的呼声。平民呼唤包公,实际上是对黑暗现实的极度不满而导致的一种心理幻想。元剧作中的包拯,既维护皇权,又刚正不阿,替民众伸冤,显示了一个清官所具有的正直品质和内在魅力。在明代,他有智有刚,是日断阳夜断阴的星主。与宋元逐渐神化的包公相比,明代的包公神通广大,上至玉帝,下到阎罗,对包公有求必应,有的地方神,更受他驱使。清代他又成了侠客的首领。在清代,他除了集精察、神明于一身外,更是忠心耿耿的国家栋梁。总之,包公是民众理想的化身。古代通俗小说的作者,大多数是身处下层的文人,他们在现实中经受过太多的痛苦和压抑,仕进无门。他们便把自己的政治热情和理想,寄托在作品中的主要人物身上。这种人物形象往往有至高无上的伦理规范。他们创造的通俗文学作品,是他们的白日梦。包公文学体现了独特的民族文化心理。这从对关汉卿的包公戏与莎士比亚“案情剧”比较研究中可以发现。同样是面对善与恶,中国的小人物只能靠外力——鬼魂或清官来为他们伸张正义;莎士比亚对于善与恶,既借助于法律来解决,又充分表现人的本质。在他看来,悲剧的原因根源于人自身,人的自由意志往往陷入到罪恶之中。中国人相信天理,所以代表正义的一方都有好结局,很少西方悲剧那种恐怖、悲惨、神秘等成分。中国悲剧着重表现主人公的正义性和顽强的斗争精神,可以看成是采用正剧形式的悲剧。包公文学自宋朝诞生以来,包公故事如滚雪球一样,出现了难以数计的包公故事。这些故事大多是一种重写或改编。从包公文学中小说、戏曲故事情节相互移植和因袭化用的情况,可以考察包公文学题材流变的迹象及相关文学形象。学者们对包公故事的源流花了很大力气去做,也取得了很高的成就,但是有两种偏向:一是把小说史研究降为纯粹的故事考辨,二是把作家创作看成简单的故事汇编。因此,以文本的演变(进步)来探讨包公文学的发展,也就是历史演变法,是有必要的。在研究过程中,力图在文本的演变中找出变化中的新质,从中发现新的理论问题,并加以分析。在研究中发现:包公文学故事的因袭可分两种情况。一是取自前人笔记,二是包公文学故事内部的演变。包公文学的因袭不仅仅存在于相同体裁的文学形式之间,如《龙图公案》对《百家公案》的抄袭、改编,而且也表现在说唱文学与小说之间的互动。一般情况下,当小说被改编成表演艺术(戏曲)时,往往容易成功。因为,从小说形态转化为戏曲形态容易,戏曲形态也往往内含着小说叙事的方式。比如,杂剧《包待制智赚合同文字》是对宋话本《合同文字记》的重写,从叙事的同一性、抒情的主观性和主题的强化三个方面,都可以看出杂剧在对小说重写过程中的创造性。在这创造性的重写过程中,叙事速度有快慢详略之分,在小说的简单的介绍地方,戏剧往往充实一些细节和场面,以便刻画人物心理、情感,有很强的感染力,这样,表现的主题也更鲜明。包公文学在演变过程中,如果说戏曲因袭小说易取得成功,那么,戏曲演变成小说,则难以成功。因为小说失去了戏曲的抒情写意功能,必须通过人物、情节设置来表现世态百象。而包公文学在这方面几乎没有成功之作。比如《百家公案》不少故事是对前人戏曲的改编,在改编过程中往往大量移植、删改,篇幅大幅度的缩减,作品的情节事件简缩,描述粗略,较少大段场景化铺叙,缺少对人物的描摹刻画。小说显得简略而粗枯。然而,另一方面《百家公案》的主题的单一性又很好地实现了叙事者普及法律的意图。包公文学在演变过程中,故事情节一般越来越合理。仁宗认母故事最早的是元杂剧《金水桥抱妆盒》,但无包公出场,且情节太荒唐。其后明传奇《金丸记》、清前期小说《万花楼演义》等,都对这个故事作了进一步改编,但情节仍有疏漏。《三侠五义》改编后更符合情理,堵塞了情节的漏洞。包公文学中有一种改编值得注意,主题发生演变。自《史记?游侠列传》、《史记?刺客列传》以来,游侠在文学作品中不断闪现,至明清,侠文学蔚为大观。在此过程中,游侠的行为和人格也发生了显著的变化。从崇尚血气之勇到追求忠义,从轻生死重然诺墨家精神到兼济天下儒家情怀的人格转变。《三侠五义》可看成对古代侠义精神作出的一种修正。另外,在《水浒传》里表现的侠客归顺官府的叙事模式,至《三侠五义》终于成熟。为什么包公文学不断被重写?由于中国古代社会冤案丛生,也必然出现“情同”,于是出现了包公文学的因袭现象。这种“事以感生”、“兴从境起”的创作动机在包公文学中不断产生,于是,包公文学的文本在演变过程中,人物形象、情节设置、主题等都会发生变化。在研究方法上,还注意运用文学研究和文化研究相结合的方法对包公文学意蕴作深入细致的探讨。包公文学对昏聩吏治的讽刺,对凶党恶徒的揭露,对家庭道德问题的忧虑,都表现了一种批判现实、关怀人间的情怀。清官包公是通俗文学塑造的理想形象,包公崇拜既是民众的诉求,也是统治者需要“教化之吏”的一种表现。他作为教化之吏,必然具备孝亲、忠勇等政治伦理思想。清官既然是统治者的需要,他也会表现为封建文化本身的缺陷,如靠直觉判案,运用酷刑维持风化等行为。虽然如此,包公作为公正的象征,将永远为人民崇拜,包公精神已经成为一种民族精神的一部分。包公文学中的大团圆结局大多为复仇型和果报型。这两者都表现了一种惩恶扬善的主题。包公文学中受害者的鬼魂复仇或还魂故事,其实也寄托了弱小者的深重的悲哀与不幸。从创作角度看,大团圆结局是对现实的一种遮蔽,这种乌托邦式的圆满是瞒和骗造就的一条奇妙的逃路,虽然它是艺术上一种中和雅正的追求。更多还原

【Abstract】 The stories of Bao Gong are uniquely rich and varied in the popular literature. The stories of Bao Zheng have been popular since the North Song dynasty. And the literary works on Bao Gong in the Song, Yuan, Ming and Qing dynasties are innumerable, which proves that the literature on Bao Gong is historically remarkable.The literature on Bao Gong refers to all the literary works about Bao Gong, the genres of which cover dramas, novels, legend and Baojuan. The study of the literature on Bao Gong focuses on the dramas and the novels before the end of the Qing dynasty. The present study, with the culture of upright officials as its background, puts great emphasis on the existence and development of the literature on Bao Gong and on exploring why the culture of upright officials since the Song and Yuan dynasties is represented by the literature on Bao Gong. Furthermore, the present study discusses both the development of the literature on Bao Gong from the angle of the evolution of the writing style and its literary significance from the aspect of literature and culture study.The study of the literature on Bao Gong is helpful to the understanding of the ancient Chinese judicial culture and spirit. The ancient Chinese culture treasures not only the relationships between law and human feelings, and law and reason, but also the feudal ethical code. The judicial spirit of the ancient China emphasizes that law should yield to human sympathy and that one should try not to bring lawsuits to settle disputes. Although the literature on Bao Gong is the result of the imperial power system and therefore inevitably accumulates the feudal political and cultural elements, Bao Gong, who enforces the law strictly, embodies the idea of putting the people first. The literature on Bao Gong attaches great importance to the daily life of the grass-roots and to revealing the crimes of the ruling party who cruelly oppress the people. This is a standpoint putting the people first, sharply different from the sympathy the literati feel for the grass-roots. The significance of the images of upright officials in the Bao Gong literature lies in the way of being officials and the morals of being engaged in politics, such as being honest, clean and upright officials who concern for and sympathize with the people. Therefore, it can be referred to as a cultural resource in today’s construction of clean politics. The literature on Bao Gong contains a profound humanistic spirit, and the study of the literature on Bao Gong, surpassing Bao Zheng as a historical figure, has great academic and realistic significance.The famous upright officials before the Song dynasty are numerous. Compared with the officials of his times, Bao Gong’s social position is not as high as Fu Bi, Han Qi and Wen Yanbo, his literary talent is not as great as Ouyang Xiu and Su Dongpo, and his political achievements are not comparable with those of Fan Zhongyan and Wang Anshi. So, why can Bao Gong represent upright officials in the popular literature? The key point of this question lies in the times of Bao Zheng—the Song dynasty, the times when the culture of upright officials flourishes. The flourishing of the culture of upright officials in the Song Dynasty is due to the historical, social and cultural conditions. In the Song dynasty, the evil political systems of the former five dynasties are removed and a clean and honest government is built. This conforms to the historical trend. The law of the Song dynasty protects the private property rights, punishes severely thieves and bandits, and raises people’s legal awareness of appealing to upright officials for justice. In the Song dynasty, honesty and uprightness are the basic political rules that officials must obey. Many officials conscientiously foster their qualities with the Confucius thoughts. There are a great number of literati and officials in the Song dynasty who temper their noble qualities, which is the symbol of the existence of the upright official culture. The literature on legal cases in the folk culture is not only a vivid expression of the culture of upright officials but also an important sign of the popular of the people’s awareness of upright officials. The lasting and wide spread of the works on upright officials in the folk literature fully proves that the traditional awareness of upright officials is basically a folk belief. Upright officials become a god enshrined and worshiped in the people’s heart. It is in this cultural background that Bao Zheng fortunately becomes a symbol of upright officials in the popular literature, and it is only by studying the literature on Bao Gong from the angle of the culture of upright officials that we can really solve the problems.The development of the literature on Bao Gong varies with dynasties. The Bao Gong image in the Song folk literature is simply a judge. This image of a judge in the popular literature is closely related to Bao Gong’s characteristics of judging cases described in both history books and collected literary works. In the history books and literary works of the Song dynasty, there are over ten stories about how Bao Gong judges cases, and emphasis is all put on describing his personalities such as uprightness, cleanness, perceptiveness and concern for the people. In judging cases, Bao Gong attaches importance to the unity of law and reason. All these lay the foundation for the later literature on Bao Gong.In the Yuan dynasty, Bao Gong is created as a warrior. Bao Gong, who upholds justice with intelligence and bravery, expresses both the writers’desire and longing for clean and upright politics and the appeal of the grass-roots who live in a precarious state in the Yuan dynasty. The appeal of the grass-roots for Bao Gong is actually a psychological illusion caused by their extreme dissatisfaction of the dark reality. Bao Zheng in the Yuan dramas, defending the imperial power and redressing injustices for the people, displays honest quality and personal charm that an upright official should have.In the Ming dynasty, Bao Gong is created as a god armed with intelligence and power. Compared with the images of Bao Gong in the Song and Yuan dynasties, Bao Gong in the Ming dynasty is created as an extremely powerful hero. All the gods, ranging form the King of the god to Yama, grant whatever is requested by him, and some local gods are even at his mercy. In the Qing dynasty, he is created as the leader of chivalrous swordsman, who is a loyal pillar of the state gifted with insight and power. In a word, Bao Gong is the embodiment of the people’s ideal upright official. Most of the writers of the ancient popular literature, who, because of their grass-root social class, suffer great pain and oppression in reality but find no way to being officials, have to put their political enthusiasm and ideal on the characters of their literary works. These characters are always endowed with lofty moral standards.Therefore, such popular literary works are just their day-dreams.The literature on Bao Gong expresses a unique psychology of national culture, which can be revealed by a comparative study of Guan Hanqing’s dramas on Bao Gong and Shakespeare’s plays on cases. Confronting the clashes between the good and the evil, the grass-roots in Chinese literature have to appeal to the outer power—ghosts and upright officials—for justice, while the characters in Shakespeare go to law for justice and display great humanity in the meantime. In Shakespeare’s opinion, the root of tragedy is in humanity, and the free will of human beings tends to fall into the evil. The Chinese, on the other hand, believe in the course of nature. Therefore, one who represents justice always has a good ending. The horrible, tragic and mysterious elements in the western tragedies are rarely seen in their corresponding Chinese literature. The Chinese tragedies put great emphasis on displaying the heroes’sense of justice and indomitable fighting spirit. Such literature can be regarded as tragedies in the form of drama.Since the Song dynasty when the literature on Bao Gong is created, the stories about Bao Gong snowball and become innumerable. Most of the stories are rewrites and adaptations. The study of the transplanting and copying of the plots in the novels and dramas on Bao Gong is helpful to investigating the evolution of the writing styles and the related literary images. The scholars have been spending a lot of time and energy on exploring the sources of the stories about Bao Gong, and so far have obtained great achievements. But there are two tendencies: one is reducing the study of the novel history to a pure examination of stories. The other is regarding the creative writing as a simple fabrication of stories.Thus, it is necessary to investigate the development of the literature on Bao Gong by the study of the evolution of the writing styles; that is, the historical evolutionary method. In the process of study, I, first of all, try to find out the new quality in change, then discover the new theoretical problems, and finally make a close analysis of these problems. The present study finds that there two kinds of adaptation in the Bao Gong literature: one is copying the notes of the former writers; the other is the evolution of the stories of Bao Gong. The adaptation in the Bao Gong literature exists not only between the literary works of the same genre (e.g. The Detective Stories of Long Tu is an adaptation of Anthology of Detective Stories), but also between story-telling and ballad-singing literature and novels. It is generally easy to adapt novels to performance arts (e.g. dramas) successfully because novels can be easily adapted to dramas which include the novel manner of narrating stories. For example, the selected drama Bao Daizhi Outwits Contract Words is a rewrite of the story-telling script On Contract Words. From the aspect of the unity of narration, the subjectivity of expressing emotions and the reinforcement of themes, the creativity which the writers employ to adapt selected dramas to novels can be clearly seen. In such a creative rewriting process, the tempos of narration can be fast or slow, and detailed or simple. Generally, the drama firstly makes a brief introduction of the novel, and then enriches some details and scenes so as to vividly depict the character’s psychology and feelings, and thus gaining a strong artistic appeal and a distinctive theme.In the process of the evolution of Bao Gong literature, it is easy to successfully adapt novels to dramas, but difficult to adapt dramas to novels, because novels, without dramas’advantage of freely expressing emotions, have to appeal to the arrangement of characters and plots to portray the varied ways of the world. Nearly all the literary adaptations on Bao Gong from dramas to novels are not successful. For instance, many stories in Anthology of Detective Stories are adaptations of dramas of former writers. In the process of adaptation, a great many contents are transplanted, deleted and adapted; the plots are simplified; the narration is sketchy, and there are neither long descriptions of scenes nor vivid portrayal of characters. In a word, the novels appear to be sketchy and boring. On the other hand, the unity of the theme in Anthology of Detective Stories can satisfactorily meet the writer’s need of popularizing law.In the evolutionary process of Bao Gong literature, the plots of the stories become increasingly reasonable. The stories about Ren Zong looking for his mother can be traced as early as the selected dramas in the Yuan Dynasty, titled Holding Make-up Boxes on Jinshui Bridge. In the drama, Bao Gong is not present and the plots are absurd and. After that, On Gold Ball, a legend in the late Ming dynasty, and On the stories of Wanhua Mansion, a novel in the early Qing dynasty, are both adapted from the former stories, but their plots are still unjustifiable. The Seven Heroes and Five Gallants, an adaptation of the former stories, is more reasonable and all the plot loopholes are finally stopped up.In the literature on Bao Gong, it is worth to note a kind of adaptation, that is, the evolution of the theme. Ever since the appearance of The Records of the Grand Historian: Biographies of the Wondering Knights and The Records of the Grand Historian: Biographies of Assassins, the wondering knights have been frequently created in the literary works and have become a splendid sight in the literature of the Ming and Qing dynasties. During this period, the behavior and personality of the wondering knights have changed markedly: from admiring courageous bravery to pursuing ardent loyalty, from Mohism which puts more emphasis on promise than on life to Confucianism which advocates helping the people on earth. The Seven Heroes and Five Gallants can be looked on as a revision of ancient chivalrous spirit. Furthermore, the narrative mode in Outlaws of the Marsh which tells the story of the wondering knights pledging allegiance to the government is eventually mature in The Seven Heroes and Five Gallants.Why is the literature on Bao Gong frequently rewritten? The main reason is that since the ancient Chinese society is filled with cases of injustice, the plots of these injustice cases are inevitably alike, resulting in the rewriting and adaptation of the former stories. The writing motives of“The stories are inspired by human feelings and emotions”and“Circumstances touches a chord in the writer’s heart”are the sources of the Bao Gong literature. Therefore, in the evolutionary process of the writing styles on the Bao Gong literature, the images of characters, the arrangements of plots, and the themes all change a lot.The present study makes a detailed exploration of the literary significance of Bao Gong literature from the literary and cultural aspects. The literature on Bao Gong is a satire on stupefied official system, an exposure of the villains and evil officials and a deep concern over the family moral problems. All these express the writers’critical realism and their concern for the people. Bao Gong, an upright official, has become an ideal image in the popular literature. The worship of Bao Gong is not only the appeal of the people but also the expression of the rulers’need for the“teaching officials”. Therefore, it embodies a kind of people-oriented thought. Bao Gong, as a“teaching official”, certainly has such morals as filial duty, loyalty and bravery. On the other hand, since upright officials are needed by the feudal rulers, they will inevitably have some faults of the feudal culture in themselves, such as judging cases according to intuition and maintaining the social morals by cruel torture. Despite such defects, Bao Gong, as the symbol of justice, will be worshipped by the people for ever, and Bao Gong spirit has already become a part of our national spirit.Most happy endings in the literature on Bao Gong are a kind of revenge and punitive justice. Both endings embody a theme of punishing evil and advocating good. In the literature, the revenge of the victims’ghosts and their revival express a deep sadness of the grass-roots and their misfortunes. From the point of view of literary writing, a happy ending is the curtain of reality. Although such a Utopian happy ending is the pursuit of arts, it is fundamentally an escape from real life by resorting to deceiving and cheating.更多还原