西方小说空间符号功能研究
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摘要
空间是任何一部小说都不可或缺的时空两大因素之一。小说的空间自然是由语言符号所构成,因而具有独特的语言属性和艺术功能。长期以来,在我国外国文学研究界,叙事研究者们大都更青睐于西方小说所具有的明显的时间性,而相对忽视其空间符号表现及其功能。但若要对西方小说进行较为全面的探讨,就需要从语言文化符号学的角度,对小说的语言符号、结构形态和内在意蕴等方面的空间功能做一系统性的研究。
本文将阐释空间是小说文本有效运行的二级错觉。小说空间二级错觉意味着运用各种空间元素,来实现、补充和发展小说的时间本质。小说空间二级错觉有三种功能表现。第一种是“几何空间性”,体现了“点”(如“视点人物”、单一情节、象征性字词、主题等)、“线”(如“提线人物”、叙述“线程”等)和“面”(如叠加层面、“变余构造”、“螺旋体”结构等)等欧几里德几何元素的特征。小说与绘画、雕塑和建筑等空间艺术之间的关系构成了小说空间二级错觉的第二种功能,即“虚拟空间性”。小说场景与绘画取景之间、人物塑造与雕塑体积之间、以及小说结构与建筑功能形态之间的关联,均是小说虚拟空间性的具体体现。最后,小说文本还能够产生一种具有生成同一空间性的动力场,使文本生成和文本诠释成为可能。
本文首先将把小说空间方法论的发展定位在艺术、哲学和文学理论的语境中,从梳理古、现代最重要的空间符号理念入手,对西方小说空间功能的研究渊源和研究现状进行简单的综述；接着将主要以热奈特、托多罗夫、特尼亚诺夫、托马舍夫斯基、什克洛夫斯基、朗格等语言文学符号学理论和詹姆斯、布托尔、弗兰克等小说功能理论为指导,选取具有代表性的文本,分别围绕着小说空间二级错觉的三个核心功能——“几何空间性”、“虚拟空间性”和“生成同一空间性”——对小说空间功能进行具体的分析。最后将进一步明确空间性对于小说创作和诠释的重要性。
Time and space are the two elements indispensible to any novel. The space as a formal construct in the novelistic text is of course composed of linguistic symbols, with particular linguistic properties and artistic functions. In China, most narratologists in the foreign literature circle have long since been paying much attention to the time aspect of the Western novels, while considerably ignoring its spatial semiotic expressions and functions. To make a thorough investigation into the Western novelistic world, however, a systematic study on its spatiality as shown on its linguistic, semantic and thematic aspects is quite needed.
This dissertation is designed to expound that spatiality is the operative secondary illusion in the novelistic text. Spatial secondary illusion means the exercise of spatial elements to realize, extend and develop the essential temporal nature of the novel. There are three kinds of spatiality in the novelistic secondary illusion. The first is the geometric, concerning Euclidean spatial elements such as "point"(e.g. characters as point of view, particular plot, representative words, themes etc.),"line"(e.g. the ficelle, the enfilage, etc.),"plane"(e.g. superimposed planes,"palimpsest","spiral" structure, etc.). The relationship between the novel and the spatial arts such as painting, sculpture and architecture composes the second kind of the spatial function, the virtual. The relation of scene to pictorial encadrement, the connection of characterization to sculptural volume, and the clear nexus of novelistic structure to architectural functional form all reveal an extensive range of alternatives within virtual spatiality. Lastly, the novel can produce a genidentic field to make both its textual generation and its textual interpretation possible.
This dissertation will first locate the development of the idea of spatial secondary illusion in the temporal art of the novel in the context of artistic, philosophic, and literary theory, beginning with the most prominent ancient and modern concepts of space and making a survey of the sources and the current situation of the research. Then mainly guided by the semiotic theories of Genette, Todorov, Tynianov, Tomashevsky, Shklovsky and Langer, and the novelistic theories of James, Butor and Frank, a detailed analysis on the three core functions of spatiality will be made with illustrations of some representative texts. The applicability of spatiality and its importance to both the creation and the interpretation of the novelistic text will in the end be reiterated.
本文将阐释空间是小说文本有效运行的二级错觉。小说空间二级错觉意味着运用各种空间元素,来实现、补充和发展小说的时间本质。小说空间二级错觉有三种功能表现。第一种是“几何空间性”,体现了“点”(如“视点人物”、单一情节、象征性字词、主题等)、“线”(如“提线人物”、叙述“线程”等)和“面”(如叠加层面、“变余构造”、“螺旋体”结构等)等欧几里德几何元素的特征。小说与绘画、雕塑和建筑等空间艺术之间的关系构成了小说空间二级错觉的第二种功能,即“虚拟空间性”。小说场景与绘画取景之间、人物塑造与雕塑体积之间、以及小说结构与建筑功能形态之间的关联,均是小说虚拟空间性的具体体现。最后,小说文本还能够产生一种具有生成同一空间性的动力场,使文本生成和文本诠释成为可能。
本文首先将把小说空间方法论的发展定位在艺术、哲学和文学理论的语境中,从梳理古、现代最重要的空间符号理念入手,对西方小说空间功能的研究渊源和研究现状进行简单的综述；接着将主要以热奈特、托多罗夫、特尼亚诺夫、托马舍夫斯基、什克洛夫斯基、朗格等语言文学符号学理论和詹姆斯、布托尔、弗兰克等小说功能理论为指导,选取具有代表性的文本,分别围绕着小说空间二级错觉的三个核心功能——“几何空间性”、“虚拟空间性”和“生成同一空间性”——对小说空间功能进行具体的分析。最后将进一步明确空间性对于小说创作和诠释的重要性。
Time and space are the two elements indispensible to any novel. The space as a formal construct in the novelistic text is of course composed of linguistic symbols, with particular linguistic properties and artistic functions. In China, most narratologists in the foreign literature circle have long since been paying much attention to the time aspect of the Western novels, while considerably ignoring its spatial semiotic expressions and functions. To make a thorough investigation into the Western novelistic world, however, a systematic study on its spatiality as shown on its linguistic, semantic and thematic aspects is quite needed.
This dissertation is designed to expound that spatiality is the operative secondary illusion in the novelistic text. Spatial secondary illusion means the exercise of spatial elements to realize, extend and develop the essential temporal nature of the novel. There are three kinds of spatiality in the novelistic secondary illusion. The first is the geometric, concerning Euclidean spatial elements such as "point"(e.g. characters as point of view, particular plot, representative words, themes etc.),"line"(e.g. the ficelle, the enfilage, etc.),"plane"(e.g. superimposed planes,"palimpsest","spiral" structure, etc.). The relationship between the novel and the spatial arts such as painting, sculpture and architecture composes the second kind of the spatial function, the virtual. The relation of scene to pictorial encadrement, the connection of characterization to sculptural volume, and the clear nexus of novelistic structure to architectural functional form all reveal an extensive range of alternatives within virtual spatiality. Lastly, the novel can produce a genidentic field to make both its textual generation and its textual interpretation possible.
This dissertation will first locate the development of the idea of spatial secondary illusion in the temporal art of the novel in the context of artistic, philosophic, and literary theory, beginning with the most prominent ancient and modern concepts of space and making a survey of the sources and the current situation of the research. Then mainly guided by the semiotic theories of Genette, Todorov, Tynianov, Tomashevsky, Shklovsky and Langer, and the novelistic theories of James, Butor and Frank, a detailed analysis on the three core functions of spatiality will be made with illustrations of some representative texts. The applicability of spatiality and its importance to both the creation and the interpretation of the novelistic text will in the end be reiterated.
引文
①李渔,1992,《十二楼》。上海：上海古籍出版社。
②即从对最初认识论的反思出发,以直观明证性为原则,以探索回溯到本质的通道为目的哲学理论体系。
①Eliot, George.2008. Adam Bede. Margaret Reynolds (ed.). New York:Penguin.下文中该部小说的引文均出自此版本,由笔者译。
①James, Henry.2002. The Ambassadors. Thomas Crawford (ed.). New York:Dover.下文中该部小说的引文均出自此版本,由笔者译。
①Tolstoy, Leo.2007. War and Peace. Louise & Ay lmer Maude (trans.). London:Wordsworth下文中该小说引文均出自此版本,由作者译。
①也参阅Shklovsky,1975:81-85,尤其是第85页中对“楼梯-建构”空间平面法的分析。
①Cervantes, Miguel de.2009. Don Quixote. John Ormsby (trans.).上海：世界图书出版公司。下文中该部小说的引文均出自此版本,由笔者译。
①Flaubert, Gustave.2006. The Sentimental Education. Robert Baldick (trans.). New York:Dover.以下该部小说所有引文均出自这一版本,由作者自译。
①Hardy, Thomas.2008. The Mayor ofCasterbridge. New York:Signet.
②Eliot, George.1995. Felix Holt the Radical. New York:Penguin.
③Petronius.1986. The Satyricon, John Sullivan (trans.). Baltimore:Penguin.
①Longus.1989. Daphnis and Chloe, Paul Turner (trans.). New York:Penguin.下文中该小说引文均出自这一版本,由笔者译。
① James, Henry.1986. The Americans. New York:Penquin.
② James, Henry.2009. Wings of the Dove, New York:Oxford University Press.
③ James, Henry.2007. The Portrait of a Lady. New York:Signet.下文中该小说引文均出自此版本,由笔者译。
①Malory, Sir Thomas.1960. Tristran, A. T. Hatto (trans.). Baltimore:Penguin.
①Balzac, Honore de.2002. Cousin Bette, Kathleen Raine (trans.). New York:Random, Modern Library.
②Thackeray, William Makepeace.2007. Vanity Fair. London:Penguin.
①Faulkner, William.1991. The Hamlet. New York:Random House, Vintage.
① Gogol, Nikolai.1997. Dead Souls. Richard Pevear & Larissa Volokhonsky (trans.). New York:Random, Vintage.
①Faulkner, William.2002. Light in August. New York:Random, Modern Library.
② Chopin, Kate.2000. The Awakening and Other Stories. New York:Random, Modern Library.
③ Eliot, George.1995. The Middlemarch. New York:Penguin.
④ Eliot, George.1995. The Mill on the Floss. New York:Penguin.
① Gide, Andre.1985. The Counterfeiters. Dorothy Bussy & Justin O'Brien (trans.). New York:Modern Library.
② Sartre, Jean-Paul.2000. Nausea. London:Penguin Classics.
①Hardy, Thomas.2000. Retuen of the Native. New York:Random, Modern Library.
①Balzac, Honore de.1998. Pere Goriot. Burton Raffel(trans.). New York:W. W. Norton & Company.
① Stendhal.1999. The Charterhouse of Parma, Richard Howard (trans.). New York:Random House, Modern Library.
② Stendhal.2004. The Red and the Black, Burton Raffel (trans.). New York:Random House, Modern Library.
①Austen, Jane.2009. Pride and Prejudice, New York:Harperteen.
①“意味形式”(significant form)这一难以捉摸和抽象的艺术理论由英国艺术批评家C.贝尔提出,意指所有视觉艺术作品共有的和特有的形式结构或整一性。这种形式结构是激发审美情感的源泉。在贝尔看来,这种形式的存在与其激发审美情感的能力是衡量艺术作品的惟一标准。艺术家将对象视为纯粹的形式,有别于对象可能产生的种种联想或者可能达到的种种目的。这种形式与世界上各种对象的日常性意味无关,它就是目的本身。我们从认知的角度是认识不到有意味的形式的,因为这种形式既不易受经验肯定的左右,也不易受经验证伪的影响。但是,人们能够感觉到这种形式,而且艺术家在其作品中可以完善和强化这种形式。在观照事物之有意味的形式过程中,艺术家在某种程度上也会窥视到“终极的实在”。艺术创造的本质就在于表现审美情感,表现艺术家在艺术作品中再创造眼前那些形式时所感受到的审美情感。相应地,欣赏一件艺术作品就是凝神观照和感受这一有意味的形式。
①Lawrence, D. H.2006. Lady Chatterley's Lover. London:Penguin.
①Lawrence, D. H.2002. The Rainbow. New York:Random House, Modern Library.下文中该小说引文均引自此版本,由笔者译。
①Lawrence, D. H.2011. Women in Love, London:Penguin.以下该小说引文均出自此版本,由笔者译。
① Hawthorne, Nathaniel.1990. The Marble Faun, New York:Penguin.以下该小说引文均出自此版本,由笔者译。
①Proust, Marcel.2006. Remembrance of Things Past:Swann's Way, Within a Budding Grove and The Guermantes Way. C. K. Scott-Moucrieff (trans.). London:Wordsworth.下文中该小说引文均出自此版本,由笔者译。
①Bronte, Charlotte.1999. Jane Eyre. London:Wordsworth.
①Fielding, Henry.1999. Joseph Andrews and Shamela. New York:Penguin.
② Austen, Jane.2007. Emma. London:Penguin.
①Dickens, Charles.2001. Great Expectations, New York:Random House, Modern Library.以下该小说引文均出自此版本,由笔者译。
①Hardy, Thomas.2009. Jude the Obscure, New York:Signet.以下该小说引文均出自此版本,由笔者译。
②Proust, Marcel.2006. Remembrance of Things Past:Cities of Plan, The Captive, The Sweet Cheat Gone and The Time Regained. C K. Scott-Moucrieff & Stephen Hudson (trans.). London:Wordsworth.以下该小说引文均出自此版本,由笔者译。
①Faulkner,William.1991.The Sound and the Fury.New York:Vintage.以下该小说引文均出自此版本,由笔者译。
①在《斯旺家的那边》中,普鲁斯特将雕塑与人物塑造之间的关系称为“虚拟空间的(virtual) ",原文是"Another Combray person whom I could discern virtual and typified, in the Gothic sculptures of Saint-Andredes-Champs was young Theodore, the assistant in Camus's shop."这可能是小说家首次用此概念来说明人物塑造与雕塑之间的关系。
①Mann, Thomas.2005. The Magic Mountain. John E. Wood (trans.). New York:Knopf.下文中该小说引文均出自此版本,由笔者译。
①Mann, Thomas.1999. Death in Venice, Joachim Neugroschel (trans.). New York:Penguin.
①Proust, Marcel.2006. Remembrance of Things Past:Cities of Plan, The Captive, The Sweet Cheat Gone and The Time Regained. C. K. Scott-Moucrieff & Stephen Hudson (trans.). London:Wordsworth.下文中该小说引文均出自此版本,由笔者译。
①Faulkner,William.1991.Absalom,Absalom!.New York:Vintage.下文中该小说引文均出自此版本,由笔者译。
①作者注：大卫、押沙龙、他玛和阿姆农均为圣经故事人物,后三者均为大卫的儿女。括号里的人物都是《押沙龙,押沙龙!》这部小说中对应于圣经故事的人物。
①对福克纳来说,“真实”是一种非时间性的空间的合成物：“我认为没有一个人能够看见真实。它蒙蔽住你。你朝它看,看见了它的一个局部。其他人朝它看,看见了它的另一个局部。但是,全部放在一起的话,真实就在他们所见之中,尽管没有人看见完整的真实。但是,真实出现了,当读者已经全部阅读了注视这只黑鸟的十三种不同的方法时,读者心里产生了他自己有关这只黑鸟的第十四种形象,我愿意认为它便是真实”(Gwynn & Blotner,1959:273-74)。
①在此所用的La Modification的英文版是Butor, Michel.1969. A Change of Heart, Jean Stewart (trans.). New York:Simon and Schuster,1969.但我保留使用更忠实于原义的书名《变》,下文中该小说引文均出自此英文版本。
①Mise en abyme,字面意思为“置于深渊”。这是法国小说家纪德在《伪装制造者》中开创的一种新的叙事技法,小说里的人物写的一部小说也叫《伪装制造者》,这种关于小说的小说,就像有两面镜子在相互对映着。这种手法也被称为“叙事内镜”或“纹心结构”,也就是故事中衍生着故事,彷佛步入了无穷深渊般的反身映射中。
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②即从对最初认识论的反思出发,以直观明证性为原则,以探索回溯到本质的通道为目的哲学理论体系。
①Eliot, George.2008. Adam Bede. Margaret Reynolds (ed.). New York:Penguin.下文中该部小说的引文均出自此版本,由笔者译。
①James, Henry.2002. The Ambassadors. Thomas Crawford (ed.). New York:Dover.下文中该部小说的引文均出自此版本,由笔者译。
①Tolstoy, Leo.2007. War and Peace. Louise & Ay lmer Maude (trans.). London:Wordsworth下文中该小说引文均出自此版本,由作者译。
①也参阅Shklovsky,1975:81-85,尤其是第85页中对“楼梯-建构”空间平面法的分析。
①Cervantes, Miguel de.2009. Don Quixote. John Ormsby (trans.).上海：世界图书出版公司。下文中该部小说的引文均出自此版本,由笔者译。
①Flaubert, Gustave.2006. The Sentimental Education. Robert Baldick (trans.). New York:Dover.以下该部小说所有引文均出自这一版本,由作者自译。
①Hardy, Thomas.2008. The Mayor ofCasterbridge. New York:Signet.
②Eliot, George.1995. Felix Holt the Radical. New York:Penguin.
③Petronius.1986. The Satyricon, John Sullivan (trans.). Baltimore:Penguin.
①Longus.1989. Daphnis and Chloe, Paul Turner (trans.). New York:Penguin.下文中该小说引文均出自这一版本,由笔者译。
① James, Henry.1986. The Americans. New York:Penquin.
② James, Henry.2009. Wings of the Dove, New York:Oxford University Press.
③ James, Henry.2007. The Portrait of a Lady. New York:Signet.下文中该小说引文均出自此版本,由笔者译。
①Malory, Sir Thomas.1960. Tristran, A. T. Hatto (trans.). Baltimore:Penguin.
①Balzac, Honore de.2002. Cousin Bette, Kathleen Raine (trans.). New York:Random, Modern Library.
②Thackeray, William Makepeace.2007. Vanity Fair. London:Penguin.
①Faulkner, William.1991. The Hamlet. New York:Random House, Vintage.
① Gogol, Nikolai.1997. Dead Souls. Richard Pevear & Larissa Volokhonsky (trans.). New York:Random, Vintage.
①Faulkner, William.2002. Light in August. New York:Random, Modern Library.
② Chopin, Kate.2000. The Awakening and Other Stories. New York:Random, Modern Library.
③ Eliot, George.1995. The Middlemarch. New York:Penguin.
④ Eliot, George.1995. The Mill on the Floss. New York:Penguin.
① Gide, Andre.1985. The Counterfeiters. Dorothy Bussy & Justin O'Brien (trans.). New York:Modern Library.
② Sartre, Jean-Paul.2000. Nausea. London:Penguin Classics.
①Hardy, Thomas.2000. Retuen of the Native. New York:Random, Modern Library.
①Balzac, Honore de.1998. Pere Goriot. Burton Raffel(trans.). New York:W. W. Norton & Company.
① Stendhal.1999. The Charterhouse of Parma, Richard Howard (trans.). New York:Random House, Modern Library.
② Stendhal.2004. The Red and the Black, Burton Raffel (trans.). New York:Random House, Modern Library.
①Austen, Jane.2009. Pride and Prejudice, New York:Harperteen.
①“意味形式”(significant form)这一难以捉摸和抽象的艺术理论由英国艺术批评家C.贝尔提出,意指所有视觉艺术作品共有的和特有的形式结构或整一性。这种形式结构是激发审美情感的源泉。在贝尔看来,这种形式的存在与其激发审美情感的能力是衡量艺术作品的惟一标准。艺术家将对象视为纯粹的形式,有别于对象可能产生的种种联想或者可能达到的种种目的。这种形式与世界上各种对象的日常性意味无关,它就是目的本身。我们从认知的角度是认识不到有意味的形式的,因为这种形式既不易受经验肯定的左右,也不易受经验证伪的影响。但是,人们能够感觉到这种形式,而且艺术家在其作品中可以完善和强化这种形式。在观照事物之有意味的形式过程中,艺术家在某种程度上也会窥视到“终极的实在”。艺术创造的本质就在于表现审美情感,表现艺术家在艺术作品中再创造眼前那些形式时所感受到的审美情感。相应地,欣赏一件艺术作品就是凝神观照和感受这一有意味的形式。
①Lawrence, D. H.2006. Lady Chatterley's Lover. London:Penguin.
①Lawrence, D. H.2002. The Rainbow. New York:Random House, Modern Library.下文中该小说引文均引自此版本,由笔者译。
①Lawrence, D. H.2011. Women in Love, London:Penguin.以下该小说引文均出自此版本,由笔者译。
① Hawthorne, Nathaniel.1990. The Marble Faun, New York:Penguin.以下该小说引文均出自此版本,由笔者译。
①Proust, Marcel.2006. Remembrance of Things Past:Swann's Way, Within a Budding Grove and The Guermantes Way. C. K. Scott-Moucrieff (trans.). London:Wordsworth.下文中该小说引文均出自此版本,由笔者译。
①Bronte, Charlotte.1999. Jane Eyre. London:Wordsworth.
①Fielding, Henry.1999. Joseph Andrews and Shamela. New York:Penguin.
② Austen, Jane.2007. Emma. London:Penguin.
①Dickens, Charles.2001. Great Expectations, New York:Random House, Modern Library.以下该小说引文均出自此版本,由笔者译。
①Hardy, Thomas.2009. Jude the Obscure, New York:Signet.以下该小说引文均出自此版本,由笔者译。
②Proust, Marcel.2006. Remembrance of Things Past:Cities of Plan, The Captive, The Sweet Cheat Gone and The Time Regained. C K. Scott-Moucrieff & Stephen Hudson (trans.). London:Wordsworth.以下该小说引文均出自此版本,由笔者译。
①Faulkner,William.1991.The Sound and the Fury.New York:Vintage.以下该小说引文均出自此版本,由笔者译。
①在《斯旺家的那边》中,普鲁斯特将雕塑与人物塑造之间的关系称为“虚拟空间的(virtual) ",原文是"Another Combray person whom I could discern virtual and typified, in the Gothic sculptures of Saint-Andredes-Champs was young Theodore, the assistant in Camus's shop."这可能是小说家首次用此概念来说明人物塑造与雕塑之间的关系。
①Mann, Thomas.2005. The Magic Mountain. John E. Wood (trans.). New York:Knopf.下文中该小说引文均出自此版本,由笔者译。
①Mann, Thomas.1999. Death in Venice, Joachim Neugroschel (trans.). New York:Penguin.
①Proust, Marcel.2006. Remembrance of Things Past:Cities of Plan, The Captive, The Sweet Cheat Gone and The Time Regained. C. K. Scott-Moucrieff & Stephen Hudson (trans.). London:Wordsworth.下文中该小说引文均出自此版本,由笔者译。
①Faulkner,William.1991.Absalom,Absalom!.New York:Vintage.下文中该小说引文均出自此版本,由笔者译。
①作者注：大卫、押沙龙、他玛和阿姆农均为圣经故事人物,后三者均为大卫的儿女。括号里的人物都是《押沙龙,押沙龙!》这部小说中对应于圣经故事的人物。
①对福克纳来说,“真实”是一种非时间性的空间的合成物：“我认为没有一个人能够看见真实。它蒙蔽住你。你朝它看,看见了它的一个局部。其他人朝它看,看见了它的另一个局部。但是,全部放在一起的话,真实就在他们所见之中,尽管没有人看见完整的真实。但是,真实出现了,当读者已经全部阅读了注视这只黑鸟的十三种不同的方法时,读者心里产生了他自己有关这只黑鸟的第十四种形象,我愿意认为它便是真实”(Gwynn & Blotner,1959:273-74)。
①在此所用的La Modification的英文版是Butor, Michel.1969. A Change of Heart, Jean Stewart (trans.). New York:Simon and Schuster,1969.但我保留使用更忠实于原义的书名《变》,下文中该小说引文均出自此英文版本。
①Mise en abyme,字面意思为“置于深渊”。这是法国小说家纪德在《伪装制造者》中开创的一种新的叙事技法,小说里的人物写的一部小说也叫《伪装制造者》,这种关于小说的小说,就像有两面镜子在相互对映着。这种手法也被称为“叙事内镜”或“纹心结构”,也就是故事中衍生着故事,彷佛步入了无穷深渊般的反身映射中。
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