中西古典文献中的战争叙事

【作者】 高天；

【导师】 陈思和；

【作者基本信息】 复旦大学 ， 比较文学与世界文学， 2010， 博士

【摘要】 战争是人类书写历史和创作文学的主题。不同的地理环境诞生不同的文明形态,不同的文明形态进行不同的战争实践,不同的战争实践引发不同的战争思考。各种主动和被动的战争思考通过形式各样的文本书写传承至今。透过战争叙事的文本表层,呈现在研究视域中的是战争形态与文化取向之间紧密深层的互动关系。东西方绵绵不断的战争史很大程度上可以看作是东方和西方各自古老战争观念的展开式。虽然漫长的时间使庞大的文化载体表层显得千变万化,但文化内核逻辑始终有迹可循。本文立足于先秦中国(主要是春秋战国时期)和古代希腊(约公元前八世纪.前三世纪)古典文献中的战争叙事,解析叙事文本和叙事理论的文化背景,通过对战争书写下具体战争元素的文本分析,研究国家意识形成初期中国的战争形态,探寻其中蕴含的战争观念与文化取向,对照比较同时期古希腊的战争文化现象,了解、梳理并解释中国军事文化的某些征象。学界之前的研究,多是从军事史学的角度,或是囿于单个的文化事件和文化现象。本文打破文学、历史与战争研究之间原有的学科界限,在文学叙事的场域中研究春秋战国和古代希腊的战争形态与文化取向,对中西军事文化异同及中国军事文化的独特点予以重新观照。战争叙事是战争思维的直接显现,也是表现战争描写和战争实践的载体。抽象形态(战争叙事)→演绎形态(战争描写)→基本形态(战争实践)→抽象形态(战争思维),导致这一形态的变化的深层力量是文化取向因素。战争叙事作为载体贯穿整个逻辑演进。文化取向因素作用于战争抽象形态,从而形成战争演绎形态；战争演绎表现目的是呈现战争基本形态。而战争基本形态中的文化取向因素,将再次提炼升华为战争抽象形态。这是一个不断互动的不断循环的结构。因此战争叙事中的“战争”是经过演绎的战争,具备历史真实和文学真实的双重真实性。本文第一章是对先秦战争叙事缘起,文化背景及特点的梳理。文章首先对这一时期战争叙事的相关制度、史观、叙事特征,战争影响下所形成的诸子军事观以及儒家思想的轨迹衍变做了基本勾勒和宏观鸟瞰；从而从这些文化根源中擘分出先秦战争叙事的深层特质和战争本体表现形态的部分内在原因。第二章对古希腊战争叙事与战争专史形成的文化背景作了探讨,并选择古希腊战争史著中最具代表性的《伯罗奔尼撒战争史》为例证文本,从实例角度对古希腊战争叙事特征进行分析引证。第三章通过对女性形象、战争话语和胜败举措等三个战争叙事细节的阐述研究,透视文字背后的形象表达与文化推理。女性形象、战争话语和胜败举措等可以看作人物形象的身份塑造、语言塑造与行为塑造。厘清上述三个塑造所呈现出的形象,能够发现隐藏其中的东西方不同文化取向。第四章主要立足于战斗、战术、战略等三类战争叙事主题,论述了先秦中国以及同时期古希腊在战争实践上的表现,并在相同客体的基础上比较了他们不同的特点,从而揭示战争形态与文化取向的互动。全文结语试图在西方战争方式的比照下,概括出中国战争方式的特点：一是道德理性的支配,二是重谋轻术的战争方式,三是不战而屈人之兵的指导思想。基于道德理性的重谋轻术是先秦中国战争文化的重要特点。这和中国独特的军事文化现象有关：从古至今,中国社会并不盛产职业军人,而对军事与战争有着浓厚兴趣的却多是舞文弄墨的士子文人。士子文人参与军事与战争的记载不绝于史,贯穿了整个中国历史发展,影响了中国文化构建。更多还原

【Abstract】 War is a theme of history and literature. Geographical features formed the shape of civilization rudiments, which lead to various acts and different thought pattern in warfare. These voluntary and passive consequential thoughts about war circulated until nowadays.The interactive relationship between war patterns and culture tropism hides under the words of text. The successive history of the east and the west war, to a great degree, might be considered as derivatives of warfare concept. Although the appearance of culture looks dazzled, the logical links connecting with the core of culture are still traceable.The paper focuses on the narrative of war in the pre-Qin times and ancient Greek (8th Century - 3rd Century B.C.), analyze the culture and historical background of narrative text and theory, research Chinese war pattern in the early stage of state concept formation through the analysis of the elements in warfare records, explore the concept of war and relevant culture features, compare it with war culture in ancient Greek and explain the features concluded from Chinese war culture. Most of the former academic researches are restricted in the scope of military history or isolated culture events and phenomenon. The paper targets at breaking the boundary among literature, history and war research, contrast and compare the war pattern and culture tropism between the pre-Qin times and ancient Greek in the context of literary narrative and survey the unique features of Chinese war culture from a fresh standpoint.The narrative of war reflects military thoughts directly, and contains description and record of war acts. The connotative power induced the following series of links: abstract pattern (the narrative of wars) - deductive pattern (the description of wars) -fundamental pattern (the acts of wars) - abstract pattern (military thoughts). The narrative of war links the whole logical deduction progress. The elements in culture affect abstract pattern of wars, thereby form the deductive pattern of war and it aims to record and show the fundamental pattern of wars. Finally, the new culture elements grown from fundamental pattern formed new abstract pattern of wars. It is a continuous interactive links of circle. The wars in historical narrative are deductive results, which consists both historical and literary "truth".The first chapter outlines the culture roots where pre-Qin narrative of wars originated. The chapter begins from introduction of relevant institution, historical viewpoint and narrative features in the corresponding period, followed by the scholars’and philosophers’military viewpoints formed in those wars and the trace of the subsequent Confucius philosophers’thoughts. Thereby, the internal particularities in pre-Qin narrative of wars will be found out from these culture origins. The second chapter discusses the narrative of wars in ancient Greek and the formation of those particular histories about wars, for instance History of the Peloponnesian War, against its culture background, and provides meticulous analysis based upon the examples in the text records. The third chapter inspects the image expression and culture reasoning through female characters, language description in war and actions after victory and failure. Authors portrayed the depiction of the characters, words and acts through these three literary objects, from which it reflects the indiscernible culture tropism of the east and the west. The fourth chapter discourses several themes in narrative of wars including battles, tactics and strategies in pre-Qin and ancient Greek and compares and contrasts, on even ground, the practices in wars of both sides, therefore shows the interaction between war and culture. The chapter, as a conclusion of the dissertation, not only concludes the similarities and differences of war between pre-Qin China and ancient Greek but also summarizes the Chinese war features against western wars:the priority of moral reason, preferring stratagem to methodology, and get a victory before battle start.Valuing ruse and despising Methodologies based upon moral reason is the key feature of pre-Qin war culture, which relates with Chinese unique military and culture phenomenon. "Shi", Chinese style intellectual with practical ability, plays more important roles than professional soldiers in ancient Chinese society and military history. It is recorded in Chinese history that "Shi" as a major group of war leaders and participants, influenced the trend of Chinese history and formation of Chinese culture.更多还原