地方与感知的诗学：E.L多克托罗小说中纽约的“小小都市漫游者”研究
摘要
本论文以美国后现代作家E. L.多克托罗的三部小说——《但以理书》、《世界博览会》和《比利·巴思格特》中的“小男孩叙述者”为研究对象，通过分析他们在都市空间的“漫游”，旨在证明多克托罗的都市书写反拨了美国文学传统中将城市视为“渎神之地”的倾向，从而创造了一种积极却不失批判性的都市美学。
本论文以本雅明的“都市漫游者”理论为出发点，结合爱德华·索亚和霍米·巴巴的“第三空间”理论、段义孚和麦克·克朗的文化地理学理论、约瑟夫·弗兰克和韦斯利·科特的空间叙事理论及巴赫金的狂欢化叙事理论，探讨多克托罗小说中小男孩叙述者在漫游过程中对都市空间的感知如何影响其成长以及各自空间观的形成，通过小说人物与都市的互动关系管窥作者本人的城市观。
在《但以理书》中，“漫游”成为小说主人公但以理治疗童年创伤、寻找精神家园的最好方式。在“漫游”中他意识到自我异化的现实，同时也认清了自己的家庭在整个犹太社区的孤立状态。个人与历史的断裂、自我与现实的断裂、家庭与社区的断裂正是但以理在漫游中所体悟到的。而小说最后但以理在迪斯尼乐园的漫步不但是他的自我救赎，也是对其所恨之人、曾经出卖他父母的家庭医生的救赎；迪斯尼的未来世界则反映出他对乌托邦的向往，并欲以此作为逃避创伤童年最好的方法。
《世界博览会》中埃德加的空间“漫游”成为他寻找自我身份的方式。遭遇黑帮男孩恐吓使其加深了对自己犹太身份的认识，而两次参观世博会的经历则为他成为“典型的美国男孩”铺平道路。目睹死亡使其面对生死更加淡定，而女性的身体则诱发了他的性早熟。多克托罗在小说中描绘了一个艺术家的成长经历，由于小说具有高度自传性，小说主人公带有作者自己的影子。多克托罗似乎想在其犹太身份、美国身份这一双重身份的基础上强调其“纽约人”身份，认为这是三位一体的。埃德加在漫游中所见到的都市景观反映了20世纪30年代纽约布朗克斯普通人的生活境况。在经济危机、第二次世界大战的阴影中，1939年的世界博览会作为纽约的提喻，反映出人们对美好生活的渴望；而埃德加一家在世博会的“漫游”经历则见证了这一都市现实：无限美好却不乏衰退的痕迹。
在《比利·巴思格特》中，多克托罗描绘了一个布朗克斯街头男孩比利逐渐成为黑帮学徒，凭借智慧获取信任并最终获得大笔遗产的成长经历。“漫游”是他的生活方式，是他寻找父亲、追求成功、实现美国梦的有效途径。通过在纽约以及其他三个城市的“漫游”，比利形成了自己的空间价值体系，在他眼中，曼哈顿优于布朗克斯，而纽约则优于其他任何一个城市。他与都市“人群”的关系最好地诠释了本雅明的观点：“都市漫游者的家不是他的阶级而是人群。”
上述三部小说都以纽约为背景，并且其叙述者都是小男孩，“都市漫游”在他们的成长过程中起到重要的推动作用，因而这三部小说可被看作是都市成长小说。通过文内、文外、文间细读，本论文总结出多克托罗都市成长小说的主要特点：第一，都市空间不仅是主人公的成长环境，而且促使主人公对于自己所处城市的身份认同；第二，主人公都具有敏感的个性，对都市空间具有超强的洞察力，通过他们的空间感知小说往往展示出一幅立体的都市“西洋景”；第三，几乎在多克托罗每部都市成长小说中都有一个“白女神”形象，促发男主人公的性成熟；第四，多克托罗的都市成长小说往往模糊了小说与自传的界限，因而展现出作家自己与都市的互动关系；最后，小说往往以主人公的自我救赎结尾，并带有对乌托邦的美好向往。
多克托罗在文学实践中往往故意打破文类界限，将成长小说、自传、侦探小说、犯罪小说等融于一体。他擅用口语体，旨在于当今机械复制的时代复兴传统的“讲故事”的技艺。他故意打破精英文学与通俗文学之间的界限，将多声部叙事、戏仿、悖论等灵活运用于其后现代写作实验。他选择小男孩漫游者作为小说的主要叙述者，为小说叙事提供了独特的视角，使其远离成人的感知和叙述模式，因而创造出一种独特的叙事艺术和都市美学，也因此成为救赎都市的一种方式。从“空间漫游”视角研究多克托罗的小说有助于拓宽多克托罗小说的研究视野，对其“都市书写”的关注也将成为以往从“政治介入”、“历史叙事”、“犹太轨迹”及“宗教内涵”等角度切入研究的有效补充。
This dissertation aims at exploring the characteristics of the contemporaryAmerican writer E. L. Doctorow’s city writing, based on the analysis of the boynarrators who are literary flaneurs in three of his novels: The Book of Daniel, World’sFair and Billy Bathgate, arguing that Doctorow’s city writing subverts the Americanliterary tradition of depicting the city as the profane and thus creates an urbanaesthetics that is both positive and critical.
The dissertation adopts Benjamin’s theory about flaneurs as a starting point. Bysynthesizing the theory of Third Space by Edward Soja and Homi Bhabha, theory ofCultural Geography by Yifu Tuan and Mike Crane, space narrative theory by JosephFrank and Wesley Kort, together with Bakhtin’s theory about Carnival, the thesisdiscusses the ways how flaneries of the little boy narrators in the city space and theirperception of the places in the city influence their growth and space values. It aims atdisclosing Doctorow’s own attitude towards the city through the analysis of hisfictional characters’ interaction with the city.
The flanerie of the boy narrators play different roles in each of the three chosentexts. In The Book of Daniel, wandering is therapeutic for the traumatized protagonistDaniel. With a strong sense of homelessness, his wandering is a process of homesearching. It is in his wander that he realizes the alienation of his house from theneighborhood, the alienation of his family from the Jewish community, and thealienation of himself from history, both the history of the Old Left and the New Left.His final flanerie in Disneyland not only redeems himself, but also redeems the familybetrayer Mindish. And the Futurama in Disneyland reveals his desire for a utopia asan escape from his miserable childhood.
In World’s Fair, Edgar’s flanerie becomes a process of self-creating. Hisencounter with gang boys makes him aware of his Jewish identity, while the two tripsto the World’s Fair initiate him into manhood. His witness of death and femalenakedness marks as great milestones in his way towards maturity. Doctorow portrays Edgar as a young artist, in whom we see Doctorow’s own shadow, as a Jewish writeras well as a New Yorker. The cityscape perceived from Edgar’s eyes mirrors the lifeof ordinary people in the1930s’ Bronx. The World’s Fair Edgar and his family strollin is a miniature of New York’s future, tempting but still with signs of decay.
In Billy Bathgate, Doctorow portrays a Bronx street boy who takes wandering ashis way of life, by baptizing himself into the Shultz gang group. As a capable gangapprentice, his flanerie means his searching for patrimony and pursuit of AmericanDream, both ending in success in the sense that he finds the gang’s fortune after theyare killed and becomes a father himself. In his flanerie both in New York and othercities, he forms his own spatial value system, with a preference of Manhattan to theBronx, and New York to other cities. His relationship with the city’s crowd illustratesBenjamin’s observation that “the flaneur is at home not in his class but in the crowd.”
All of the three novels are set in the city of New York, each having a boy narratorwho likes to wander in the city space in their growing process. Thus they could beconsidered as urban Bildungsromane. Based on close reading of the three texts andcomparing them with Doctorow’s other works, this dissertation concludes the generalcharacteristics of Doctorow’s urban Bildungsromane: firstly, the city space not onlyprovides the environment for the protagonists’ growth, but also triggers their ownconsciousness of identification with the city as urbanites; secondly, the protagonistsare very sensitive, and all seem to be capable perceptive machines with insightfulunderstanding of their surroundings, and record the cubic diorama of the cityscape;thirdly, almost in every of Doctorow’s urban Bildungsroman, there is a “whitegoddess” who may trigger the male protagonists’ nascent sexual excitement and pavetheir way towards sexual maturity; fourthly, Doctorow’s urban Bildungsromane blurthe distinction between fiction and autobiography, thus reveal the relationshipbetween the author himself and the city he lives in, which is also the city most of hisfictional protagonists grow up in; and finally, Doctorow’s urban Bildungsromaneusually end in a description of a positive attitude towards life with a redemption of theprotagonist himself or others, with a kind of pro-utopia desire.
But in literary practice, Doctorow intentionally blurs the distinction between genres, be it Bildungsroman, autobiography, detective story or crime novel. Besides,he tends to revivify the oral tradition of story telling. His endeavor to blur thedistinction between popular literature and elite literature is as important as his otherpostmodern experiments with polyphony, parody and paradox. His choice of boywanderers as narrators produces a special perspective in his postmodern city writing,a psychological detachment from adult way of perception and narration, and thus,produces a special urban aesthetics that may lift the city from profane. The “flanerie”approach to Doctorow study, hopefully, may be a useful complement to the studiesfrom other perspectives, say the political engagement, historical narration, Jewishtrajectory and religious implications.
本论文以本雅明的“都市漫游者”理论为出发点，结合爱德华·索亚和霍米·巴巴的“第三空间”理论、段义孚和麦克·克朗的文化地理学理论、约瑟夫·弗兰克和韦斯利·科特的空间叙事理论及巴赫金的狂欢化叙事理论，探讨多克托罗小说中小男孩叙述者在漫游过程中对都市空间的感知如何影响其成长以及各自空间观的形成，通过小说人物与都市的互动关系管窥作者本人的城市观。
在《但以理书》中，“漫游”成为小说主人公但以理治疗童年创伤、寻找精神家园的最好方式。在“漫游”中他意识到自我异化的现实，同时也认清了自己的家庭在整个犹太社区的孤立状态。个人与历史的断裂、自我与现实的断裂、家庭与社区的断裂正是但以理在漫游中所体悟到的。而小说最后但以理在迪斯尼乐园的漫步不但是他的自我救赎，也是对其所恨之人、曾经出卖他父母的家庭医生的救赎；迪斯尼的未来世界则反映出他对乌托邦的向往，并欲以此作为逃避创伤童年最好的方法。
《世界博览会》中埃德加的空间“漫游”成为他寻找自我身份的方式。遭遇黑帮男孩恐吓使其加深了对自己犹太身份的认识，而两次参观世博会的经历则为他成为“典型的美国男孩”铺平道路。目睹死亡使其面对生死更加淡定，而女性的身体则诱发了他的性早熟。多克托罗在小说中描绘了一个艺术家的成长经历，由于小说具有高度自传性，小说主人公带有作者自己的影子。多克托罗似乎想在其犹太身份、美国身份这一双重身份的基础上强调其“纽约人”身份，认为这是三位一体的。埃德加在漫游中所见到的都市景观反映了20世纪30年代纽约布朗克斯普通人的生活境况。在经济危机、第二次世界大战的阴影中，1939年的世界博览会作为纽约的提喻，反映出人们对美好生活的渴望；而埃德加一家在世博会的“漫游”经历则见证了这一都市现实：无限美好却不乏衰退的痕迹。
在《比利·巴思格特》中，多克托罗描绘了一个布朗克斯街头男孩比利逐渐成为黑帮学徒，凭借智慧获取信任并最终获得大笔遗产的成长经历。“漫游”是他的生活方式，是他寻找父亲、追求成功、实现美国梦的有效途径。通过在纽约以及其他三个城市的“漫游”，比利形成了自己的空间价值体系，在他眼中，曼哈顿优于布朗克斯，而纽约则优于其他任何一个城市。他与都市“人群”的关系最好地诠释了本雅明的观点：“都市漫游者的家不是他的阶级而是人群。”
上述三部小说都以纽约为背景，并且其叙述者都是小男孩，“都市漫游”在他们的成长过程中起到重要的推动作用，因而这三部小说可被看作是都市成长小说。通过文内、文外、文间细读，本论文总结出多克托罗都市成长小说的主要特点：第一，都市空间不仅是主人公的成长环境，而且促使主人公对于自己所处城市的身份认同；第二，主人公都具有敏感的个性，对都市空间具有超强的洞察力，通过他们的空间感知小说往往展示出一幅立体的都市“西洋景”；第三，几乎在多克托罗每部都市成长小说中都有一个“白女神”形象，促发男主人公的性成熟；第四，多克托罗的都市成长小说往往模糊了小说与自传的界限，因而展现出作家自己与都市的互动关系；最后，小说往往以主人公的自我救赎结尾，并带有对乌托邦的美好向往。
多克托罗在文学实践中往往故意打破文类界限，将成长小说、自传、侦探小说、犯罪小说等融于一体。他擅用口语体，旨在于当今机械复制的时代复兴传统的“讲故事”的技艺。他故意打破精英文学与通俗文学之间的界限，将多声部叙事、戏仿、悖论等灵活运用于其后现代写作实验。他选择小男孩漫游者作为小说的主要叙述者，为小说叙事提供了独特的视角，使其远离成人的感知和叙述模式，因而创造出一种独特的叙事艺术和都市美学，也因此成为救赎都市的一种方式。从“空间漫游”视角研究多克托罗的小说有助于拓宽多克托罗小说的研究视野，对其“都市书写”的关注也将成为以往从“政治介入”、“历史叙事”、“犹太轨迹”及“宗教内涵”等角度切入研究的有效补充。
This dissertation aims at exploring the characteristics of the contemporaryAmerican writer E. L. Doctorow’s city writing, based on the analysis of the boynarrators who are literary flaneurs in three of his novels: The Book of Daniel, World’sFair and Billy Bathgate, arguing that Doctorow’s city writing subverts the Americanliterary tradition of depicting the city as the profane and thus creates an urbanaesthetics that is both positive and critical.
The dissertation adopts Benjamin’s theory about flaneurs as a starting point. Bysynthesizing the theory of Third Space by Edward Soja and Homi Bhabha, theory ofCultural Geography by Yifu Tuan and Mike Crane, space narrative theory by JosephFrank and Wesley Kort, together with Bakhtin’s theory about Carnival, the thesisdiscusses the ways how flaneries of the little boy narrators in the city space and theirperception of the places in the city influence their growth and space values. It aims atdisclosing Doctorow’s own attitude towards the city through the analysis of hisfictional characters’ interaction with the city.
The flanerie of the boy narrators play different roles in each of the three chosentexts. In The Book of Daniel, wandering is therapeutic for the traumatized protagonistDaniel. With a strong sense of homelessness, his wandering is a process of homesearching. It is in his wander that he realizes the alienation of his house from theneighborhood, the alienation of his family from the Jewish community, and thealienation of himself from history, both the history of the Old Left and the New Left.His final flanerie in Disneyland not only redeems himself, but also redeems the familybetrayer Mindish. And the Futurama in Disneyland reveals his desire for a utopia asan escape from his miserable childhood.
In World’s Fair, Edgar’s flanerie becomes a process of self-creating. Hisencounter with gang boys makes him aware of his Jewish identity, while the two tripsto the World’s Fair initiate him into manhood. His witness of death and femalenakedness marks as great milestones in his way towards maturity. Doctorow portrays Edgar as a young artist, in whom we see Doctorow’s own shadow, as a Jewish writeras well as a New Yorker. The cityscape perceived from Edgar’s eyes mirrors the lifeof ordinary people in the1930s’ Bronx. The World’s Fair Edgar and his family strollin is a miniature of New York’s future, tempting but still with signs of decay.
In Billy Bathgate, Doctorow portrays a Bronx street boy who takes wandering ashis way of life, by baptizing himself into the Shultz gang group. As a capable gangapprentice, his flanerie means his searching for patrimony and pursuit of AmericanDream, both ending in success in the sense that he finds the gang’s fortune after theyare killed and becomes a father himself. In his flanerie both in New York and othercities, he forms his own spatial value system, with a preference of Manhattan to theBronx, and New York to other cities. His relationship with the city’s crowd illustratesBenjamin’s observation that “the flaneur is at home not in his class but in the crowd.”
All of the three novels are set in the city of New York, each having a boy narratorwho likes to wander in the city space in their growing process. Thus they could beconsidered as urban Bildungsromane. Based on close reading of the three texts andcomparing them with Doctorow’s other works, this dissertation concludes the generalcharacteristics of Doctorow’s urban Bildungsromane: firstly, the city space not onlyprovides the environment for the protagonists’ growth, but also triggers their ownconsciousness of identification with the city as urbanites; secondly, the protagonistsare very sensitive, and all seem to be capable perceptive machines with insightfulunderstanding of their surroundings, and record the cubic diorama of the cityscape;thirdly, almost in every of Doctorow’s urban Bildungsroman, there is a “whitegoddess” who may trigger the male protagonists’ nascent sexual excitement and pavetheir way towards sexual maturity; fourthly, Doctorow’s urban Bildungsromane blurthe distinction between fiction and autobiography, thus reveal the relationshipbetween the author himself and the city he lives in, which is also the city most of hisfictional protagonists grow up in; and finally, Doctorow’s urban Bildungsromaneusually end in a description of a positive attitude towards life with a redemption of theprotagonist himself or others, with a kind of pro-utopia desire.
But in literary practice, Doctorow intentionally blurs the distinction between genres, be it Bildungsroman, autobiography, detective story or crime novel. Besides,he tends to revivify the oral tradition of story telling. His endeavor to blur thedistinction between popular literature and elite literature is as important as his otherpostmodern experiments with polyphony, parody and paradox. His choice of boywanderers as narrators produces a special perspective in his postmodern city writing,a psychological detachment from adult way of perception and narration, and thus,produces a special urban aesthetics that may lift the city from profane. The “flanerie”approach to Doctorow study, hopefully, may be a useful complement to the studiesfrom other perspectives, say the political engagement, historical narration, Jewishtrajectory and religious implications.
引文
1Hana Wirth-Nesher. City Codes: Reading the Modern Urban Novel. New York: Cambridge University Press,1996. In this book, Wirth-Nesher divides the urban space into four aspects: the natural environment, the builtenvironment, the human environment and the verbal environment.
2“The Man of the Crowd” is a short story written by Edgar Ellen Poe in1840. In the story, a man sits in a coffeehouse in London and watches the passers-by and follows an old man who wanders aimlessly in the city. It is one ofthe first examples of using “flanéur” as a literary device.
3陶洁译：《雷格泰姆音乐》，北京：外国文学出版社，1986.常涛、刘奚译：《褴褛时代》，石家庄：花山文艺出版社，1987.雷立美译：《乱世之恋》，长沙：湖南人民出版社，1988.
4杨仁敬译：《比利·巴思格特》，南京：译林出版社，2000.李战子、韩秉建译：《上帝之城》，南京：译林出版社，2005.邹海伦译：《大进军》，北京：人民文学出版社，2007.郭英剑译：《创造灵魂的人：多克特罗随笔集》，南京：译林出版社，2009.
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2“The Man of the Crowd” is a short story written by Edgar Ellen Poe in1840. In the story, a man sits in a coffeehouse in London and watches the passers-by and follows an old man who wanders aimlessly in the city. It is one ofthe first examples of using “flanéur” as a literary device.
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4杨仁敬译：《比利·巴思格特》，南京：译林出版社，2000.李战子、韩秉建译：《上帝之城》，南京：译林出版社，2005.邹海伦译：《大进军》，北京：人民文学出版社，2007.郭英剑译：《创造灵魂的人：多克特罗随笔集》，南京：译林出版社，2009.
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