【作者】 韩彬；

【导师】 房福贤；

【作者基本信息】 山东师范大学 ， 中国现当代文学， 2013， 博士

【摘要】 自传是一个兼及文史的文类，中国虽然历来史传文学都很发达，但是自传文学则一直处于贬抑之境。直到进入20世纪以后，伴随着人的发现和自我意识的觉醒以及西方自传的传入，具有现代意识的自传才发展起来。在20世纪30年代和20世纪80年代以来自传写作出现了两次高潮。但是由于自传本身的难以界定、自传理论的匮乏，自传研究则一直处于边缘状态。自传研究的专著和硕博士论文比较匮乏，尤其是从整体上论述20世纪中国作家自传的硕博士论文尚属空白，因此本文试图对20世纪以来的作家自传进行整体研究，并将其纳入“现代中国”的学术视野。“现代中国”与“古代中国”相对照，涵盖了我们通常文学史界定的“现代”和“当代”两个阶段。本论文分为六个部分。绪论部分首先对论题“自传”和“现代中国”做出了界定。本文以勒热讷对自传的定义作为自传讨论的范围，并将侧重于个人书写的回忆录纳入研究视野，同时本文的论述还涉及了日记、交代材料等少量准自传文本，它们在某种程度上可被作为自传文本的参照。尤其是20世纪50到70年代，作家自传整体缺失的年代，对这些准自传的研究，有利于现代中国作家自传发展历程的整体建构。绪论部分还对自传理论和创作的研究现状做出了分析，自传创作的繁荣和研究成果的匮乏，为自传研究既带来了难度同时也带来了挑战。第一章现代中国作家自传流变研究从整体上论述了现代中国作家自传的发展历程，并将现代中国作家自传的发展分为四个时期。从1927年到1937年，标志着现代中国作家自传的勃兴，在这一节中主要论述了30年代自传热潮出现的原因及呈现的特点，1937年到1949年，现代中国作家自传从兴盛走向了沉寂，这一部分主要分析了自传走向沉寂的时代原因，但同时也指出了这一时期的自传并非毫无发展，虽然自传创作锐减，但是30年代出版的作家自传在这一时期仍在大量再版，这说明自传仍存在着稳定的阅读群体。另外这一时期男性和女性自传的创作表现出明显的差异，这一时期男性作家自传较为鲜明地表现了由“小我”走向“大我”的时代主题，但是女性作家自传则主要延续了30年代自传中的个性解放，争取婚姻自由的个人化言说。1949年到1978年，这是现代中国作家自传的缺失期，在这一时期我们几乎难以看到作家正式自传的出版，因此本文在这段时期的论述中加入了少量日记和交代材料的准自传文本进行探讨。将这一时期的自传分成了以《高玉宝》为例的历史正面认同的书写，以《牛棚日记》、《郭小川1957年日记》为例的历史背面的另类书写和罪感意识中的自虐表演——交代材料的书写。以此保证了自传历史建构的完整性。从1978年至今是自传发展的又一个黄金时代，在这一节中论述了自传重新崛起的原因、特点及不足。第二章现代中国作家传主身份研究，这一章主要从传主身份预设的角度探讨了传主自我形象的建构和认同以及传主身份预设与自传真实性的关系，传主身份预设与读者阅读期待的关系。身份指的是个人在他人眼中的价值和重要性。所有自传都包含了一个自我阐释、探寻自我在他者和社会中价值的过程。因此自传不是一面平面镜，它不可能成为传主生命的自在再现，任何传主形象经过自传的折射都会出现形象的变形。而传者塑形的依据则是传主的身份预设。在这一章首先探讨了传主身份预设与寻求认同的关系。所谓的传主身份预设就是传主对自我独特性以及在社会中的身份地位的预想。一部自传可以说就是传主自我身份预设的具象化。作者通过传主身份的塑造以求得传主对个体、社会群体以及民族身份的认同，从而获得情感的依附和归属。当传主的自我预设与社会他人发生分歧之时，传主的自传文本就会表现出一定的认同危机和身份焦虑，而这种身份焦虑既可能是一种自我身份焦虑也可能是一种民族身份焦虑。第二节现代中国作家传主身份预设与自传真实性则从传主身份预设的角度探讨了自传中的隐讳、夸饰和辩解。自传真实性是自传研究中的一个根本问题，但是传统的真实性研究往往停留在对史料的考辨之上，本文则引入了身份的新视角，分析了传主的避讳、夸饰和辩解与传主自我身份建构的关系。当事实不利于传主身份建构时，传主自然会对之避而不谈，而当事实有利于传主身份建构时，传主则会对此大加夸饰，当然还有一种关涉他人或社会的历史事实，作者难以采取完全避讳的态度，此时作者为维护自我身份的建构则要对其加以辩解。因此作者在自传中讲什么，如何讲都与其对传主的身份预设密不可分。第三节现代中国作家传主身份预设与读者阅读期待，则主要从身份的角度探讨了读者对自传的满意度。通常自传的阅读者不可能对传主一无所知，他的认知情感的“前见”构成了他的阅读期待视野，当自传的作者基于传主身份预设和维护所讲的事实不能满足读者的阅读期待视野时，读者就会对传主提出质询，而当作者的讲述与读者阅读视野发生遇合甚至超出了读者的阅读视野，此时读者就会因震撼和折服与传主形成亲密的信任关系。因此自传的好坏并不以现实的善恶为其判断的标准，而是与作者的坦率程度密切相关。第三章现代中国作家自传叙事研究主要探讨了自传叙事的独特性。从自传叙事的不可靠性，自传叙事的对话性和自传叙事的故事性三个方面论述了自传的叙事特征。第一节现代中国作家自传的不可靠叙述借鉴了布斯《小说修辞学》和许德金《自传叙事学》的理论成果，主要探讨了自传叙述的三种不可靠性：一是文本内的叙述间隙，二是文本间的叙述歧义，三是自传文类的叙述间隙。在自传文类的叙述间隙一部分中探讨了自传和小说之间的亲缘关系，以及某些文本介于自传和小说，纪实和纪虚之间的两栖性特征。第二节现代中国作家自传的对话性探讨了对话性对于自传的重要意义。并将自传中的对话进行了分类：一是自传中人物间的显在对话，它增强了自传叙述的场景性，增加了自传的真实感，而且自我和他者的对话还可以分别表达传主的不同意识。二是叙事主体与经验主体的对话，自传中的回顾性叙事决定了叙事主体和经验主体虽为同一自然人，然而仍存在一定的差异。叙事主体往往在更加清明的状态下对经验主体展开质询，评价和反思。两者的认知差异使彼此产生一种张力，构成两者的对话。三是作者与读者的对话。四是在口述自传中，采访者与受访者的对话。口述自传作为自传的特殊类型，其采访者和受访者构成双主体性，两者在口述文本中会因认知的差异产生对话性和叙述张力。故事性并非虚构文本所独有，自传叙事也需要故事性，不过自传中的故事是指实有其事，将偶然无序的事件加以铺排点染使其连贯有序，自传中的故事既包括自我的故事也包括他者的故事。尽管当代西方自传的创作取向是反故事，反意义化的，但是记忆一旦形诸于文字就已失去了本来之貌，因此试图完全还原记忆只能是一种徒劳，根据人生意义和身份建构的需要，来选择生命历程中的重要事件是将过去形诸文字的必然，因此从实践的层面来说摒弃自传的故事性是没有必要也不可能的。第四章现代中国作家自传主题研究，主要探讨了自传书写中的三个基本主题。一是现代中国作家自传的婚恋主题，在这一节中主要以自传文本为依托论述了现代中国男性作家和女性作家在爱情婚姻选择上的差异。与男性作家受母亲影响及自我历史中间物意识影响下对旧式婚姻的屈从相比，女性作家在婚姻问题上表现出了反抗的决绝性，当然在成功组建的自由婚姻中女性作家又面临了从父权到夫权的新的困惑。第二节现代中国作家自传的反思主题主要探讨了现代中国作家自传中几种不同的反思，一是指向个体的反思，这其中既包含了纠缠于具体人事的对他者的反思，也包含了指向忏悔的自我反思，自我反思是最接近于西方忏悔精神的。二是指向群体的反思，在这一部分中重点探讨了“五七反右—文革受难者”的群体反思和“红卫兵—知青”群体的反思，由此透视了知识分子对体制和权势的依附，自我独立性的丧失，以及混迹于群氓中的暴力和残忍。第三节现代中国作家自传的励志主题这一节主要探讨自传作为一种催人向上，导向乐观的文类，传主的励志奋斗历程及其作为人生表率的重要意义。结语部分主要探讨了三个问题。一是现代中国作家的自传观，这一部分主要是从作者的主观创作意图探讨了三种不同的自传观，包括和盘托出，无条件坦露事实；虽然尊重事实，但是更加尊重他人的隐私权，认为真实抵不过隐私；三是从自我的角度出发，认为自己有选择说与不说的权利。二是论述了现代中国作家自传的文史价值，首先探讨了自传的史料价值：为作家生平研究提供背景资料，与作家作品构成互文性，为现代文学史的研究提供佐证，为评价他人提供旁证。其次探讨了自传的文学价值，包括自传所塑造的颇具个性的人物形象，风景情致的书写和对文学想象的加入，小说笔法的运用。三是探讨了现代中国作家自传创作的缺失，包括现代中国作家自传中性爱书写的缺失、反思中主体力度的孱弱和反思主体情感的缺失。尽管现代中国作家自传的创作和研究还有许多不尽人意的方面，但是自传无疑是一个具有生存和发展潜力的现代性文体，随着中国自传理论的建构和发展，自传研究必将迎来一个新的黄金时代。更多还原

【Abstract】 Autobiography concerns both literature and history.Although historicalliterature is always prosperous in China, autobiographical literature has neverreached such a level. The autobiography with modern awareness did not developuntil the20thCentury when self-consciousness aroused and western autobiographycame into China. There were two upsurges in autobiography writing in the1930sand the1980s. However, the study on autobiography has never come intoprosperity because autobiography itself is difficult to define and the relatedtheories are insufficient. There are few books and thesis about autobiography study,and the doctor’s and master’s dissertation which comprehensively discussesChinese writers’ autobiography since the20thCentury has not come into being.Therefore, this paper tries to make a comprehensive study on Chinese writers’autobiography since the20thCentury, and to bring it into the Modern Chinaacademic field. Modern China and Ancient China coexist, covering modern andcontemporary periods. The paper includes six parts.First, autobiography and modern China are defined in the Introduction part.This paper takes Lejeune’s definition of autobiography as its scope of autobiography discussion, and at the same time brings memoirs into research.Besides, the discussion also involves diaries and written criticisms, which to someextent have become reference texts for quasi-autobiography. Especially from the1950s to the1970s, autobiography was badly deficient. So the discussion aboutthese quasi-autobiographies is useful for the survey of autobiography developinghistory in the20thCentury. The paper also analyses the current situation of theautobiography theory and creation study. The prosperity of autobiography creationand the deficiency of study achievements bring both difficulties and challenges forautobiography study.Chapter One, Study on Modern Chinese Writers’ Autobiography, exposes thedeveloping history of Modern Chinese writers’ autobiography, and divides it intofour periods. From1927to1937, it was a flourishing period for Modern Chinesewriters’ autobiography. In this part, the paper mainly analyses the reasons andcharacteristics of the autobiography writing climax appearing in the1930s. From1937to1949, Modern Chinese writers’ autobiography was on the decline. In thispart, the paper discusses the reasons for the decline and the phenomenon of manyautobiographies’ republication. Actually, there were still a large number of peoplereading autobiography at that time. The differences between males and females in creating autobiography are also exposed in this part. During this period, the maleautobiography focused on the transformation from individual to community. Yetthe female autobiography was more individual, focusing on individualemancipation and marriage liberty which had began to be written from the1930s.From1949to1978, Modern Chinese writers’ autobiography was lacking. We canhardly see any official edition of autobiography. So the paper discusses a fewdiaries and written criticisms as quasi-autobiography. The autobiography is dividedinto three kinds----positive identification of history, such as Gaoyubao, negativeidentification of history, such as The bullpen diary and confession, such as1957diary of Guoxiaochuan.Therefore, the integrity of the autobiography history isguaranteed. From1978to nowadays, it is another golden time for autobiographydevelopment. The reasons, characteristics, and weak points of autobiography’sbooming again are expounded in this part.Chapter Two is Study on Biographees’ Identity. In this chapter, the paper talksabout the construction and identification of biographee’s self-image, therelationship between the presetting of the biographee identity and theautobiography’s authenticity, and the relationship between the presetting of thebiographee identity and readers’ reading expectations. Identity is one’s value and importance in other people’s eyes. All the autobiographies include authors’self-explanation and self-exploration in others and in the society. So autobiographyis not a flat mirror. It cannot become a pure reflection of the biographee’s life. Allthe biographee images would have some changes in autobiographies. Butbiographee portraying is based on the presetting of the biographee identity. In thischapter, the relationship is discussed first between the presetting of the biographeeidentity and the exploration of self-identification. The so-called “presetting of thebiographee identity” is the biographee’s expectation about his or her uniquenessand social status. An autobiography is to some degree a concrete product of thepresetting of the biographee’s identity. Through molding the biographee identity,the writer obtains the biographee’s identification with his individual, his socialgroup, and his nation, so that the sense of belonging is acquired. Conflict betweenthe biographee’s self-presetting and the society can endow the autobiography withidentification crisis and identity anxiety, either individual or national. The secondpart is about Modern Chinese writers’ presetting of biographee identity andautobiography’s authenticity. The obscurity, exaggeration and defense inautobiography are discussed from the angle of presetting of the biographee identity.The autobiography’s authenticity is a basic issue in autobiography study. But the traditional authenticity study only focuses on the investigation of the history. Inthis paper, the new angle of identity is adopted, and the point that all of thebiographee’s obscurity, exaggeration and defense depend on the construction of thebiographee’s identity is analyzed. If facts make against the construction, thebiographee will obviously avoid them, while if facts are helpful for theconstruction, the biographee will spare no efforts to state them. Of course, there aresome historical facts concerning other people or the society that the author cannotdirectly avoid, but defend himself against. Therefore, what to say and how to say itare closely related to the biographee’s identity presetting. Section Three is aboutmodern Chinese writers’ biographee identity presetting and readers’ readingexpectation. Readers’ degree of satisfaction is analyzed from the angle of identity.In the common circumstances, a reader knows something about the biographee.His cognitive “pre-understanding” becomes his reading expectation. If the author’sstatement of facts cannot satisfy the reader’s expectation, the reader will ask for anexplanation; if the writer’s statement conforms to the reader’s expectation, andeven beyond it, closeness and confidence will be formed from shocking andadmiration between the reader and the author. Therefore, whether an autobiography is good or not does not depend on the content, but on the degree ofthe author’s frankness.Chapter Three, Study on Modern Chinese Writers’ Autobiographic narration,mainly discusses the unique autobiographical narration. From the unreliability, thedialogism and the narrativity in narration, the paper expounds the features ofautobiography. In the first section, the unreliable narration of the modern writer’sautobiography primarily refers to the theoretical achievements coming from TheRhetoric of Fiction of Booth and Xu Dejin’s Autobiography narratology, whichexplores three unreliable narrations: One is the information gap within the text;The second is the text’s ambiguity; And the third is the information gap of theautobiography genre. In the part of the third, it tells the relationship betweenautobiography and fiction as well as the amphibious characteristics in some texts.In the second section, the dialogism of modern writer’s autobiography discusses thesignificance of dialogism to autobiography. The dialogues in autobiography areclassified into four kinds. One is characters’ dialogues in autobiography, which canheighten the atmosphere of the scenes, make the autobiography believable and thesense of autobiography’s reality, and help the biographee express different ideas.The second are dialogues between the narrating subject and the experienced subject. There are some retrospective narrations in autobiography. Although thenarrating subject and the experienced subject are the same person, differences stillexist. The narrating subject often makes inquiries, comments, and reflections to theexperienced subject in a more sensible state. Thus, a kind of tension is produced bytheir cognitive differences and dialogues between them come out. The third aredialogues between the writer and reader. The fourth are dialogues between theinterviewer and the interviewee in the oral autobiography. Oral autobiography is aspecial type of autobiography. The existence of interviewer and intervieweeendows autobiography with double narrating subjects. The differences betweentheir recognitions result in dialogism and narrative tension. Autobiography needsnarrativity. The stories in autobiography are real and arranged orderly, both aboutthe biographee himself and about others. Although the trend of contemporarywestern autobiography creation is to get rid of narrativity, the memory will lost itsoriginal appearance once formed in the text. Therefore, trying to restore thememory can only be a useless attempt. In order to note down the past, it isinevitable to select important events in one’s life according to the meaning of lifeand the need of identity construction. So practically, abandoning the narrativity ofautobiography is unnecessary and impossible. Chapter Four, Study on the Themes of Modern Chinese writer’sAutobiography, mainly discusses three basic themes. The first theme is love andmarriage. In this part the differences in choosing love and marriage between malewriters and female writers are discussed based on autobiographical texts.Compared with male writers who have maternal influences and yield to traditionalmarriages, female writers are more rebellious. Of course, female writers have toface a new kind of confusion coming from patriarchy to the power of husbandwhen getting married successfully. The second theme is reflection. Severaldifferent kinds of reflection are analyzed in this part. One is reflection onindividuals, including both on others and on oneself which includes repentance.The other is reflection on groups, including both on victims of anti-rightistmovement to the Cultural Revolution Group and on Red Guard to Educated Youthgroup. From this section, we can see the intellectual’s reliance on the system andpower, their loss of self-independence, and the violence and cruelty they showamong the mobs. The third theme is inspiration. Autobiography is sometimesencouraging and optimistic. The biographees are hard working and have greatsignificance as life models. The conclusion mainly discusses three problems. The first one is Chinesewriters’ viewpoint of tradition. Three viewpoints of tradition are exposed based onthe writers’ creative intention: complete confession, telling the truthunconditionally without any concealment; respecting others’ privacy much morethan the facts, which should be respected, but are not as important as privacy;choosing whether to speak or not according to individual’s requirements. Thesecond one is about the autobiography’s literary and historical value: to providebackground information for the writers’ life study; to form an intertextual studywith the literary works of the writers; to provide the evidence for the research ofthe history of modern literature and to provide circumstantial evidence for theevaluation of others. Besides, it tells the literary value of the autobiography,including the distinctive characters, the description of the scenery, the participationof literary imagination and the application of the writing skills. The third problemis the lack of autobiography creation. It contains the loss of sexual writing, theweakness of reflection, and the missing of emotional description of the reflectionsubjects.Although there are a lot of unsatisfactory aspects existing both in creation andresearch of the modern Chinese writers’ autobiography, it is no doubt that the autobiography possesses great potentials to survive and develop. With theconstruction and development of theories of Chinese autobiography, it is bound tousher in a new golden age.更多还原