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輔仁大學
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比較文學研究所
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陳榮彬
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Chen, Rong-bin
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論文
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(英)
四部現代主義小說中的敘事與空間: 形式主義與結構主義的歷史回顧及
其應用
The Formalist-Structuralist Study of Space in Narrative: A Historical Appraisal
and Its Applications
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題名
指導
教授
(中)
張漢良教授 康士林教授
指導
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(英)
Professor Chang Han-liang Professor Nicholas Koss
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2011.3.1
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2011.3.1
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01
學位
類別
博士
畢業
學年
度
99
出版
年
100
語文
別
英文
俄國形式主義 法國結構主義 普洛普 格雷瑪斯 斯可洛夫斯基 托瑪謝夫斯
基 早期現代主義小說 敘事中的空間 于斯曼 喬治．摩爾 王爾德 白先勇
字(中)
巴黎 倫敦 台北
關鍵
Russian Formalism French Structuralism Vladimir Propp A.-J. Greimas Viktor
Shklovsky Boris Tomashevsky Early Modernist Novels Space in Narrative J.-K.
字(英)
Huysmans George Moore Oscar Wilde Bai Xianyong Paris London Taipei
關鍵
摘要
(中)
摘要 這是一本研究「雙城故事」的論文，透過其研究內容，俄國形式主
義與法國結構主義將以一種整合性的風貌被呈現出來。此論文肩負著一
種雙重性的任務：首先，作者透過普洛普與格雷瑪斯的「功能分析」，
斯可洛夫斯基的「文學技巧」，以及托瑪謝夫斯基對「母題」（motif）
進行的分類來揭示與澄清敘事作品中的兩大要素：「恆常要素」（the
constants）與「可變要素」（the variables）。因此，普洛普的三十一項功
能與托瑪謝夫斯基的「組合母題」（bound motifs）就是「恆常要素」，
而托氏的「自由母題」（bound motifs）與斯可洛夫斯基的「文學技巧」
則為「可變要素」。另一個任務是，透過由普洛普、格雷瑪斯與洛特曼
（Juri Lotman）所建構出的形式主義與結構主義傳統來討論敘事作品中
的空間。
此論文中所謂「雙城故事」的文本是來自於法國、英國、
台灣等三地早期現代主義中的四本小說作品。透過格雷瑪斯的空間符號
學架構，《孽子》的台北以及《格雷的肖像》、《一位年輕人的自白》
兩書的倫敦將可被加以比較研究。同樣的方法也可以用在于斯曼的《反
自然》，因為它是個有關於巴黎與倫敦的「雙城故事」。必須強調的
是，這四本小說的敘事結構基礎都建立在其主角的空間活動上：有時是
在一個都市內部的活動，有時是在市區與郊區之間的活動，或者是在不
同城市之間的活動。就普洛普與格雷瑪斯的理論脈絡而言，這個由市區
／市郊與單城／雙城兩組關係所建構出來的世界裡面，存在著「異質空
間」（heterotopic space）、「接續空間」（paratopic space）以及「烏托邦
空間」（utopic space）等不同種類的空間，而小說的主角也將分別在這
些空間裡面接受「名譽考驗」（glorifying test）、「資格考驗」
（qualifying test）以及「主要考驗」（main test）。
此外，跟據格雷
瑪斯在〈空間符號學芻議〉（”Toward a Topological Semiotics”）一文中
提出，其後在《莫泊桑》（Maupassant）一書首度用於文學分析的「歡
欣／不快」這一組價值對比，透過一個主觀視角的介入，不管是市區或
市郊的空間都會變得具有「歡欣／不快」（euphoria/dysphoria）的價值特
性。例如，對於于斯曼筆下的德杰盛公爵（Duc des Esseintes）而言，巴
黎被投射的價值是「不快」，而市郊的方特內（Fontenay）則是「欣
愉」；但是，對於摩爾筆下的愛德華‧戴恩（Edward Dayne）而言，巴
黎卻反而是「欣愉」，而倫敦則是「不快」。
如果說前面提到的三
種空間與三個考驗可以被視為敘事作品中的「恆常要素」，那麼斯可洛
夫斯基所提出的那些「文學技巧」就是「可變要素」。透過本論文對四
部小說的仔細分析，我們發現《反自然》一書所運用的是「貫串」
（”threading”）與「延緩結束」（”retardation”）等技巧，《格雷的
肖像》、《一位年輕人的自白》兩書則以「平行對比」
（”parallelism”）居多，而《孽子》所用的則是「相聚處」（”
gathering place ”）與「離題（擴充）」（”digression”）。
在第一
章廣泛地探討形式-結構主義的理論與分析方法之後，第二章將以〈那條
繩子〉（”La ficelle”）以及〈兩個朋友〉（”Deux amis”）等兩篇莫
泊桑的短篇小說為分析重點。選用它們的理由有兩個：一方面可以透過
分析它們來展現格雷瑪斯的理論架構，另一方面則可以用斯可洛夫斯基
與托瑪謝夫斯基的「可變要素」來加以補充說明。就文本分析的程序而
言，此章可說是後面幾章的一個範例。
透過第三章我們可以看出，
《反自然》一書中的「烏托邦空間」顯然是一處室內空間：也就是主角
位於巴黎郊區的那間宅邸，因為那是他進行許多美學實驗之處。此外，
屋內空間的區分也同時是小說各章故事的發生地點（例如臥室、餐廳等
等），就此我們可以看出空間結構不只具有主題上的意義，也有章節結
構上的意義。最後，從「本事」（fabula）與「情節」（syuzhet）這一區
分的角度觀之，我們會發現這是一個「本事」極度簡單，而「情節」極
度複雜的故事。因為「本事」極度簡單，所以章節之間的因果關係非常
弱，因此其許多部份就算互相調換也不會造成故事不連貫的現象。 第四
章的重點在於揭示《一位年輕人的自白》與《格雷的畫像》兩書的共通
點：兩書的主角都是二十歲左右的年輕人。因為這個「靜態母題」（或
者如巴特所說，「說明」）上的安排，小說的「接續空間」就變得非常
重要。因為在他們進入主要考驗之前，必須先取得特定的能力。其次，
這兩本小說的「本事」都遠比《反自然》還要複雜，而且空間移動在故
事中也都扮演重要角色：主角在移動過後（不管是格雷在倫敦西區、東
區之間的移動，或是戴恩在倫敦與巴黎之間的移動），往往會有一些行
動上的表現。
就第五章而言，《孽子》這本小說的最大特色就在於
它是一個有關於台北、紐約與東京等三個城市的故事。就結構而言，它
也用了斯可洛夫斯基所謂「平行對比」的技巧：因此小說所敘述的除了
是台北新公園同性戀社群的群體故事之外，也是這社群中許多成員個人
故事的相互對照。還有，就「離題（擴充）」的技巧而言，我們也可以
看到「龍子與阿鳳」這個「神話」在小說的情節建構上扮演了什麼角
色。此外，與《格雷的肖像》相同之處在於，主角在都市內部的移動比
他們在都市之間的移動更具重要性，因此必須從都市符號學的角度來解
讀這種「東／西」結構的意義。
就第六章（結論）的部分而言，該
章一方面檢視了前幾章文本分析的結果，也對於論文方法在分析的有效
性上面進行了評估。首先必須指出的，是格雷瑪斯的「欣愉／不快」這
一組對比與早期現代主義可說具有某種關聯，尤其是它可以用來解釋許
多現代主義作家的都會視野。其次，我除了對於「資格考驗」與「名譽
考驗」提出了一些觀察之外，也重申了敘事作品中「恆常要素」與「可
變要素」的重要性。最後，則是對於形式-結構主義的「角色」理論進行
了一些反省，並且指出其說法往往將敘事作品中的「角色」予以過度簡
化。
摘要
(英)
Abstract In this Formalist-Structuralist integrative study of “tales of two cities,”
a two-fold task has been completed. First, through the “functional analysis” of
Propp and Greimas, Shklovsky’s “literary devices,” and Tomashevsky’s
typology of “motifs,” I’ve tried to explore and clarify both the constant and
variable elements of narrative. Secondly, following the Formalist-Structuralist
tradition formed by Propp, Lotman, and Greimas, I’ve also shown how the
element of “space” works in narrative. The so-called “tales of two cities” in
this dissertation are four novels of early Modernism from France, Britain, and
Taiwan. The Taipei in Crystal Boys and the London in Confessions of a Young
Man and The Picture of Dorian Gray have been put into a comparative perspective
in the framework of Greimas’s topological semiotics. Huysmans’s A rebours is
also treated accordingly, because it can be seen as a tale of London and Paris. It
has to be stressed that each of the four novels has a narrative structure which is
constructed on the basis of the protagonists’ travels inside a city, between a city
and its suburbs, or between cities. According to the Proppian-Greimasian tradition,
the urban/suburban and metropolitan/cosmopolitan worlds in the four works can
be seen as consisting of heterotopic, paratopic, and utopic spaces, where the
glorifying, qualifying, and decisive (main) tests are to be taken by the protagonists
(subject-actants). Furthermore, according to the topological-axiological dichotomy
of “euphoria/dysphoria,” first explored in Greimas’s “Toward a Topological
Semiotics” and later applied to literary analysis in his Maupassant, if space in
narrative is engaged by certain subjective perspectives, cities or suburbs can be
either euphoric or dysphoric. For example, Paris is thus dysphoric for
Huysmans’s Duc des Esseintes, and its suburban Fontenay is euphoric; on the
contrary, for Moore’s Edward Dayne, Paris becomes euphoric rather than
dysphoric, and its dysphoric counterpart is London. If the afore-mentioned three
spaces and three tests can be seen as “the constants” in narrative, the literary
devices explored by Shklovsky are “the variables.” Through a detailed textual
analysis, this dissertation has shown the devices used in the four novels, such as
the devices of “threading” and “retardation” in A rebours, that of
“parallelism” in Confessions of a Young Man and The Picture of Dorian Gray,
and those of “gathering place” and “digression” (unrolling) in Crystal Boys.
After the extensive discussions of Formalist-Structuralist theories and analytical
approaches in Chapter One, Maupassant’s “The Piece of String” and “Two
Friends” are dealt with in Chapter Two. The reason for choosing them is twofold: on one hand, to show how they are analyzed by Greimas in his own
theoretical framework; on the other, to complement the analysis by using
Shklovsky and Tomashevsky’s approach to “the variables.” As to how a
textual analysis can proceed properly, this chapter indeed has set an example for
the following ones. As it has been shown in Chapter Three, the major parts of A
rebours consist of the protagonist’s aesthetic experiments conducted in his
suburban house, so it is quite clear that the only utopic space in the novel is
interior rather than exterior. Also, the novel’s episodic structure is formed by the
inner segmentation of the house; therefore, an individual room (bedroom, dining
room, etc.) is used by the author in each chapter. Furthermore, in this novel, we
can also see that the causal relations among the chapters are rather weak and the
order of the chapters can be rearranged at will without altering the novel’s basic
structure of fabula, which consists of only a few dynamic motifs. In Chapter Four,
I tried to explore a common feature shared by the two novels by Moore and Wilde
and how this feature is closely related to the urban spaces of Paris and London.
The protagonists of Confessions of a Young Man and The Picture of Dorian Gray
are both young men in their late teens or early twenties. Due to this static motif
(or, for Barthes, an “informant”), the paratopic spaces of the two novels are
very important. Before the protagonists can enter into the realm of utopic space
and take the main test, their competencies are yet to be acquired. Furthermore,
since the two novels are more plot-driven that A rebours, the protagonists’
journeys in and out of London and Paris are very important and each of their
spatial translocations is followed by a function (or dynamic motif). Therefore,
Edward Dayne’s travels between London and Paris and Dorian Gray’s moving
from the West End to the East End are important disjunctional syntagms in both
novels, each of which is followed by a performative syntagm. In Chapter Five, we
have seen that Crystal Boys is “a tale of three cities” in which Taipei, New
York, and Tokyo are in many ways related. The novel uses Shklovsky’s so-
called “parallelism” device, so it can be simultaneously seen as a story of exile
of a gay community in Taipei and as many parallel episodes of the members in
that community. The other main device of plot-construction in the novel is “the
myth of Dragon and Phoenix,” which is essentially a kind of “digression,” a
“spreading out” of the novel’s subject matter. In one central aspect Crystal
Boys is the same as The Picture of Dorian Gray: for both of them, the
translocation from one place to another inside the city is more important than that
between cities or between the city and its suburbs. Therefore, it is necessary to
explore the “East/West” urban structure in Taipei from the perspective of
topological semiotics. In the final chapter of this dissertation, some concluding
remarks will be brought forth in order to review the outcome of my textual
analysis and to appraise the validity of the Formalist-Structuralist approaches
deployed in the preceding five chapters. First of all, I will show that Greimas’s
topological-axiological analysis of urban space can be interpreted as being related
to the “inward turn” of the early Modernists and to their urban visions.
Secondly, besides showing my observations on the qualifying and glorifying tests,
the complementarity of “the constants” and “the variables” in narrative is
again stressed. Finally, reflections on how characters are treated in Formalism and
Structuralism are also made, and I’ve argued that the treatments are on the
whole oversimplified.
論文
目次
Table of Contents Chapter One: Introduction 1 Ⅰ. Tales of Cities in Modernist
Novels 1 Ⅱ. The Late Emergence of “Space in Narrative” 7 A. Spatial Form:
From Lessing to Joseph Frank 7 B. Bakhtin’s Chronotope 8 C. The FormalistStructuralist Approaches to Space in Narrative 11 Ⅲ. Methodology 16 A.
Theoretical Concepts 18 1. Universal Grammar 18 2. Synchronic Analysis 26 3.
Syntagmatic Analysis 31 B. Procedures of Textual Analysis 34 1. The
Tomashevskyan-Barthesian Approach to Narrative 34 2. From Propp to Greimas
42 Ⅳ. Concluding Remarks 48 Chapter Two: Theoretical Contexts and
Greimas’ Applications 59 Ⅰ. Propp’s Morphological System of Functions 60
A. Propp’s Criticism of “Motif” 60 B. “The System of Function 61 C. From
“Motif” to “Function 67 Ⅱ. Greimas’s Efforts in Developing Propp’s
Theory 75 A. Greimas’ Reworking of Propp’s Functions 75 B. From
“Dramatis Personae” to “Actants 81 Ⅲ. Application: Maupassant’s “The
Piece of String 87 A. The Narrative Schema of “The Piece of String” 87 B.
The Spatial Programming of “The Piece of String” 91 C. The Parallelism in
“The Piece of String” 97 D. The Actantial Analysis of “The Piece of String”
98 Ⅳ. Maupassant’s “Two Friends” 100 A. The Narrative Schema of “Two
Friends” 100 B. The Actantial Analysis of “Two Friends” 104 C. The Spatial
Programming of “Two Friends” 107 D. The Thymic Category and the Spatial
Structure in Narrative 113 V. Concluding Remarks 117 A. Contract-test Patterning
in the Two Stories by Maupassant 117 B. Greimas’s Social Interpretation and
the Two Formulae 119 C. The Literary Device of “Parallelism” 120 D. Spatial
Segmentation and the Axiological Structures 121 Chapter Three: The Fascination
with Interiority 126 Ⅰ. Against Nature: Huysmans’ Fascination with Interiority
127 A. The Story of Duc des Esseintes 127 B. The Creation of an Ideal Room 133
C. La maison d’un artiste and Against Nature 139 Ⅱ. Des Esseintes’ Aesthetic
Project 142 A. Des Esseintes’ House and His Experiments 142 B. The Plot
Construction of Against Nature 148 Ⅲ. The Narrative Schema and Spatial
Programming of Against Nature 157 A. Social Interpretation and Actantial
Analysis 157 B. Contract-Test Patterning and Spatial Programming 160 C. Spatial
Segmentation and Axiological Structure 165 Ⅳ. Concluding Remarks 171
Chapter Four: The Education of Two Young Artists 178 Ⅰ. George Moore: The
Confessions of an Artist 179 A. Moore and Huysmans 179 B. The Fabula and
Syuzhet of Confessions of a Young Man 183 C. Device of Parallelism and
Confessions of a Young Man 191 D. The Narrative Schema and Spatial
Programming 194 Ⅱ. Oscar Wilde: A Tale of Artificiality 207 A. Wilde and
Against Nature: The Theme of “Artificiality” 207 B. The Syuzhet of The
Picture of Dorian Gray 212 C. Narrative Schema and Spatial Programming 224 D.
Spatial Segmentation and Axiological Structures 233 Ⅲ. Concluding Remarks
242 Chapter Five: An Exile in and out of the City 248 Ⅰ. The Story and Plot of
Crystal Boys 249 A. The Fabula of Crystal Boys 249 B. A-qing’s Search for
Brotherhood 257 C. The Myth of Dragon Prince and Phoenix Boy 262 Ⅱ. The
Narrative Schema and Spatial Programming of Crystal Boys 266 A. The Spatial
Programming: The Younger “Crystal Boys” 266 B. The Spatial Programming:
A-qing 272 C. The Spatial Programming: Little Jade 273 D. The Spatial
Programming: Wang Kuilong 274 Ⅲ. The Binary Urban Structure and the
Axiological Structure 277 Ⅳ. Concluding Remarks 282 Chapter Six: Conclusions
285 Ⅰ. Cityscapes of Paris, London, and Taipei: Structural Analysis 285 Ⅱ. The
Formalist-Structuralist Approaches to Narrative: Reflections 291 Ⅲ. Reflections
on the Contract-Test Patterning 296 Ⅳ. The Problem of Glorifying Test and the
Social Interpretation 298 Ⅴ. Reflections on the Structural Analysis of Characters
301 Works Cited 306
參考
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