【作者】 刘绍峰；

【导师】 罗成琰；

【作者基本信息】 湖南师范大学 ， 中国现当代文学， 2014， 博士

【副题名】现代文学思潮与主体性批判

【摘要】 中国文学是中国历朝历代民族国家文学的总和,是一个复杂存在,其性质、构成、所指和能指在不同语境下有所不同。这在20世纪表现得尤为突出。受世界多种文艺思潮影响,中国文学在20世纪经历了反复多次全面重建,形成了鲜明的时代特色和阶段特征,不同文学流派、理论主张和创作实践,现象纷繁多样,阐释五花八门。各阶段文学既相互关联,又迥然不同,相互竞争,交相辉映。民族国家都有自己特定的文学主张和艺术规范,形成民族国家文学的主体性。现代文学是现代中国民族国家的文学,在现代化进程中,与新的民族国家建设紧密相连,密切互动,形成了鲜明的个性特质,围绕其主体性有诸多相关理论阐释和探讨,如文学的新与旧、传统与现代、大众与精英、民族化与世界性、中国与西方等,但却由于多种原因始终未能切入正题,主体性长期被忽视。论文是《文学重建与民族国家新生——20世纪中国文学思潮与主体性批判》(共60万字)的上篇,联系20世纪上半叶中国争取民族国家自由解放的历程,以现代政治的视角,把文学重建的大历史与文学发展的细节结合起来,比较系统集中地探讨了在多种文艺思潮影响下,现代文学的生成、演变和发展道路选择,以此为线索,整理把握文学的本质及其历史走向,评估现代文学重建的价值意义,分析其缺失和不足,鲜明提出现代文学作为现代中国新的民族国家文学的主体性论题,并作了比较系统深入的阐释论证。第一章通过扫描古代文化,从专制国家与文化统治的关系透视中国数千年专制主义统治的精神实质。民族国家的思想文化是该民族国家实践和创造精神成果的总和。隋朝开科取士,中国建立起了文官统治制度,自此后,封建国家以文治国,文化国家化。传统文化以儒家思想为代表,“家”、“国”、“天下”是一体的。“天人合一”、以“德”“孝”治天下、“三纲五常”等道德伦理观念,与封建国家统治要求高度一致,是封建国家统治的思想基础和政权建设的重要部分。中国古代文化有“道统”传统,以吏为师、文以人传、尊重传统、重视传承,有影响的文学家大多又是著名的政治家、思想家、军事家。在中国古代,“文学”、“文化”不分,习惯上将“文学”当作文化思想的主要载体和核心内容,文学体裁序列等级森严,功能分工严密。各文体都有严格的艺术规范,创新创造空间狭小,表达受到极大限制。诗文等是文学正宗,讲求遣词造句和音韵声律,备受推崇；小说、戏曲等为“邪宗”,不登大雅之堂。在朝向近代的进程中,正统文学受到封建专制主义的严苛禁锢,因循守旧,缺乏创新,走向穷途末路；“邪宗”的小说、戏曲虽受到民间大众欢迎,获得较大发展,但却不被认可,发展遭遇困境。民族国家与文化思想的生命力逐渐丧失,双双进入衰亡阶段。第二章阐述近代文学思潮和社会变动引起的文学新变。近代文学是古代文学的自然延续发展,又是现代文学的胚胎和先声,是文学重建不可忽略的重要环节。自鸦片战争起,中国遭遇了东西方列强持续一百多年的侵略掠夺,闭关锁国政策被打破,国家危亡,呈现末世景象,“经世致用”成为主导性的思潮,引起社会生活、思想文化的一系列变化。近代诗歌承续古代文学的爱国主义传统,热情歌颂国家民族反抗侵略的正义战争,揭露侵略者的残暴,与明清诗文的纯文学风格相比有明显变化,走在了变革前列。这种转变由于受到诗歌严重的形式化桎梏,难以转向现代,文学的重心由诗歌向“文界”、“小说界”转移。晚清民初,进步学人在西方思想文化影响下,大力推动洋务运动和维新变法,多方面探求救国救民道路,都以失败告终,继而深刻反省传统文化,倡导用文学“新民”,开启民智,改革社会人心,收到意想不到的效果。20世纪初,中国报刊业迅速发展。由于科举制度被废除,文官体制废弛,知识分子进入国家体制的通道被阻塞,被排除在体制之外,只有通过写文章、办报刊介入国家政治,传播现代文明,获得思想文化领域的话语权。各派势力纷纷涉足文学,以不同的政治立场和思想文化观念阐释文学,推动文学为改良社会政治服务,梦想新国家的美好未来,文学观念理论和实践开始朝向现代,文学作为传播思想工具的作用更加突显,极大地矫正了明清以来严重的纯文学倾向,为现代文学重建作了重要铺垫。但是也带来了对文学作理念性阐述、文学的艺术特征被忽略等问题。第三章论述在现代思想文化催生下文学最初的重建。陈独秀的《文学革命论》、胡适的《文学改良刍议》以文学为切入口,从革新文学的思想、内容、语言形式和传播方式、对象等方面,否定旧文学的主体性,将文学革命与改造社会、塑造新的国民精神、建设现代思想文化紧密联系在一起,呼吁建设新文学,掀起了文学革命思潮,确立了现代思想文化的发展朝向,成为社会革命的先声,彰显了文学的极端重要性。五四运动前后,现代文学以西方文学为正宗,崇尚科学民主和理性精神,呼唤人的自由解放,重视对文学语言、形式、主题思想等文学表层的革新,用明白晓畅的白话文创作反映现实生活,揭示社会矛盾,激发变革热情。人文主义思潮兴起。文学各派探讨文学与人生、艺术的关系,重建适应现代要求的新文体、新内容、新形式。文学从古代中庸的文学、文人雅集的文学转向批判的文学、战士的文学,从抒情转向叙事,写实、真实成为创作基本要求,现代特征日渐鲜明,形成了区别于古代文学的主体性。现代文学最初的重建是彻底反传统的,是以引进西方观念和模式为目的的,有种种偏颇偏激的认识和操作,导致源流被遮蔽,传承被割裂,带来了政治化简单化的传统,产生了民族化与西化、国家与世界的分歧与对立,文学的民族国家主体性严重不足,必然在随后的发展中得到弥补修正。第四章论述随着民族国家危机加深,现代思想理论不断引入,中国现代民族国家意识不断生成,民族自尊和文化自觉自信持续增强,现代文学日益成熟,积极追求民族国家文学的主体性。现代文学重建需要作大量理论与创作实践准备,过程注定曲折漫长。现代文学与世界多种文艺思潮互动,弘扬人道主义,倡导个性解放,书写新思想,描绘新人物,营造新意境,拓宽了艺术空间和审美范围,作了多样探索实践。由于中国是在与西方的激烈对立中转向现代的,现代文明和资本主义是被强行植入的。中国社会对此充满了异己感和强迫感,在多个向度上展开批判。受世界左翼文学运动影响,现代文学经历了最初的狂热后,复归理性,摆脱对西方文学的亦步亦趋,在文学上实践中体西用,扬弃五四时期的“欧化”倾向,系统地批判西方和资本主义,从混杂西方、日本、俄苏等多种观念,转向认同苏俄,追求民族国家的形式和内容,产生了复古与进步,民族民间形式与欧化、世界化,无产阶级文艺与资产阶级文艺等理论与实践的争执。现代文学社团蜂起,文学各派分裂对立,奉行不同的文学宗旨和主张,形成了不同阵营,激烈争夺文学的阐释权和话语权。现代政党迅速壮大,积极介入文学,文学与政治纠缠在一起,使清晰地划定文学与政治的界限客观上很难做到。文学主流在严酷的环境中始终保持坚定的民族民主立场,从革命文学向左翼文学递进。现实主义一枝独大,以鲜明的反传统特征、富于激情和浪漫色彩,被当作五四文学的正脉。第五章阐明由于现代文学基本上是在战争环境下产生发展的,形成了文学的战时体制,党派文艺政策在其中发挥了重要作用。政党从不同时代要求出发,规范引导文学创作。现代文学受到各派政治势力拉扯,不是以统一的国家意志为基础的,现代政党主导了文学发展。全面抗战爆发后,国共两党结成抗日民族统一战线,全民族一致对外,国家完全统一和民族解放出现了曙光,国共两党提出“民族文学”、“国家文学”、“民族形式”、“大众化”等观念,规范文学发展。分裂的文学各派团结在抗日救亡的旗帜下,趋向融合。文学面向民族、面向大众,重视对传统文学进行研究和转换,集中关注民族国家反帝爱国、救亡图存的伟大抗争,为文学重建提供了丰富的民族和传统资源,形成新的创作潮流,更多地具备了统一民族国家文学特征。进步作家投身民族国家独立解放运动,激情书写人民的觉醒抗争和理想的英雄,促进了文学民族形式和内容生成。文学倡导集体意识,排斥批判个人意志,向着形成民族国家文学的方向疾行。文学的主体性追求进入一个新阶段。与此同时,受战时体制规范,暴露和讽刺、批判的文学在国统区、解放区受到不同形式的批判,批判的文学与文学的批判日渐萎缩,文学多样化发展的宏大局面渐趋结束,单一文学的局面初现端倪。受时代社会的现实制约,中国现代文学现象纷繁复杂、理论争鸣层出不穷、创作实践多种多样,有多个走向、多样理论、多种派系,取得了辉煌成就,也产生了一些不足和问题。文学是变动的。现代文学适应中国现代革命的要求,与民族国家争取独立解放的奋斗密切相连,在近代文学自新的基础上推倒旧文学,从语言形式入手,通过系统引入外国文学理论,学习借鉴外国文学的思想艺术形式,张扬个性,反映国家现代化进程,在价值观念、思维方式、审美趣味等方面,获得了现代性,取得了区别于古代文学的主体性；又通过关注现实,走民族化大众化发展道路,描绘本国本民族集体和个体的生存状况,书写民族国家的苦难与奋斗,形成了浓郁的民族特色和国家特征,对传统文学进行了深刻的变革和再造,实现了从旧文学到新文学,从文人文学到大众文学,从社团文学到党派、阶级文学再到民族国家文学的跨越,完成了从古代到现代的重建,获得了区别于西方文学的主体性,成为世界文学中独特的“这一个”。从旧文学到新文学是20世纪中国文学的第一次重建,也是最重要的一次重建,形成了深厚传统。在这个过程中,现代文学实现了思想理论、内容形式的全面更新,与文化日益分离,作为一门独立学科发挥作用,在很大程度上影响和规范了随后的多次文学重建,是20世纪中国文学发展的基石。更多还原

【Abstract】 Chinese literature which is the sum of nation-state literature of successive dynasties is a complicated existence, whose property, composition, signifier and signified changes in different contexts. This is especially prominent in the twentieth century. Influenced by multiple literary trends in the world, Chinese literature experienced repeated comprehensive reconstructions in the twentieth century, formed obvious era characteristic and phase feature, different literary schools, theoretical claims and creative practices, and resulted in diverse phenomena and multifarious interpretations. Literature of all phases is interrelated but totally different, compete with each other and commonly create brilliant.Nation-states all have their own specific literary claims and artistic standard, which forms the subjectivity of nation-state literature. The modern literature which is a modern Chinese nation-state literature, was related and interacted with the nation-state construction and formed distinct feature during the process of modernization, around the literary subjectivity there are many relevant theoretical explanation and discussion, such as the new and the old, the tradition and the modern, the public and the elite, the nationalization and the globalization, China and the West etc., however, that didn’t cut to the chase due to multiple reasons and the literary subjectivity was long ignored. This paper which is the Part one of the article--<<Literary reconstruction and rebirth of the nationality and state—the Chinese literary trends and criticism of subjectivity in the twentieth century>>(600,000words together), through connecting with the Chinese people’s struggling process for nation-state freedom and liberation in the first half of the twentieth century, combined the literary reconstruction history and literary development trait from modern perspective, and discussed the modern literature’s emergence, evolution and choice of development directions under the influence of multiple literary trends. Based on these results, the literary essence and historical trends were summarized, the merit and meaning of modern literary reconstruction were evaluated, the flaw and insufficiency were analyzed, and the thesis of making the modern literature as the subjectivity of Chinese new nation-state literature was proposed, also preliminary explanation and demonstration were given.In the first chapter, by scanning the ancient culture, the spirit of thousands of Chinese feudal rule is penetrated from the relationship between autocracy and cultural domination. The nation-state culture is the sum of its practical and creative spiritual achievements. Since the implement of imperial examination system in Sui dynasty, the Civil service system was established, and the feudal state ruled the country using culture, which resulted in cultural nationalization. Traditional culture, taking Confucianism as representative, which viewed the "home","state" and "the world" as a whole."Harmony between man and nature","rule the country with morality and filial piety","the three cardinal guides and the five constant virtues" and other moral ethic values, which were high consistent with feudal state rule requirements and formed the basic of the feudal state ideology and regime construction. Chinese ancient culture has the tradition of "Confucian orthodoxy", which formed the practice of making officials as teachers, using paper to preach, respecting the tradition and valuing literary inheritance, at that time the influential litterateurs were mostly famous statesmen, thinkers or militarists. As the confounding of "culture" and "literature" in ancient China, it was traditionally to make "literature" the main carrier and core content of the cultural thoughts, so literary styles and functions were differentiated rigidly. Each literary style had rigorous artistic standard, therefore space for creativity and innovative was small, and expression was severely limited. The "poetry" and "composition" which emphasized wording and phrasing were viewed as authentic literature and were highly respected; however, novel and drama were recognized as unauthentic literature, they were difficulty admitted to literary palace. In the process of modernization, traditional literature was imprisoned by feudalism, which gradually went to the dead end due to lacking of innovation. Unauthentic literature such as novel and drama, on the contrary, obtained better development, but were not accepted by the public. As a consequence, both the country and literature gradually lost vitality, and went into the decline stage. In the second chapter, the new literary change which caused by pre-modern literary trends and social revolution is elaborated. Pre-modern literature which is not only the natural continuation and development of the ancient literature, but also the embryo and harbinger of the modern literature, is a non-ignorable stage in the literary reconstruction process. Since the opium war, China had suffered more than one hundred years’aggression and plunder from Eastern and Western powers, with the policy of seclusion being broken, China was in peril. So the ideology of "administration and pragmatism" became the leading ideological trend, which led to a series of changes in social life and culture. Pre-modern poetry carried on the patriotic tradition of ancient culture, warmly praised the just war against the external aggression and revealed the invaders’cruel, which was obvious different from the pure literary style of the Ming and Qing dynasties’ poetry, and played a lead role in the social revolution. But for its serious formalization shackles, this transformation was difficult to turn to modernization, so the center of literature was increasingly transferred from poetry to "literature circle" and "novel circle". In the late Qing and early Republic period, influenced by the western ideology and culture, some excellent scholars vigorously promoted the westernization and reforming movement, seeking for the way to save the country and its people by multiple means, but all ended in failure. Then they began to reflect deep on the traditional literature, and started to promote new literature to renew public mind, enlighten the mass and renovate social morale. It achieved unexpected success. In the early twentieth century, the newspaper industry was developing rapidly in China. Due to the abolishing of the imperial examination system, the civil service system was lax, and the intellectuals’channel into the country management system was blocked, they were excluded from the system, hence only through writing articles and editing newspapers could they participate in political affairs, propagate modern culture and gain discourse power. Then all factious rushed into the literary circle, interpreted literature from different angle of politic stand, ideological and cultural idea, which promoted new literature to serve for the advancing of society and politic. They dreamed of a bright future for the country. Literary theories and practice began to orient to modernization, its function of idea spread was highlighted, which largely corrected the trend of pure literature rooted from the Ming and Qing dynasties and created important foreshadowing for the new literary reconstruction. However, some problems such as making rational state on literature and ignoring its artistic characteristics were also brought about.In the third chapter, that original literary reconstruction boosted by modern ideology and culture is discussed. The<<Literary Revolution Theories>>(wrote by Chen Du-xiu) and <<Attempting Discussions of Literary Reforms>>(wrote by Hu Shi) which applied literature as entry point, negated the subjectivity of old literary from innovation of the literary thought, content, language forms and modes of transmission, objects, etc., combined literary revolution with society transformation, shaping of new national spirit and modern cultural construction, called for construction of new literature, raised ideological trend of literary revolution, determined the developing orientation of modern culture, became the harbinger of social revolution and revealed the utmost importance of literature. At the time of May Fourth Movement, the modern literature which viewed the western literature as authentic, advocated science, democracy and rational spirit, called on human’s freedom and emancipation, valued the innovation of literary surface such as language, format, theme etc., employed understood vernacular to write to reflect the real life, to reveal social contradictions, and to arouse revolution enthusiasm. That rise of trend of humanism occurred. All literary schools discussed the relationships between literature, life and art, and tried to reconstruct new literary styles, content and form to meet the requirements of modern times. It shifted from the ancient Confucian and literati gallery literature to the literature of criticism and soldiers’literature, from emotion to narration. Realism and correction became the basic requirements of the literary creation activities, and therefore the new literature acquired modern characteristics in this way, and formed a distinctive different subjectivity compared with that of the ancient literature. Because the original new literary reconstruction was absolutely against the tradition, and aimed at introduction of western ideology and modes, there were kinds of extreme and biased cognitions and operations existing, and inevitably caused the origin being covered and the inheritance being split, consequently, it brought about the tradition of politicalizing and simplifying, and generated the divergence and opposition between the nationalization and westernization, the country and the world, resulted in severe shortage of national literary subjectivity, produced a series of problems which needed to be remedied in the following development.In the fourth chapter, it is focused on that as nation-state crisis deepened and modern ideology and theories were continuously introduced, modern Chinese nation-state consciousness was gradually shaped, national self-esteem and cultural consciousness, self-confidence were increasingly improved, the modern literature became mature day by day and began to pursue the subjectivity of the nation-state literature. As a lot of preparations both in theoretical and creative practice were needed in the modern literary reconstruction, so the process was doomed to be long and winding. The modern literature which interacted with multiple literary and artistic ideas in the world, propagated the humanitarian, advocated personality liberation, expressed new ideas, portrayed new characters, created new artistic conceptions, extended the scope of arts and aesthetics, and also made much explorative practice. In the process of modernization, China was fiercely opposed to the West, and the modern civilization and capitalism was implanted forcedly, so the whole Chinese community was full of alien and forced feeling, and the scholars launched into criticism in multiple dimensions. Influenced by the world left-wing literary trends, the new literature returned to ration after the initial enthusiasm, began to get rid of the footsteps of western literature, practiced the theory of "Chinese-style Westernization" in literature, sublated the "European tendency" of the May fourth movement period, and criticized the West and capitalist systematically. It was transferred to approve the Soviet Russian literature and pursue the form and content of the nation-state from fusing multiple concepts of Japan, the Western, the Soviet Russia etc., which resulted in fierce arguments in both literary theories and practices, such as the retro style vs the progress style, the national, folk forms vs the Europeanization, globalization, the proletarian literature, art vs the bourgeois literature, art etc.. Modern literary communities began to spring up, the splitting literary schools were opposite to each other, each school was pursuing for its own particular literary tenets and opinions, thus, there were different factions emerging, and each faction fiercely fought for the literary interpretation right and discourse power. The modern political parties developed rapidly and began to actively participate in literature, which caused literature twisting with politics and made it objectively difficult to clearly distinguish literature and politic. The literary mainstream persistently retained its democratic and national standpoints even in harsh environments and changed from revolutionary literature to left-wing literature. And realism was thought as the orthodox of May Fourth literature for its distinctive characteristics of opposing to tradition and rich in passionate and romance.In the fifth chapter, it discusses that as the modern literature developed and shaped in the environment of war, the wartime system of literature was formed, in which parties’and political literary and artistic policies played an important role. The parties and government standardized and guided literary creation to meet different demands of the time. The modern literature which was suffered with the pulling of multiple political parties and not based on unified national will, its development was dominated by modern political parties. After the outbreak of Anti-Japanese War and the establishment of anti-Japanese national united front, the whole country got united to fight against the foreign invaders, and then appeared some hope on the state unity and national liberation. The concepts of "national literature","domestic literature","national form" and "popularization" were raised both by the Kuomintang and the Communist Party, and literary development was standardized. All literary schools tended to rally around the flag of "resistance against Japan and save the nation from extinction". Literature which was changed to cater to the nation and the public, valued the research and conversion of traditional literature, began to focus on the great battle of "anti-imperialist and save the nation from extinction", that provided rich national and traditional resource for literary reconstruction, caused a new literary creation trend and added literature with more obvious feature of united nation-state. Progressive writers joined in the nation-state dependence and liberation movement and passionately depicted the national awakening, struggling and their ideal heroes, which contributed much to the formation of national literary form and content. Then literature which advocated collective consciousness and rejected, criticized personal will, rapidly developed to form the literature of nation-state. The pursuit of the literary subjectivity came into a new stage. At the same time, standardized by the wartime system, literature of revealing, satirizing and criticizing were much or less criticized and abandoned both in national and liberated areas, critical literature and literary criticism were shrinking day by day, the diversifying developing situation of modern literature was languishing, and the situation that only one single literature style existed began to appear.Restricted by the social reality of the time, the modern literature was accompanied by complex phenomenon, endless theoretical debate, and various creative practices. There were multiple literary trends, theories and factions existing. It had made great achievements and also generated some shortcomings and problems. It cannot be neglected that literature is ever changing. The modern literature which was adapted to the requirements of Chinese modern social revolution and closely related with the national struggling for independence and liberation, knocked down the old literature based on the self-renew function of the pre-modern literature. Starting from revolution of language form, through systematically introducing foreign literary theories and studying, borrowing the foreign literary ideology and art styles it expressed individuality and reflected the modernization process of the country, and therefore acquired modern characteristics in values, ways of thinking, aesthetic taste, etc., and gained literary subjectivity which was different form the ancient literature. At the same time, through focusing on the social reality, developing in the way of nationalization and popularization, describing the collective and individual living condition of the nation-state and writing the suffering and struggling of the people, the new literature formed strong ethnic characteristics and national identities, and made profound reform and reconstruction of traditional literature. It realized the great transformation from the old literature to the new literature, from the scholar literature to the public literature, from the community literature to the party, class literature, and finally to the nation-state literature. It completed the reconstruction from ancient literature to modern literature, acquired its literary subjectivity that differed from the western literature and subsequently, became the unique one in the world literature.It was the first and foremost time of Chinese literary reconstruction in the twentieth century that changed from the old literature to the new literature, which generated a profound tradition. In the process, the modern literature completed an overall update in ideology, theory, content and form, and separated from the culture day by day. It began to operate as an independent discipline, which largely influenced and standardized the subsequent multiple literary reconstructions and was thought as the footstone of Chinese literary development in the twentieth century.更多还原