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颠覆与顺从
Subversiveness & Submissiveness

【作者】周晓霞 【导师】陈勤建

【作者基本信息】华东师范大学，文艺学，2007年，博士


【摘要 (中文/英文)】 机智人物故事，是指由一个特定的机智人物作为主人公贯穿起来的、富于幽默滑稽色彩的系列故事。在国际通行的民间故事AT分类法中，这类故事部分归入生活故事类，多数归于笑话类。在中国，对该类故事的研究发轫于上世纪二十年代中期的徐文长故事研究，而“机智人物故事”的术语则由中国社会科学院的祁连休研究员首先提出。上个世纪八、九十年代是机智人物故事研究的高潮。1984年召开的全国性的“机智人物故事学术研讨会”是该领域的里程碑。2001年出版的祁连休先生的《智谋与妙趣——中国机智人物故事研究》是该研究领域的集大成之作。之后少有这方面的研究成果问世。纵观中国机智人物故事研究的历史，笔者认为研究者比较注重从现实出发，用社会批评、阶级斗争等角度来审视这一形象和故事群；研究的导向也多从正面来评价这一群体，把机智人物看作是普通民众智慧的精英，甚至被当作民间文化英雄来看待，而对机智人物故事中所蕴含的多棱文化信息尚研究不够。本文将以文艺民俗学为视角，尝试综合运用文化人类学、后历史主义、后结构主义以及巴赫金的狂欢化诗学理论对机智人物故事进行重新审视，客观分析机智人物故事备受...更多欢迎的深层社会因素，探讨机智人物调皮任性、滑稽幽默和爱耍欺骗手腕背后的动因，引发人们思考严肃的文化价值和世俗秩序与人的自然需求之间的关系。 本文共分六章。第一章通过梳理中外机智人物故事研究的历史，指出该研究领域目前已取得的成就和存在的不足，提出本文的研究方法及作者的主要观点。第二章从机智人物故事背后的社会图景入手，分析类型和非类型化的机智人物故事中所隐含或折射出的或清晰或模糊的信息，从而得出这种清晰和模糊对机智人物故事再生及流传的特殊意义。第三章将机智人物看作世俗秩序的“颠覆者”，分别从文学现象、社会现象和文化现象来探讨机智人物故事中的阈限以及其和社会秩序的关系，剖析其盛行的社会心理基础。第四章从机智人物的社会特性出发，探讨其相互矛盾的特点，他们或贵或贱或善或恶时贤时愚，造成了扑朔迷离、难以言说的审美效果。笔者尝试在几对相互对立的关系中去找寻他们的位置，揣摩他们的身份。第五章则通过分析归类机智人物采用的机智手段，探讨中华民族尚智重文的传统对这类故事流行的影响。最后一章将机智人物故事放在一个宏大的文化话语结构中审视其机智手段的本质，指出机智人物不按常规，试图颠覆世俗秩序，但反过来更使人意识到秩序规矩的存在。论文从颠覆和顺从两个相反相成的关系出发分析了机智人物故事中的反叛规矩行为和顺从心理的意识形态本质。 机智人物体现了一种原始存在，是本我、自我和超我的混同体。机智人物是社会维系和转变中不可或缺的人物，社会中如果没有这类人物，则会处于停滞状态，不会产生变化。与此同时，机智人物反过来又强化和维系了世俗的社会现状。对这类叙事的研究有助于引导我们反思这样一对关系：基于人类理性和日常习俗形成的规范制度和人的自然本性发展之间的平衡。这是本文研究的出发点也是本文研究关注的重点。

Trickster Tales, usually ludicrous and humorous, refer to the constellation of tales about particular tricky figures. This type of tales is classified into H. Tests, J. The Wise & The Foolish and K. Deception in Stith Thompson's Motif-Index of Folk-literature and Antti Aarne's The Types of the Folktale. The analysis of this type of tales in China starts from the mid-1920's, characterized by the studies of Xu Wenchang's tales. The term "Trickster tales" ( The literal meaning in Chinese is the Wise Figures' tales) is first used by Qi Lianxiu, a researcher in the China Social Sciences Academy. The 1980's and the 1990's witness the most active and productive researches and results in this field. The national academic symposium held in 1984 is regarded as the landmark. Qi Lianxiu's Wise Tricks and Quick Wit-Analysis of Chinese Trickster Tales published in 2001 is viewed as the comprehensive summary of the analysis in this field. Since 2001, there have been few research papers and works. After a careful scrutiny of the research done until today, the author of the dissertation thinks that the multi-facetted overt and covert cultural implications behind the trickster tales are not fully discussed. Taking the tales as the true happenings, the previous researchers have made their social criticism from the angle of class struggle. They have emphasized only the positive aspects of the tricksters, and regarded the figures as heroes of the common folks. The author, by taking different approaches of cultural anthropology, post-historicism, post-structuralism and Bakhtin's carnivalsque poetics, has made tentative efforts to have a broad revaluation of the tales. By exploring the playful and mischievous ruses, the humorous devices and the ambivalent characteristics manifested by the tricksters, the author intends to uncover the implicated social and cultural reasons that make the tales so widely transmitted, thus inviting the inspiration and consideration of the interactions between the solemnness of the conventional and cultural values and norms and the irrational and natural desire of human beings. In the six chapters of the dissertation, the first one is a historical survey of this field. The author, after exploring the achievements and problems, has explained the new analytic approaches and the main arguments about the tales. In the second chapter, the author, by analyzing the typed and untyped trickster tales, has explored the overt and covert implications manifested in such tales, and the author has further discussed the significance by educing the generation and transmission of such tales. In the third chapter, the author has made a literal-social-cultural analysis from the social psychology by scrutinizing the subversiveness portrayed from the tales. The author has focused the attention on the self-estimated ethical and paranormal nature in the tales in contrast to the social moral judgment. The author has argued that the paranormal displayed by the traits of tricksters has many of the attributers of liminality, which is incompatible with the established conventions and institutions. In the fourth chapter, the author, by comparing and contrasting the paradoxical misbehaviour and the heroic traits of the tricksters, has further discussed the aesthetical values of such tales. After discussing and classifying the tricks and tactics, the author in the fifth chapter has discussed the influences of traditional Chinese culture to the popularity of such tales. Tactics and strategies have long been cherished in China. And there have always been many language games pertaining to the amphibolous and ambiguous nature of the Chinese language. In the last chapter, by taking the tales to the broad social-cultural structures, the author has examined the nature of the abnormal and subversive property, and has argued the subversiveness, in contrast, has reinforced the social conventions and institutions. The author has focused on discussion of the psychological and ideological nature portrayed from paradoxically overt rebellious mischievousness and the covert submissiveness of the tales. Tricksters are the primordial beings and the mixture of id, ego and superego. They are indispensable in the maintenance and transformation of the social order. There will not be changes without the tricksters. In contrast, the tricksters reinforce the social status quo. The analysis of the trickster tales inspires our examination of the balance between the man-made orders and institutions drawn from our rational thinking and the irrational and instinctive nature of human beings. By discussing and analyzing the trickster tales, the author has constantly held the attention on the interaction and strife between our rational being, which is demonstrated by the public norms and irrational being by private and individual behaviors.

【关键词 (中文/英文)】 机智人物故事; 机智人物; 颠覆; 顺从 Trickster tale; trickster; subversiveness; submissiveness

【发表年期】2007年03期 【网络出版投稿人】华东师范大学 【DOI】CNKI:CDMD:1.2007.082894