布洛赫小说神话诗学研究
摘要
赫尔曼·布洛赫,一名处于现代主义晚期的美籍奥地利作家，身后被一些批评家誉为能与詹姆斯·乔伊斯，托马斯·曼等现代主义巨擘相媲美的现代文学家。然而，由于历史原因，他总体上沦为一个拥有很少读者且在文学批评史上受到极度冷遇和遗忘的小说家。布洛赫生前三部小说《梦游者》、《维吉尔之死》和《无罪者》堪称其伟大思想艺术成就的代表，致力于描述“不再，尚未”的时代困境。他相信，相信一个旧的基督教神话已经破灭，一个新的神话，一个统一世界图景定会出现。神话因此成为布洛赫小说创作的终极方向，而神话与象征理论则是其文学批评理论的核心内容。基于以上考虑，这篇博士学位论文在选定布洛赫小说作为研究对象的基础上，拟定了从神话主义批评和精神分析的双重视野下展开布洛赫神话诗学的论述。
本论文包括引言、正文六个章节和结论在内的八个部分。本文主要采用的批判理论是弗洛伊德、荣格的精神分析理论和拉康的镜像三段论以及弗莱的神话原型批评理论。
引言部分首先简要阐释诗学与神话作品的定义。其次，对布洛赫的生平和创作进行了历时性综述；按照发表的时间顺序，依次对布洛赫三大作品的情节和主题进行概述。为了更好的帮助研究者理解布洛赫文学创作的历史定位，分别就布洛赫在英国，美国，日本，中国等国家的接受和研究状态给予扼要的梳理和介绍；最后就论文的研究目的、意义和方法给以概括和介绍。
论文的第一章旨在概括二十世纪初精神分析的崛起和神话创作的复兴。二者在二十世纪初的同时性发展有着鲜明的时代特色和背景。十九世纪末的欧洲陷入了前所未有的时代危机：宗教信仰危机，“上帝死了”；哲学滑入庸俗实证主义的泥沼；科学的启蒙与讹诈的双面性开始彰显出来。于是文学肩负起来了创造新神话的希望：“走向神话”一时间成为时代的口号。在精神分析学派的推动和鼓励下，现代主义时代迎来了神话复兴，涌现出一批伟大作家和具有神话向度的作品，比如艾略特的《荒原》，乔伊斯的《尤利西斯》，卡夫卡的《城堡》，托马斯·曼的《魔山》，布洛赫的《维吉尔之死》和毕加索的立体派油画作品，等等。作为晚期现代主义的代表人物之一，布洛赫通过小说写作来实践自己特色的神话理论。而神话、统一体、逻各斯、老年风格和独立个性等均为其着力表述的核心概念。
论文的第二章以小说为单位，发表时间为顺序，展开对布洛赫的三大作品中人物形象塑造的原型研究。在荣格批评理论的框架下，该部分系统分析了主人公们的神话原型如何做到了与主题表达的契合。三部小说的人物塑造体现出一个共性：即人物形象的多元性。这些多重的原型意象，一方面体现了布洛赫观照下末世时代精神与价值体系的多元化与复杂性，另一方面展现了人物伴随时代变迁的内心自我的成长和演变。
第三章主要探讨和发掘三部作品中丰富的象征意象内涵，及其与人物自我的心理体验之间的关系，进而揭示欧洲末世时代的精神风格。弗莱认为，象征是连接两个隐喻之间的关系；如能揭示贯穿性象征的内涵，文本的内在结构统一性就可以建立起来。讨论据此分为两个范畴：一是只在一部作品里重复出现的意象，二是贯穿布洛赫三部作品的意象。经研究发现，布洛赫笔下的象征意象根据内涵是否发生演变可以划分为两个阶段：以《梦游者》为代表的具体表征阶段，和以《维吉尔之死》为起点的抽象认知阶段。这两种风格的流变有力地证实了《维吉尔之死》是布洛赫臻于成熟并迈入晚年风格的标志。
论文的第四章分析了人物追求真实自我主体作为作家乃至人物本身的生活动力的原因。在拉康镜像理论为批评工具的前提下，分析三部小说中各个主人公的追求自我主体性的模式，结合他们的悲剧性格和命运，重点分析了他们的恋母情结，色情主义，新娘神秘主义。在耶稣生下来向父运动的启发下，结合三部作品中人物心理演变过程的特征，本文归纳出向母向父又向风的三大心理认知运动趋向。人物的心理成长轨迹与拉康的镜像三界论相互吻合。笔者研究发现，布洛赫以文学艺术的形式超前的演绎了拉康的镜像理论和三界构想。
第五章旨在阐述布洛赫的神话世界构想。布洛赫对中世纪旧的统一体时代的覆灭非常缅怀与感伤，但是他作为现代作家的使命要求他不能停留在过去的记忆中。布洛赫提出了“世俗的绝对”的认识论概念。克服死亡，掌握逻各斯的知识，建立一个伦理的、政治的、科学的世界。这个理想需要主体远离已被媚俗异化的城市，走向自然，和走入类似于马丁·布伯所倡导的“我-你关系”，摆脱异化的“我-他关系”，从而感悟爱的真谛和逻各斯的本质。在此基础上，建立起保护个人尊严和自由的理想国。本部分重点研究了布洛赫同海德格尔之间认识论上的分歧。
论文的最后一章，在探析审美与救赎的历史渊源的基础上，研究了布洛赫小说神话世界以自我救赎为核心的伦理美学。布洛赫的美学是否定美学，又是伦理美学，救赎美学，和反刍美学。笔者提出并分析了布洛赫独特的审丑视角：“反刍”美学。反复的观照一个丑陋的或者令人作呕的事物，体现了一个反媚俗的艺术家的良知，更好地表现了对现代传统价值的崩溃和人性堕落的人文关怀。
论文的结尾部分首先总结了布洛赫的神话诗学的构建；其次探讨了他作为后期现代主义和后现代主义的过渡人物在文学史的地位，以及他留给后人的文化遗产与影响力；最后对今后布洛赫研究的方向与前景给出尝试性展望。
Hermann Broch, the Austro-American novelist in the late modernism, is cheered by some critics as agreat modernist like James Joyce or Thomas Mann. However, due to certain historical reasons, Broch hasbeen ignored by the majority of both scholarship and readership of the world. The three novels of Broch'slifetime: The Sleepwalkers, The Death of Virgil and The Guiltless are generally acknowledged asmasterpieces that can better represent his artistic and ideological achievements, dedicated to describing a"no longer, not yet" era of crisis. He believed that the old myth of Christianity that had dominatedEuropean minds has been collapsing since the start of the medieval ages, and a new myth is yet to comeand a world of totality will appear on the earth. Therefore, myth became the terminal direction of Broch'sliterary creation and mythic and symbolic theories stand at the core of his literary criticism. This promptedthe writing of this dissertation from the double perspective of mythical criticism and psychoanalysis.
This dissertation consists of eight parts, and adopts the theories of Freudianism, Jungian Criticism andLacan's Mirror stage theories to conduct an all-round analysis upon the spiritual pilgrimage of the modernego or self, which constitutes the core of Broch's mythic poetics.
The introduction first presents the definitions of poetics and mythic works. Then it conducts a briefreview of Hermann Broch's life and writing career. The summary of the three novels in terms of plots andthemes is presented subsequently. A literature review and reception of Broch's works are related in thescope of readership and scholarship in countries from the UK, to the US, Japan, France and China. A briefyet concise presentation of research purpose, significance and approach follows to conclude this part.
Chapter One summarizes the epochal settings against which the school of psychoanalysis rose,mythical writing revived and mythical criticism came into being in the early20thcentury. Modern Europein the late19thcentury was entrapped into an unprecedented epochal crisis: the religious crisis, which wasmanifested in Nietzsche's direct statement of "God is dead"; philosophy had reduced itself to a tool ofadvocating philistinism on the road of pursuing absolute reason; the double face of science wasacknowledged as enlightenment and blackmail. Hopefully, literature was trusted to should up the hope ofcreating a new myth: a mythward movement grew into the mainstream of epoch. Spurred by the new discoveries in the field of psychoanalysis, modernism entered into the era of mythic revival, witnessing therise of a great many leading artists and writers with their myth-oriented works, such as T.S. Eliot'sWasteland, James Joyce's Ulysses, Thomas Mann's The Magic Mountain, Hermann Broch's The Death ofVirgil as well as Picasso's cubic paintings, etc. As a representative of late modernism, Broch applied hisown mythic theories to his novel writing. He stressed the concepts of myth, totality, the Logos, the style ofolder age as well as individual personality in his works of literary criticism and novels.
Chapter Two focuses on the analysis of archetypal characterizations of Broch's three novels. Withinthe framework of Jungian criticism, this part explores the archetypal sources of Brochian protagonists andheroes, thereby analyzing the coherence between themes and mythical archetypes.
Almost all the figures are characterized in more than one single image, which reflects Broch'sendeavor to capture the epochal spirit in general. The multiple mythic images of archetypes may propel theformation of the mythical dimension of stories, which sends forth a magic and weird illumination on thelevel of inner experience around the themes of crime and punishment.
Chapter Three formulates the relationships between the abundant yet abstract significance of symbolicimages and the inner experiences of characters, and intends further to interpret the epochal style of a "nolonger and not yet" era. According to Frye, symbol is a relation linking two metaphors. If a symbolic imagerecurs throughout the text, the association of its symbolic connotation can establish the inner structuraltotality. Hence, this part discusses symbols in terms of two categories: one is the images that pertain to onebook and recur throughout it; the other is those that transcend through all the three novels.
The research shows that the symbols and images under Brochs' pen can be divided into two stagesaccording to whether their connotations have evolved or not: the stage of concrete representation and thestage of abstract cognition. The former is represented by The Sleepwalkers, and the latter is represented byThe Death of Virgil as a starting line, including The Guiltless. This shift of symbolism convincingly provesa thing: The Death of Virgil marks the maturity of Broch and his entry into the style of older age.
Chapter Four attributes the quest for true self as the impetus of social and domestic life of both thewriter and his characters. Within the framework of Freud's complex and Lacan's theory of the Mirror stageand three orders: the Imaginary, the Symbolic and the Real, this part seeks to identify the modes of theprotagonists pursuing their own subjectivity. Motherly love, eroticism and bridal mysticism are analyzed in association with the characters' personalities and tragic fates. Inspired by the fatherward movement ofJesus, this part contributes an original interpretation to the process of ego development of the maincharacters in the three novels. Their trajectories of growth, seen from the perspective of Lacanism, aremarked respectively by motherward, fatherward and windward movements.
The writer of this dissertation argues here that Hermann Broch had practiced Lacanian theories ofthree stages well ahead of him in an artistic medium.
Chapter Five aims at an elaboration upon Broch's blueprint of myth or a world of totality. Broch hadbeen very nostalgic and sentimental about the disintegration of the totality of Christian world establishedsince the Medieval Era. However, the urgent sense of mission as a modern writer did not allow him tolinger too much upon the memory of the past. Hermann Broch practiced his epistemological concept of"the earthly absolute" in his novels: to overcome the fear of death and master the knowledge of the Logosare the essential premises of establishing a world of ethical, political and scientific totality. This idealrequires that man should walk out of the City of Vanity to enter nature, to embrace love, a relationshipsimilar to Martin Buber's "I and You" relation and breaks away from "I and It" relation. On the basis ofnatural, authentic life and universal brotherhood, will be erected an ideal republic where man can get thedesired freedom, peace and order. Here one of the main argumentations is how Heidegger and Brochdivided in terms of epistemology.
The last chapter starts with analysis of the historical and literary sources of aesthetics and redemption,and moves to interpret the ethical aesthetics which takes the redemption of self as the core of Brochianmyth. Brochian aesthetics appears to be ethics-oriented, redemptive and negative, affirming what is morallyugly by negation. This aesthetics is named by the author of this dissertation as "ruminational aesthetics". Torepeatedly look at a seemingly ugly thing or person manifests the redemptive consciousness of ananti-kitsch artist and his ardent aspiration to overcome the loss of creed and fall of humanity.
The concluding part subsequently deals with the structure of Broch's mytho-poetics, the historicallocation of Broch in the literary history, and literary legacy and influence as a transitional figure betweenlate modernism and postmodernism as well as a tentative prospect of future scholarship of Broch.
本论文包括引言、正文六个章节和结论在内的八个部分。本文主要采用的批判理论是弗洛伊德、荣格的精神分析理论和拉康的镜像三段论以及弗莱的神话原型批评理论。
引言部分首先简要阐释诗学与神话作品的定义。其次，对布洛赫的生平和创作进行了历时性综述；按照发表的时间顺序，依次对布洛赫三大作品的情节和主题进行概述。为了更好的帮助研究者理解布洛赫文学创作的历史定位，分别就布洛赫在英国，美国，日本，中国等国家的接受和研究状态给予扼要的梳理和介绍；最后就论文的研究目的、意义和方法给以概括和介绍。
论文的第一章旨在概括二十世纪初精神分析的崛起和神话创作的复兴。二者在二十世纪初的同时性发展有着鲜明的时代特色和背景。十九世纪末的欧洲陷入了前所未有的时代危机：宗教信仰危机，“上帝死了”；哲学滑入庸俗实证主义的泥沼；科学的启蒙与讹诈的双面性开始彰显出来。于是文学肩负起来了创造新神话的希望：“走向神话”一时间成为时代的口号。在精神分析学派的推动和鼓励下，现代主义时代迎来了神话复兴，涌现出一批伟大作家和具有神话向度的作品，比如艾略特的《荒原》，乔伊斯的《尤利西斯》，卡夫卡的《城堡》，托马斯·曼的《魔山》，布洛赫的《维吉尔之死》和毕加索的立体派油画作品，等等。作为晚期现代主义的代表人物之一，布洛赫通过小说写作来实践自己特色的神话理论。而神话、统一体、逻各斯、老年风格和独立个性等均为其着力表述的核心概念。
论文的第二章以小说为单位，发表时间为顺序，展开对布洛赫的三大作品中人物形象塑造的原型研究。在荣格批评理论的框架下，该部分系统分析了主人公们的神话原型如何做到了与主题表达的契合。三部小说的人物塑造体现出一个共性：即人物形象的多元性。这些多重的原型意象，一方面体现了布洛赫观照下末世时代精神与价值体系的多元化与复杂性，另一方面展现了人物伴随时代变迁的内心自我的成长和演变。
第三章主要探讨和发掘三部作品中丰富的象征意象内涵，及其与人物自我的心理体验之间的关系，进而揭示欧洲末世时代的精神风格。弗莱认为，象征是连接两个隐喻之间的关系；如能揭示贯穿性象征的内涵，文本的内在结构统一性就可以建立起来。讨论据此分为两个范畴：一是只在一部作品里重复出现的意象，二是贯穿布洛赫三部作品的意象。经研究发现，布洛赫笔下的象征意象根据内涵是否发生演变可以划分为两个阶段：以《梦游者》为代表的具体表征阶段，和以《维吉尔之死》为起点的抽象认知阶段。这两种风格的流变有力地证实了《维吉尔之死》是布洛赫臻于成熟并迈入晚年风格的标志。
论文的第四章分析了人物追求真实自我主体作为作家乃至人物本身的生活动力的原因。在拉康镜像理论为批评工具的前提下，分析三部小说中各个主人公的追求自我主体性的模式，结合他们的悲剧性格和命运，重点分析了他们的恋母情结，色情主义，新娘神秘主义。在耶稣生下来向父运动的启发下，结合三部作品中人物心理演变过程的特征，本文归纳出向母向父又向风的三大心理认知运动趋向。人物的心理成长轨迹与拉康的镜像三界论相互吻合。笔者研究发现，布洛赫以文学艺术的形式超前的演绎了拉康的镜像理论和三界构想。
第五章旨在阐述布洛赫的神话世界构想。布洛赫对中世纪旧的统一体时代的覆灭非常缅怀与感伤，但是他作为现代作家的使命要求他不能停留在过去的记忆中。布洛赫提出了“世俗的绝对”的认识论概念。克服死亡，掌握逻各斯的知识，建立一个伦理的、政治的、科学的世界。这个理想需要主体远离已被媚俗异化的城市，走向自然，和走入类似于马丁·布伯所倡导的“我-你关系”，摆脱异化的“我-他关系”，从而感悟爱的真谛和逻各斯的本质。在此基础上，建立起保护个人尊严和自由的理想国。本部分重点研究了布洛赫同海德格尔之间认识论上的分歧。
论文的最后一章，在探析审美与救赎的历史渊源的基础上，研究了布洛赫小说神话世界以自我救赎为核心的伦理美学。布洛赫的美学是否定美学，又是伦理美学，救赎美学，和反刍美学。笔者提出并分析了布洛赫独特的审丑视角：“反刍”美学。反复的观照一个丑陋的或者令人作呕的事物，体现了一个反媚俗的艺术家的良知，更好地表现了对现代传统价值的崩溃和人性堕落的人文关怀。
论文的结尾部分首先总结了布洛赫的神话诗学的构建；其次探讨了他作为后期现代主义和后现代主义的过渡人物在文学史的地位，以及他留给后人的文化遗产与影响力；最后对今后布洛赫研究的方向与前景给出尝试性展望。
Hermann Broch, the Austro-American novelist in the late modernism, is cheered by some critics as agreat modernist like James Joyce or Thomas Mann. However, due to certain historical reasons, Broch hasbeen ignored by the majority of both scholarship and readership of the world. The three novels of Broch'slifetime: The Sleepwalkers, The Death of Virgil and The Guiltless are generally acknowledged asmasterpieces that can better represent his artistic and ideological achievements, dedicated to describing a"no longer, not yet" era of crisis. He believed that the old myth of Christianity that had dominatedEuropean minds has been collapsing since the start of the medieval ages, and a new myth is yet to comeand a world of totality will appear on the earth. Therefore, myth became the terminal direction of Broch'sliterary creation and mythic and symbolic theories stand at the core of his literary criticism. This promptedthe writing of this dissertation from the double perspective of mythical criticism and psychoanalysis.
This dissertation consists of eight parts, and adopts the theories of Freudianism, Jungian Criticism andLacan's Mirror stage theories to conduct an all-round analysis upon the spiritual pilgrimage of the modernego or self, which constitutes the core of Broch's mythic poetics.
The introduction first presents the definitions of poetics and mythic works. Then it conducts a briefreview of Hermann Broch's life and writing career. The summary of the three novels in terms of plots andthemes is presented subsequently. A literature review and reception of Broch's works are related in thescope of readership and scholarship in countries from the UK, to the US, Japan, France and China. A briefyet concise presentation of research purpose, significance and approach follows to conclude this part.
Chapter One summarizes the epochal settings against which the school of psychoanalysis rose,mythical writing revived and mythical criticism came into being in the early20thcentury. Modern Europein the late19thcentury was entrapped into an unprecedented epochal crisis: the religious crisis, which wasmanifested in Nietzsche's direct statement of "God is dead"; philosophy had reduced itself to a tool ofadvocating philistinism on the road of pursuing absolute reason; the double face of science wasacknowledged as enlightenment and blackmail. Hopefully, literature was trusted to should up the hope ofcreating a new myth: a mythward movement grew into the mainstream of epoch. Spurred by the new discoveries in the field of psychoanalysis, modernism entered into the era of mythic revival, witnessing therise of a great many leading artists and writers with their myth-oriented works, such as T.S. Eliot'sWasteland, James Joyce's Ulysses, Thomas Mann's The Magic Mountain, Hermann Broch's The Death ofVirgil as well as Picasso's cubic paintings, etc. As a representative of late modernism, Broch applied hisown mythic theories to his novel writing. He stressed the concepts of myth, totality, the Logos, the style ofolder age as well as individual personality in his works of literary criticism and novels.
Chapter Two focuses on the analysis of archetypal characterizations of Broch's three novels. Withinthe framework of Jungian criticism, this part explores the archetypal sources of Brochian protagonists andheroes, thereby analyzing the coherence between themes and mythical archetypes.
Almost all the figures are characterized in more than one single image, which reflects Broch'sendeavor to capture the epochal spirit in general. The multiple mythic images of archetypes may propel theformation of the mythical dimension of stories, which sends forth a magic and weird illumination on thelevel of inner experience around the themes of crime and punishment.
Chapter Three formulates the relationships between the abundant yet abstract significance of symbolicimages and the inner experiences of characters, and intends further to interpret the epochal style of a "nolonger and not yet" era. According to Frye, symbol is a relation linking two metaphors. If a symbolic imagerecurs throughout the text, the association of its symbolic connotation can establish the inner structuraltotality. Hence, this part discusses symbols in terms of two categories: one is the images that pertain to onebook and recur throughout it; the other is those that transcend through all the three novels.
The research shows that the symbols and images under Brochs' pen can be divided into two stagesaccording to whether their connotations have evolved or not: the stage of concrete representation and thestage of abstract cognition. The former is represented by The Sleepwalkers, and the latter is represented byThe Death of Virgil as a starting line, including The Guiltless. This shift of symbolism convincingly provesa thing: The Death of Virgil marks the maturity of Broch and his entry into the style of older age.
Chapter Four attributes the quest for true self as the impetus of social and domestic life of both thewriter and his characters. Within the framework of Freud's complex and Lacan's theory of the Mirror stageand three orders: the Imaginary, the Symbolic and the Real, this part seeks to identify the modes of theprotagonists pursuing their own subjectivity. Motherly love, eroticism and bridal mysticism are analyzed in association with the characters' personalities and tragic fates. Inspired by the fatherward movement ofJesus, this part contributes an original interpretation to the process of ego development of the maincharacters in the three novels. Their trajectories of growth, seen from the perspective of Lacanism, aremarked respectively by motherward, fatherward and windward movements.
The writer of this dissertation argues here that Hermann Broch had practiced Lacanian theories ofthree stages well ahead of him in an artistic medium.
Chapter Five aims at an elaboration upon Broch's blueprint of myth or a world of totality. Broch hadbeen very nostalgic and sentimental about the disintegration of the totality of Christian world establishedsince the Medieval Era. However, the urgent sense of mission as a modern writer did not allow him tolinger too much upon the memory of the past. Hermann Broch practiced his epistemological concept of"the earthly absolute" in his novels: to overcome the fear of death and master the knowledge of the Logosare the essential premises of establishing a world of ethical, political and scientific totality. This idealrequires that man should walk out of the City of Vanity to enter nature, to embrace love, a relationshipsimilar to Martin Buber's "I and You" relation and breaks away from "I and It" relation. On the basis ofnatural, authentic life and universal brotherhood, will be erected an ideal republic where man can get thedesired freedom, peace and order. Here one of the main argumentations is how Heidegger and Brochdivided in terms of epistemology.
The last chapter starts with analysis of the historical and literary sources of aesthetics and redemption,and moves to interpret the ethical aesthetics which takes the redemption of self as the core of Brochianmyth. Brochian aesthetics appears to be ethics-oriented, redemptive and negative, affirming what is morallyugly by negation. This aesthetics is named by the author of this dissertation as "ruminational aesthetics". Torepeatedly look at a seemingly ugly thing or person manifests the redemptive consciousness of ananti-kitsch artist and his ardent aspiration to overcome the loss of creed and fall of humanity.
The concluding part subsequently deals with the structure of Broch's mytho-poetics, the historicallocation of Broch in the literary history, and literary legacy and influence as a transitional figure betweenlate modernism and postmodernism as well as a tentative prospect of future scholarship of Broch.
引文
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