【作者】 侯静华；

【导师】 仵从巨；

【作者基本信息】 山东大学 ， 比较文学与世界文学， 2014， 博士

【摘要】 威廉·戈尔丁(William Golding,1911-1993)是英国著名小说家,自1954年发表代表作《蝇王》以后,笔耕不辍,一生共创作12部小说、1个剧本、3本随笔和1部小说集。戈尔丁的作品常采用寓言隐喻的形式,以“深沉的暖昧与复杂性”揭示人类生存状况,表现人性黑暗,对人类命运流露出深深的悲观意识,因此他被称为“寓言编撰家”。因其小说“以当代现实主义清晰的叙事体多样化风格,描绘了一个普遍存在的荒诞意识的神话,阐明了当今世界的人类状况”,戈尔丁于1983年获得诺贝尔文学奖。纵观戈尔丁的创作生涯,我们可以发现一个明显的时间分界。戈尔丁1954年创作出《蝇王》后,在此后的十年间相继完成了《继承者》(1955)、《品彻·马丁》(1956)、《自由堕落》(1959)、《教堂尖塔》(1964)四部小说,所以这一时期被称为其创作生涯“辉煌的十年”。在此期间,戈尔丁的作品赢得了读者和评论界的广泛关注和好评,他本人也凭此获得了各种荣誉。但在随后于1967年出版的小说《金字塔》中,戈尔丁没有继续使用他惯用的寓言隐喻手法,而是采用了现实主义手法表现人性恶的主题,因此饱受质疑。此后十多年,戈尔丁没有任何作品问世,从文坛销声匿迹。许多关注他的人开始怀疑戈尔丁创造力衰退,无法再写出像《蝇王》那样轰动文坛的作品。但戈尔丁在沉寂了十年后,于1979年完成了长篇小说《黑暗昭昭》。小说一出版就引起了极大轰动,好评如潮。戈尔丁也由此进入旺盛的晚年创作期,开始了创作的第二春。随后,他完成了“航海三部曲”(《航行祭典》、《近距离》、《甲板下的火焰》),并凭借其中的《航行祭典》获得1980年英国小说的最高奖项一一布克奖。评论界对戈尔丁创作中分期这一现象早已有所关注,并对其前、后期作品中的差异做出了种种解读。通过研读其两个时期的小说,我们可以发现,其早期小说根植于西方传统人性恶观念的广袤土壤,抓住了二战引发的人们对人性问题的普遍思索和关注,把恶看成是先验的、超历史的人性本质,作品中反映的是对抽象人性的道德探索,充满了关注理念的隐喻性表达,对西方文明以及人类的前景表现出了困惑和悲观的情绪。而其后期小说则把人性与人格的形成看作一个复杂的过程,把人性置于社会的大环境中加以考察,前期小说惯用的寓言式隐喻结构退场了,现实主义表现和宗教意味的象征性更为突出。其小说创作从早期的神话书写转为后期的历史书写,从抽象的神话寓言转向具体的现实小说,从对伦理方面的探讨转为对等级世俗观念的揭露。而且戈尔丁在后期创作时采用了喜剧的模式,后现代的倾向越发明显。国内的戈尔丁研究大多集中于单部小说,尤其是其代表作《蝇王》,对其创作体系缺乏整体系统的研究。本论文试图打破戈尔丁研究的这种不均衡、不全面、不系统的局面,以戈尔丁早期的六部小说(《蝇王》、《继承者》、《品彻·马丁》、《自由堕落》、《教堂尖塔》和《金字塔》)作为研究对象,采用社会历史学、文本细读、原型批评及比较文学等方法系统研究戈尔丁在对人性和社会现状进行探究时流露出的悲观意识,分析其悲观意识在早期小说中的主题表达及艺术呈现,并从影响研究角度考察戈尔丁悲观意识的成因,从而说明戈尔丁的悲观意识源于对人最本质存在的深刻体察,是一种人生经验的体认,反映了二十世纪这个文化断裂时代人性的堕落以及文明、理性、道德的脆弱现状和尴尬境地。同时,通过分析戈尔丁小说中隐含的希望——人类救赎之路,说明他的悲观不是简单的消极,他希望通过展现人性恶,促使人类深刻认识并反思自我本性,弃恶扬善,在黑暗中寻找自我救赎的道路。本论文共分六部分。第一部分为绪论,简要介绍戈尔丁的生平、创作经历及国内、国外的研究现状。国外的戈尔丁研究起步早,研究成果丰硕。各国的“戈尔丁学”学者运用哲学、神学、心理学、社会学、语言学等理论,从社会历史、神话原型、女性主义、叙事结构等多重视角对其作品进行了阐释。而国内对戈尔丁的研究起步较晚,他的作品在国内引起广泛关注是在其1983年获得诺贝尔文学奖之后。大多数研究论文视角显单一,主要是介绍性文字、纯文本解读或创作技巧探索,而且大多集中于其代表作《蝇王》。第二部分分析戈尔丁悲观意识衍生出的“人性恶”主题。戈尔丁在年轻时期是非常乐观的,但亲身经历了二战后,他的思想发生了极大的改变。尽管其早期小说设置的背景不一、人物各异,但主题都是围绕人性恶展开。“人性恶”这一反复出现的主题已成为戈尔丁思索人性和人类生存危机的一个特定的视角。戈尔丁对人类境况及其命运的认识,充满一种悲观意识。首先他认为人性恶无处不在,它不仅体现在每个个体身上,还发生在社会群体中,发生在整个人类的进化过程中。戈尔丁小说中的时间背景从反思远古到剖析现代再到寓言未来；地点背景除了设定在脱离现实生活的荒岛、孤礁和牢房,还有真实反映社会现实的英国小镇,由此证明人性恶的普遍存在。其次戈尔丁认为人性恶具有不可避免、无法控制的必然性。人性恶与意识相伴而生。意识是人类进化的必然结果,也是人类走向文明的标志之一。但人有了意识,就有了自我和他者的区别,人就会变得比较关注自我的利益,变得自私利己。而且罪恶随理性发展。在人类逐步控制自然的过程中,人类的知识与理性不断发展,恶也随着发展。戈尔丁的小说揭示了“一个非常深刻的人类文明悖论：在工具理性取得进展的同时,人的内心深处似乎更加邪恶。”第三部分分析戈尔丁悲观意识在小说中的艺术呈现——寓言化。像同时期出现的“愤怒的青年”派作家一样,戈尔丁对西方社会的现状持悲观态度。所不同的是,他的创作更趋成熟,力图进行更深一层的思考。“愤怒的青年”派作家采用赤裸裸的现实主义手法直接反映社会弊端,通过对现存权力机构的激烈抨击来表达个人的绝望与不满。但戈尔丁则独辟蹊径,以寓言化作为其主要叙述技巧和艺术手法,从人的本性上挖掘产生各种社会弊端的根源,表现其对于人性的悲观认识。戈尔丁寓言化小说的风格主要表现为他自觉地集融多种现代派手法并形成戏仿、象征、反讽相混融的主体特征。戈尔丁喜欢使用戏仿,利用源文本从整体上再造出新文本,在对源文本的整体转换中,实现对源文本的戏谑及对主题的颠覆,从而表达他对传统观念的怀疑。《蝇王》通过戏仿巴兰坦的《珊瑚岛》,凸显出反乌托邦主题对传统乌托邦主题的颠覆。《继承者》通过戏仿威尔斯的《世界史纲》,揭示出文明“进化”与“倒退”之间的辨证关系。《品彻·马丁》通过戏仿《鲁滨逊飘流记》和希腊神话普罗米修斯故事,塑造出集英雄与恶棍形象于一体的人物品彻。戈尔丁还长于用象征手法构思全文,自觉地赋予题材、情节、人物、结构、语言等因素以象征意义并将多种象征形式相混融,整合成为一个有机的象征体系。此部分着重分析戈尔丁早期小说中应用的堕落、救赎、成长等主题原型；日神、酒神、魔鬼、智者、基督、殉道者等人物原型；荒岛、伊甸园、地窖等场景原型及蝇王、火、海螺、尖塔等意象原型,从而证明戈尔丁通过象征体系的营构隐喻性地揭示人的境况,表现出对人的关怀和对人类本质的怀疑与思索。反讽是戈尔丁在小说中揭示人性恶的另一常用手段。戈尔丁在创作中比较注重言语反讽、情景反讽和结构反讽的结合。小说《蝇王》的主人公是天真纯洁的儿童。他们远离成人世界后,反而恶性大发,蜕变成嗜血的野蛮人,这一蜕变表现出文明的缺陷和理性的脆弱；《继承者》的视角在单纯善良的原始人和心智更为成熟但更邪恶的“新人”之间转换之际揭示出文明的残酷和荒诞；《品彻·马丁》中具有顽强求生意志的英雄鲁滨逊形象对照着贪婪的恶棍形象。这些小说中应用的反讽创造了一个强韧的张力场,极大地延展了小说的诠释空间,深化了小说的思想内涵。第四部分分析戈尔丁悲观意识的成因。从理论渊源来看,西方哲学史上人性恶的哲学命题和西方文学传统中的古希腊悲剧及荒岛文学等都对戈尔丁的创作产生了极大的影响。其次,处于二战后西方的社会背景下,戈尔丁的创作无疑也会受到时代的影响。两次世界大战使将近五千万人惨遭杀戮,更多的人流离失所,饱受创伤。再加上数次严重的经济危机和由此引起的精神恐慌和信仰危机,很多人的精神陷于瓦解状态,愈来愈多表现出恐惧与厌烦的情绪。对错、善恶、正邪这些价值体系中的基本要素变得模糊不清,支撑人类生存的整个价值体系陷入崩溃,人类对世界和自身生存的认识产生了全面的危机。除此之外,戈尔丁参加二战的体验、十九年的中学任教经历以及他对基督教教义尤其是原罪说的认识都对其创作产生了极大的影响。第五部分分析戈尔丁悲观意识下隐含的希望——救赎之路。在揭示人性邪恶的同时,戈尔丁也在积极地探索重建人性之路。他在早期小说中设计各种人物、情节、背景展现人性恶不只是为了批判而批判,而是旨在医治人对自我本性的惊人无知,呼吁人类能够正视人性中固有的“恶”,积极探寻自我救赎的道路。戈尔丁希望人类能弃恶从善,改良社会。但戈尔丁给予人类的救世道路是模糊的,甚至具有某种宗教神秘主义色彩。结语部分简要介绍了戈尔丁创作高潮期的时代特点及当时文坛上占主导地位的文学潮流,分析了其前后期小说的区别与联系,指出其后期小说在主题上继承了前期小说对人性的反思、对人类未来的关注,但在前期小说以寓言化手段反映抽象、先验的人性恶基础上,将人性置于社会历史的环境中,使用实验与写实相联系的艺术手法,着力挖掘人性的复杂。更多还原

【Abstract】 William Golding (1911-1993), a renowned British novelist, has been persisting in literary writing since the publication of his masterpiece Lord of the Flies in1954. During his lifetime, he has altogether created twelve novels, a play, three essay collections and a collection of short stories. Known as an "allegory composer", through the form of allegory metaphor in his works, Golding reveals human living status with profound ambiguity and complexity, exposes the dark side of human nature and conveys a deep pessimistic consciousness for the destiny of human beings. In1983, Golding was awarded the Nobel Prize in literature for the reason that his novels "have portrayed a widespread myth of absurd consciousness and illuminated human living state in modern times with a distinct and diverse narrative style of the contemporary realism."A noticeable time division could be perceived throughout the writing career of Golding. After the creation of Lord of the Flies in1954, he proceeded to accomplish four novels in succession, including The Inheritors (1955), Pincher Martin (1956), Free Fall (1959), The Spire (1964) within the following ten years, which is referred to as the "golden decade" of Golding’s writing career. During this period, his works attracted wide attention and high praise from both readers and critics, accordingly, the novelist himself won various honors. Subsequently, in his novel The Pyramid published in1967, Golding no longer adopted his habitual technique of allegorical metaphor to manifest the theme of evil humanity. As a result, he was severely criticized by his readers and the critics. Afterwards, over the next decade, Golding seemed to disappear from the literary world without any works being published. Many people even began to suspect that with declining writing creativity he could not create such works that caused a sensation across the literary world as Lord of the Flies any more. However, after ten years’ absence from the literary world, in1979, Golding returned with his newly-completed novel Darkness Visible, whose publication aroused an enormous sensation and earned a roaring reputation. Hence, Golding stepped into the vigorous creative period of his twilight years, which was actually the second prime phase of his writing career. Later on, Golding accomplished his comic-historical sea trilogy To the Ends of the Earth, comprising Rites of Passage (1980), Close Quarters (1987) and Fire Down Below (1989), in which Rites of Passage won the Booker Prize.The critics have paid close attention to the time division in the writing career of Golding and offered a variety of interpretations upon discrepancies between his earlier novels and later ones. A comparative study of his works during this two remarkable phases will show that, rooted in the traditional Western concept of evil humanity, his earlier novels capture people’s widespread speculation and concern about human nature after World War II and regard evil as the transcendental and trans-historical essence of human nature. His earlier novels convey such sentiments as confusion and pessimism about Western civilization and human prospect with a moral reflection and exploration of abstract human nature that is filled with metaphorical expression about concepts. In contrast, his later novels treat the formation of human nature and personality as a complex process and survey it in a broad social environment. Consequently, in his later novels the religious symbols become more prominent while the allegorical metaphor structure widely used in his earlier works disappears. In general, in Golding’s literary creation, there are a succession of shifts between his earlier novels and later ones, for instance, from mythological writing to historical writing, from abstract myth allegory to concrete realistic novel, and from an exploration of ethics to an exposure of secular hierarchy concepts. Moreover, Golding adopts a comedy mode in his later writings, with a more distinct postmodern inclination.The studies of Golding in China mostly focus on his single work, especially his masterpiece Lord of the Flies, far from a comprehensive and systematic research of his writing. As a breakthrough attempt of this unbalanced, incomprehensive, and unsystematic studies on Golding, this dissertation, taking his six earlier novels such as Lord of the Flies, The Inheritors, Pincher Martin, Free Fall, The Spire, and The Pyramid as research object, presents a systematic study of Golding’s pessimistic consciousness revealed from his exploration of human nature and society by the adoption of such approaches as social historiography, close reading, archetypal criticism and comparative literature. The dissertation will analyze the embodiment of Golding’s pessimistic consciousness in the theme of his earlier novels and the usage of artistic techniques for showing the pessimistic consciousness, and then survey the origin of his pessimistic consciousness from the perspective of influence study so as to illustrate the point that Golding’s pessimistic consciousness, as an awareness of his life experience, stems from a profound observation of man’s essential existence and reflects the degeneration of humans and fragile condition and dilemma of civilization, rationality, morality at an epoch of culture crack in the20th century.This dissertation also analyses the topic of redemption that is the underlying hope in Golding’s novels for the degenerating humans. This underlying hope shows that Golding’s pessimistic consciousness is not negative. Through exposing the evil humanity, Golding wants to urge human beings to realize and reflect their own nature, to return from evil to good and to search for the road of redemption in the dark world.The dissertation consists of six sections. As a leading-in part, Section One presents a brief introduction of the writing career of Golding and an updated literary review about him both at home and abroad. In general, with an early starting, foreign scholars have already made fruitful achievements upon the studies of Golding. They analyze his works from multiple perspectives including social history, mythological prototype, feminism and narrative structures, by the application of such theories as philosophy, theology, psychology, sociology and linguistics. In contrast, domestic research about Golding was quite backward, as his works started to attract a widespread attention of Chinese scholars only after Golding won the Nobel Prize in literature in1983. What is worse, the majority of study thesis mainly concentrate on his masterpiece Lord of the Flies and provide only an introduction, an interpretation of the text or a probe into his writing techniques with comparatively singular perspective.Section Two analyzes the theme of evil humanity evolved out of the pessimistic consciousness. Being an optimistic young man, Golding went through a dramatic change in thinking after his experience of the Second World War. Despite different settings and various characters, evil humanity has been a prevailing theme in his novels, which accordingly turns out to be a peculiar perspective for Golding to ponder over human nature and surviving crisis of human beings.There prevailed a kind of pessimistic consciousness in Golding’s conception of human existence and fate. First of all, he holds that human degeneration happens everywhere, not only upon each individual, but also among social groups, and even in the whole course of human evolution. In order to prove the prevalent existence of evil humanity, Golding sets the background of time of his novels in past, present and future and sets the background of space from deserted island, solitary reef and cell to a typical British town, a true miniature of social reality. Secondly, he believes that human degeneration is inevitable. Evil humanity arises with the birth of consciousness, the latter being the unavoidable result of human evolution as well as a symbol of human civilization. However, with the birth of consciousness, there arises the distinction between the self and the other, and naturally people would become more concerned about their own benefits and turn out to be selfish and ego-oriented. Sin develops along with the continuous development of human knowledge and rationality in the process of human gradual control over nature. Thus, Golding’s novels reveal "a particularly profound paradox of human civilization:along with the advancement of the instrumental rationality, man is getting more evil at the innermost part of his heart".Section Three presents an analysis of allegorical style, namely, the artistic expression from Golding’s perspective of pessimistic consciousness. Golding, just like his contemporary writers "Angry Young Men", embraces a pessimistic outlook upon the current situation of the Western society. However, his perception, with a further effort of thinking and creation, appears to be more mature. Compared with the so-called "Angry Young Men", who choose to expose the social evils directly with an absolutely realistic technique and to express personal despair and discontent through a sharp denouncement of the existing institutions of authority, Golding, taking allegory as his major narrative technique, develops a new way of his own to explore the root of social evil from human nature and to reveal his pessimistic perception upon human nature. The style of Golding’s allegory novels is mainly manifested with the combination of parody, symbol and irony, which takes shape after his conscious application of diverse modern techniques.Golding is fond of the adoption of parody. He reconstructs totally new text out of the source text, whose theme would be burlesqued and subverted through the overall transformation, so that his doubt to the tradition would finally be achieved. Lord of the Flies is the parody of The Coral Island (1858) created by Robert Michael Ballantyne (1825-1894). It highlights the subversion of the theme of traditional Utopia by that of dystopia. The Inheritors is the parody of The Outline of History (1920) written by Herbert George Wells (1866-1946). It reveals the dialectical relationship between "evolution" and "retrogression". Pincher Martin is the parody of Robinson Crusoe and Greek myth of Prometheus. It creates an antagonist with a integrated image of hero and villain.Moreover, Golding is also adept at symbolism in his writing conception. He would consciously endow the theme, plot, character, structure, and even language with symbolic meaning and juxtapose various symbolic forms so as to integrate them into an organic symbolic system. This section will analyze such theme archetype as degeneration, redemption and growth, character archetype including Apollo, Dionysus, devil, sage, Christ and martyrs, setting archetype containing deserted island, the Garden of Eden, and cellar, as well as imagery archetype covering the lord of flies, fire, conch, spire and so on. Through the above analysis, it is apparent that with the construction of the symbolic system, Golding, in a metaphorical manner, presents the actual condition of human beings and reveals his concern for human plight as well as his speculation about human nature.Irony is another commonly used device of revealing evil humanity in Golding’s novels. In his writing, Golding attaches more attention to the combination of verbal irony, situational irony and structural irony. For instance, in the novel Lord of the Flies, the transformation of its leading characters from a group of naive and innocent children into a gang of bloodthirsty barbarians after their departure from the adult world has highlighted the novel’s motif of evil humanity. In his another novel The Inheritors, the cruelty and absurdity of civilization is fully exposed through the shift of the perspective from simple-minded, kind-hearted primitives to a more mature but more evil civilized man. In the novel Pincher Martin, Martin’s image as heroic Robinson Crusoe with indomitable will forms a vivid contrast with the image of greedy villain. All the ironies prevailing in these novels have created a powerful tension field, numerously extended the interpretation space of these novels and deepened their connotations.Section Four analyzes the contributing factors of Golding’s pessimistic consciousness. From the theoretical origin, Golding has been enormously influenced by the philosophical proposition of evil humanity in western philosophy history as well as classical Greek tragedy and deserted-island literature in western literature. Secondly, set in the western social context after the World War Two, Golding’s novels will undoubtedly be influenced by the historical background. As a result of the two world wars, nearly fifty million people were massacred and more people became homeless and severely wounded. What is worse, due to several severe economic crisis and the consequent mental panic and belief crisis, more and more people were possessed with such negative sentiments as they were suffering from their mental collapse and confusion about the reality. The basic elements of the value system such as right and wrong, good and evil, upright and shrew were blurring, so the entire value system that support human existence fell apart, and a full-scale crisis broke out within the realm of human cognition about the world and themselves. In addition, Golding’s writing was enormously influenced by his personal experiences of participation of the World War Two, nineteen-year teaching career, and his thinking about Christian doctrine particularly the theory of original sin.Section Five analyses the topic of redemption that is the underlying hope from Golding’s pessimistic consciousness. Golding devotes himself not only to the disclosure of evil humanity but also to a positive exploration into reconstruction of human nature. Golding’s disclosure of human nature is to appeal to a proper perception of the sad fact that man is endowed with cruelty and greed and to heal human ignorance of his innate nature so that human beings would build up adequate awareness and precaution of evil humanity. The true intention of Golding to fully expose evil humanity in a series of his novels is to enhance human awareness of his own imperfection through a face-to-face confrontation of the dark side of human nature rather than to display evil humanity merely for its own sake. However, the redemption road Golding points out for human beings is quite vague, even with sort of religious mysticism.As the concluding part, Section Six briefly introduces the characteristics of the times in Golding’s prime and the dominant literary trend. By analyzing the difference and relations between Golding’s earlier and later novels, this part indicates that his later novels carry forward the reflection of human nature and the concern of human future in his earlier novels. And on the base of exploring the abstract and transcendental evil humanity by allegory in his earlier novels, the later novels are the development of the earlier ones. They place human nature in social-historical environment, explore the complex of human nature by the experimental and realistic method.更多还原