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研究生:吳品湘
研究生(外文):Pin-hsiang Natalie Wu
論文名稱:索爾‧貝婁《何索》、伊蒂絲‧渥頓《國家的習俗》與凱薩琳‧安‧波特《愚人船》中作者話語、英雄話語與話語之對話
論文名稱(外文):THE AUTHOR, THE HERO, AND THE DIALOGICAL SPHERE IN SAUL BELLOW’S HERZOG, EDITH WHARTON’S THE CUSTOM OF THE COUNTRY AND KATHERINE ANNE PORTER’S SHIP OF FOOLS
指導教授:歐司迪
指導教授(外文):Stephen Ohlander
學位類別:博士
校院名稱:國立高雄師範大學
系所名稱:英語學系
學門:人文學門
學類:外國語文學類
論文種類:學術論文
論文出版年:2007
畢業學年度:95
語文別:英文
論文頁數:219
中文關鍵詞:非隱藏性作者話語隱藏性作者話語角色話語作者與英雄(角色)對話多音小說
外文關鍵詞:visible authorial discourseinvisible authorial discoursediscourse of characterauthor-hero relationshippolyphonic poetics
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後現代文學評論家羅蘭‧巴特的「作者之死」與密謝‧傅柯的「作者為何」兩篇文章,成功扭轉了傳統上大眾對於「作者」的觀念。兩位學者皆同意,當作者的影響力消失時,「文本」本身則更能夠被讀者豐富地、多層面地解讀。巴特與傅柯的觀念源自於俄國文學評論家巴克汀,他所提出的觀念與諸多後現代文學批評觀點有濃厚的相關性,尤其是「作者之死」,促成了當代「讀者反應理論」以及相關支派的活絡與興盛。然而,這些理論卻未必都是毫無缺陷、普遍運用的至理名言。本論文認為,要能瞭解巴特等人論點的不足之處,應該先檢視巴克汀理論的弱點,由問題的源頭加以探究。
巴克汀提出「多音詩學」的觀點,主張在小說寫作過程當中,讀者對於角色乃是「只聞其聲,不見其人」,因此作者的首要任務就是要完整地呈現角色的話語。作者應該盡力釋放他對角色的影響力,以便能夠完整地呈現角色的道德觀與意識型態。由於角色必須發佈能夠代表自己社經、政治等族群的「語言」,不能只是做為作者意旨的傳聲筒,因此在文本上,讀者可以看到「作者話語」與「角色話語」兩者共存的「雙聲敘述」。
巴克汀的理論固然影響深遠,另一方面卻也備受質疑。許多知名的小說家與文學評論家如美國的那博可夫、亨利‧詹母斯、英國的E.M.福斯特、法國新小說學派發起人葛力葉等,都認為作者對於其所寫作小說的重要性不可以被磨滅或削減。以那博可夫為例,他認為小說家結合「說故事人」、「教育者」與「魔術師」三種特色,而其中「魔術師」一項最能決定這一位小說家的成功與否。顯然地,巴克汀意圖削減作者影響力的主張與許多文學評論家相佐。本論文認為,巴克汀理論的弱點在於他忽視作家對於小說架構全面性的設計與安排,也就是說,巴克汀所檢視的作者話語,其實不足以完整地驗證作者對於角色自主性話語的態度。本論文將巴克汀所述稱之為「顯性作者話語」,本論文並且補足巴克汀主張不足之處,另增加「隱性作者話語」作為理論分析的架構。簡要來說,「顯性作者話語」指文本中所有讀得到的作者的敘述;「隱性作者話語」則指作者對於小說的主旨、敘述方式、強化與削弱之層面、主要/次要角色的配置、小說涵蓋的時間、空間與情節安排等在文本中雖然讀不到,卻深深紮根在小說的架構,紮紮實實地影響一本小說風貌的「作者話語」。
為了指出巴克汀主張的盲點,本論文分析三本當代美國小說,即《何索》、《國家的習俗》、《愚人船》中作者話語、英雄話語,與兩種話語間的對話。這三本小說分別代表三種層面的作者話語,其中,《何索》的「顯性作者話語」雖然符合巴克汀的主張,但在檢視這本小說的「隱性作者話語」時本論文卻發現,主角何索的故事被侷限在貝婁精心設計的敘述的框架當中。《國家的習俗》不論在「顯性作者話語」與「隱性作者話語」的分析上,都呈現了相當程度的作者干預角色話語的現象。至於《愚人船》則是最符合「多音詩學」的要件,在「顯性作者話語」的分析上,波特的話語幾乎未曾介入或限制角色的話語,在「隱性作者話語」方面,波特也未如其他小說家,區分主要角色與次要角色的話語,而是一視同仁地呈現所有角色的話語,使不同的社會話語齊鳴,十足顯現「多音詩學」的精神。
以巴克汀的理論作為分析藍本,則對這三本小說的分析顯示,作者對英雄話語的干預越少,英雄的自主性話語越能完整地被呈現。然而,本論文對於三本小說「隱性作者話語」的分析卻證實,作家對於小說的種種安排,包括情節串連、章節之間的對應、敘述與呈現方式、主題的顯現、時空背景設置與濃縮、某事件的強調,甚至遣詞用字等,都展現在作家的「隱性作者話語」中,呼應那博可夫等人等人的主張,則那博可夫所謂的小說家的「魔術師」特質,葛力特的「作家事業唯一的表現方式」,都存在於本論文所謂的「隱性作者話語」當中。
本論文也發現,三本小說當中,雖然《何索》與《國家的習俗》未能全然符合「多音詩學」的條件,卻都被評論家公認為成功小說範例;而《愚人船》,雖然最符合巴克汀對小說的主張,卻被批評缺乏文學寫作技巧,沒有明確的主題,更遑論精雕細琢的藝術手法,整本小說只是概略地呈現一群油輪旅客的話語,來做為真實生活的寫照。簡而言之,呈現「真實生活話語」的《愚人船》為最理想的「多音小說」,而呈現不同干預程度的作者話語,運用文學寫作技巧將「真實生活」轉換成為「文學幻想的真實生活」的《何索》與《國家的習俗》雖多方面不符合巴克汀的理想,卻落實了那博可夫等小說/文學評論家對小說寫作的要求,換句話說,巴克汀的「多音詩學」應該更周詳地考慮到小說實際創作過程中的種種要素。
文學作品乃是作家「意圖」宰制之下的美學產物,每一部文學作品,依據作家的寫作動機與目的,都必須有所聚焦,有所強化某個主題或某種道德觀。在小說的架構之下,作者話語無可避免地背負重責大任,除了必須選擇性地呈現英雄話語之外,「隱藏性作者話語」更在小說中,以各式各樣的設計做為小說本身的敘述架構,以致於能明確闡述小說家所欲傳達的訊息。巴克汀無視「隱藏性作者話語」的存在,使他忽略了小說家在寫作過程當中不可或缺的文學創作技巧,揭露巴克汀理論的缺點,也同時提醒我們後現代文學批評的一些盲點,特別是「作者之死」所引發的風潮,我們應由小說創作的實際過程,來重新思考該觀點的適切性。
In postmodern literary criticism, Roland Barthes’ “The Death of the Author” and Michael Foucault’s “What is an Author?” subvert the notion of “author” in the traditional sense. Both of them agree that when the author is dead, the text begins to appear more as a “game” of language. Barthes and Foucault’s assertions on “the liberation of the reader” through “the author’s death” are developed from Mikhail Bakhtin’s “polyphonic poetics” in which he preaches the necessity of the author’s release of power in order to present, ethically, the complete ideology of the hero. According to Bakhtin, the author must allow sufficient freedom for the hero to create his pure authentic voice. However, the author is inevitably responsible for the style of the novel. He must be scrupulous in the choice of words, conscientious in the arrangement of characters and setting, painstaking at creating a certain situation, and meticulous in presenting the structure of the narrative. Based on these reasons, I intend an examination of the novelistic languages of three contemporary American novels--Saul Bellow’s Herzog, Edith Wharton’s The Custom of the Country, and Katherine Anne Porter’s Ship of Fools—one partially based on Bakhtin’s linguistic investigations, and partially based on my revisions of his theoretical statements. Diverging form Bakhtin’s terms of analysis, I divide the authorial discourse into two categories—“visible authorial discourse” and “invisible authorial discourse.” I suggest that we add the analysis of the “invisible authorial discourse” to the discussions of the three novelistic languages because the “invisible authorial discourse” covers all elements on the structural plane of a novel and can express the author’s intention in a more complete way.
In my analysis of Herzog, Bellow, throughout the novel, preserves the autonomy of Herzog’s discourse. In many part of the text, the reader witnesses the phenomenon of “double-voicedness” in which Bellow’s speech is detached from that of the hero. But, examining the “invisible authorial discourse,” Bellow stifles the characters’ discourses to consolidate the idea that Herzog is a person who refuses to listen to others. To discuss the “invisible authorial discourse” of Herzog, I discovered that Herzog partially fails to meet Bakhtin’s polyphonic guidelines.
In my examination of The Custom of the Country, the novel appears to be more like a monologic novel. Both the “visible” and the “invisible” authorial discourses strongly display their artistic aim by regulating the developments of those discourses. The “visible authorial discourse” often employs certain words of connotative significance to denote the “aristocrat” or the “merchant” qualities of the characters’ discourse. Character’s discourse in this novel is not completely autonomous but most of the time is bristling with the author’s overall intentions. The “invisible authorial discourse” focuses on the process how these upstarts firstly aspire after and finally usurp the privileged position of the old New York aristocracy. In short, Wharton’s discourse controls the full blossoming of the character’s ideology.
The novelistic language of Ship of Fools, in the Bakhtinian sense, speaks for the greatest achievement in terms of diversity and universality among the three novels. The polyphonic phenomenon is mostly explicit in the visible authorial discourse in which there is neither an emphasis upon the speech of the author nor a singularity of discourse of a protagonist.
In conclusion, Ship of Fools is the one written in a mode mostly resembling Bakhtin’s polyphonic novel. However, there are scarcely any personal touches, artistic deftness of hand, or novelistic magic worthy of discussion. Herzog and The Custom of the Country, though they do not fulfill so many of the requirements of Bakhtin’s polyphony just like Ship of Fools does, both include, to various degrees, the author’s autonomous presentations of the hero / heroine’s languages and lives to bring to light particular aspects meaningful to the authors. Both novels have been regarded as great literary works because of the novelists’ “individual genius.” Thus, a faithful reproduction of true human social languages does not alone fulfill the special needs of the novel, which is always in need of literary skills that transform true human life situations into a literary version of human life in such a way as to make the description of life much more condensed, meaningful, and purposeful. On the other hand, the notion of the author cannot be easily annihilated, since it strikes its roots in every aspect of the novel, which surely brings a profound influence on the style of a novel. What makes Bakhtin’s polyphonic poetics questionable is because he ignores the author’s overall scheme of a literary work, which is mostly manifested in the invisible authorial discourse.
Though Bakhtin serves as the pioneer critic of the privileged position of the novelist, the problem is, he is associated with a number of key concepts in the study of literature. Many of the postmodern notions, especially the “Death of the Author,” have become widespread and influential in current literary criticism. By exposing to view Bakhtin’s weaknesses, we also witness the inadequacy of these postmodern propositions.
Acknowledgements…………………………………………………………………………i
Abstract……………………………………………………………………………………ii
Chapter One Introduction…………………………………………………………1
Chapter Two Bakhtin’s Dialogism and the Author-Hero Relationship
…………………………………………………………………………………………………14
Chapter Three Saul Bellow and Herzog…………………………………………53
Chapter Four Edith Wharton and The Custom of the Country …………98
Chapter Five Katherine Anne Porter and Ship of Fools…………………156
Chapter Six Conclusion……………………………………………………………191
Works Cited…………………………………………………………………………………204
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