“新”短篇小说的艺术相似性
摘要
在英语现代短篇小说史上，詹姆斯·乔伊斯的《都柏林人》和舍伍德·安德森的《俄亥俄州的温斯堡》堪称两部里程碑式的经典之作。两部作品的创作时间虽相距八年，但两位作者却不约而同地将笔触投向了各自家乡那些最普通的芸芸众生。一个是爱尔兰首都都柏林，一个是美国中西部小镇，虽远隔千里，却遥相呼应。
自上世纪二十年代，两部作品相继出版以来，评论界对它们的评论便如汗牛充栋，不计其数。但却鲜见评论文章，对这两部作品作比较研究。国内评论界这类文章似乎更是空白。本文旨在从三个角度论述《都柏林人》和《俄亥俄州的温斯堡》的相似性。除引言和结论外，文章共分三章，将分别从结构，主题及技巧这三方面探讨二者共性。引言开篇论述传统短篇小说和“新”短篇小说之间的差别。随后论述了两部小说集的创作背景，作家的故乡和小说集创作之间的关系等。
第一章分两个部分阐述两部作品结构上的相似性。第一部分关注两部作品的外部结构。指出两部作品在结构上都以小说集的形式出现，小说与小说之间既相互统一又自成一体。尽管如此，两部作品在外在结构上也存在细微的差别，即与《都柏林人》相比，《俄亥俄州的温斯堡》中的短篇小说之间的联系似乎更为紧密。第二部分关注小说集的内部结构。两部小说集由一个个故事组成，故事的排列看似不经意，实则体现了作者的精心设计和良苦用心。《都柏林人》中故事的排列不光以年龄为序。乔伊斯更独具匠心地为故事的叙述者也安排了一个从幼稚到成熟的成长历程。在内部结构设计上，《俄亥俄州的温斯堡》也毫不示弱。安德森巧妙地在小说集中埋下了一条若隐若现的主线，即主人公乔治·危拉德在艺术和情感上的成长。
第二章论述两部作品主题上的相关性。此章也分两部分。第一部分论述《都柏林人》的“瘫痪”和《俄亥俄州的温斯堡》的“古怪”在主题上的呼应关系。第二部分则分析导致“瘫痪”和“古怪”的三大“罪魁祸首”，即精神孤独，宗教束缚和性的压抑。
第三章探索两部作品写作技巧上的共性。指出第一大共性是《都柏林人》中的“顿悟”和《俄亥俄州的温斯堡》中的重要“时刻”。而第二大共性是象征主义在两部作品中的广泛应用，包括结构象征，背景象征，眼神象征，人名象征，和物件象征。
通过上述比较研究，本文最后得出结论，两部作品中的相似处实际上体现了二十世纪初“新”短篇小说的某些共性。在很大程度上，也为现代主义作品的发展奠定了基础。
James Joyce’s Dubliners and Sherwood Anderson’s Winesburg, Ohio are two masterpieces in the history of modern short fiction. Written only ten years apart, the two books depict the lives of ordinary men and women who inhabit in Irish capital and a small Mid-western town in the United States respectively.
Ever since their publication in 1920s, much critical ink has been spilled on Dubliners and Winesburg, Ohio respectively. However, not many articles have made comparative study of the two books. This thesis is intended to study the correspondence between Dubliners and Winesburg, Ohio in terms of structure, theme and writing technique. It is divided into three chapters apart from the introduction and conclusion.
The introductory part opens by identifying and the differences between conventional story-telling and the“new”short fiction as illustrated in Dubliners and Winesburg, Ohio. It notes the motivating role played by the hometowns of the two authors in the creation of the two books as well as love-hate relationship between the two authors and their respective hometowns. The introduction also covers the historical background against which the two books were composed. It ends with a brief critical review of the two books from the perspective of comparative study.
Chapter I explores parallel in structures through two sections. The first section concentrates on the external structure of the two books, pointing out the self-sufficient and interrelated nature of stories in the two books. It also identifies nuances behind the similarity in structures by differentiating collection of stories and cycle of tales, noting that three factors that Dubliners lacks render Winesburg, Ohio more like cycle of tales as opposed to merely collection of stories in the case of Dubliners. The second section explores the internal designs---age pattern in Dubliners and personal development in Winesburg, Ohio--- behind similar external architectures.
Chapter II focuses on thematic likeness between the two books: the inability of the protagonists to mature or to change the circumstances of their life epitomized by Joyce’s word“paralysis”and by Anderson’s word“grotesque.”Also the chapter is divided into two sections. Section One approaches paralysis and grotesqueness from physical and psychological angles. Section Two pinpoints three common causes in both the two books for the erosion of the characters’ability to make positive changes, including spiritual isolation, religious bondage, and sexual repression. To illustrate the common causes, two stories from each book are analyzed for each cause. Altogether, Section Two close-reads a score of stories with six from each of the books.
Chapter III centers on the resemblance in writing techniques employed by Joyce and Anderson in their respective books with Section One concerning“epiphany”and significant“moments”and Section Two concerning the application of symbolism. With examples whenever necessary, Section Two compares symbolic structures, symbolic backdrops, symbolic eyes, symbolic names, and symbolic objects in the two books.
The thesis finally concludes that a comparative study of the two books helps to disclose the artistic similarity of“new”short fiction emerging at the turn of the 19th Century and its far-reaching impact on modernistic short fiction or even novels.
自上世纪二十年代，两部作品相继出版以来，评论界对它们的评论便如汗牛充栋，不计其数。但却鲜见评论文章，对这两部作品作比较研究。国内评论界这类文章似乎更是空白。本文旨在从三个角度论述《都柏林人》和《俄亥俄州的温斯堡》的相似性。除引言和结论外，文章共分三章，将分别从结构，主题及技巧这三方面探讨二者共性。引言开篇论述传统短篇小说和“新”短篇小说之间的差别。随后论述了两部小说集的创作背景，作家的故乡和小说集创作之间的关系等。
第一章分两个部分阐述两部作品结构上的相似性。第一部分关注两部作品的外部结构。指出两部作品在结构上都以小说集的形式出现，小说与小说之间既相互统一又自成一体。尽管如此，两部作品在外在结构上也存在细微的差别，即与《都柏林人》相比，《俄亥俄州的温斯堡》中的短篇小说之间的联系似乎更为紧密。第二部分关注小说集的内部结构。两部小说集由一个个故事组成，故事的排列看似不经意，实则体现了作者的精心设计和良苦用心。《都柏林人》中故事的排列不光以年龄为序。乔伊斯更独具匠心地为故事的叙述者也安排了一个从幼稚到成熟的成长历程。在内部结构设计上，《俄亥俄州的温斯堡》也毫不示弱。安德森巧妙地在小说集中埋下了一条若隐若现的主线，即主人公乔治·危拉德在艺术和情感上的成长。
第二章论述两部作品主题上的相关性。此章也分两部分。第一部分论述《都柏林人》的“瘫痪”和《俄亥俄州的温斯堡》的“古怪”在主题上的呼应关系。第二部分则分析导致“瘫痪”和“古怪”的三大“罪魁祸首”，即精神孤独，宗教束缚和性的压抑。
第三章探索两部作品写作技巧上的共性。指出第一大共性是《都柏林人》中的“顿悟”和《俄亥俄州的温斯堡》中的重要“时刻”。而第二大共性是象征主义在两部作品中的广泛应用，包括结构象征，背景象征，眼神象征，人名象征，和物件象征。
通过上述比较研究，本文最后得出结论，两部作品中的相似处实际上体现了二十世纪初“新”短篇小说的某些共性。在很大程度上，也为现代主义作品的发展奠定了基础。
James Joyce’s Dubliners and Sherwood Anderson’s Winesburg, Ohio are two masterpieces in the history of modern short fiction. Written only ten years apart, the two books depict the lives of ordinary men and women who inhabit in Irish capital and a small Mid-western town in the United States respectively.
Ever since their publication in 1920s, much critical ink has been spilled on Dubliners and Winesburg, Ohio respectively. However, not many articles have made comparative study of the two books. This thesis is intended to study the correspondence between Dubliners and Winesburg, Ohio in terms of structure, theme and writing technique. It is divided into three chapters apart from the introduction and conclusion.
The introductory part opens by identifying and the differences between conventional story-telling and the“new”short fiction as illustrated in Dubliners and Winesburg, Ohio. It notes the motivating role played by the hometowns of the two authors in the creation of the two books as well as love-hate relationship between the two authors and their respective hometowns. The introduction also covers the historical background against which the two books were composed. It ends with a brief critical review of the two books from the perspective of comparative study.
Chapter I explores parallel in structures through two sections. The first section concentrates on the external structure of the two books, pointing out the self-sufficient and interrelated nature of stories in the two books. It also identifies nuances behind the similarity in structures by differentiating collection of stories and cycle of tales, noting that three factors that Dubliners lacks render Winesburg, Ohio more like cycle of tales as opposed to merely collection of stories in the case of Dubliners. The second section explores the internal designs---age pattern in Dubliners and personal development in Winesburg, Ohio--- behind similar external architectures.
Chapter II focuses on thematic likeness between the two books: the inability of the protagonists to mature or to change the circumstances of their life epitomized by Joyce’s word“paralysis”and by Anderson’s word“grotesque.”Also the chapter is divided into two sections. Section One approaches paralysis and grotesqueness from physical and psychological angles. Section Two pinpoints three common causes in both the two books for the erosion of the characters’ability to make positive changes, including spiritual isolation, religious bondage, and sexual repression. To illustrate the common causes, two stories from each book are analyzed for each cause. Altogether, Section Two close-reads a score of stories with six from each of the books.
Chapter III centers on the resemblance in writing techniques employed by Joyce and Anderson in their respective books with Section One concerning“epiphany”and significant“moments”and Section Two concerning the application of symbolism. With examples whenever necessary, Section Two compares symbolic structures, symbolic backdrops, symbolic eyes, symbolic names, and symbolic objects in the two books.
The thesis finally concludes that a comparative study of the two books helps to disclose the artistic similarity of“new”short fiction emerging at the turn of the 19th Century and its far-reaching impact on modernistic short fiction or even novels.
引文
1 Curry, Martha, American Literature,“Sherwood Anderson and James Joyce”Vol. 52, No 2, p243
2 ibid. p243
3 Bolt, Sydney. A Preface to Joyce, Peking University Press, Beijing, 2005: p14.
4 ibid., p14.
5 Attridge, Derek, ed., The Cambridge Companion to James Joyce, Shanghai Foreign Language Education Press, Shanghai, 2000: p 9.
6 Meyers, Jeffrey, Introduction, Winesburg, Ohio, Bantam Doubleday Dell Publishing Group, New York, 1995: X
7 Howe, Irving, Sherwood Anderson, The Macmillan Company, New York, 1951: p10.
8 Li Wei-ping,“On James Joyce’s Aesthetic Concept”, Journal of Foreign Language, Number 6, Shanghai Foreign Language Education Press, Shanghai, November 1999: p74.
9 Bolt, Sydney. A Preface to Joyce, Peking University Press, Beijing, 2005: P28.
10 ibid. p37.
11 ibid. p43.
12 Cowley, Malcolm,“Introduction to WInesburg, Ohio”, in Malcom Cowley ed., Winesburg, Ohio,New York, 1960: iii.
13 Centeno, Augusto, ed., The Intent of the Artist, New York, 1970: P65.
14 Ellmann, Richard, Letters of James Joyce, New York, The Viking Press, 1966: p108
15 White, Ray Lewis, Sherwood Anderson’s Memoirs, New York, Harcourt, Brace and Company, 1942: p289
16 Anderson, Sherwood, Winesburg, Ohio, New York, Bantam Doubleday Dell Publishing Group, 1995: p232. Further references to this edition will be indicated by WO and page numbers in parenthesis.
17 Joyce, James, Dubliners, New York, Random House, 2005: p4. Further references to this edition will be indicated by D and page numbers in parenthesis.
18 Anderson, Sherwood, Sherwood Anderson's Memoirs: A Critical Edition, ed. Ray Lewis White, Chapel Hill, University of North Carolina Press, 1969: p22
19 Joyce, James, Letters of James Joyce, ed. Stuart Gilbert, New York, The Viking Press, 1966: I, P55
20 Ellmann, Richard, Letters of James Joyce, New York, The Viking Press, 1966: p108
21 Ellmann, Richard, James Joyce, New York, Oxford University Press, 1959: p87
22 Joyce, James, Stephen Hero, New Directions Publishing Corporation, 1963: p216
23 Anderson, Sherwood, Outgoing Letters, Newberry Library, 1919: p22
24 Cowley, Malcolm,“Introduction to Winesburg, Ohio”, Sherwood Anderson: a Collection of Critical Essays edited by Walter B. Rideout, New Jersey, Prentice-Hall, 1974: p56
25 Pound, Ezra,“A Retrospect,”Literary Essays of Ezra Pound, ed. T. S. Eliot, London, Faber & Faber, 1954: p5
26 Anderson, Sherwood,“Letter to Paul Rosenfeld on Oct. 24th,1921,”Letters of Sherwood Anderson, ed. Mumford Jones & Walter Rideout, Boston, Little Brown, 1953: p80
27 Cowley, Malcolm,“Introduction to Winesburg, Ohio”, in Malcom Cowley ed., Winesburg, Ohio, New York, 1960: iii
Primary Sources Anderson, Sherwood, Winesburg, Ohio, New York, Bantam Doubleday Dell Publishing Group, 1995
Joyce, James, Dubliners, New York, Random House, 2005
Secondary Sources Anderson, Sherwood,“Letter to Paul Rosenfeld on Oct. 24th, 1921,”Letters of Sherwood Anderson, ed. Mumford Jones & Walter Rideout, Boston, Little Brown, 1953.
Anderson, Sherwood, Outgoing Letters, Newberry Library, 1919.
Anderson, Sherwood, Sherwood Anderson's Memoirs: A Critical Edition, ed. Ray Lewis White, Chapel Hill, University of North Carolina Press, 1969.
Attridge, Derek, ed., The Cambridge Companion to James Joyce, Shanghai Foreign Language Education Press, Shanghai, 2000.
Bolt, Sydney, A Preface to Joyce, Peking University Press, Beijing, 2005.
Centeno, Augusto, ed., The Intent of the Artist, New York, 1970.
Cowley, Malcolm,“Introduction to Winesburg, Ohio”, in Malcom Cowley ed., Winesburg, Ohio, New York, 1960.
Curry, Martha, American Literature,“Sherwood Anderson and James Joyce”Vol. 52, No 2.
Ellmann, Richard, Letters of James Joyce, New York, The Viking Press, 1966.
Howe, Irving, Sherwood Anderson, The Macmillan Company, New York, 1951.
Joyce, James, Stephen Hero, New Directions Publishing Corporation, 1963.
Li Wei-ping,“On James Joyce’s Aesthetic Concept”, Journal of Foreign Language, Number 6, Shanghai Foreign Language Education Press, Shanghai, November 1999.
Meyers, Jeffrey,“Introduction,”Winesburg, Ohio, Bantam Doubleday Dell Publishing Group, New York, 1995.
Pound, Ezra, "A Retrospect," Literary Essays of Ezra Pound, ed. T. S. Eliot, London, Faber & Faber, 1954.
White, Ray Lewis, Sherwood Anderson’s Memoirs, New York, Harcourt, Brace and Company, 1942.
2 ibid. p243
3 Bolt, Sydney. A Preface to Joyce, Peking University Press, Beijing, 2005: p14.
4 ibid., p14.
5 Attridge, Derek, ed., The Cambridge Companion to James Joyce, Shanghai Foreign Language Education Press, Shanghai, 2000: p 9.
6 Meyers, Jeffrey, Introduction, Winesburg, Ohio, Bantam Doubleday Dell Publishing Group, New York, 1995: X
7 Howe, Irving, Sherwood Anderson, The Macmillan Company, New York, 1951: p10.
8 Li Wei-ping,“On James Joyce’s Aesthetic Concept”, Journal of Foreign Language, Number 6, Shanghai Foreign Language Education Press, Shanghai, November 1999: p74.
9 Bolt, Sydney. A Preface to Joyce, Peking University Press, Beijing, 2005: P28.
10 ibid. p37.
11 ibid. p43.
12 Cowley, Malcolm,“Introduction to WInesburg, Ohio”, in Malcom Cowley ed., Winesburg, Ohio,New York, 1960: iii.
13 Centeno, Augusto, ed., The Intent of the Artist, New York, 1970: P65.
14 Ellmann, Richard, Letters of James Joyce, New York, The Viking Press, 1966: p108
15 White, Ray Lewis, Sherwood Anderson’s Memoirs, New York, Harcourt, Brace and Company, 1942: p289
16 Anderson, Sherwood, Winesburg, Ohio, New York, Bantam Doubleday Dell Publishing Group, 1995: p232. Further references to this edition will be indicated by WO and page numbers in parenthesis.
17 Joyce, James, Dubliners, New York, Random House, 2005: p4. Further references to this edition will be indicated by D and page numbers in parenthesis.
18 Anderson, Sherwood, Sherwood Anderson's Memoirs: A Critical Edition, ed. Ray Lewis White, Chapel Hill, University of North Carolina Press, 1969: p22
19 Joyce, James, Letters of James Joyce, ed. Stuart Gilbert, New York, The Viking Press, 1966: I, P55
20 Ellmann, Richard, Letters of James Joyce, New York, The Viking Press, 1966: p108
21 Ellmann, Richard, James Joyce, New York, Oxford University Press, 1959: p87
22 Joyce, James, Stephen Hero, New Directions Publishing Corporation, 1963: p216
23 Anderson, Sherwood, Outgoing Letters, Newberry Library, 1919: p22
24 Cowley, Malcolm,“Introduction to Winesburg, Ohio”, Sherwood Anderson: a Collection of Critical Essays edited by Walter B. Rideout, New Jersey, Prentice-Hall, 1974: p56
25 Pound, Ezra,“A Retrospect,”Literary Essays of Ezra Pound, ed. T. S. Eliot, London, Faber & Faber, 1954: p5
26 Anderson, Sherwood,“Letter to Paul Rosenfeld on Oct. 24th,1921,”Letters of Sherwood Anderson, ed. Mumford Jones & Walter Rideout, Boston, Little Brown, 1953: p80
27 Cowley, Malcolm,“Introduction to Winesburg, Ohio”, in Malcom Cowley ed., Winesburg, Ohio, New York, 1960: iii
Primary Sources Anderson, Sherwood, Winesburg, Ohio, New York, Bantam Doubleday Dell Publishing Group, 1995
Joyce, James, Dubliners, New York, Random House, 2005
Secondary Sources Anderson, Sherwood,“Letter to Paul Rosenfeld on Oct. 24th, 1921,”Letters of Sherwood Anderson, ed. Mumford Jones & Walter Rideout, Boston, Little Brown, 1953.
Anderson, Sherwood, Outgoing Letters, Newberry Library, 1919.
Anderson, Sherwood, Sherwood Anderson's Memoirs: A Critical Edition, ed. Ray Lewis White, Chapel Hill, University of North Carolina Press, 1969.
Attridge, Derek, ed., The Cambridge Companion to James Joyce, Shanghai Foreign Language Education Press, Shanghai, 2000.
Bolt, Sydney, A Preface to Joyce, Peking University Press, Beijing, 2005.
Centeno, Augusto, ed., The Intent of the Artist, New York, 1970.
Cowley, Malcolm,“Introduction to Winesburg, Ohio”, in Malcom Cowley ed., Winesburg, Ohio, New York, 1960.
Curry, Martha, American Literature,“Sherwood Anderson and James Joyce”Vol. 52, No 2.
Ellmann, Richard, Letters of James Joyce, New York, The Viking Press, 1966.
Howe, Irving, Sherwood Anderson, The Macmillan Company, New York, 1951.
Joyce, James, Stephen Hero, New Directions Publishing Corporation, 1963.
Li Wei-ping,“On James Joyce’s Aesthetic Concept”, Journal of Foreign Language, Number 6, Shanghai Foreign Language Education Press, Shanghai, November 1999.
Meyers, Jeffrey,“Introduction,”Winesburg, Ohio, Bantam Doubleday Dell Publishing Group, New York, 1995.
Pound, Ezra, "A Retrospect," Literary Essays of Ezra Pound, ed. T. S. Eliot, London, Faber & Faber, 1954.
White, Ray Lewis, Sherwood Anderson’s Memoirs, New York, Harcourt, Brace and Company, 1942.